CHAPTER XV SECRETARIAT ESTABLISHMENT & ACCOUNTS PART A- PERSONNEL SECTION 15.1 Responsibilities of the Section-The items of work allotted to Personnel Section are as follows: i) Recruitment and associated matters, including:- a) Verification of character and antecedents and medical examination of officers/staff before their initial appointment; b) Maintenance of Roster in respect of SC/ST/OBC categories in promotion/direct recruitment; c) Appointment on compassionate grounds; d) Appointment through Special Drive Examination; and e) Rules relating to recruitment. ii) Promotion of personnel from one post to another, confirmations. iii) Creation and continuance of temporary posts and conversion of temporary posts into permanent ones. iv) Work relating to Parliamentary Pay Committee. v) Inter-Sectional transfers/posting of staff and allocation of work amongst Gazetted Officers. vi) Maintenance of Gradation List and Preparation of staff list, Grade-wise and Section-wise from time to time. vii) Maintenance of folders of Confidential Reports of Officers and staff. viii) Grievance Committee. ix) Disciplinary cases and court cases. x) Delegation of financial powers. xi) Dealing with representations received from the officers and members of the staff in the matter of their seniority, promotions, etc. xii) Grant of honorarium to officers/officials for various Direct Recruitment/Departmental Examinations and sanction of contingent expenditure. xiii) Holding of typewriting tests for Junior Clerks under ‘Efficiency Bonus Scheme’ and for compassionate appointees. 15.2 Recruitment/Appointment of Staff in the Secretariat-Vacancies for which recruitment/appointment is to be made, are identified as per the Roster points by following the prescribed method of recruitment by which the vacancy is to be filled up, as laid down in the Rajya Sabha Secretariat (Methods of Recruitment and Qualifications for Appointment) Order, 1974. Backlog vacancies, if any, pertaining to SC/ST/OBC are also identified as per the roster points. The Joint Recruitment Cell is intimated to conduct an examination for vacant posts and vacancies anticipated and to forward the panel of successful candidates. The panel is got approved from the Secretary-General. Appointment to gazetted posts is approved by the Hon’ble Chairman and appointment against non-gazetted posts by the Secretary- General. Before the appointment offer is issued, pre-appointment formalities are to be completed, including medical examination by C.M.O. regarding fitness for appointment, and verification of character and antecedents through the local police/Magistrates of the Districts given by the candidate in his application. An attestation form is sent by the Office to the local police/ District Magistrate for verification of the particulars filled in by the persons considered for appointment and to ascertain that the candidate is of good character.
Transcript
CHAPTER XV
SECRETARIAT ESTABLISHMENT & ACCOUNTS
PART A- PERSONNEL SECTION 15.1 Responsibilities of the Section-The items of work allotted to Personnel Section are as follows: i) Recruitment and associated matters, including:-
a) Verification of character and antecedents and medical examination of officers/staff before their initial appointment;
b) Maintenance of Roster in respect of SC/ST/OBC categories in promotion/direct recruitment;
c) Appointment on compassionate grounds; d) Appointment through Special Drive Examination; and e) Rules relating to recruitment.
ii) Promotion of personnel from one post to another, confirmations. iii) Creation and continuance of temporary posts and conversion of temporary posts into permanent
ones. iv) Work relating to Parliamentary Pay Committee. v) Inter-Sectional transfers/posting of staff and allocation of work amongst Gazetted Officers. vi) Maintenance of Gradation List and Preparation of staff list, Grade-wise and Section-wise from
time to time. vii) Maintenance of folders of Confidential Reports of Officers and staff. viii) Grievance Committee. ix) Disciplinary cases and court cases. x) Delegation of financial powers. xi) Dealing with representations received from the officers and members of the staff in the matter of
their seniority, promotions, etc. xii) Grant of honorarium to officers/officials for various Direct Recruitment/Departmental
Examinations and sanction of contingent expenditure. xiii) Holding of typewriting tests for Junior Clerks under ‘Efficiency Bonus Scheme’ and for
compassionate appointees. 15.2 Recruitment/Appointment of Staff in the Secretariat-Vacancies for which recruitment/appointment is to be made, are identified as per the Roster points by following the prescribed method of recruitment by which the vacancy is to be filled up, as laid down in the Rajya Sabha Secretariat (Methods of Recruitment and Qualifications for Appointment) Order, 1974. Backlog vacancies, if any, pertaining to SC/ST/OBC are also identified as per the roster points. The Joint Recruitment Cell is intimated to conduct an examination for vacant posts and vacancies anticipated and to forward the panel of successful candidates. The panel is got approved from the Secretary-General. Appointment to gazetted posts is approved by the Hon’ble Chairman and appointment against non-gazetted posts by the Secretary-General.
Before the appointment offer is issued, pre-appointment formalities are to be completed, including medical examination by C.M.O. regarding fitness for appointment, and verification of character and antecedents through the local police/Magistrates of the Districts given by the candidate in his application. An attestation form is sent by the Office to the local police/ District Magistrate for verification of the particulars filled in by the persons considered for appointment and to ascertain that the candidate is of good character.
After the completion of pre-appointment formalities, offer of appointment is issued to the selected
candidate directing him to join duties by a specified date in case he/she accepts the terms and conditions specified therein. The appointment letter shall state the nature of the appointment, i.e. whether it is against a permanent post or a temporary one or whether it is ad hoc and if so, for what period. The letter must state that:
(i) The selected candidate should submit the following documents before joining the post: -
a) Attested copies of certificates for educational/ professional qualifications; proof as to date of birth; of belonging to the particular reserved category against which selection has been made etc.
b) Certificates of having only one living spouse or being unmarried, on the prescribed form;
c) Oath owning allegiance to the Constitution of India and maintaining secrecy, on the prescribed forms;
d) Medical fitness certificate from the Chief Medical Officer for non-gazetted posts and by the Board to be constituted by the Chief Medical Officer for gazetted posts;
e) Letter accepting the terms and conditions of the appointment order.
(ii) The appointment is subject to: - a) A probation period as per prescribed Rules, with provision for extension; and that
during or at the end of such probation or such extension thereof the services can be dispensed with in the public interest without assigning any reason.
b) All Recruitment and conditions of service rules as applicable or framed by the Rajya Sabha Secretariat
c) Termination of service on one month's notice or pay and allowances in lieu thereof by the Secretariat.
d) Passing of any test/examination e.g. typing test in case of Junior Clerks and shorthand and type test for Stenographers etc. within the prescribed period (consequences of failure to pass the same within the prescribed period should be specified).
e) Passing of Departmental Examination if any within the prescribed period (consequence of failure to pass the same within the prescribed period should be specified).
All offers of appointment are to be sent to the candidates through Registered Post A.D. at the correspondence or permanent address as intimated/indicated by the candidates. The acknowledgements are to be kept on record. All appointments of direct recruitment are to be made strictly in order of the combined select list, unless the name of someone has to be dropped because of being medically unfit or character and antecedents being not satisfactory.
If the candidate approved for appointment is already in service either in Central or State
Governments, the attested copies of medical report and verification are obtained from the concerned authorities and thereafter, the letter of offer of appointment is sent to that office with the request to relieve the person concerned. A copy thereof is also sent to the candidate. A joining report is to be filled up by the person recruited/appointed along with other forms viz. Declaration on prescribed form regarding marital status and an oath of allegiance to the Constitution and to maintains secrecy is to be taken at the time of joining. An entry is made in Roster Book as per the roster point pertaining to the appointment. An Office Order and a notification are issued regarding the appointment of non-gazetted and gazetted staff respectively. After appointment to the Secretariat, the person is issued his posting order.
The following is checked while disposing the work relating to recruitment procedure:
(a) Determination of roster points, including carrying over of vacancies; (b) Medical fitness certificate and report regarding verification of character
and antecedents of a candidate being considered for appointment to determine whether they are in order or not (original documents are retained on record);
(c) Whether any disciplinary or vigilance case is pending against a candidate already employed with Central/State Government;
(d) Certificates concerning educational qualifications; and (e) Certificate for SC/ST/OBC candidates
15.2.1 Computerisation of Personnel Information- As soon as an appointment or promotion is made, all relevant particulars must be entered in the Personnel Administration Management System (PAMS) software. All personal details obtained at the time of first appointment must also be entered. Changes due to career progression/posting/transfer will be entered in the software by Personnel or Establishment (General) Section as the case may be, as per procedure in the software User Manual for PAMS. The employee identity number generated from the software will be the Standard Identification Number for all other applications/references in relation to that employee. 15.2.2 Recruitment on compassionate grounds: Recruitment is also made on compassionate grounds to Group ‘C’ & ‘D’ post. As per the Government of India instructions adopted by the Rajya Sabha Secretariat, the facility is applicable to a widow or son or daughter (or adopted son or adopted daughter) of an employee who dies in harness, leaving his family in immediate need of assistance when there is no other earning member in the family. The procedure regarding the processing of applications is the same as cited above for direct recruitment except that certain relaxations are granted:
a) Recruitment procedure is made without involving Joint Recruitment Cell. b) Age-limit wherever necessary is relaxed. c) Temporary relaxation in educational qualification and typewriting is given subject to
condition regarding the time limit by which the qualification/skill will be acquired. 15.3 Reservation- To give proper effect to the reservation prescribed for different categories from time to time, the appointing authority should treat vacancies as "reserved" or "unreserved" according to the model rosters in prescribed form. The rosters are intended to be an aid in determining the number of vacancies to be reserved and are not meant to be used for determining the order of appointment or seniority. The actual number of vacancies required to be reserved for the respective reserved categories is worked out by indicating the roster points and the actual number of the vacancies proposed to be filled during the course of a calendar year in the relevant roster register. In this way, the actual number of vacancies to be reserved is to be based on the points in the roster to be consumed for exact actual anticipated vacancies for a calendar year, the total number of reservations not exceeding 50% of the total number of vacancies to be filled in that year. The ceiling of 50% on filling up of reserved vacancies would apply only for the current vacancies in a given year and the backlog/carried forward reserved vacancies would be treated as a separate and distinct group and would not be subject to any ceiling.
The following instructions are to be kept in view for maintaining rosters: -
(i) A common roster is to be maintained for permanent appointments
and temporary appointments likely to become permanent or to continue indefinitely.
(ii) A separate roster is to be maintained for purely temporary appointments of 45 days or more but which have no chance whatever of becoming permanent or continuing indefinitely.
(iii) A temporary post included in the roster at the time of initial appointment when converted into a permanent post later will not after such conversion be shown again in the roster but will be treated as reserved or unreserved according to the point at which it fell when it was initially filled.
(iv) Permanent vacancies which occur due to death, retirement, resignation or for any other reason and which are also physical vacancies will be shown in the roster at (i) above and reservation determined accordingly.
(v) Separate rosters are to be maintained for determining the number of reservations in appointments made by direct recruitment, promotion and departmental test. Further in direct recruitment, separate rosters are to be maintained for each category of post/service, and each mode of recruitment.
Likewise in promotion, separate rosters are to be maintained for
each category of post/service with further separate rosters for each mode of promotion i.e. promotion on the basis of selection or seniority subject to rejection of unfit etc.
(vi) In case promotion to a category of post/service is to be made from different feeder categories, then separate feeder category wise rosters are to be maintained besides a distinct roster for determining the number of posts to be filled from the distinct feeder categories during the course of the calendar year.
(vii) Immediately after an appointment has been made, the particulars of the person appointed will be entered in the roster register in the appropriate columns and the entry signed by the appointing authority or by an officer authorized to do so.
(viii) The cyclic vacancy based rosters have been replaced with fixed post-based rosters that have been adopted for implementation in the Secretariat w.e.f. 1.1.2000.
(ix) The number of points in the roster is equal to the number of posts in the cadre/grade. In a grade of say, 200 posts, where the recruitment rules prescribe a ratio of 50:50 for direct recruitment and promotion, two rosters, one for direct recruitment and one for promotion shall be drawn up, each comprising 100 points.
(x) The method of making a roster for a particular mode of recruitment is to multiply each post by the prescribed percentages of reservation for the different reserved categories. The point at which the multiple for a community obtains a complete number or oversteps the number is to be reserved for that community.
(xi) Whenever there is an increase or decrease in the cadre strength, the roster shall be correspondingly expanded or contracted.
(xii) The roster is to be operated on the principle of replacement and not as a running account as hitherto. The reserved points are fixed and vacancies caused by retirement etc. of persons occupying those points shall be filled by the appointment of persons of respective categories.
(xiii) Separate pattern of rosters has been introduced for small cadres (upto 13 posts). The initial appointment is as per the post earmarked and replacement of incumbents of posts shall be by rotation as indicated horizontally against the cadre strength as applicable.
(xiv) Once a candidate whether of reserved category or unreserved category joins the post on which he is appointed, his particulars are noted in the roster register and a point whether reserved or unreserved depending on the candidate so appointed is consumed and in the event of his ceasing to hold that post by reason of resignation, death etc., the said point is not taken into account for being filled again.
15.3.1 Carrying forward and Exchange of Reservations: In cases of Direct Recruitment if sufficient number of candidates fit for appointment against reserved vacancies are not available, such unfilled reserved vacancies are carried forward to subsequent three recruitment years and in case no suitable candidate belonging to the appropriate community is available during that period, they are treated as lapsed. A reserved ST vacancy can be filled up by an SC candidate and vice-versa in the third year of carry forward.
In the cases of promotion by selection within Group 'D', from Group 'D' to Group
'C' and within Group 'C', the reservations are carried forward to subsequent three recruitment years. In such cases, the exchange between SC and STs is permissible only in the third year of carry-forward. However, in case of promotion by selection from Group 'C' to Group 'B', within Group 'B' and from Group 'B' to the lowest rung of Group 'A', carrying forward of reservations are not permitted. Therefore exchange of reservation between SC and STs is permissible in the same year.
Format of Roster Register for reservation for persons belonging to Scheduled
Castes, Scheduled Tribes and Other Backward Classes is as follows: -
Cadre/Grade: No. of Posts –
RESERVATION FOR DIRECT RECRUITMENT
S.No. of post
Category for which post is earmarked
Name of the Person (s) appointed and Date of appointment
Whether SC/ST/ OBC/UR
Remarks Signature of Appointing Authority or other authorised officer
1 2 3 4 5 6 15.4 Promotion-In the matter of promotions, guidelines given in the Rajya Sabha Secretariat (Methods of Recruitment and Qualifications for Appointment) Order, 1974 as modified from time to time are followed. For this purpose also, vacancies are to be identified as per the Roster points except that
reservation for OBCs does not apply for promotions, and as such a separate register for promotion reservations will be maintained.
Promotions are made after the Departmental Promotion Committee (DPC) determines the suitability of the person eligible for promotion. Normally, the DPC convenes its meeting every year in the month of December.
The proposals for promotion of non-gazetted and gazetted staff based on the DPC
recommendations are submitted to and approved by the Secretary-General and Chairman respectively. The promotions are then notified through an Office Order for non-gazetted or Notification for gazetted staff. The promotee to Group-A or within Group-A is required to fill up a certificate of transfer of charge.
Following factors are kept in mind while disposing the work relating to
promotion: (a) Careful determination of roster points; (b) Check whether the person being considered for promotion is eligible as
per the Recruitment Order; and (c) Obtain the ACRs of persons eligible and being considered for promotion
from the respective Reviewing Officers well in time. 15.4.1 Terms and conditions of promotion orders: The order of promotion should contain the provisions to the effect that: -
(i) In cases where promotion has been made against leave/ short-term vacancy or a purely temporary post, the promotion will be terminated after a specified period;
(ii) The promotion is subject to all provisions of the Promotion Rules and other conditions of service;
(iii) It is conditional on the passing of any test/examination or departmental examination within the prescribed period; and
(iv) Wherever applicable, the appointment/promotion is subject to the order/decision of a Court of Law, and that the appointment/promotion shall be subject to the final decision of the Court of Law.
All appointments by promotion are to be made strictly in order of the combined select list unless
the promotion is to be held up because of subsequent events, which warrant the adoption of the sealed cover procedure. 15.5 Departmental Promotion Committees-As mentioned in para 15.4, Departmental Promotion Committees shall judge the suitability of Officers for promotion. 15.5.1 Consideration by Departmental Promotion Committees: All cases for regular promotions are to be first considered by the Departmental Promotion Committees (D.P.Cs.), which have to be constituted for categorywise posts. The D.P.C. is to be guided by the instructions as issued from time to time and the office is required to place complete and correct information before the D.P.C. The D.P.C. has to take care that: -
(i) Every person eligible for promotion as per the relevant Promotion Rules and in the field of
choice is considered for promotion;
(ii) The standard for promotion i.e. qualifications, service in the feeder category as prescribed in the Promotion Rules are strictly adhered to and only eligible persons are considered.
(iii) A uniform standard is followed for making assessment of all the persons. (iv) The proceedings of the D.P.C. and the select-lists are prepared strictly in accordance with
the instructions on the subject. (v) Instructions relating to reservations, sealed cover procedure in respect of Government
servants facing departmental/criminal proceedings and recommendation for their ad-hoc promotion, wherever permissible, are kept in view while preparing the select lists.
15.5.2 Constitution of Departmental Promotion Committees: Members included in Departmental Promotion Committees for Group 'A' and 'B' posts should be at least one level above the post to which promotion is to be made.
The Departmental Promotion Committee to consider and recommend the names
of officials for promotion/confirmation in respect of various services/posts upto the lowest rung of Group ‘A’ consists of
(i) Joint Secretary/Director (in-charge of Administration) as the Chairperson
(ii) Two Members to be nominated by the Secretary-General from officers of the rank of Director/Deputy Secretary/Under Secretary, one of whom belonging to SC/ST category.
The names of officers in case of promotion within Group ‘A’ are recommended
by the Secretary-General.
15.5.3 Information/Papers to be placed before the Departmental Promotion Committee: The following papers are to be placed before the Departmental Promotion Committee: -
(i) Memorandum indicating the following information: -
(a) Year-wise break up of vacancies for previous years and vacancies anticipated for 12 months (January-December);
(b) Feeder category from which promotion is to be made, with requirement of service, qualifications and other requisites of eligibility;
(c) Seniority position of eligible incumbents; (d) Names of incumbents against whom disciplinary/criminal proceedings are
pending; (e) Names of incumbents against whom any penalty has been imposed with nature
of penalty date of imposition of penalty and period if any; (f) Reservations position; (g) Statement indicating position regarding Vigilance Clearance Certificate in
respect of promotion to gazetted posts; (h) Statement indicating position regarding integrity certificate.
(ii) Updated copy of the Recruitment and Promotion Rules; (iii) Upto date Seniority list(s) of the feeder category (ies) indicating whether incumbents
are eligible to the considered and if not reasons therefor. Indication of the incumbents belonging to Scheduled Castes/Scheduled Tribes should also be given;
(iv) Folder of Vigilance Clearance Certificates of those being considered for gazetted posts; (v) Folder of Integrity Certificate of those being considered; (vi) Completed Annual Confidential Report dossiers of those being considered.
15.5.4 Frequency at which D.P.C. should meet: The D.P.C. is convened at regular annual intervals not only to fill up existing vacant posts but also to draw panels which could be utilized for making promotions against the vacancies likely to occur during the course of the year. The meeting of the DPC is normally
conducted in the month of December each year. The DPC assesses the suitability of employees for promotion on the basis of their CRs for five preceding years. For unanticipated vacancies and new posts, DPC should be held within 3 months in the form of a review DPC for the entire year, so that the inter se seniority is properly determined. 15.5.5 Method of calculating vacancies and Zone of Consideration: For holding meetings of the Departmental Promotion Committee, the precise number of vacancies for which select-list is to be prepared has to be worked out. For calculating the number of vacancies in the current year, all vacancies anticipated during the next 12 months from 1st January to 31st December shall be taken into account and should include only the existing vacancies (duly sanctioned and not merely budgeted) and anticipated retirements and promotions. Short-term temporary vacancies should not be taken into account for preparing panels.
For one vacancy, Five Officers are considered. If there are two vacancies, Eight Officers will be considered, the formula being 2(x)+4, where ‘x’ stands for number of vacancies. To illustrate the formula, if there are ten vacancies, Twenty Four Officers will be considered for the post, i.e. the zone of consideration is twenty four.
The zone of consideration may be extended to five times the number of vacancies
for providing suitable representation to SC/ST candidates. The intention is to have an extended zone of five times the number of vacancies in all cases where adequate number of SC/ST candidates are not available in the normal zone of a smaller size. For a single vacancy however, the zone will not be extended. The normal zone and the extended zone for vacancies will accordingly be as follows: - No. of Vacancies Normal Zone Zone for consideration for SC/ST
If not available in normal Zone 1. 5 5 2. 8 10 3. 10 15 4. 12 20 5 and above Twice the no. of vacancies+4 5 times the no. of vacancies 15.5.6 Procedure for assessment by selection in D.P.C - All promotion posts in the Secretariat are filled by Selection, i.e., on the basis of selection-cum-seniority and selection by merit. To assess the relative merit of officers:
(i) the Confidential Reports for equal number of years in respect of all officers being considered for a particular post are scrutinised;
(ii) preferably, the Confidential Reports for the years equal to the required qualifying service are perused;
(iii) the overall grading obtained by an officer as recorded in the ACR is not the sole guiding factor but the assessment is on the basis of individual entries in the Confidential Report;
(iv) the members of Departmental Promotion Committee may devise their own method/procedure for objective assessment of suitability of the candidates who are to be considered by them;
(v) in case of each officer, an overall grading from among (i) Outstanding (ii) Very Good, (iii) Good, (iv) Average, (v) Unfit is given. Before making the overall grading, the DPC should take into account major or minor
penalties and adverse remarks in the ACRs in the period under consideration;
(vi) in respect of officials under suspension, charge sheet or criminal prosecution the DPC will follow the 'sealed cover' procedure.
(vii) for all Group C, B & A [upto but excluding Rs. 3700-5000 (pre-revised)] the bench mark is ‘Good’ and filled by Selection-cum-Seniority. In respect of posts of and above the level of Rs. 3700-5000, the bench mark is ‘Very Good’ and filled by selection by merit;
(viii) Officers with 'Outstanding' will be placed at the top of the panel, followed by Officers with ‘Very Good' and then by Officers with 'Good' (in case of benchmark of good). Officers having the same grading would maintain their inter-se-seniority of the feeder grade in the final panel.
15.5.7 Giving effect to DPC recommendations- DPC recommendations are advisory in nature and have to be approved by the appointing authority before they are given effect. As soon as proceedings of the DPC are received, the matter should be processed on file for approval/orders, pointing out any lacunae/errors in the proceedings. Where it is proposed to disagree with the DPC recommendations, the reasons should be recorded in detail. In case of Group 'B', 'C' and 'D', the DPC should be first given the reasons/facts and asked to reconsider and a final decision should be taken thereafter. In respect of Group 'A' Officers where Chairman is the appointing authority, the matter will be submitted for the orders of the Chairman and the orders shall be treated as final. Decisions on the DPC's recommendations should be taken within a time limit of 3 months. 15.5.8 Validity of DPC recommendations- A panel is valid for one year and may be extended by upto 6 months for reasons to be recorded. Steps must be taken to convene the next DPC in the interim and the remaining period of the calendar year from date of convening of the DPC shall be considered for the purpose. After the new DPC has been convened, the old panel should not be operated. 15.6 Retirement-All employees of the Secretariat retire from service on attaining the age of Superannuation i.e. 60 years. The age of retirement of Secretary-General, Rajya Sabha has been enhanced from 60 to 62 years in pursuance of the recommendations contained in the Second Report (2001) of the Parliamentary Pay Committee.
A list of employees due to retire within the next 30 months as on 1st January and
1st July each year is prepared and after approval is sent to Pay & Accounts Office, Estt.(G) Section, Estt.(A/Cs) & G.A. Section. A statement regarding the retirements in the Secretariat, in a given month is also submitted to the Secretary-General for information every month. Notification regarding retirement of gazetted officers is issued on the last working day of the month.
15.7 Confidential Reports-Confidential Reports are written for each calendar year. There are twelve types of ACR forms pertaining to various types of technical and non-technical posts in the Secretariat. The ACR forms of officials are forwarded to the concerned Reporting Officer. In respect of Assistant and equivalent and above, the self-appraisal column of the ACR form is first to be filled by the official/officer, and the form is accordingly sent to the official/officer concerned in such cases. In all cases, the Personnel Section indicates the name of the Reporting and Reviewing Officer and period for which report is to be written, in the forwarding note. After filling up the self-appraisal column, the ACR is sent to the Reporting
Officer under intimation to Personnel Section. The Reporting Officer and the Reviewing Officer after completing their portion of the ACR forward it to Personnel Section. All changes in pendency status will be entered in the PAMS software’s ACR Module. In Personnel Section, completed ACRs are scrutinised and filed in the concerned dossier, and corresponding status change made in the computer data.
The following are the details of Reporting and Reviewing Officers for various cases: Designation (Including equivalent) Reporting Officer Reviewing Officer Upto LDC/UDC Executive Officer Under Secretary/Deputy
Secretary Executive Assistant/Senior Executive Assistant Executive Officer Under Secretary/Deputy
Secretary/Director Executive Officer Under Secretary Deputy
Secretary/Director/Joint-Secretary
Under Secretary Deputy Secretary/Director Joint-Secretary Deputy Secretary/Director Joint -Secretary Secretary-General Joint-Secretary/Additional-Secretary Secretary-General - 15.7.1 Time-Schedule for preparation of Confidential Reports: The Report should be recorded within the specified schedule and delay on part of the reporting officer should be adverselycommented upon. In case the self-appraisal itself is delayed this should be adverselycommented upon by the Reporting Officer and in case of delay exceeding 2 months, the Personnel Section should record non-receipt of self-appraisal on the relevant portion of the ACR form and ask the Reporting Officer to initiate the confidential report at his level. The following table gives the time schedule for writing of confidential reports. Nature of Action Dates by which action to be completed 1.Distribution of blank CR form to all concerned (i.e., to officer to be reported upon where self-appraisal has to be given and to reporting officers where self-appraisal is not be to given)
Latest by 1st January
2.Submission of self-appraisal to reporting officer by officer to be reported upon (where applicable)
15th January
3.Submission of report by reporting officer to reviewing officer - Where self-appraisal by officer reported upon is
prescribed - Where self-appraisal by officer reported upon is
not prescribed - Where officer reported upon is himself a reporting
officer for subordinates under him.
7th February 21st January 22nd February
4.Report to be completed by Reviewing Officer and sent to Administration or CR Section/Cell
23rd February where the due date for the reporting officer is 7th February -7th February where the due date for the reporting officer is 21st January -5th March where the due date for the reporting officer is 22nd February
Where there is more than one Reporting Officer in a given period, for officials upto the level of Senior Executive Assistant, (due to the same official/officer reporting to more than one Senior Officer simultaneously) the ACR is sent to the senior Reporting Officer. In case due to transfer or promotion of the official/officer reported upon during the year, the Reporting Officer changes, separate ACR should be initiated for each such period exceeding 3 months. If an officer is transferred during the middle of the reporting year, he should immediately write the CRs of his subordinates in respect of the year for the period up to the date of his transfer, provided that the period is at least six months, and the reports should be
submitted to the reviewing authority who will retain them in his custody and record his remarks in the reviewing portions in the last of the reports for the year, taking into account the reports for the previous portions of the year also, submitted to him by the transferred officers, at the time of their transfer. If the reviewing authority is transferred, not simultaneously with the reporting officer, but after some time, he will hand over such reports to his successor and the successor will review the reports if he happens to have three months’ experience. Otherwise, the previous reviewing authority will review the reports at the end of the year. If, a reporting/reviewing authority retires during the middle of the year, the reports/reviews of the subordinates are obtained from the concerned officer before the date of retirement. 15.7.2 Placement of other documents in the Confidential Dossier: Copies of the following communications should also be placed in the confidential report dossier: -
a) All orders imposing any of the penalties prescribed under the 1957 Rules, or other
relevant Rules. b) All communications conveying adverse remarks.
c) Copy of the order regarding expunction or retention of adverse remarks. d) Warnings with the approval of the "appointing authority" or under the orders of
"appointing authority". e) Other communications of the nature of advice or conveying displeasure of the
Chairman/Secretary General with the orders of the Competent authority in each individual case.
15.7.3 Instructions on writing/reviewing Annual Confidential Reports: (i) The Confidential Report is an important document. It provides the basic and vital inputs for
assessing the performance of an Officer and for his/her further advancement in his/her career. The officer reported upon, the Reporting officer and the Reviewing officer should, therefore, undertake the duty of filling out the form with a high sense of responsibility.
(ii) Confidential Reports must contain objective assessment of the performance of the official reported upon in respect of each item. It is important that comments are given against each item which, in fact, project all aspects of work performance of the individual in the office.
(iii) Merit as reflected in the Confidential Reports is generally recognized as an important ingredient for deciding the cases of promotion to higher grades, confirmation and career advancement in general. The inputs in Annual Confidential Report are, therefore, very important both in the interest of efficiency in service as also of the officers. Considering this fact, it is emphasized that the reports should be written with greatest care so that the work, conduct, character and capability of the officers reported upon can be correctly assessed from the recorded comments. Officers recording remarks must also realize the importance of these entries, as their own competence will be judged particularly from the confidential remarks they record about the officer working under them.
(iv) It is the duty of a reporting officer not only to make an objective assessment of the work and qualities of his subordinates but also to give at all times the necessary guidance and assistance to correct his faults and deficiencies. It is emphasized that reporting officers should not be over influenced while making an assessment by any events immediately prior to writing of an Annual Confidential Report but an objective assessment should be made through constant observation made during the entire period for which the report is to be made. While recording adverse remarks, the reporting officer should indicate the efforts made by him to get those defects removed. He should also provide necessary training and guidance wherever possible, the annual report should be based on such watchfulness and periodical inspections. Apart from comments on general qualities, such as integrity, intelligence, industry, conduct, behaviour towards superiors and subordinates, relations with fellow employees, work aptitude, etc. of the officer reported upon, the report should also contain a summing up in general terms of his good and bad qualities. Confidential Report should, as a rule, give general appreciation of the character, conduct and qualities of an officer reported upon and a reference to a specific incident should be made, if at all, only by way of illustration to support adverse comments of a general nature, as for example, in efficiency, delay, lack of initiative
as well as enthusiasm for work assigned, judgment etc. Suitable entries may also be made regarding the suggestions made by the officer reported upon which have been accepted and considered useful by office for achieving economy and high standard of efficiency. General remarks like 'Doubtful Character' are vague in nature and entries should be based on established facts and observations and not on mere suspicion.
(v) At the same time, no one should be rewarded by exaggerated reports which are not based on
facts. This may result in injustice to other meritorious officials/officers at the time of promotion; besides eroding overall organisational efficiency With a view to ensuring objectivity, the following procedure may be kept in view:
a) a written record of an individual’s work may be kept in respect of exceptional events (good or bad) and entries made regarding the good and bad work done by the officer during the year at the time of writing the Annual Confidential Report; b) where an adverse remark is recorded in respect of an official having consistently good record, some details regarding the same should invariably be given; c) the report should give a clear opinion on the main points like character, integrity, industry, enthusiasm etc.; d) devotion to duty is an important aspect on which clear opinion should be given in the Annual Confidential Report; e) there should be no hesitation on the part of the reporting officers to record adverse remarks in justified cases. No deserving adverse remarks should be omitted in the Annual Confidential Report by the reporting officer in order to avoid/save himself from embarrassment; f) reporting officers should not be in a hurry to write all the reports on one day and enough time should be devoted in this regard. Care must be taken to ensure that Annual Confidential Report reflect all the qualities possessed by an individual reported upon.
(vi) Reviewing and endorsing officers should acquaint themselves with the work of the official
reported upon before making a review in the Annual Confidential Report. It is their duty to ensure that the Annual Confidential Reports reflect the true picture of the performance and personality of the officer. The Reviewing officer must take care to verify the correctness of the remarks made by the Reporting Officer in the Annual Confidential Report and should make a proper and independent judgment of his own in the review. In particular if they disagree with the Reporting Officer, they should specify the item with which they are in disagreement and the extent of the disagreement. This applies where both adverse remarks are being overruled or favourable remarks are being overruled with adverse remarks.
15.7.4 Adverse Remarks: It is necessary that every employee should know what his defects are and how he can remove them. Past experience suggests that the best results will be achieved only if every reporting officer realizes that it is his duty not only to make an objective assessment of his subordinate's work and qualities but also to give to him at all times the necessary advice, guidance and assistance to correct his faults and deficiencies. If this part of the reporting officer's duty is properly performed, there should be no difficulty about recording adverse entries because they would only refer to defects which had persisted despite the reporting officer's efforts to have them corrected. Accordingly, in mentioning any faults/defects, the reporting officer should also give an indication of the efforts he had made by way of guidance, admonition etc., to get the defects removed and the result of such efforts. It is, therefore, emphasized that the reporting officers may adopt a language which when conveyed to the persons concerned gives a clear idea in unequivocal terms as to where they are lacking and how they can improve. The accepting and reviewing officer should pay particular attention to the language of the entry. Even if the reporting officer feels that although the matter is not important enough to call for departmental proceedings it is important enough to be mentioned specifically in the confidential report of the officer concerned, he should, before making such an entry, satisfy himself that his own conclusion has
been arrived at only after a reasonable opportunity has been given at the relevant time, to the officer reported upon to present his case relating to the incident. If called upon to do so, the officer who gives critical or adverse remarks in the confidential report on the employee should be prepared to substantiate the same with concrete facts. 15.7.5 Communication of adverse remarks: An officer must not be kept ignorant about the adverse or critical assessment of his work and performance as assessed by his superior authorities. Accordingly it is obligatory that adverse remarks in the confidential report of an officer should promptly be communicated to him in accordance with the prescribed procedure so that he is afforded an opportunity to represent against the communicated remarks and decision is taken in time on the representation. Communication of adverse remarks should be the rule and non-communication an exception. Where it is decided to exercise the discretion to refrain from communicating adverse remarks, the decision should be taken at a level one step higher than the Reviewing Officer.
The general principles for communication of adverse remarks provide that it is only the opinion as accepted by the highest authority, which need be considered from the point of view of communication of adverse remarks. The remarks recorded by the accepting officer in the ACR will stand to overrule the adverse remarks recorded by the reporting or/and reviewing officers on the same subject/item/character trait. Accordingly the adverse remarks if any recorded by the reporting or reviewing officers if overruled by the accepting authorities need not be communicated to the Government servant.
The following general principles should be followed in communication of adverse remarks: - a) The adverse remarks against an officer in his confidential report should be communicated
by an officer superior in rank to the one to whom the remarks are communicated. b) All adverse entries should be communicated to the officer concerned latest by the 30th
April of every year. c) Where one adverse entry is made; whether it relates to a remediable or to an irremediable
defect, it should be communicated; but while doing so, the substance of the entire report, including what may have been said in praise of the officer should be communicated.
d) Where the report on an officer shows that he had made efforts to remedy or overcome defects mentioned in the preceding report, the fact should be communicated to the officer in suitable form and a copy of such communication added to the confidential reports.
e) The identity of the officer making adverse remarks should not normally be disclosed while communicating the same. Such a disclosure may lead to unpleasantness and personal animosity. The communication should therefore not contain the word to word extract of the entry but the substance.
f) When a report is built up on the individual opinion as noted, of different departmental superiors in gradation, it is only the opinion as accepted by the highest authority which need be considered from the point of view of communication.
g) An officer should not be kept ignorant of the reporting officer's opinion when his service is not considered satisfactory; criticism should be communicated promptly and should indicate in suitable language the nature of the defects in question.
15.7.6 Representation against adverse remarks: The representation against the communicated adverse remarks are to be submitted within 10 days of the date of communication of adverse remarks. The competent authority may at its discretion entertain a representation made beyond this time limit if there is satisfactory explanation for the delay. 15.7.7 Action on representation against adverse remarks: Ordinarily the office should not enter into any controversy with officers/officials in the matter of adverse remarks communicated to them on the basis of their confidential reports. There may, however, be cases in which the adverse remarks are not made bona-fide or are based on a patent error of fact. An examination of all the representations is, therefore, called for. Where the preliminary examination of the representation does not prime facie establish that the
adverse remarks are malafide or based on a patent error of fact, there should be no hesitation in disposing of the representation on the basis of general policy. Where, however, it appears prima facie that the remarks are not bonafide or that these are based on a clear error of fact, the representation should be examined on merits and comments of the Reporting Officer, and if necessary, the Reviewing Officer obtained. If as a result, it is found that the adverse remarks were not justified, after obtaining the orders of the highest administrative authority, the adverse remarks so decided to be expunged should be expunged and the officer concerned informed of the action taken. The Reporting Officer may also be informed, and suitably warned where malafide intent is indicated. Recourse to expunction of remarks may be had only in cases of exceptional character after observing the prescribed procedure. 15.7.8 Register of ACRs: To monitor the progress of writing of ACRs, a yearwise Register (through PAMS software) is maintained as per the following proforma: - REGISTER OF ACR FOR THE YEAR _________ Name of officer/official
Date of self appraisal
Date of reporting & designation of Reporting Officer
Date of Review and designation of Reviewing Officer
Remarks (where action required on Adverse remarks)
The Register should be reviewed on a weekly basis and reminders issued in respect of overdue ACRs. In case reports are overdue by over 3 months the Officer should be reminded demi-officially, pointing out that further delay in writing/reviewing the ACR may lead to adverse references being drawn. Since the monitoring is done through software the reminders may also be issued through this system, after systematically updating the status. 15.7.9 Index Sheets: ACRs of officers/officials are to be placed in the ACR Dossier, along with an Index Page on the following proforma: -
Index of Confidential Reports
1. Name of officer/official 2. Date of Birth 3. Date of appointment
Period of ACR Sr.No. From (date) To (date)
Page no.(s) Remarks (mention any documents placed)
In case ACR for a broken period of less than 3 months is not initiated (see para 15.7.1) appropriate entry is to be made in the remarks column. It may noted that for a given period there will be only one ACR document. 15.8 Sanctioned Strength, creation and continuance of posts and conversion of temporary posts into permanent ones- The sanctioned strength of officers and members of staff in various sections and the allocation of work among the sections was decided vide this Secretariat Office Order dated 31st December 1974. The sanctioned strength has not been reviewed since then. However, additional temporary gazetted and non-gazetted posts in various grades and services were created from time to time as per the demands received from various sections for the smooth functioning of the Secretariat. These temporary posts are created after obtaining orders from the Hon’ble Chairman, Rajya Sabha. The numbers of posts so created are thereafter to be intimated to Pay & Accounts Officer and Estt. (G) Section for making budget provisions, on temporary establishment. After obtaining the concurrence of Finance Ministry the temporary posts above the grade of Joint Secretary are continued on year-to-year basis. Other temporary posts upto the
level of Joint Secretary are also continued on year-to-year basis with the approval of Hon’ble Chairman. As per the Government of India instructions, 90% of the posts upto the level of Deputy Secretary including Group ‘D’ posts which have been in existence for a continuous period of not less than 3 years can be considered for conversion to permanent ones. 15.9 Confirmation of Officers and Staff-Confirmation of officers and staff in their entry grade is done on the basis of their ACR for two complete years. Officials who possess satisfactory reports regarding work and conduct are identified in various grades and their cases are put up for the approval of Hon’ble Chairman/ Secretary-General for Gazetted/Non-Gazetted posts respectively. Age relaxation for those who were more than 25 years of age at the time of joining this Secretariat is also to be obtained as per Clause 10(3) of Recruitment Order. After obtaining the orders of Hon’ble Chairman/Secretary-General, Office Order/Notification regarding their confirmation is issued.
While dealing with confirmation of an Official, the following factors are to be kept in mind: i) whether the educational qualification as per recruitment rules have been attained; ii) Scrutiny of ACRs to determine the suitability of confirmation; iii) whether age relaxation under Clause 10(3) of the Recruitment Order, 1974 is required or not; iv) whether the individual concerned is clear from vigilance angle; and v) whether he has passed the prescribed tests etc. including (in case of LDC) typewriting test unless
exempted. 15.10 Transfer/Posting & Allocation of work among Officers/Officials-Orders regarding transfer and posting of officer and staff are issued by Personnel Section, from time to time. Generally, the criterion governing transfers is length of stay, and rotation of postings is aimed at giving each official/officer a sufficiently wide experience to enable him to shoulder higher responsibilities on promotion. Special skills and aptitude are kept in view so that transfer does not adversely affect work requiring such skills. If necessary an overlapping period is provided in such cases for smooth transition, and the change is timed during the lean period for the activity. It is generally to be ensured that transfer orders issued do not result in simultaneous transfer of two successive levels of the hierarchy (above clerical level). These considerations are generally also kept in view at the time of postings on promotion. 15.10.1 Entry transfer/posting in PAMS software: All postings/transfers/promotions are to be entered in the PAMS software module so that data base is kept upto date for generation of gradation list, staff list and other information. 15.11 Gradation List and Staff List-Gradation details showing the seniority of officials along with their date of appointment, qualifications, date of confirmation, etc. are maintained in Personnel Section. The data is updated in the PAMS software on appointment, promotion, and retirement etc. of officials. Seniority of a person regularly appointed to a post according to the relevant Rules will be determined by the order of merit. Gradation List is prepared on the following format:
Gradation List (as on____)
S. N
Id. No
Name Educa-tional Qualifi-
Date of Birth
Date of appointment in the Rajya
Date from which a post in the grade/
Rank in Examination
Post/ cadre in which
Date from which
Remarks
cation Sabha Secre-tariat
cadre is held continuously in the Secretariat
confirmed in the Secre-tariat
confi-rmed
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. Under Clause 3(ii) of the Seniority Order dated the 15th January 1958, the Gradation List is prepared at such intervals as the Secretary-General may from time to time by order prescribe. As per the past practice, the Gradation List is prepared once in four years and is circulated. Representations are accepted only in respect of changed entries, within a period to be specified. Each representation is examined and put up on file for orders of the Joint Secretary/Secretary General. The outcome is communicated to the representationist and consequential changes if any one included in the next Gradation List.
Grade-wise and section-wise staff lists are prepared out of the PAMS data base in the Section, kept up-to-date by incorporating the changes in data from time to time. The copies of Staff List are provided to the officers dealing with administration such as Establishment (G) Section, G.A. Section, Training Unit and Notice Office. This list is also provided to other Sections/Officers whenever requisitioned by them for specific purposes. Representations against entry in the Staff list are not entertained, as it is not related with Seniority List. The formats of the Grade-wise and Section-wise Lists are as follows: I. Grade-wise list
Grade Name (No. of sanctioned posts) Sl. No.
Id. No.
Name Date of Birth Date of Appointment in Rajya Sabha Secretariat
Date of Appointment in the grade
Educational Qualifications/Special Skills
1 2 3 4 5 6 7 II. Section-wise list Section Name
Executive Officer (No. of sanctioned posts, Name of the incumbent(s) & the date(s) of posting)
Sr. Leg./Exe./ Com./Prot. Assistant (No. of sanctioned posts, Name of the incumbent(s) & the date(s) of posting)
Leg./Exe./Com./Prot. Assistant (No. of sanctioned posts, Name of the incumbent(s) & the date(s) of posting)
Sr. Clerk (No. of sanctioned posts, Name of the incumbent(s) & the date(s) of posting)
Jr. Clerk (No. of sanctioned posts, Name of the incumbent(s) & the date(s) of posting)
Attendants (No. of sanctioned posts, Name of the incumbent(s) & the date(s) of posting)
15.12.1 Representations: Representations received from the officers and Members of staff on service matters such as seniority, promotion etc. are dealt in Personnel Section. A register is maintained in this regard. The format is as given below:
REGISTER SHOWING THE DISPOSAL OF REPRESENTATIONS
S.N. Date of Receipt of the Representation
Subject of the Representation
File No. in which the Representation is dealt with
Date of submission
Date of Disposal of the Representation
Action taken
Date of the reply sent to the Repres-entationist
15.12.2 Grievance Committee-A Grievance Committee presently consisting of a Chairman and three other Members has been constituted for the redressal of grievances of the officials of the Secretariat. The Committee meets on the last Friday of every month.
Representations addressed to Grievance Committee (regarding service matters etc.) are considered by the Committee, which then recommends suitable action for their redressal. The recommendations are forwarded to the relevant Sections for necessary action. 15.13 Disciplinary Cases-The powers to initiate and conduct disciplinary cases against Officers/Officials of the Secretariat vest with the Hon’ble Chairman/Secretary-General depending on the level of the official concerned. Subject to the procedure laid down in Para 3.8 of this Manual, complaint against officials working in a Section shall be sent to Director (A) alongwith a note detailing the circumstances and attaching copies of documentary evidence and List of witnesses and gist of their evidence. Such cases will be sent through the Deputy Secretary/Director in charge, after obtaining, internally, the approval of the Joint Secretary.
Cases against Senior Officials shall be sent through the Joint Secretary to the
Secretary-General in sealed cover. All complaints will be examined and the Deputy Secretary/Director/Joint Secretary concerned will be informed each month of the progress in the matter as well as the final decision in each case. A monthly statement of pending complaints will also be put up to Secretary-General on file in the following proforma.
Statement of Pending Complaints
Month________ S. No. Division/Section
concerned Name of official complained against
Nature of complaint
Date of receipt
Present status
In case it is decided to close the matter, the entry will be deleted and Division/Joint Secretary informed. In case disciplinary action is decided upon, again, the Division/Joint-Secretary is informed and the following procedure is adopted.
Disciplinary action is taken against erring officials for violation of conduct rules as per the procedure laid down in the Rajya Sabha Secretariat (Recruitment & Conditions
of Service) Rules, 1957 and. CCS (CCA) Rules. Part IV of the 1957 Rules deals with the rules relating to Control and Discipline. On receipt of a complaint against an employee, the matter is looked into and a decision is taken regarding the nature of punishment attracted, i.e. minor or major penalties, for the mis-conduct. For minor penalty the procedure laid down under the rules is followed. For major penalty, inquiry proceedings are initiated. Before conducting the inquiry a Memorandum enclosing the articles of charge, statement of mis-conduct in support of the articles of charge etc. are issued seeking written defence statement from the employee concerned. On the refutal of charges by the employee the inquiry process is initiated by the appointment of Inquiry Officer and the Presenting Officer. After obtaining the inquiry report, suitable penalty is imposed by the Disciplinary Authority if the charges are established. A register is maintained in this regard to monitor the cases. The format is given as below: FORMAT OF REGISTER SHOWING THE DISCIPLINARY CASES S. No. Date Name
and desig-nation of official comp-lained against
Charges in brief
Section under which charge sheet issued
Date of Charge sheet
Date of receipt of reply in response to show cause notice, if any
Name of Officer appointed as Inquiry Officer & date of appointment
Name of Officer appointed as Defending Officer & date of appointment
Final Action and date
A monthly statement of pending cases is put up to Secretary-General on file on the following file.
Statement of Pending Disciplinary Cases Month________________
Name of delinquent Charges in brief Date of Issue of Charge
Sheet Present status
As soon as a case is finally decided, the decision is given in the 'Present Status’ Column in the statement of that month, and deleted in the subsequent month. The Division/Joint Secretary is informed of the decision taken in the matter. 15.14 Attending to Court Cases- Court cases relating to service matters of the employees of this Secretariat are also dealt with by Personnel Section. On the receipt of Petition, plaint or other notice from the Court, the Nominated Counsel for the Secretariat is informed in the first instance. Thereafter, the para-wise comments on the points raised in the Petition, plaint or notice are prepared and after approval, are forwarded to the Counsel for the filing of Counter-Affidavit. The dates of hearing and the proceedings/orders of the Court are intimated to the Secretariat by the Counsel from time to time. The Counsel is also briefed about the case and any new point that has to be added or placed before the Court prior to each date of hearing. The Sanction Orders regarding the fee bills submitted by the Counsel from time to time are also issued by the Section and payment is made accordingly, after verifying particulars from the record, including whether there was an effective appearance.
It has now been decided that Personnel Section will be the nodal Section regarding Court cases involving the Secretariat and, therefore, the consolidated register regarding the on-going cases is being maintained in this Section. The following is the format, with one page being kept for each case.
THE COURT CASES AGAINST RAJYA SABHA SECRETARIAT Name of parties vs Sl. No. CWP/CMP/
Case No. Distt. Court/ High Court/ Supreme Court
Brief issue involved
Name of Counsel
Date of hearing
Nature of hearing & Remarks
Next Date and purpose
15.15 Holding of typing tests for Junior Clerks under Efficiency Bonus Scheme & for Compassionate Appointees in the grade of Junior Clerk-Typing tests in English/Hindi are conducted twice in a year to enable the Junior Clerks of this Secretariat to acquire proficiency in typewriting. Applications are sought from the Junior Clerks who desire to appear in the test and a suitable date and time is fixed as per the convenience of the paper-setter and examiner. Call letters are issued to the candidates and examination is conducted. Successful candidates are given a special pay of Rs. 40/- p.m. Office Order regarding results are also issued.
Similarly typing tests are also conducted for the compassionate appointees in the grade of Junior Clerks, since their appointment is subject to the condition that they will have to qualify the typing test at the prescribed speed of 40 w.p.m. 15.16 Payment of Honorarium-Joint Recruitment Cell appoints paper-setter and Examiner, Dictator, Supervisor, Invigilator etc. for the examinations to various grades in this Secretariat. Further, they incur expenditure on conducting the examinations. Necessary orders for payment of the Honoraria and expenditure are obtained by Personnel Section on receipt of debit claim forwarded by Joint Recruitment Cell from the Pay & Accounts Office. The debit claims are then returned to Pay & Accounts Office for further necessary action. Necessary sanction order regarding payment of honoraria are also issued by Personnel Section. Further sanction orders on the refreshment bills received from Joint Recruitment Cell, Senior Officers etc. in connection with various examinations and meetings relating to matters of Personnel Section etc. are also obtained by Personnel Section and then forwarded to Estt. (A/Cs) Section for payment. 15.17 Delegation of Financial Powers-In the exercise of the powers conferred under Rule 13(3) of the Delegation of Financial Power Rules, 1978 as applicable to this Secretariat, the delegation of financial powers by Secretary-General to officers is circulated from time to time. 15.18 Work relating to Parliamentary Pay Committee-After the decision of Government of India on the recommendations of the Central Pay Commission, a Parliamentary Pay Committee is constituted to report on the revision in Pay and Allowances etc., as is considered necessary in respect of employees of Lok Sabha and Rajya Sabha Secretariats. This Section being the nodal Section with regard to the work of
Parliamentary Pay Committee submits the proposal for its constitution and nominates officials in the Pay Committee Cell to provide secretarial assistance to the Committee. The Parliamentary Bulletin is prepared and issued after the approval of the composition of the Pay Committee by the Hon’ble Chairman, Rajya Sabha and Hon’ble Speaker, Lok Sabha. The Memorandum for consideration by the Committee is then prepared in consultation with Lok Sabha Secretariat.
After the recommendations are approved or accepted by the Hon’ble Chairman, Recruitment and Conditions of Service Order is issued. The report of the Committee is compiled and printed for future reference. 15.19 Work relating to Class-IV Establishment-A large number of sessional posts are created for the session periods in the Class-IV establishment to cope with the additional workload. Persons are appointed against the post of Sessional Messengers from the panels which are available for such appointment. Call letters are issued after getting the approval of the names of persons to be appointed and their services are started from seven days prior to start of the session and continued upto 3 days after the termination of the session. Casual labourers are also engaged mainly during the session period. The salary bills of Casual Labourers are prepared by the Personnel Section. The posting of the Sessional Messengers and Casual Labourers are also dealt with by this section. 15.20 Record of Notifications and Orders- For systematic record keeping the following records relating to notification and office orders are maintained. The text of the Notifications/Office Orders are entered in the appropriate module of the PAMS software so that all officers/Sections can easily refer/locate notifications/orders issued on a given subject. i) Folder of Notifications: In this folder a copy of notification gazetted in the Gazette of India is kept in datewise chronological order with an index sheet in order to locate the specific gazette item. Items referred to be gazetted are appointment, relieving of duties, superannuation, etc. Concerning class-I Officers of the Secretariat. ii) Register for Office Orders Part-I: This register consists of all Office Orders issued by Personnel Section relating to-
(a) Allocation of work (b) Conduct and discipline (c) Internal instructions relating to recruitment, departmental
examinations etc. (d) Determination of sanctioned strength of Sections. (e) Delegation of financial and administrative powers. (f) Standing Orders.
The orders will be issued serial number wise, starting afresh each calendar year.
The orders will be pasted in the register and serially page numbered. In case no officer order is issued during a particular year, one blank page of the register will be kept giving an indication to that effect. iii) Register for Office Order Part-II: All office orders other than those which because of the importance need to be included in Office Order Part-I will be issued as Office Order Part-II. The determination as to whether an Office Order is to be issued as a part-I or Part-II Order should be made at the level of the Under Secretary or above and should not be done in routine.
Part-II Orders which would normally comprise postings, transfers and instructions of ephemeral nature. Part-II Office Order will also be issued serially numberwise and a copy kept in yearwise folder properly page numbered. At the end of each year an index would be prepared and placed at the opening page of the folder. The folder will be bound and kept as a part of the permanent record. 15.21 Computerised Personnel Administration Management System (PAMS)- An integrated software consisting of employee databases relating to his appointment, career progression, personal details etc. has been loaded in client-server machine. Data entry will be made by Personnel Section with regard to appointment details and personal details furnished by employees under the rules, and also with regard to the progress in writing of ACRs, so as to monitor the completion/pendancy status. Details have already been mentioned in the relevant paragraphs.
PART- B: ESTABLISHMENT (GENERAL) SECTION
15.22 Responsibilities of Establishment (G) Section- Establishment (G) Section is responsible for maintenance and safe custody of Service Books, Leave Accounts, LTC records and other service related matters of the Officers and Staff of the Rajya Sabha Secretariat (and Secretariat of the Leader of Opposition). The details are given below: 15.23 Maintenance and Opening of Service books-When appointment to any post is made by the Personnel Section in Rajya Sabha Secretariat/Secretariat of Leader of Opposition, a copy is endorsed to Establishment (G) Section.
If a person has been appointed on transfer from some other Department/Ministry. Establishment (G) Section asks for his Service Book, Leave/Account and other relevant service documents from his/her previous department. Thereafter the same is maintained in the Section and further entries are made thereon.
In respect of fresh appointment, the Service Book is opened from the date of the appointment.
Maintenance updating and safe custody of the Service Book is done in the Section, Service Books of different categories of Officers/staff are allotted to Assistants of the Section who update them as and when required.
Entry regarding Home Town address (for Home Travel Concession purposes) is made on joining the service whenever LTC (Home Town or All India) is availed by the individual concerned, entries are recorded by Establishment (A/cs) Section in the Service Book.
Entries regarding suspension/termination/resignation, retirement, GPF account no. etc. are made in
the Service Book of the individual and attested by Under Secretary (E). 15.23.1 Certificates to be recorded in the Service Book:
i) Medical examination and fitness. ii) Verification of character and antecedents. iii) Declaration of his/her not having contracted bigamous marriage. iv) Taking oath of allegiance/affirmation to the Constitution. v) Declaration of home town and its acceptance. vi) Verification of entries against the following items of Part I "Bio-data" from original
certificates furnished as valid documentary evidence for the respective purpose: (a) Whether belong to Scheduled Caste/Tribe? (b) Date of birth by Christian Era and wherever possible also in Saka Era (both in words and
figures). (c) Educational qualifications:
i) at the time of appointment; ii) subsequently acquired.
(d) Professional and technical qualifications not covered by (c) above. Entries regarding above matters are being made at the time of first appointment and attested by the Head of office or any other officer duly authorized in this behalf. Additions and alterations, if any, also to be similarly attested.
vii) Filing of nomination for GPF and forwarding of the same to the Accounts officer on various dates.
viii) Details of the family members. ix) Filing of nomination for Death/Retirement Gratuity.
15.23.2 Entries to be recorded in the Service Book from time to time:
i) Initial appointment. ii) Occurrence of events involving a change in the post, station, scale of pay, or nature of
appointment, which will include appointment, promotion, reversion, deputation, transfer (including transfer on foreign service), increment, leave, suspension and other forms of interruption in service.
iii) Events like stoppage of increment, enforcement of efficiency bar. iv) Facts of availing Leave Travel Concession either by Government servant or members of his
family. 15.23.3 Documents to be placed in Vol. II of the Service Book:
i) Relaxation of age, educational qualifications (authenticated/attested copy). ii) Attested copies of certificates of age and educational qualifications. iii) Declaration regarding marital status (original). iv) Oath/affirmation of allegiance to the Constitution (original). v) Declaration and acceptance of home town (signed/attested copy). vi) Nomination for retirement/death gratuity. vii) Details of family (signed/attested copy). viii) Exercise of options in service matters (signed/attested copy). ix) Condonation of break in service (authenticated/attested copy). x) Order regarding change of date of birth (authenticated/attested). xi) Collateral evidence in respect of past service (original). xii) Change of name (original).
15.23.4 Nominations & their Safe Custody: All the dealing assistants ensure that every new employee has filled the nomination forms for Death-cum-Retirement Gratuity and CGEGIS. These nominations are put up to the “Head of Office” for attestation and entry is made in the Service Book of the individual. Following forms are used for the purpose- Form 1-nomination for DCRG (in case of no family) Form 2-nomination for DCRG (in case of family) Form 3-details of family Form 7-nomination for benefits under the CGEGIS, 1980 (In case of no family) Form 8-nomination for benefits under the CGEGIS, 1980 (in case of family) 15.23.5 Annual verification of Service- Verification of Service is done annually and certificate of verification recorded in the Service Book. The Service Book is to be shown to the official every year and his signatures obtained as required under SR 202. 15.23.6 Entry in PAMS data base: All personal details in the Service Books and changes therein, after being recorded in the Service Book will be entered in the PAMS database by accessing the Identification Number of the employee. Initial Data base entry of new employee is to be done by Personnel Section, and all subsequent changes by Establishment (G) Section. 15.24 Identity Number-Each employee appointed by recruitment, transfer, deputation etc. is given an identity number, which is the number assigned by Personnel Section through PAMS software and mentioned on the recruitment file. All identification in pay slip, identity card, gradation list, staff list etc. bears this number. 15.25 Pay Fixation-On receipt of the Notification/Office Order from Personnel Section regarding appointment/promotion of the staff, the case is dealt in the ‘Personal File’ of the concerned official. In cases of pay fixation where the individual is required to give his option for fixation of his pay in the new post as per Rules, the official is asked to give his option within one month thereafter the proposal for pay fixation is put up for orders of the Under Secretary and entries made in the Service Book which are attested
by the Under Secretary. Copy of the Pay Fixation order is endorsed to Establishment (A/cs) Section for calculation of Pay and arrears. 15.26 Increments- For the purpose of granting annual increments to the staff, an Increment Register showing category-wise names of Officers and date and month in which their increments falling due in the year is maintained by all the dealing assistants in respect of personnel whose cases are dealt by them. In case the date of increment of any employee is changed due to promotion, Extra Ordinary Leave etc. the same is noted in the increment register. The format of the Increment Register is as follows:
ANNUAL INCREMENTS FOR THE MONTH OF _____________
CATEGORY: _____________________ Name of the Officials 1. 2. 3.
On the basis of the Increment Register and Service Books, Periodical Increment Certificate (PIC) in Form TR 24 as prescribed in Treasury Rule 272 is prepared for each employee whose increment is due in a particular month and put up for sanction by Executive Officer by the 10th of the month. The Assistant concerned shall make entries of increments sanctioned in the respective Service Books which shall be attested by the Executive Officer. Thereafter, original copy of PIC is sent to Establishment (A/cs) Section for preparing the salary as per existing rate. 15.27 Deputation of Officers and Staff- The application for deputation to other Ministries/Departments after scrutiny and verification is referred to Personnel Section for disciplinary/vigilance clearance in respect of the individual concerned. After obtaining the clearances from Personnel Section, the application is forwarded to the concerned Department.
In case a Minister desires the services of an employee in his personal staff, subject to the pay scale being the same or more, willingness of the employee is ascertained, whereafter, he is relieved of his duties irrespective of the fact that he is permanent or temporary.
If an offer of appointment on deputation basis is received from a Government Department, option
of the employees is asked. Orders of Secretary-General are obtained for relieving the selected employee from the Secretariat and the required Office Order/Notification is issued. Thereafter, the individual is relieved of his duties and his Service Book/Last Pay Certificate is sent to the concerned Department after making entries about the deputation in the Service Book.
An employee on deputation to the Rajya Sabha Secretariat has the option to draw pay either in
the scale of pay of the deputation post fixed under the normal rules or his basic pay in the parent department from time to time plus personal pay, if any, and deputation (duty) allowance. In case of deputation on co-terminus basis on the personal staff of Chairman/Deputy Chairman, deputation (duty) allowance is paid in addition to the grade pay of the Officials concerned.
After the completion of term of deputation, the employee is required to either revert to his parent Office or is absorbed in the Office where he is working on deputation basis. In case an employee reverts, entry regarding resumption of duty is made in the Service Book.
15.28 Resignation- In case of resignation on personal grounds, the file is put up for orders of Secretary-General and thereafter, Office Order/Notification is issued to that effect. The accounts of the employee are settled by Establishment (A/cs) Section.
In case of employees who wish to take up appointment in another Ministry/Department, the resignation is accepted on technical grounds. If the application has been forwarded through the Secretariat,the orders of Secretary-General are obtained and the person is relieved of the duties to take up new appointment. The Service Book and Last Pay Certificate of the employee is sent to the concerned Ministry/Department after obtaining no dues certificate from the concerned Sections. 15.29 Retirement Benefits/Pension Cases- A recurring monthly pension is admissible to permanent employees who retire or are retired with a qualifying service of not less than ten years. Temporary employees who retire on superannuation or invalidation after rendering not less than ten years of service or retire voluntarily after 20 years continuous service are also eligible for pension.
A list of retiring employees is to be received from the Personnel Section at least two years before the due date of retirement. Action for finalizing Pension papers of the retiring employees are initiated eight months before the date of retirement. As soon as the list is received, a note to the G.A. Section, Establishment (A/cs) Section, Notice Office, Stores Section, Research & Library Section or any other Section (where the employee was posted etc.) is sent with the request to furnish the ‘No Dues Certificates’ within a stipulated period which is generally three months before the date of retirement. These Sections are required to furnish the information in time to Establishment (G) Section.
Meanwhile, the Service Record of the individual is verified and the entries made in Service Book
are checked for attestation. The total service period is scrutinised for ascertaining Qualifying Service. Two months before the date of retirement, the papers received from the retiring employee and
Sections concerned as indicated above are scrutinized. The pension papers are filled up and the file is put up for sanction of Pension/Family Pension, Commutation of Pension, Death-cum-retirement Gratuity to the D.D.O and sent to Pay & Accounts Office, Rajya Sabha for preparing pension one month before the date of retirement so that the retiring person gets the cheque of his dues including Leave encashment on the day of retirement.
In case of death of an employee, the action for preparation of family pension starts as soon as the
death certificate is received. Note to various Sections for ‘No Dues Certificate’ is sent and the service of the individual is verified. The family pension case is prepared immediately on receipt of pension papers from the family of the deceased employee and sent to the Pay & Accounts Office, Rajya Sabha for necessary action.
In case of an employee who is missing, the family pension is sanctioned one year after the
lodging of FIR. After a lapse of one year, a report from the Police authorities is required to be obtained that the person is still not traceable. The request for furnishing No Objection Certificate to the concerned Sections is sent. As soon as the pension papers, indemnity bond etc. and ‘NOC’ is received from the Sections, pension papers are prepared and sent to Pay & Accounts Office for necessary action. 15.30 Leave- All Officials/Officers of the Rajya Sabha Secretariat are required to apply for regular leave or extension of regular leave (i.e. earned leave, half-pay-leave, commuted leave, leave not due, extraordinary leave or maternity leave) well in advance on a prescribed form. The leave should be recommended by the competent authority. In case of staff working in various Sections, the concerned Under Secretary/Deputy Secretary incharge is competent to recommend the leave. For the Officers of the level of Under Secretary and above, the leave is to be recommended by the Director/Joint Secretary supervising the work.
The application for leave duly recommended received in Establishment (G) Section for
admissibility of leave are immediately entered in the Leave module of the PAMS software alongwith the
date of receipt. The application is thereafter put up for sanction of leave in the Personal File of the Official concerned. Copy of the office order indicating sanction of the leave is communicated to the official. When a person resumes duty, the joining report is put up and entries made in the Service Book for attestation by Executive Officer. In case there is a variation, an application is required to be made and revised sanction order is issued and entry made in PAMS data base before entries are attested. In case leave is not proposed to be sanctioned, the official as well as his immediate superiors must be informed immediately.
Leave and its admissibility is regulated under the provision of CCS (Leave) Rules 1972. Casual
Leaves and compensatory/special leaves are governed by instructions issued from time to time in this regard. Two days compensatory leave or special leave would be admissible at a time to non-gazetted staff and they must be availed within 12 months from their respective day of becoming due. 15.31 Leave Traveling Concession- LTC can be availed by an employee who has completed one year of continuous service. Home Town LTC is admissible once in a block of two calendar years. LTC to any place in India is admissible in lieu of one of the two journeys to Home Town once in a block of four years. LTC cannot be availed during holidays alone, but must be combined with regular leave or with casual leave.
The application for LTC is received in Establishment (G) Section alongwith the leave application. The leave should be recommended by the competent authority. The applicant has to clearly mention the intended place of visit and the family members accompanying him.
The application for leave and LTC is put up for sanction after verifying the admissibility of the
same from the PAMS data base of the individual. Entry is made in the LTC module of the PAMS software after the LTC is sanctioned. At the end of each year, a print out is taken in the following format and bound for reference/audit inspection.
LTC REGISTER
Name of Employee_______________ Home Town_______________ Name of Dependent Relations Relationship Date of Birth
LTC/HTC availed by Block Year Names
Dates
Destination Remarks
If the LTC advance form is also enclosed, the same is also verified and entries of leave,
verification of Home Town and admissibility is attested by the Executive Officer. Thereafter, the file is sent to Establishment (A/cs) Section for payment of LTC advance. Advance is restricted to 90% of the total fare. On completion of journey the individual is required to submit the claim within one month. In case no advance has been drawn, the time limit for submitting claim is 90 days. As and when the claim is received, the same is sent to Establishment (A/cs) Section for settlement along with the permission of sanction of LTC, in case the advance has not been drawn. The entry in the Service Book regarding LTC is made by Establishment (A/cs) Section after the claim has been settled. 15.32 Reimbursement of Tuition Fee- Reimbursement of tuition fee is admissible to all the employees irrespective of their pay limit for the children studying in a recognized school. The number of children for whom the reimbursement of tuition fee is drawn at a time should not exceed three in respect of children born upto 31.12.1987 and two in respect of children born thereafter.
REIMBURSABLE SUBJECT TO A MAXIMUM OF AMOUNT
I to X Rs. 40 p.m.} XI and XII Rs. 50 p.m.} Per child Class I to XII in respect of physically handicapped/
Mentally retarded children Rs.100 p.m.} Science fee upto the limit of Rs. 10 p.m. is reimbursable in addition to the tuition fee in respect of children offering Science subjects in classes IX to XII.
The request for reimbursement of tuition fee is received in the prescribed form available in Establishment (G) Section. The receipt is diarised and given to the concerned dealing Assistant. The dealing Assistant checks the claim from the records available. If the claim is preferred for the first time, original receipt is required in support of claim. The date of birth of the child is verified from the Service Book records. After verifying the claim, the receipt is put up for the admissible amount to the US (E). Thereafter the file is sent to the Establishment (A/cs) Section for payment. 15.33 Grant of Permission for Acquisition of Movable and Immovable Property by Officers and Staff- At the time of appointment every Government Servant is required to submit a return of his assets and liabilities in the prescribed proforma giving full particulars regarding the immovable property/movable property inherited, owned or acquired by him either in his own name or in the name of any Member of his family, and shares, debentures and cash including bank deposits inherited by him.
No employee shall, except with the previous knowledge of the prescribed authority, acquire or dispose of any immovable property, by lease, mortgage, purchase, sale, gift or otherwise either in his own name or in the name of any Member of his family.
Provided that the previous sanction of the prescribed authority shall be obtained by the employee
if any such transaction is with a person having official dealings with him. In case of movable property prior permission is not required if the value does not exceed the
amount specified in the instructions issued from time to time. However, prior permission is required when the other person involved in the transaction has official dealings with the Government Servant, or when the purchase is not being made from a reputed dealer of the item.
Establishment (G) Section maintains information from Officers/Staff regarding
movable/immovable property owned or acquired by them, as per provision of the CCS (Conduct) Rules. The receipt of the Annual Immovable Property Return is also monitored. The information received from the employees are scrutinised and placed in the respective personal files of the employees. 15.34 House Building Advance- House Building Advance is admissible to all permanent Officials or Officials with at least 10 years continuous service for acquiring a plot and constructing a house thereon, purchase of ready built flat, constructing a new house on the plot already owned etc. To keep a record of the House Building Advance sanctioned and payments/recoveries made on sanction of HBA or other long term advances, entry is made in the relevant module of the PAMS software giving the details of the kind and amount of loan etc. For subsequent monitoring a House Building Advance Register is printed from the software, the format of which is as under:
Execution of Mortgage Deed: There are three different criteria for execution of Mortgage Deed: i) In case of construction of House on a plot, first instalment of advance is released after the
execution of mortgage deed.
ii) In case of purchase of ready built House/flat from State Housing Boards/Development Authorities etc, payment is made in one lumpsum mortgage and deed is executed within three months of the drawl of the advance.
iii) In case of purchase of House/flat under ‘Self-financing Housing Schemes’ or ‘Co-operative Group Housing Societies’, mortgage deed is executed within three months from the date of possession of the flat. A separate file in the name of the Officer/Official is opened in respect of the House Building
Advance and all papers relating to the transaction are filed only in this file and not in the personal file. The sanction order issued for House Building Advance shall specify:
i) total advance sanctioned and conditions attached (e.g. insurance; regular payment of
municipal taxes etc); ii) schedule of disbursement of the advance; iii) the date of commencement of recovery, number of instalments and amount; iv) the rate of interest; and v) preconditions for disbursement including execution of mortgage deeds etc.
In case it is necessary to issue a revised sanction under special circumstances, reference shall be
made to the original sanction and previous instalments. 15.35 Motor Cycle/Scooter/Motor Car/Computer Advance- Applications from eligible Officials for purchase of motor-cycle/Scooter/Motor Car/Computer Advance are put up for prior permission as required under the CCS (Conduct) Rules and after entry in PAMS software forwarded to the Establishment (A/cs) Section for further processing. However, cases seeking relaxation of eligibility criteria are examined and put up for grant of relaxation by the competent authority. The sanction order shall specify (i) the amount of advance (ii) date of commencement of recovery (iii) number and amount of instalments (iv) rate of interest (v) preconditions for disbursement including hypothecation of vehicle, transfer of registration etc.
Other Loans and Advances are processed directly by the Establishment (A/cs) Section. 15.36 Framework of Budget Estimates- The work relating to the preparation of budget estimates and control of expenditure in respect of Rajya Sabha is being dealt with by the Establishment (G) Section. This Section is also responsible for reconciliation of all financial discrepancies relating to the budget of this Secretariat. The budget estimates of this Secretariat are mainly divided in two categories:
‘A’ charged expenditure; and ‘B’ voted expenditure.
Charged expenditure relates to expenditure incurred on matters relating to Chairman and Deputy Chairman. Voted expenditure relates to expenses incurred on matters relating to:
i) Leader of Opposition; ii) Secretariat of Leader of Opposition; iii) Discretionary Grants by Presiding Officer; iv) Members; v) Rajya Sabha Secretariat; vi) Pay & Accounts Office; vii) President of the IPU; and viii) Secretariat of the leaders/Dy. leaders/chief whips of recognized parties groups.
A) CHARGED: 01 Chairman & Dy. Chairman: This head covers the expenditure on
salary, allowances, reimbursement of medical and travel expenses of Hon’ble Chairman and Dy. Chairman.
B) VOTED: 04 Leader of Opposition: The salary & allowances, reimbursement of medical expenses, travel expenses and expenditure on meetings etc. are met out of this sub-head, out of the respective object heads:
05 Secretariat of Leader of Opposition: Provision for Pay & Allowances, medical reimbursement, overtime allowance and travel expenses of the staff of the Secretariat of the Leader of Opposition and contingent expenditure are made under this head, out of the respective object heads:
06 Discretionary Grants by Presiding Officer: Provision for Discretionary Grants is made under this sub-head. 07 President of IPU: Provision of Funds to meet the expenses on the maintenance of the office and travel expenses etc. of the Dy. Chairman, Rajya Sabha in her capacity as President of the IPU (Inter Parliamentary Union). 08 Secretariat of Leaders/Dy. Leaders & Chief Whips of recognized Parties/Groups: Provision for Secretarial facility to the heads/Dy. Leaders & Chief Whips of Recognised Parties & Groups. 02 Members: The provision is made under this sub-head for the salaries & allowances, reimbursement of medical expenses, travel expenses (both foreign and domestic), expenditure on meetings, refreshments, gift items, publication of Debates and other material, telephone, electricity and water bills and subsidy to Northern Railway for providing catering facility to the Members. 01 105 Rajya Sabha Secretariat: Provision for the salaries & allowances, travel expenses, overtime allowance, contingent expenditure and grant to the club & staff benefit fund for the staff of the Rajya Sabha Secretariat is made under this head, under the respective object heads.
01 106 Pay & Accounts Office, Rajya Sabha: Provision for the salaries & allowances, travel expenses, overtime allowance, and contingent expenditure for the Office and Staff of the Pay & Accounts Office, Rajya Sabha Secretariat is made under this sub-head.
15.37 Schedule for Preparation of Budget Estimates and Supplementary Estimates- In the month of August, every year a circular is issued to all the Sections requesting them to furnish the anticipated expenditure which is likely to be incurred in the current financial year and in the next financial year. The information is required to be furnished sub-head and object head wise. The information is received in this Section by the third week of September. The requirement for additional fund is also ascertained with reasons therefor.
This Section prepares estimates (Revised Estimates and Budget Estimates) on the basis of information received from various Sections of the Secretariat. Compilation & Scrutiny of estimates of Part A, B (I) and B (IV) are done after receiving proposals from M. S. & A Section and Part B (VI) from Pay & Accounts Office. The estimation of the salary and allowances of the staff of this Secretariat as well as that of the Secretariat of the leader of opposition for the current as well as next financial year, provision for additional instalments of dearness allowance and increments are made in the Budget Estimates by Estt. (G) Section.
After receiving information from the concerned Sections and calculation of Pay & Allowances of
the whole staff, the same is compiled Head, Sub-head and object head wise. Reasons for variation between Revised Estimates and Budget Estimates of current financial year and Revised Estimates and Budget Estimates of next financial year are prepared alongwith these estimates, based on the reasons furnished by the division concerned.
After compiling all these information the estimates are sent to the Ministry of Finance by October.
While scrutinizing the estimates of this Secretariat, Ministry of Finance remains in constant touch with this Section and seeks clarification, if any. The estimates approved by Ministry of Finance are generally
received in this Secretariat by January end. The approved budget is then scrutinized and in case of cuts in grant in which expenditure cannot be met with, the matter is taken up with Ministry of Finance to restore cuts. From February the expenditure position is reviewed and final statement of surrender of savings and reappropriation are proposed. In the middle of March, the proposal for final surrender of savings is sent to the Ministry of Finance, which later on sends a letter of acceptance/approval in this regard. 15.38 Budget & Expenditure Register- For proper budgeting and expenditure control, as per instructions issued by Establishment (G) Section, all Sections which have been allocated funds will maintain a Register to record budget availability and expenditure as per the following proforma: Name of Section: Year_________ Major head_______ Minor head_______ Object head_________ BE_________ Supplementary I________ Supplementary II________ RE_________ Reappropriation (+) Surrender (-) S. N. Sanction
Order No. Date Amount
Released Description of Expenditure
Progressive Exp.
Balance Bill No. & Date
Initial of receiver in P & A Office
All Bills sent to Pay & Accounts office will be sent through this register and P & AO will not accept any bills not listed in the Register. 15.38.1 On the 1st of each month every Section allocated funds from MS&A Section will send to MS&A Section a statement showing the Headwise expenditure during the previous month and the cumulative expenditure on the following proforma:
All Sections who have been allocated budget amounts will send similar statement to Establishment (G) Section. P&AO will send the counterpart statement with the same columns to Establishment (G) Section for reconciliation. All statements should reach Establishment (G) Section by the 4th of each month. 15.39 Computerisation- Two Client-server architecture based softwares-one on personnel (PAMS) and the other on budget and expenditure (PAO 2000) are operated from this Section (along with other Sections concerned). The detailed procedures are given in the Operational Manuals. The outlines are given below: 15.39.1 Personnel Admn. Management System (PAMS): Initial data entry is done by Personnel Section (see para 15.21) who also updates the data regarding promotions postings, confirmation etc. Establishment (G) Section will operate on the same employee coded databases in respect of leave record, LTC/HTC, House Building and other Long term advances etc., as detailed in the preceding paragraphs. 15.39.2 Budget & Expenditure Software: The software records the Budget allocations and calculates the
Head/Sub-head/Object head wise expenditures on the basis of expenditures incurred by the Sections concerned and entered by them in the database. Initial data-entry by Establishment (G)
Section will consist of entry of budget allocations and their further sub-division where such a procedure is required.
PART C: ESTABLISHMENT (ACCOUNTS) SECTION
15.40 Responsibilities of Establishment (A/c) Section- The items of work allotted to Section are as follows: i) Preparation of salaries and allowances bills of Officers/Staff of the Secretariat.
ii) Preparation of bills relating to travelling allowance, Air Travel Bills, Leave Travel Concessions, and Reimbursement of Tuition Fees, Honorarium, Reimbursement of Medical Expenses and Children Education Allowance Bills in respect of the Officers/Staff.
iii) Preparation of contingent bills including reimbursement and maintenance of Contingent Registers.
iv) Recovery of Electricity Bills. v) Reimbursement bills of Gazetted Officers on the purchase of News Papers/Magazines. vi) Audit Objections, if any. vii) Assessment of Income Tax. viii) General Provident Fund Cases. ix) CGEGIS cases. x) Grant of advance in respect of: -G. P. Fund -Purchase of Motor Vehicles/Scooters/Bicycles/Computers/Fan etc. -Festival Advance -LTC/TA.
xi) OTA Bills of Non-Gazetted staff. xii) Attachment of salary on court orders. xiii) Calculation of Interest on HBA.
15.41 Procedures adopted for disposal of Work-Cases are dealtwith keeping in view the provisions of General Financial Rules-1963, Fundamental Rules, Supplementary Rules and the Govt. of India's Orders, adopted in the Secretariat from time to time and in the light of the Rules/Regulations/Instructions on the subject concerned. The bills/challans in respect of various payments/receipts are approved by DDO. However advances of different types and withdrawals from the GPF are approved at the level of Director (Admn) /Joint Secretary as per prescribed rules and guidelines.
In exercise of the powers conferred under Rules 13(3) of the Delegation of Financial Powers Rules, 1978,as applicable to the Rajya Sabha Secretariat, the financial powers being exercised by Secretary-General are delegated to the Additional Secretary/Joint Secretary and Director (Administration) as per orders issued from time to time and presently defined as follows: Part A - CONTINGENT EXPENDITURE
S.No./
Item No. Expenditure Authority to whom
power is delegated Monetary limit if any
Remarks
(1) (2) (3) (4) (5) 1. Bicycle
(a) Fresh purchase Deputy Secretary (E) Full powers
(b) Repair and Maintenance
Under Secretary (E) Rs. 1,000/- in each case
Subject to condition that – (1) the repairs are through approved contractor (2) amount of repair shall not exceed 20% of the cost.
S.No./ Item No.
Expenditure Authority to whom power is delegated
Monetary limit if any
Remarks
(1) (2) (3) (4) (5) (2) Conveyance
Charges
Deputy Secretary (E) Full powers
(3) Expenditure on Electricity and Water
(a) Claims relating to Members of Parliament
Controlling Officer as specified in MS&A Act
Full powers Subject to entitlement of Members as per rules laid down from time to time
(b) Claims relating to the Rajya Sabha Secretariat
Additional Secretary Director (A) Deputy Secretary (E)
Rs. 5 lakh Rs. 1 lakh Rs. 50,000
(4) Fixtures and Furniture
(a) New Purchases
Additional Secretary Director (A) Deputy Secretary (E)
Rs. 5 lakh Rs. 1 lakh Rs. 50,000
(b) Repair and Maintenance
Director (A)
Rs. 1 lakh
Subject to monetary limit of Rs. 1lakh, otherwise the sanction of next higher authority is required.
(5) Legal Charges
Additional Secretary Director (A) Deputy Secretary (E)
Rs. 5 lakh Rs. 1 lakh Rs. 50,000
As per rates approved by Secretary-General and subject to clearance of case for contesting etc. by Secretary-General.
(6) Motor Vehicles (a) Purchase Additional Secretary Full powers (b) Repair and
Maintenance Director (A)
Full powers
Subject to condition that: - i) the monetary limit of Rs. 1 lakh should not be exceeded otherwise the sanction of the next higher authority is required. ii) the repairs are through approved contractor.
(c ) Petrol, Oil and other lubricants
Additional Secretary
Full powers
(7) Petty works and Repairs
Director (A) Full powers
(8) Post & Telegraph Charges including expenditure on service postage stamps, money orders, Franking Machines, Telex, Tele-printers etc.
Additional Secretary Director (A) Deputy Secretary (E)
Rs. 5 lakh Rs. 1 lakh Rs. 50,000
(9) Printing and Binding a) For Members b) For Secretariat
Controlling Officer as specified in MS&A Act Director (A)
Full powers Full powers
S.No./ Item No.
Expenditure Authority to whom power is delegated
Monetary limit if any
Remarks
(1) (2) (3) (4) (5) (10) Telephones
(a) For Members and Officers of Parliament
Expenditure on local and inland trunk calls
Controlling Officer as specified in MS&A Act
Full powers Subject to entitlement of Member as laid down from time to time in the MS&A Act
(b) For Rajya Sabha Secretariat
(i) Sanctions for Director (A) new connections within the office, shifting of telephone
Full powers
(ii) Sanctions for new residential connections
Additional Secretary
Full powers
(iii) Expenditure on local and inland trunk calls, trunk calls (foreign)
Additional Secretary
Rs. 5 lakh
Subject to certificate by the respective officers that the calls were for official purposes.
(11) Honorarium
Director (A)
Full powers
As per the scales laid down
(12) Purchase of Stationery
Addl. Secretary Director (A) Deputy Secretary (E)
Rs. 5 lakhs Rs. 1 lakh Rs. 50,000
(13) Supply of uniforms, badges and other articles of clothing
Additional Secretary Director (A)
Rs. 5 lakhs Rs. 1 lakh
(14) Purchase of new towels and curtains and washing and maintenance thereof
Director (A) Full powers
(15) Purchase of typewriters, calculators, photocopiers and such other equipment required by office
Additional Secretary Director (A) Deputy Secretary (E)
Rs. 5 lakh Rs. 1 lakh Rs. 50,000
(16) Repairs and maintenance of machines
Director (A) Full powers
Subject to award of annual contract whenever maintenance services are called for.
(17) C.P.W.D (Works)
Additional Secretary
Full powers
(18) Research & Library
(a) Purchase of Books
Additional Secretary Full powers
S.No./ Item No.
Expenditure Authority to whom power is delegated
Monetary limit if any
Remarks
(1) (2) (3) (4) (5) (b) Purchase of
dailies and periodicals
Additional Secretary Full powers
Part B – Loans and Advances to Government Servant 1. Advance/withdrawals from G.P.F. (a) Non-refundable Additional Secretary - Rs. 5 lakhs withdrawals Director (A) - Rs. 1 lakh Deputy Secretary - Rs. 50,000 (b) Advance Additional Secretary - Rs. 5 lakhs Director (A) - Rs. 1 lakh Deputy Secretary - Rs. 50,000 2. Advances for purchase of motor-car/motorcycles (a) Motor Car Additional Secretary Full powers (b) Motor Cycle/Scooter Director (A) Full powers other two wheelers 3. Grant of advance in connection with LTC Deputy
Secretary (E) Full powers 4. Festival Advance Deputy Secretary (E) Full powers 5. Advance to families of Government
Servants who die in service Director (A) Full powers 6. Computer Advance Director (A) Full powers Part C - Miscellaneous Expenditure 1. Refreshment bills Additional
Secretary Rs. 5 lakhs pertaining to Committee meetings, hospitality Director (A) Rs. 50,000 expenses of Chairman, Deputy Chairman…. 2. Gift Items Director (A) Full powers 3. Provision of diaries, Additional
Secretary Full powers
briefcases etc. to MPs 4. Provision of diaries, Director (A) Full powers briefcases etc. to Officers 5. Photographs, portraits Director (A) Full powers 6. Closed circuit TV Additional
Secretary Full powers
All other cases, not specified in the order will continue to require the sanction of Secretary-General. The exercise of powers is subject to the following conditions:
i) No expenditure on any item may be sanctioned unless sufficient budgetary provision thereof has been made;
ii) Tenders and quotations shall be invited/obtained in accordance with the following scales on each occasion: -
Price Range Procedure (i) Not more than Rs. 1000 From market by direct purchase after personal
enquiry (ii) Rs. 1000/- to Rs. 10,000 By obtaining atleast 5 quotations from listed,
registered firms by telephone/letters (iv) Rs. 10,000 to Rs. 1,00,000 By invitation of sealed quotations from all firms
listed/registered (iv) Rs. 1,00,000 and above By open tender through advertisement in two local
newspapers – one in English and another in Hindi iii) In respect of purchases that can be made through Super Bazar, Kendriya Bhandar, State Emporia, Central
and State Government Undertakings, proprietary items, etc. invitation of quotations is not necessary iv) Where, however, decision is taken for recorded reasons to purchase an item of particular brand or make, the
purchase shall be made, as far as possible, directly from the manufacturer or the authorised dealer at the listed/quoted price of the manufacturer. Such requests shall be carefully examined to see if such specified brand in stores could be procured at competitive prices by inviting quotations with similar specifications, to the users satisfaction.
v) In respect of items of recurring nature, such as repairs and maintenance contracts etc. annual rate contracts shall be entered into, if the estimated value of such contract, based on the orders placed in the previous year, is expected to exceed Rs. 20,000/-.
vi) In respect of items for which the delegation prescribes an annual limit of financial power under any category, a Control Register shall be maintained to record the sanctions and progressive expenditure there against.
vii) Each Branch shall maintain a Register of Sanctions issued, wherein all sanctions to expenditure shall be recorded indicating the items to be purchased name of the authority who sanctioned the purchase, date of sanction, amount sanctioned, date of procurement of the material and date of despatch of the bill relating to the claim to the Estt.(A/Cs) Section for arrangement of payment.
viii) Sanctions for expenditure shall be recorded in the files under the signature of the officer competent to sanction the expenditure indicating the item number of delegation of financial powers from which the powers are derived. At the time of forwarding the bills for payment, the name of the authority sanctioning the expenditure, the date of sanction, amount sanctioned and the file number in which the sanction has been accorded, shall be indicated in the bill or in the covering certificate.
ix) All items that are purchased shall be taken to the appropriate stock account and the bills shall have a certificate clearly indicating the page number, item number, etc. of the Stock Register under the signature of the Executive Officer.
15.42 Specific Procedures for various cases-The bills processed in the Section relates to Salary, TA/DA, LTC, Loans and advances, OTA, Honorarium, Medical reimbursement, Children Education Allowance, Festival Advance etc. The exercise of preparing salary bills pertaining to the entire Officers and staff of the Secretariat is undertaken and completed by the 22nd of each month, so as to ensure that the salaries are disbursed in the last working day of every month. Various Registers are maintained in the Section for proper record of accounts. They are as follows: i) Pay Bill Register: Pay Bill Registers are opened financial year wise and category wise to keep record of salary paid every month to the Officers/Employees of the Secretariat. The format of the Pay Bill Register is as prescribed. The pay bills are prepared on the basis of details such as basic pay and increments received from Establishment (G) Section. Pay bills are prepared on computer and duly signed by DDO after making necessary entries and printouts thereof are taken out for onward transmission to P&AO. ii) HBA Register: The register records House Building Advances sanctioned to Officers/ Staff of the Secretariat. It also carries a record of disbursement of instalment of HBA and Interest calculated thereon. Instalments of HBA are fixed by the Establishment (G) Section and the recovery of HBA and Interest thereon, are made by the Section on monthly basis generally from the pay bill. Date of release of the various instalments are also shown/recorded in HBA Advance Registers. The initial data is fed into the PAMS software by Establishment (G) Section, and the Register is printed out employee wise from the data
base for future updation of release of instalments. Rate of interest is intimated by Establishment (G) Section as per the fixation by the Government of India time to time. The format of HBA Advance Register is as under: S. No.
Name and Designation of applicant
Amount of HBA Rs.
Sanction Order No. & Date
Instalments (No. of instalments)
Remarks (date of release of instalment)
iii) CEA Register: It keeps a record of the payment of Children Educational Allowance to the employees of the Secretariat as per format given below: Name & Designation
Name of Children
Class Amount of Tuition Fee Reimbursed
Period Signature of DDO
iv) TA/DA Register: The record of TA/DA advances given to the employees are maintained in the Register. With the help of this Register, it is ensured that the advance taken is settled promptly within prescribed time. All TA/DA claims must be submitted within 15 days of completion of the journey failing which penal interest will be charged. The claims will mention the place of commencement of journey and distance from such place. The format is given as under:
S. N.
Name & Designation
Purpose of Visit & Place
Sanction Order No. and Date
Amount Paid As Advance
Adjusted in Bill No. on Date
Remarks
v) Conveyance Charges Register: The Register will be maintained in the following format, for charges for each month: -
Month_________
S. No. Name & Designation Dates of Claim Amount Voucher No. Remarks/Signature vi) LTC Register: LTC is sanctioned by Establishment (G) Section after the grant of leave by the competent authority and thereafter the LTC Advance is given by this Section. After completion of the journey, the bills are finally settled within a stipulated period of one month of the completion of return journey and necessary entries are made in the LTC Register as per the following format. The Register is printed out from the data base on the basis of mutual data entry made in Establishment (G) Section and the last 4 columns are filled in the Section. S. N.
Name & Designation with Basic pay
Period of Leave
Destination and mode of travel
Sanction order no. and date
Amount of Advance
Bill No. & date in which advance adjusted
Remarks
vii) Loans & Advances: As regards loans and advances for purchase of Car, Computer or Scooter, the necessary approval is accorded by Establishment (G) Section and this Section obtains the orders sanctioning the advances. Bills are accordingly prepared and paid. Beside this, the Section also arranges the advances such as festival advance, cycle advance, fan advance etc. The format of Advance Register is as under:
S.N. Sanction Order & Date
Name & Designation
Amount of Adv.
Bill No. & Date
Date of drawal
Date of Purchase
Remarks
viii) GPF Advance/Withdrawal: Advances/Withdrawal from GPF are sanctioned and released by this Section after obtaining the orders of the competent authority. In the case of advance, the competent authority, Director (A) accords approval and in the case of withdrawal, the Addl./Joint Secretary is the competent authority. ix) Recovery of Non-Official Dues: The Section recovers non-official dues such as water and electricity bills of the government accommodation allotted to Officers and Staff, dues of cooperative societies, LIC premiums, PLI Premiums and Rajya Sabha Club contribution from the salary of the employees. These dues are deducted from the pay bill itself on the basis of standing consent letters of the concerned Official/Officer. x) Preparation of Contingent Bills: The Accounts Section also prepares the contingent bills duly sanctioned by the competent authority and forwarded to P&AO through the Contingent Register and the necessary entries are duly made in the register of contingent bill. The format is as follows:
Register of Contingent Bills
No. of Date TO WHOM PAID Appropriation foreach head
Sub-vouchers
Contingent abstract
UNUSUAL CHARGES
Description Amount Total of each Contingent abstract
Total of each month's Bill
Date of detailed Bill
Date of admission with initials
xi) OTA Bills: OTA Bills of non-gazetted staff are prepared on the basis of monthly claim of the individuals duly certified and supported by orders of the competent authority with regard to work on holidays if the official has not opted for compensatory leave. OTA register is maintained in the following format:
OVER TIME ALLOWANCE BILL
1. Name & Designation___________ 2. Pay including Sp., DA & CCA Rs.________
Date on which duty performed
Time of Arrival A.M.
Time of Departure P.M.
Actual hours of OTA duty
Rate per Hour
Total Amount Rs. Ps.
Remarks, if any
xii) Income Tax calculation: Income tax is calculated and deducted at source from the salary of the employees every month. In March, a circular is issued to all the Officers/staff to inform their proposed savings for the coming financial year. In January, a tentative tax calculation sheet is circulated to all the officers/staff of the Secretariat. By 31st of March every year all the officers/staff of the Secretariat are asked to submit their saving certificates and thereafter a certificate of tax deduction i.e., form no. 16 is issued in April. xiii) Indian Airlines Invoices Register: In order to keep the records of travel, carried out by the Officers/Staff of the Secretariat, a register is maintained. All payments to Indian Airlines are entered in the Register. The format of register is given below:
S. N. Particulars Amount Deductions, Net Signature of Bill No. & Remarks
of journeys and halts
Due if any Amount payable
Controlling Officer
Date of Transmission to P & A.O.
xiv) Cheque Register: It is maintained in order to keep a record of payment to Officers through cheque. The format is given as under: S. N. Name &
Designation Ch. No. & Date Amount On A/C of Signature of officer on
revenue stamp xv) Challan Register: It is maintained in the Cashier room for keeping the records of refunds of various types of advances like LTC/TA/DA and other excess payments made to the staff as per following format:
Challan No. & Date
Description of Amount Deposited Amount Signature of DDO
xvi) Cash Register: It is maintained by the cashier for keeping the record of payments in the following format: Cash Register
Particulars
Contingencies Date From whom received
Cheques/D.D. No. or Sl. No. (in the register of valuables)
Receipts to be credited to Govt. Account
Salaries and Advances
In recoupment of permanent advance
Adv. payment
Misce-llaneous
Total Classif-ication
Contingencies
Date Sub-vouchers No./Sl. No. in register of valuables
To whom paid or sent to PAO/Bank for credit
Receipts to be credited to Govt. account
Salaries and advances Out of
permanent Advance
Out of money drawn in anticip-ation of payments
Miscellaneous Total Classi-fication
xvii) Handling of Cash: The Cashier is entrusted with disbursing various types of payments other than salaries. He also arranges to deposit the refunds, outstanding balances or any recovery in the bank (RBI) through challan. The Cash Book, containing the details of receipts and payments, is maintained by the Cashier which is closed every day after verifications by DDO. Format of the Cash Book is mentioned above. Cashier also takes payment from the Reserve Bank of India for disbursement purposes. Summary of the bills with head wise and physical verification of the cash is being done at the end of every month by DDO. 15.43 Computerisation-As in the case of Establishment (G) Section, Establishment (Accounts) Section will utilize the PAMS software and Budget software to record employee-wise transactions into the same data base to enable maintenance of a complete and upto date computerized record. The items are as follows: 15.43.1 PAMS Software: The entries will include:
i) Details of long term advances sanctioned and instalments released. ii) LTC advances.
iii) GPF loans and advances.
15.43.2 Budget & Expenditure Software: All sanctions of expenditure will be entered and sanction orders generated through the software. In respect of computerized items, the registers described in para 15.41 need not be manually maintained but can be printed as outputs from the computer and bound on a monthly basis.
PART D: PAY AND ACCOUNTS OFFICE
15.44 Introduction-The Pay and Accounts Office, Rajya Sabha was constituted on 1st October 1955 under the schemes of separation of Accounts from Audit, leaving only statutory audit functions in respect of Rajya Sabha Secretariat with the Director General of Audit, Central Revenues. The Pay & Accounts Office functions as a Treasury – cum Departmental Accounts Office of the Rajya Sabha Secretariat and also as a Controller of Exchequer. A separate budget provision is made in the Demand in respect of the Pay & Accounts Office. All payments and accounting of transactions relating to the Rajya Sabha Secretariat and Pay and Accounts Office are made by this office.
Secretary-General, Rajya Sabha acts as the Chief Accounting Authority and this responsibility is discharged by him through and with the assistance of the Pay and Accounts Office. 15.45 Responsibilities- The primary responsibility of this office is to ensure that no payment (from the Consolidated Fund of India) is made in excess of the Budget grant unless it is covered by an advance from the Contingency Fund of India. Moreover, all kinds of payments (Salary, OTA, TA/DA, Office Expenses of Members and Officers/officials) pertaining to the Rajya Sabha Secretariat and Pay and Accounts office, Rajya Sabha are made after cent-percent pre-check of Bills and these are made through Reserve Bank of India Cheques. The duty of the Pay and Accounts Officer is to see that the incurring of expenditure from the Consolidated Fund of India is governed by the following essential conditions: - (i) that there is provision of funds authorised by the competent authority fixing the limits within
which expenditure can be incurred. (ii) that the expenditure incurred conforms to the relevant provisions of the Act, Constitution and to
the laws made thereunder and should also be in accordance with the financial rules and regulations framed by the competent authority; and
(iii) that there exists sanction, either special or general, accorded by the competent authority authorising expenditure.
The Pay and Accounts Officer is authorised to draw funds by means of cheques drawn on
Reserve Bank of India accredited for handling the receipts and payments of the Rajya Sabha circle of Accounts. The Pay and Accounts Officer himself has also to discharge a special responsibility for indenting, safe custody, issue and accountal of cheque books as prescribed under the rules. Moreover, a classified account of all payments made by this office are compiled and rendered to the Office of the Controller General of Accounts on monthly as well as annual basis. Besides this, office is also dealing with the following jobs:
i) The maintenance of G.P./ C.P Fund accounts relating to Rajya Sabha Circle. ii) Settlement of transactions adjustable by other Accounts (suspense accounts). iii) Pension Cases (Members/Officers/Officials)
iv) Submission of Budget Estimates & Revised Estimates under various heads in the form of a demand (Revenues Receipt, Pension, Public Accounts etc.).
In discharging the aforesaid duties this office maintains close liaison with the office of the
Controller General of Accounts in order to effect overall coordination and control in accounting matters. While monitoring disposal of all bills received by this office, Pay and Accounts Officer ensures that the work is disposed off with the utmost expedition consistent with efficiency and accuracy. Pay and Accounts Officer has the overall responsibility to ensure that the requisite standard of technical expertise for accounting work in this office is maintained. The procedures and time limits for works performed in this Office is according to Rules, as laid down in the Civil Accounts Manual and Ministry of Finance (Department of Expenditure) orders.
In discharging his responsibilities, the Pay and Accounts Officer, Rajya Sabha is assisted by two Sections under him, namely, Accounts Section and Audit Section. The work has been distributed between these two Sections keeping in view the principles of separation of accounts from audit.
15.46 Accounts Section- 15.46.1 Bill Diary Register: All kinds of Bills, from both the Rajya Sabha Secretariat and Pay and Accounts Office, are received and processed by this Section. The proforma of Bill diary Register is given below:
BILL DIARY REGISTER
Date Diary No. Particular of Bills Net Amount Bill No.
1 2 3 4 5 15.46.2 Expenditure Control: To control the Bills relating to grants controlled by Rajya Sabha Secretariat/Pay and Accounts Office, Rajya Sabha, as soon as the bills are received from the concerned billing Sections, it is checked to ensure that the expenditure involved does not exceed the Sanctioned Budget Grant during that particular financial year under that particular Head of Accounts. If the expenditure involved in that particular bill exceeds the sanctioned Budget Grant or funds under a particular head of accounts is exhausted, that bill is kept pending/returned to the DDO until a written communication is received that funds have been arranged or will be arranged. Bills are then sent to the concerned Auditors for check/audit/payment. Separate registers are maintained for controlling of bills pertaining to different sub heads relating to the grants controlled by this Secretariat, as per the following format:
EXPENDITURE CONTROL REGISTER
(Rajya Sabha Secretariat)
DATE DIARY NO./ BILL NO. Head of Account 01.00.01 Salary
Head of Account 01.00.11 TA/DA
Head of Account 01.00.13 Office Expenses
Remarks
Sanctioned grant for the Particular head of Accounts (Red entry)
Rs.
Rs.
Rs.
1 2 3
4 5 6
1 2 3
4 5 6
Total Expenditure for a particular day :( Bill wise total ) Progressive Expenditure: : BALANCE
15.46.3 Monthly Civil Accounts: This Section prepares Accounts {Union Government (Civil) Accounts} relating to the Rajya Sabha Circle and submits the Monthly Civil Accounts to the Ministry of Finance (Department of Expenditure). As soon as the payment against a particular bill is made by the Audit Section,
that bill is treated as a voucher. On receipt of the daily memorandum of pre-check payments along with the vouchers, this Section verifies whether the amount and total are correctly entered. In order to prepare the Monthly Civil Accounts, vouchers received from the Audit Section after pre check/payment are compiled on day-to-day basis. They are posted in the Compilation Book (Form CAM 33 in two parts: for payments in the DETAIL BOOK and for receipts: in the PAO-4 Register). The gross amount indicated in the voucher against various units of appropriation etc. are posted against the concerned heads; deductions/recoveries shown in payment vouchers are compiled under each relevant heads such as Income-Tax, surcharge, house rent, and recovery of Advances taken by the Government Servants such as for purchasing Motor Car, Scooter, House Building, Computer, recovery of G. P. fund contribution or "PAO Suspense"- head, where a credit is adjustable finally in the books of another accounts authority. The summary of transactions for a particular month are recorded in the Classified Abstract Forms (CAM 37 and CAM 38; these forms are attached at the back of DETAIL BOOK) in two parts- Part I for receipt (credit) entries and Part II for booking disbursement (debit) entries.
After finalisation and preparation of the monthly accounts the Consolidated Abstract is prepared. This is maintained in two parts, Part I for recording the receipts (credit) transactions and Part II for recording disbursement (debit) transactions for each year (in the form CAM 39). Separate columns for each month's transaction and progressive total upto the end of each month are posted in these Registers. Major/minor, sub/detailed heads are indicated therein in the same sequence as in the classified Abstract and monthly total from the latter are posted against each of the head of accounts under the appropriate monthly column and progressive total upto end of month are struck.
The Monthly Accounts are prepared in two ways- Manually and on Computer. The computerised
accounts are prepared with the help of softwares 'IMPROVE' and 'CONTACT', supplied by the System Group (CGA). Only the Computerised version of the Union Government (Civil) Accounts, prepared on monthly basis, is submitted to the Office of the CGA by 18th of the next month in the form of Floppy along with CONTACT Report No. 1 and 2.
15.46.4 Appropriation Accounts: This Section also prepares, finalises and submits the yearly
Union Government Headwise Appropriation Accounts (Civil) relating to the grant administered/controlled by the Rajya Sabha Secretariat. The Appropriation Accounts indicates the expenditure (both voted and charged) of the Government for each financial year compared with the amounts of voted grants and charged appropriations for different purposes, as specified in the Schedules appended to the Appropriation Act passed by the Parliament. These Accounts are submitted to Parliament by the Ministry of Finance (Department of Expenditure) along with CGA's Report under Article 151 of the Constitution of India and are intended to disclose:-
i) that the money indicated therein as having been disbursed was legally available for and
applicable to the service or purpose to which they had been applied or charged; ii) that the expenditure conforms to the authority which governs it; and iii) the effects of re-appropriations ordered by the Ministry/Department.
If any money has been spent during a financial year in excess of the amounts of voted/charged
appropriation (separately under the Revenue and Capital sections), the circumstances leading to such an excess are disclosed through these accounts enabling Parliament to regularise it or otherwise.
Under the departmentalised system of accounting, the Secretary-General, Rajya Sabha acts as the
chief accounting authority and is responsible to finally approve and sign the Headwise Appropriation Accounts of grants/appropriation administered by the Rajya Sabha Secretariat.
The Annual Statement of Central Transactions is also prepared/submitted to Controller General
of Accounts by this Section. This represents the progressive effect of all transactions during the year upto and including March (supplementary) transactions and prepare only with minor head-wise details under different major heads concerned and showing charged, voted, plan and Non-plan expenditure distinctly. At present, the same is prepared on computers applying the software SCT supplied by the System Group (CGA) and the finalised SCT is submitted to the Office of the CGA in the form of a Floppy.
In addition to preparation and submission of yearly Appropriation Accounts and Statement of
Central Transactions, another important duty of this Section is to prepare/finalise/submit the Finance Accounts of the Central Government, relating to the Rajya Sabha Circle of Accounts, and the same is submitted to the office of the Controller General of Accounts and Director General of Audit Central Revenues for audit/check/comments and presentation before Parliament.
The Finance Accounts of the Central Government comprises the accounts of the Central
Government as a whole including transactions of Civil Ministries/Departments (Rajya Sabha Secretariat comes under this category), Defence Services, Posts & Telegraphs Department and the Railways. It presents the accounts of receipts and outgoings of the Central Government/Rajya Sabha Secretariat for the year together with the financial results disclosed by different accounts and other data coming under examination, namely Revenue and Capital Account, account of Public Debt and of other liabilities and assets as worked from the balances recorded in the accounts. It supplements the accounts separately presented in the form of Appropriation Accounts for voted and charged appropriations. The Finance Accounts submitted to the Government is an auditor's presentation of general accounts of Government to Parliament.
The Finance Accounts are divided into two parts, namely Part I and Part II. Part I comprises the
summarized statements in respect of Revenue, Capital Debt, Deposit, Suspense and Remittances transactions and Contingency Fund. Part II is subdivided into two sections. Section A comprises detailed accounts and other statements relating to Receipts and Expenditure on Revenue and Capital Accounts and Section B comprises detailed accounts etc. relating to Debt, Deposit, Suspense & Remittances transactions and Contingency Fund.
At the close of a financial year, this Section reviews and verifies the balances under various Debt,
Deposit and Remittance heads to ascertain wherever necessary whether the person or persons by whom the advance is owned or to whom it is due, admit its correctness and cases of advances due to Government how far they are really recovered. This process is called the Review of Balances. In this connection, a consolidated report for the Rajya Sabha circle of accounts, indicating against the various heads, the amount of unreconciled differences between the broadsheet and ledger balance is furnished to the Finance Accounts Section of the Office of the CGA for audit/check/comments.
In addition to this, Monthly as well as Annual Appropriation Accounts relating to the Composite
grants (pension, Interest Payments and Loans and Advances to Govt. Servants.) are also prepared and finalised by this Section and submitted to the Ministries/Departments administering the concerned grants.
These Accounts are prepared as per formats/instructions laid down in the Civil Accounts Manual
(in these regards Office of the CGA and DGACR issues instructions from time to time, if any change in the format of accounts has to be effected) 15.46.5 Settlement/Adjustment of Inward and Outward claims: This Section is also responsible for the settlement and adjustment of all transactions relating to other Departments, Ministries, State Governments arising in the accounts of the Pay and Accounts Officer and vice versa by means of inward and outward claims. Records are kept of day to day transactions with Reserve Bank of India, (banker of the Rajya Sabha Secretariat) and reconciliation done of Debit and Credit Scroll (paid cheques and challans are returned to this Office by the Reserve Bank of India for accounting purpose) to figures booked in the Accounts under head '8675- Deposit with Reserve Bank (Payment/Receipt) and "8670- Cheques and Bills (this head indicates the outstanding of Cheques issued by this Office and time barred cheques) and for this purpose a separate register is maintained to keep track of time barred cheques/outstanding cheques in the following format: OUTWARD CLAIMS REGISTER Transactions arising in the accounts of the Pay and Accounts Officer, Rajya Sabha which are adjustable by the……………
CAM 53 Refer-ence to initial record and period
Rece-ipts
Pay-ments
Net amount of claims to be preferred (3-2)
Net amount due to the other party (2-3_
No. and date of letter forward-ing the claim or cheques if the amount is due to the other party
Initials of the branch officer
No. and date of acknowl-edgement for the claim
Initials of the Super-inte-ndent
No and date of letter to/ from the other party forward-ding the Gover-nment draft/ cheque
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. Particulars of the Govt. draft/cheques
No. & date
Amt.
Initials of Branch Officer
No. and date of acknowledge ment for the Govt. draft/ cheques
Initials of the Super-int-endent
No. & date of the credit slip with which the Govt. draft/ cheques is sent to the Bank
Initials of the Branch Officer
Date on which the amount appears on the Bank scroll
Initials of superin-tendent
Remarks
11. 12. 13. 14. 15. 16. 17. 18. 19. 20
INWARD CLAIMS REGISTER Transactions arising in the accounts of the Pay and Accounts Office, Rajya Sabha, which are adjustable by the………… CAM 55:
Particulars of Govt. draft/cheques recd.
S. N. No. & date of the letter with which the claim is recd.
Period of account
Rece-ipts Pay-ments Net amt. Due from the other party (4-5)
Net amt. Due to the other party (5-4)
No. & date of the letter requisition to the Bank chequesection for a Govt. Draft/ cheques if the amt. Is due to the other party
No & date
Amt
No. & date of the credit slip with which the Govt. Draft/ Cheque is sent to the Bank
Initials of the Branch Officer
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12.
Particulars of Govt. Draft/ Cheque sent
No/ & date of letter for-warding the Govt. Draft/ Cheque to the other party
No. & date
Amt
Initials of the Branch officer
No. & date of the acknowle-dgement for the Govt. Draft/ Cheque
Initials of the superin-tendent
Date on which the amt. Appears in the Bank scroll
Initials of the superin- tendent
Remarks (regarding short clearance, if any etc.)
13. 14. 15. 16. 17. 18. 19. 20. 21.
The Debt, Debit and Remittance (DDR) Register is also maintained by this Section, for review of balances, relating to the heads G. P. Fund, Loans and Advances to Govt. Servants etc. The monthly figures booked under various broadsheets pertaining to Debt, Deposit and Remittances heads are compared with the figures of that month's transaction under relevant heads in the monthly accounts for verifying that the two sets of figures tally and are correct; discrepancy if any, between the two are analysed and corrected by means of Transfer Entries. Ministry wise Suspense Accounts Register is also maintained by this Section (Inward/Outward
transactions adjustable with other accounts circles) to keep tracks of adjustments lying outstanding. In this connection, Inward and Outward Registers are also maintained, wherein, the details of such kind of transactions are noted down for future reference. The claims received from the other Accounts circles are processed and settled by this Section after getting the claim verified from the concerned Sections.
15.46.6 Budget Estimates: The Budget Estimates and Revised Estimates relating to the Revenue Receipts Heads (Recovery of License Fees, Recovery of CGHS contribution, Other Miscellaneous Receipts etc, Pension Heads (staff and members), Public Accounts Heads (G. P. Fund - payment and receipt, CGEGIS, etc.), pertaining to the Rajya Sabha Circle of Accounts, are framed and submitted to the Ministry of Finance (Department of Economic Affairs and Department of expenditure, Central Pension and Accounting Office), Ministry of Health and Family Welfare and Ministry of Urban Development, by this Section. These Estimates are prepared on the trends of actual expenditures booked during the last three years by this Office. The time schedule and instructions/kind of proforma to be used for submission of the BE and RE are framed by the concerned Ministries issued in form of Budget Circulars. 15.46.7 Processing of Pension Cases: Another responsibility of this Section is to deal with Pension Cases relating to the retired and retiring staff and Officers of the Rajya Sabha Secretariat and Pay and Accounts Office. The work relating to the authorisation of Pension in respect of retiring employees of the Rajya Sabha Secretariat and this Office which was being done earlier by the AGCR was entrusted to this Office w.e.f. September, 1970 with a view to ensure simplification of procedure and elimination of delay in settlement and authorisation of Superannuation Pension and Family Pension, Death - Cum- Retirement Gratuity (DCRG) and Commutation of Pension etc. The Pension cases and the payment involved therein are processed and regulated in accordance with the provisions of C.C.S. (Pension) Rules and the Scheme for payment of pensions to Central Government Civil Pensioners. Consequent upon enactment of the Vice President's Pension Act 1997, this Section has been
entrusted with the responsibility of processing of pension of former Vice Presidents of India and authorisation of pension to them by issuing Special Seal Authority.
Under the CCS (Pension) Rules, this Section should receive the pension papers of a retiree from
the Head of Office before 6 months from the date of retirement. The Establishment (G) Section, Rajya Sabha Secretariat forwards the pension papers of a retiree to this Office duly completed along with his/her service book. The service book should be complete and up to date in all respect. In case of former Vice Presidents the papers are furnished by the MS&A Section. On receiving the pension papers, this Section scrutinises the service book, pension papers and
the amount of pension, DCRG, commutation fixed by the Estt. (G) Section. Thereafter, the Pension Payment Order (in duplicate) is prepared and one copy of the same is handed over to the pensioner and another copy is retained by this Section. As per time limit specified in the CCS (Pension) Rules, the time limit for issuing of PPO is one month before the date of retirement. The process is monitored through the PPO Register maintained in the following format:
CAM 52: PAY AND ACCOUNTS OFFICE, RAJYA SABHA Audit Register of Pension paid by Pre-audit Pay Department Photo Specimen
Signature CENTRAL (CIVIL) Rs._____(VOTED) Major head "2071-Pension & other Retirement Benefits" Minor Head_________ Debitable to_____State Rs._____
1. No. of Pension Order 2. Name of Pensioner & Pay last drawn 3. Class of Pension 4. Monthly Amount & Date of Commencement 5. Incidence of Charge 6. Order of Sanctioning Authority 7. Date of Birth 8. Height 9. Pensional Marks of Pensioner 10. Residence 11. Remarks
Remarks
Year Date of payment of Pension for the month of:
Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb
The amount of DCRG and commuted value of Pensions are assessed by the Head of the Office
and rechecked by this Section. After checking of papers, authority letters are issued by this Section to the Pensioners concerned with a copy to the Estt. (G) Section authorising the amount of DCRG and commutation admissible to the pensioner. As per rules, the Head of Office should withdraw and disburse these payments to the pensioner after adjusting the outstanding dues; if any.
15.46.8 Provident Fund: The G.P. / C.P. Fund Accounts of the entire Secretariat is maintained by this Section. In this connection, following works are being performed: i) Maintenance of G.P. Fund Ledger / Broad Sheet Audit / Payment of Temporary/ Permanent
Advance and maintaining the nomination papers submitted by the subscribers to the fund.
All the entries in the G.P./C.P. fund ledger are made from the schedules attached to the Salary bills of the employees and the total amount indicated in the schedules should tally with the amount booked in the Accounts. To confirm this, the broad sheet is prepared on monthly basis and the closing balance of the Broad Sheet should tally with the closing balance worked out in the DDR Register.
Payment of Permanent and Temporary Advance from the fund is done after the same is
sanctioned by the competent authority. As soon as, the bill in this regard is received by this Section it is confirmed from the ledger that the amount of balance mentioned in the Sanction Order is correct or not. If not, the same is returned to the billing Section for correction. It is also ascertained that the amount of withdrawal/advance indicated in the bill should be covered by the balance at the credit of the subscriber and should not exceed 90%- in exceptional cases), conditions under which the advances granted under the relevant G.P./C.P. fund Rules and recoveries on account of principal are made regularly.
ii) Interest Calculations of each individual G.P. fund/C.P. fund Account maintained by this Office
and preparation of G.P. fund/C.P. Fund. Annual statement indicating the opening balance as on 1st April, total subscription/refund of advance booked during that particular year, total withdrawal, interest for the entire financial year accrued thereon and the closing balance as on 31st March.
As soon as the calculation of interest is finalised, the interest for the financial year of
each individual is entered in the ledger and broadsheet and each G.P./C.P. fund statement should be in conformity with the entries made against that particular accounts in the Ledger. The amount of interest is adjusted by means of Transfer Entry in the March (supplementary) accounts. However, for the last few years the calculation of interest is being done on the computer with the help of software provided by the NIC (Rajya Sabha).
iii) Issuing Authority for final payment cases/Calculation of Final Payment Cases in case of
Superannuation/Death. iv) Finalisation and payment of Deposit Linked Insurance Scheme Cases in the event of untimely
death of any working employee of this Secretariat. It is necessary that the deceased should be the fund subscriber for at least last three years preceding the month of death and maximum benefit admissible under this scheme is Rs. 60,000 calculated on the basis of average of balances of the last 36 months preceding the month in which the death occurred).
v) Transfer of GP Fund Cases from and to other Departments/Ministries. In case, any employee
leaves service here and joins some other service or goes on deputation to other departments the balance of fund at his/her credit is transferred to that Office on receiving the request from his present Office. In case any employee joins this Office on transfer or deputation basis, on his/her request this Office takes initiative to get his account transferred from his/her parent Office.
15.46.9 This Section also looks after the following: i) Preparation of Transfer Entry in case of misclassification,. Transfer of balances and periodical
adjustment. In this connection a separate file is maintained by this Section for future reference. ii) In conformity with the List of Major and Minor Head of Accounts (issued by the Office of the
CGA) this Section performs the task of preparation/updation and Circulation of List of Classification (exhibiting all heads of accounts with computer codes- operational in the Rajya Sabha Circle). This is done in association with the Estt. (G) Section, who takes the approval for opening of new head of accounts from the Ministry of Finance, and Monthly Accounts Section of the Office of the CGA.
15.47 Duties and Responsibilities of Audit Section- 15.47.1 Audit Section is responsible for the following: Pre check/Audit of the following Bills received from the Establishment (A/cs) Section/MS&A Section/ Pay and Account Office through Accounts Section of the PAO (i.e. after Diary and Control), and arranging payments after cent percent pre check and account for all receipts relating to Rajya Sabha Circle:
(i) TA/DA Bills of Members, Leader of Opposition, Chairman and Dy. Chairman, Officers and
staff of the Secretariat. (ii) Salary Bills of Members and their PA’s, Chairman and Dy. Chairman, LOP, Officers and Staff. (iii) All kinds of Contingent Bills. (iv) Foreign Travel Expenses Bills. (v) Loans and Advances to Members and Govt. Servants (HBA, Motor Car Advance etc. Bills). (vi) LTC advance bills / Medical reimbursement / Children Education Allowance reimbursement
/OTA / Honorarium Bills. (vii) Pension Bills of Ex-MPs. 15.47.2 General Checks to be exercised in Respect of Bills submitted for Audit:
i) that bills are prepared in the prescribed form, signatures are genuine and that the bills are in
original; that a brief abstract is given in the official language authorised for the purpose under the
signature of the Drawing Officer on all vouchers prepared in any other language; that signatures, if not in the authorised script, are transliterated and that sub-vouchers contain notes of dates of payment,
ii) that the details work up to the totals and that the totals are in words as well as in figures, iii) that they bear a ‘pass order’ signed by the Drawing and Disbursing Officer. iv) that there are no erasures, and that any alteration in total are attested by the officer concerned as
many times as they are made, v) that no payment is made on a bill or order signed by a subordinate instead of head of the office
himself or on a voucher of order signed with a stamp, and that copies of sanctions are certified by the sanctioning officer or by an authorised Gazetted Government servants.
vi) in all cases in which it is prescribed that agreement should be effected between the different documents, that the fact of agreement should be on both documents and the note initialed by the Junior Accountant who makes the agreement.
vii) that no bills for any pay or allowances not claimed within three years of its becoming due are admitted without the sanction of the competent authority,
viii) see that the stores are purchased through the agency of the purchase organisation of the Department of Supply of the Central Government when this is required by the orders of the government, and
ix) that in case of contingent bills sub-vouchers are required under the rules are attached.
that the classification noted in the bill is correct with reference to the nature of the transactions and that an item which should be charged on the Consolidated Fund of India is not classified as Voted and vice versa. 15.47.3 Objection Book: Objections raised and irregularities noticed as a result of pre and post checks exercised by this Office are reported to the proper authorities so that suitable remedial action is taken by them and recurrence thereof may be prevented. These objections are recorded in detail in the Objection Books maintained in this Section in the following format:
Objection Book (Other Transactions) of… For the month of……….19… CAM 26:
AMOUNT KEPT UNDER Suspense Items adjusted
but awaiting final clearance
Amount S. No. Period
of account
No. of voucher or date of receipts under object-ions
NATURE OF ITEM
Advances recoverable
Receipts Payments For want of detail-ed bill
For other reason
Service payments for recovery
1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
MODE OF ADJUSTMENT NATURE OF OBJECTION
Subsequent Reminders, etc.
Month in which admitted if finally passed
If disallowed or recovered the account in which the item is credited or the number of the voucher from which it is recovered.
Month
Amount of each portion admitted
Date of creation No. of voucher
Amount
11. 12. 13. 14. 15. 16. The bills should be passed for payment and cheques issued within seven working days of their receipt. Bills indicated as "IMMEDIATE" by the DDO are attended to urgently and cheques issued on the same or next day. In case of any discrepancy noticed in the bill, payment against that bill is withheld and
the bill is returned to the concerned billing Section after canceling the entries in the diary and Control Registers.
15.47.4 Final Post Check of Bills Paid after Pre-Check:
i) The Pay and Accounts Officer ensures that in respect of all payments made after pre-check, a final receipt for the full amount passed has been received and attached to the bill in the prescribed form. In case of Pay and Accounts Office, Rajya Sabha this work is conducted by the Central Audit Party of the Office of the DGACR.
ii) After checking the bill from all angles and recording pre check enfacement and amount passed for payment (in figures and words) on each bill the auditors submit them to the Executive Officer for check. The Executive Officer examines the bills and after satisfying himself of the correctness of charges and sends the bill to PAO for approving the enfacement of pass order on the bill for payment. The bills so passed are immediately given to the cheque writer. The cheque writer will prepare a cheque for the net amount indicated on the bill. When two or more bills are payable to same person a single cheque is issued for the total amount (e.g., a single cheque favouring the State Bank of India is issued against all the pay bills separately or in the case of establishment payments a single cheque is issued favouring Rajya Sabha Secretariat against different bills and the payment of which to be made by the cashier). The cheques issued by this Office are of three categories- A (cash), B (clearing) and C (transfer). The "Category A" cheques are issued to individuals, private parties and gazetted Officers. The "Category B" cheques are issued in case of establishment payments (the payments being made through the cashier) and "Category C" cheques are issued in case of inter government transactions/settlements. All cheques drawn on bills signed by DDO or by some other authorised Official on his behalf, will be handed over to the Drawing & Disbursing Officer (DDO) i.e. the Head of the Office. DDO is personally responsible for amount drawn until it is paid to the person entitled to receive it and a legal quittance has been obtained. The legal quittance may be obtained in an Acquintance Roll in Form G.A.R. 24 as in respect of monthly Pay and Allowances not directly credited to the Payee’s Bank account, and on the Office copy of bills for other payments made in the Office. In respect of payments of cheques sent by Registered Post (acknowledgement due) Actual Payee Receipt will be taken from the payee in each case. In case of payment credited directly to the bank account of the Officers/Staff the acknowledgement of the bank is to be watched by the DDO and confirmation made to the Pay & Accounts Office as stipulated recently vide correction slip no. 29 under authority F. No. 1(1)/2000/TA/Pt.I. The cheques will be sent to the DDO after entry in Pay & Accounts Office daily register alongwith a top sheet giving the following details. All cheques for payment to private parties will be handed over to the Section issuing the sanction, which obtain and keep the Actual Payee Receipt (APR) for record and audit purposes. The cheques will be sent after entry in the P&AO Daily Register and DDO Bill Register. The Daily Register will be maintained in the following format in the Pay & Accounts Office:-
Date Bill
No. Section Voucher
No. Amount Cheque
No. Date of Cheque
Payee Name
Date of return of cheques & Bill to Section
Immediately after issuing of cheques the bill is stamped as "PAID" with date (the same date is indicated on the cheque) and voucher number and details of cheques (number, date and amount) is noted
on the bill and the details of payments for each date (the particular of each bill along with voucher number against which cheque has been issued) is entered in the 'Register of cheque delivered" with cheque number and amount (form CAM 11). The total of cheques delivered during a particular month should tally with the amount booked in the monthly accounts of Rajya Sabha Circle and the same is communicated to the office of the CGA on the last working day of every week.
iii) With the enactment of the Salary, Allowances and Pension of Members of Parliament Act (Amendment) 1976, the Pay and Accounts Office has also become responsible for Processing, issuing of PPO and Disbursement of Pension to Legislatures (Members of Rajya Sabha) and this work is performed by the Audit Section. The process of authorising pension cases are similar to the exercise performed in case of employees of Rajya Sabha Secretariat. The only difference is, pension papers are furnished by the MS&A Section instead of Estt. (G) Section. iv) This Section maintains the Ledger & broadsheet of house Building Advance, Motor Car Advance (Officers and Members), Scooter/Motor Cycle Advance, Bi-cycle Advance, and Computer/Fan Advance. This account is maintained to keep track of amount of advance being paid to an employee from the head "7610-Loans to govt. servants etc." and recoveries being made from the salary of concerned employees, against the loan they availed, and balance/interest due upon him. v) The establishment work in respect of Pay and Accounts Office is handled by this Section. In this connection, similar tasks are performed by this Section as that of the Estt. (G) and Estt. (A/cs) Sections. This Section maintains the service books of employees (who are on the sanctioned strength of PAO). The budget allocation for Pay and Accounts Office is separate from the Rajya Sabha Secretariat. Hence, the Establishment Pay and Other bills in respect of the staff on the strength of PAO are prepared separately by this Section. 15.48 Preservation of Records-The various accounts records maintained by Departmentalised Pay and Accounts Office has been indicated in the Civil Accounts Manual. The retention period (period for preservation of records maintained by Pay and Accounts Office) is also indicated against each record. 15.49 Computerisation-At present, interest calculation of G.P. Fund accounts being maintained by this Office, preparation of Appropriation Accounts/Finance Accounts and Statement for Central Transactions, arrear calculation on account of revision of pension etc., preparation of pay bills (for PAO staffs), and various other works are being done using computers.
PART E: GENERAL ADMINISTRATION
15.50 Responsibilities-G. A. Section is responsible for: - i) Accommodation: (a) Preparation of Priority List/Change List for allotment of pool accommodation (b) allotment of
Rajya Sabha Pool accommodation (c) vacation and eviction and recovery of rent whenever required (d) retention of accommodation by retired staff members (e) keeping record of Licence Fee in respect of Rajya Sabha Secretariat Pool Quarters (f) recovery of damage charges (g) All liaisoning work pertaining to the construction of proposed staff quarters at INA & legal cases pertaining to accommodation.
ii) Medical facilities: (a) Issuance of CGHS Cards/additions/deletions/cancellation in the names thereof (b)
Appointment of Authorised Medical Attendant (c) Granting permission for taking treatment both at Government/recognised private hospital (d) Reimbursement of medical claims (e) Direct payment to Govt. hospitals for specialised treatment.
iii) Telephone facilities:
(a) Telephone facilities to entitled Officers at their Office rooms/residences and in the offices of the Chairmen of various Committees (b) Disconnection of telephones whenever required (c) Shifting of telephones at office rooms/residence (d) STD/ISD facilities on telephones of Senior Officers & Chairmen of Committees (e) Preparation of Rajya Sabha Telephone Directory (f) RAX facilities to the entitled Officers (g) Payment of all telephone bills.
iv) Liveries:
Procurement of cloth; stitching of uniforms and issuance thereof to the eligible Officers and staff of the Secretariat: - (i)Winter/Summer uniforms (ii) shoes/sandals/socks (iii) Umbrellas, Jackets, blankets, raincoats etc.
v) Office Accommodation:
(a) Office accommodation as required (b) maintenance of office buildings through CPWD. vi) Home Ministry Identity Cards: (validation slips)
(a) Procurement and issuance of Home Ministry Validation slips. vii) Membership in Library:
Enrolment in Central Secretariat Library, Central Education Library and Parliament Library.
(viii) Procurement and distribution of briefcases, annual diaries etc to Members of Rajya Sabha and Officers of this Secretariat.
(ix) Staff conveyance facilities. (x) Circulars of general interest received from Ministries/attached and subordinate Offices. (xi) Registration of Telegraphic addresses. (xii) Delhi Official Directory and Diplomatic Directory. (xiii) Death of high dignitaries - action to be taken by this Secretariat. 15.51 Detailed Procedure regarding various activities of work allocated to this Section-Rajya Sabha Secretariat has its own pool for residential accommodation since 1988. There are a total no. of 536 residential units in different categories: These are:
The Section takes up the need for additional accommodation with Urban Development Ministry from time to time. 1. Allotment of Accommodation: Applications for allotment of pool accommodation are required to be given in the prescribed proforma, separately for each type of accommodation. These are filed in the respective category folder after recording page numbers. Priority list for allotment of Rajya Sabha Secretariat Pool accommodation is prepared on the following format on the basis of the applications received in the Section: - CATEGORY_____________
S. No. Page no. in category folder
Name of Applicant
Designation Date of Joining the Secretariat
Pay Scale & Basic Pay
Date of Application
In respect of type I-IV priority is based on the date from which the employee has been continuously in the service of the Secretariat. For type V and above, the priority is based on the earliest date from which the Officer is continuously drawing emoluments relevant to a particular type or higher type of accommodation. Where the priority dates of two or more officers are the same, priority will be given to the Officer drawing higher emoluments. The priority list is prepared annually separately for each category. It is also open for inspection in the Section.
Requests for change of accommodation are received in the Section. A register for change of accommodation is maintained to consider applications (on prescribed proforma available in G. A. Section) from allottees of Rajya Sabha Secretariat pool accommodation requesting change of accommodation. The change is allowed in the same type of accommodation already allotted and where technical acceptance has not been given for the higher type of accommodation. Change is permissible only once in the same type of accommodation. The format of change of accommodation register is as follows:
S. N.
Name of Allottee
Type of Accommodation/ present location Location Requested
Date of Request
Remarks
The Register is open for inspection in the Section. On availability of any vacant accommodation for the entitled persons as per the eligibility on the basis of the change/priority list, allotment is made after 3 days time given for acceptance thereof has expired. List of allotments made during a month are put up on the Notice Board on the following format:
S. No.
Name Designation Date of Application
Alloted accomm-odation
Type Present accommodation (if any)
Type Remarks (Whether change case etc.)
Entries are made in the Allotment Register maintained in the following format:-
Sr. No.
Name of the allottee & designation
Sr. No. in Priority List
Type of accommodation/ location
Date of Allotment/authority slip
Remarks
An SC/ST roster register is also maintained category-wise as per the laid down ratio in the respective categories as per Directorate of Estates policy from time to time on accommodation matters.
An Officer/member of staff can also technically accept an accommodation though he may not
move into the newly offered change from his present pool accommodation. His name would be considered for change of accommodation as per his request/requirement. Those who neither accept the accommodation offered as per printed list nor respond in writing are debarred for a period of one year. In case of change if and no reference is received in writing or after is not accepted, the officer/staff member is debarred for a period of six months. When an officer/staff member accepts an accommodation he/she is issued the Authority Slip for CPWD Enquiry Office concerned who in turn would hand over the possession letter given by the CPWD inquiry to the Section.
Licence fee in respect of the allottees of accommodation is recovered under the rules. On retirement, the accommodation has to be vacated and application for retention beyond the allowed period considered under the rules and guidelines issued by the Directorate of Estates from time to time. If a person permitted to retain the Pool accommodation for a stipulated period overstays, the damage charges (market rent) are recovered from him/her.
If any retired employee does not vacate the accommodation even after the expiry of the granted retention period dispute repeated requests, eviction proceedings under the Public Premises Act are initiated by sending notice. Necessary entries are made in the register as per the following format:
S. No Name & post
held Type of accommodation/ location
Date of retirement
Retention Granted upto
Dates of Notice(s)
Remarks/Date of Initiation of eviction/rent recovery proceedings
15.52 Cases under the Public Premises Act and Court Cases-To keep watch on unauthorised subletting, watch and ward officers may be confidentially deputed to make physical verification of a particular quarter and on the basis of the report submitted by these Officers, eviction proceedings are initiated by G. A. Section against the subletters.
The Under Secretary incharge of G. A. Section is designated as Estate Officer under the Public Premises Act. All cases under the Public Premises Act are entered in the following Register:
S. No.
Name of Occupant
Section of PP Act applicable
Date of Issuing of Notice(s)
Dates of hearing
Purpose of hearing
Final Order
Date of vacation and payment of rent/damages
Remarks
In case an appeal is filed, entries will be made in the remarks column and order in appeal will be implemented in due course. 15.53 Out of turn allotment of accommodation- The requests of the Officers/staff members for out of turn allotment of Rajya Sabha Secretariat. Pool accommodation is considered and processed as per conditions laid by the Directorate of Estates from time to time. All applications are entered in a separate Register as per the following format.
Sr. No. Name/designation Ground given Status on the list Remarks
A Committee has been constituted comprising Addl. Secretary/Joint Secretary, Director (MA)
and Under Secretary (GA) to consider out of turn allotment on medical grounds. Record in this regard is also kept in the out of turn allotment register. The list of out of turn allotment (if any) is put up on the Notice Board. 15.54 Medical Facilities- This Section issues CGHS Cards to the Officers and staff of this Secretariat. Surrender of CGHS cards for any reason and issuance of duplicate cards are also dealt with in the Section. Records are kept in the Register of Cards as per following format:-
Sr. No.
Name/ Designation
Details of Family Members
Card No.
Date of Issue
Deletions/Additions
Signature Remarks
Deletion/addition of names from the card and transfer of dispensary on change of residence is also made on the Cards and entered in the register. No Objection Certificates regarding availing or otherwise of this facility are also issued by this Section. These cases are disposed off at Under Secretary level.
Applications for granting permission to receive treatment from Government/ recognised private hospitals as listed in CGHS Rules are entertained in the Section. After obtaining approval of Under Secretary on the file, letter of permission for taking medical treatment in recognized Private hospitals are issued at E.O. level.
Medical claims in respect of Officers and staff members for reimbursement are also processed in this Section as per CGHS Rules, CCS (Medical Attendance) Rules and orders issued by the Ministry of Health and Family Welfare from time to time. Calculation of the medical reimbursement claim is made as per rate list notified by the Ministry of Health & Family Welfare. All claims settled are entered in the Medical Claims Register maintained in the following format.
Sr. No. Name/designation Sanction No. & date Amount Remarks
In case of treatment taken at unrecognized private hospitals in emergency, such claims are to be
considered on their merits and decided by the Head of the Department. Reimbursement is made on rates prescribed by the CGHS in their list. Requests for granting advance for undergoing major surgeries and also for taking treatment for diseases such as TB, Cancer etc. are processed in this Section. Bills received from LRS Institute with regard to the specialised treatment obtained by staff members are processed and payment (in TB cases) is made thereof by this Section direct to the Institute. 15.55 Telephone Facilities-Telephone connections are obtained from MTNL as per requirement from time to time. Officers are provided with telephone facilities at their residences subject to entitlement. In other cases the residential telephones of officers (if they exist) are taken on record by the office and bills are reimbursed. Cases of connections/shifting/disconnection of telephones, providing STD/ISD/RAX etc. are approved at Joint Secretary /Director level.
The official telephones provided to officers at their residences are got disconnected on their retirement or transfer and are kept under safe custody for use in future by other officers.
Rajya Sabha Telephone Directory containing information of addresses, telephone numbers (both Office and residence). E-mail addresses, FAX numbers and intercom numbers of the Officers/Sections of the Secretariat is published bi-annually by this Section. Registration of telegraphic address (PARISHAD)
of Rajya Sabha Secretariat is renewed by this Section every year on payment. All the work related to the supply of required information with regard to the Delhi Official Directory and RAX & MTNL directories and collection and distribution thereof is done by this Section. Payments of all telephone bills (except those provided to Chairman of Committees, for which M.S.&A Section makes payment) are made by this Section and entries made in Telephone Register maintained in the following format with separate pages for each Officer which ensures that in case bill for a particular telephone is not received, this fact comes to notice and the duplicate bill is obtained:-
Telephone Bill Payment Register
Name of Officer
Total Amount Passed for Sr. No.
Telephone No. & Date
Particulars of bill cycle with period
Pay Order & Signatures
Remarks
The work relating to maintenance/provision of intercom procured through Lobby Office from M/s BPL Telecom Ltd. for Officers/Sections of the Secretariat is also being looked after by this Section. 15.56 Liveries-Purchases are made through reputed agencies/firms after calling sealed tenders alongwith samples, which are examined by a Committee constituted by the Secretary-General which includes a representative from Watch & Ward Office also. Technical specifications and brand/make of different items are approved by the Secretary-General.The Section procures items of Livery by direct purchase from manufacturers and their authorised representatives and in case of small requirements, from Government owned outlets-Kendriya Bhandar or Super Bazar. The entitlement of liveries for various categories of staff is as follows:- Category
Winter Uniform
Summer Uniform
Shoes Socks Adhoc item
Other items
-E.O. and above 1 set per 2 years 2 sets per 2 years -Reporters -do- -do- -U.D.C. -do- -do- -Driver/ Des. Rdr
-do- -do- 2 Pairs/1yr
3pairs/1 year
Torch, gloves etc.
Over Coat In 5 yrs
-Sec. Ass 2 set per 3 years -do- -do- -do- Wh. cord & 2caps Blanket in 5 yrs -S. Guard 4 set for 2 years -do- -do- -do- -Chamber Attndt.
1 set per 2 years -do- -do- -do- Kulla & Pagri
-Attd. Gr I,II,III &IV
-do-
-do-
-do-
-do-
Issue Registers are maintained separately for each category of Officers with pages reserved for each Officer/official, as follows:- Name____________
S. No. Item Date of Issue Signature Remarks
15.57 Home Ministry Identity Cards (Validation Slips)- Applications of the officers and staff duly recommended by respective Director/ Dy. Secretary are processed for issue of Home Ministry Validation Slips and these are then forwarded to Ministry of Home Affairs by this Section after being sponsored by Dy. Director (Security) Rajya Sabha Secretariat. Home Ministry Validation Slips are forwarded to the M/O Home Affairs by the E.O. after obtaining orders at Director level. These slips are then obtained in due course and distributed to officers/staff concerned. 15.58 Office Accommodation- Office accommodation is maintained through CPWD and the allotment of the same to Officers/Sections is done by this Section. Whenever office accommodation is required in addition to the existing space, the matter is taken up with Lok Sabha Secretariat/CPWD. Maintenance/Alteration/Minor works are taken up directly with the CPWD. For major works, CPWD furnishes estimates for sanctions, which are processed within approx. 2-3 days and issued accordingly. Thereafter CPWD is contacted for completion of work within their stipulated time frame. An Accommodation Register is maintained to record allocation of rooms and work carried out in the room as per following format:-
Sr. No. Room No.
Allotted to Section/Officer Remarks (Work carried out)
15.59 Enrolment of Members of Staff as members of Parliament Library-The process of forwarding of application for admission/renewal of membership of Central Secretariat Library/Parliament Library/ Parliament Staff Library is done in this Section. Requests for library cards received from officers and staff of this Secretariat are forwarded to the concerned Library with the requisite certificate. Register in this regard is also maintained 15.60 Conveyance Management-This Section arranges conveyance for use of officers/staff of this Secretariat. It also makes special arrangements for staff sitting very late during session period. Log books for individual cars/vans/auto rikshaws are maintained by the drivers concerned (as per staff Car Rules) in the following format, which is verified by the E.O. (GA):-
Petrol Account
Date Kilo mtr. Reading Petrol drawn (litres) Initials of officers i/c of the car
Format of Log Book
Time Date
From To
MMt Km Read-ing
Miles/k covered
Pd. of detention included in cols 2&3 (for non duty journeys only)
Name &desg of officer using the staff car
Places visited
Purpose of journey if offficial full details
Sig .of officer using the car and his remarks if any
No. of hours after normal duty hrs or on Sunday and closed holidays
Initials of officer of vehicle and his remarks if any
Details of servicing, repairs, part replacements etc. are also entered in the Log Book against the respective date. G.A. Section maintains the following register to work out the cost of repairs spent on each vehicle, in order to estimate when its useful life is over.
Vehicle No._________
Date Item Repaired/Replaced Repair/Replaced by Cost incurred
Cases of condemnation/replacement of vehicles are processed as per rules keeping in view the mileage and expenditure incurred on maintenance.
The logbooks are deposited with the Stores Section, after expiry. The repairs/replacement of staff vehicles, are also dealt with by Stores Section.
15.61 Circulation of General Instructions- Circulars of general interest received from Ministries/attached and subordinate offices, circulation of Memoranda received from different Ministries/Departments regarding procedure to be followed in respect of allotment etc. of pool accommodation, Medical reimbursement, staff cars etc. and observance of Holidays in the Secretariat, liaisoning with Railway Canteen, etc. renewal of office telegraphic address etc. is being done by this Section. 15.62 Distribution of Briefcases and Diaries to Members of Rajya Sabha and Officers- Briefcases are procured adopting the same procedure which is followed for the purchase of liveries. These cases are disposed off at the level of authority as per the delegated financial powers. All the work related to the printing, procurement and distribution of annual diaries to Members of Rajya Sabha and officers of this Secretariat is also done by this Section. 15.63 Computerisation- All expenditures are entered in the Budget & Expenditure software (see para 15.41), as per the procedures prescribed in the operational manual.
PART F: STORES SECTION
15.64 Main Responsibilities- The Section deals with the following items of work: (i) purchase and supply of office stationery and sanitation items; (ii) auction of obsolete office materials; (iii) disposal of waste paper; (iv) preparation of rubber stamps; (v) purchase of office vehicles and bicycles and their maintenance; (vi) purchase of office machines and their maintenance; (vii) purchase and supply of consumable and non-consumable items; and (viii) liaison with CPWD authorities for maintenance of furniture and other equipment supplied by
them. 15.65 Purchase of Stationery Items-The indent for supply of stationery for each individual item is prepared each month depending upon the stocks available and pattern of demand anticipated from various Officers/Sections. The format of the indent is as follows: -
Requisition Form for Stationery Articles for the month of …………….20……
Please supply the following articles of stationery for the use of. …………
Name of the item Indented Supplied
Officers are responsible for the correctness of their indent and for due economy in the use of the stationery articles.
Received the above articles.
Signature of the Officer. While estimating the requirement of individual items of stationery, the following factors are taken into consideration:-
(i) level and strength of officers and staff of the Secretariat ; (ii) the pattern during the past two years; and (iii) the stock in hand on the date of preparation of the indent.
The indent of each items of stationery so prepared is consolidated after examination and submitted
for approval of the competent authority following the guidelines given in para 15.39. After obtaining the administrative approval for purchase the rates of each item is obtained from the Kendriya Bhandar/Super Bazar on prescribed proforma signed by Executive Officer in order to obtain expenditure sanction.
The order for procurement of individual items is sent to Kendriya Bhandar/Super Bazar for supply of the indented items. In case Kendriya Bhandar/Super Bazar fails to supply required items in one instalment they are requested to supply in two or three instalments. Items not available in Super Bazar/Kendriya Bhandar are purchased through inviting of quotations for items of small value and sealed tenders for bulk item as per Chapter 8 `Stores’ of the General Financial
Rules. As per the Rules, purchase of articles or grant of articles upto Rs.1000 on each occasion may be made without inviting quotations. Purchase upto Rs.10, 000 can be made on the basis of quotations, and upto Rs.50, 000 by limited tenders. Other than in exceptional cases, and for reasons to be recorded in writing, purchase above Rs.50, 000 should be made by inviting open tender. The following procedure is followed for inviting quotations/ tenders: -
(i) procurement of samples; (ii) technical report of acceptability of suppliers as per samples (where necessary); and
(iii) preparation of comparative statement, showing the rates, taxes, terms and conditions etc.
. The comparative statement is scrutinised keeping in view the lowest rate quoted, quality of
samples supplied, previous performance of the firm, if any, additional discount/concession/free accessories offered etc. The firm whose sample/quotation is approved is issued the order for supply of the indented items after obtaining financial sanction of the competent authority. Where necessary advice of technical personnel are obtained with regard to specification while preparing the tender notice and scrutinizing offers received. As far as possible, the carriage for supplying stationery items to Parliament House Annexe is provided by Kendriya Bhandar/Super Bazar/Companies. However, in exceptional circumstances transport/vehicle is arranged by the Secretariat failing which advance is taken from Estt.(A/Cs) Section after prior approval of the competent authority for hiring a private carrier. After receiving articles from the concerned firm, cash memo/bill is obtained (in duplicate) and processed in accordance with the sanction already obtained. The items received are checked with the Bill and page no. and S.N. of Stock Register entry is made into the Bill (on its back) before the pay order is sent for signature of D.D.O. of the Secretariat. A sanction order containing the details of the items purchased and expenditure incurred is issued, specifying the name and address of the firm, as well as the head of account to which the amount is debitable. Copies are endorsed to the Pay and Accounts Officer, Rajya Sabha and other concerned authorities for their information and necessary action. The Sanction Order along with original cash memo/bill is thereafter sent to the Estt.(A/cs) Section for preparation of vouchers which are sent to P&AO who prepares the cheque. The other copy of the Bill is kept in the purchase file. In the case of C.P.W.D (for furniture etc.). sanction cost incurring to expenditure is given by the Stores Section and the sanction amount is debited to C.P.W.D. head of account [numbers 2059 and 4059] directly by the Pay & Accounts Office, Rajya Sabha. During the course of the year if certain items of stationery are needed on emergent basis or some additional quantity is required, a supplementary indent is prepared. 15.66 Issue of Stationery- On receipt of various items of stationery indented, entries showing the quantity of each item is entered in the Stock Register and the quantity issued is also entered in the relevant column. The entries are signed by the concerned Stores Assistant and endorsed by Executive Officer. The entries in the register are made as per the following format; on the two facing pages of the register (one side for receipt and the other for issue).
STOCK REGISTER Name of Article _______________________
Date of Receipt
Particulars of vendor
Quantity Received
Signature of Store incharge
BALANCE Date and Initials of the Head of Branch Receiving Officer
In Store
Issued during month
Overall balance
The stationery items are issued by the Assistant incharge of the Stores only against proper form/office note signed by the incharge of the respective Sections or by the concerned Officer/P.S. in case of Under Secretary and above.
The following points are to be borne in mind by the respective Section heads/P.Ss./P.As. while
preparing the indent of stationery:
(i) the proforma/note sent in duplicate is duly signed; (ii) the demand of stationery items is reasonable and essential; (iii) adequate reasons are furnished for any special/additional requirement; (iv) there is no overwriting, cutting etc. on the indent and any alteration, if any, is attested by the
concerned Officer/Head of the branch; and (v) blank space in the note is crossed by indenting Section/Officer.
The quantity of each item of stationery issued is entered in copies of the note and also in main
supply control register after obtaining signature of a person sent by the indenting Officer/Branch. The stationery is issued to the indenting Section/Officer on monthly basis between 3.00 p.m. to
5.00 p.m. from 5th to 26th of every month on all working days. Normally, no supplementary indents are entertained from any Section/Officer except in emergent
cases and for that the concerned Section has to provide justification therefor. There is a distribution register for stationery items. The distribution register shows the requisition
number, date, name of the Section/Officer and the quantity supplied. The relevant entry is made in the central stock register at the end each month.
RAJYA SABHA SECRETARIAT (STORES SECTION)
MONTHLY ISSUE OF STATIONERY ARTICLES FOR THE MONTH OF ………….
Name of item Code Nos. (Allotted to section) Quantity of items issued
15.67 Purchase of Stores- Items like inkjet cartridges, laser toner cartridges, wall clocks, electronic typewriters, ribbons, torches, photocopiers, Fax machines, calculators, crockery, jugs and other sanitary articles like phenyl etc. are normally purchased from the Super Bazar/Kendriya Bhandar and if they are not available here then these are purchased from open market, following the prescribed procedure given in Chapter 8 ‘Stores’ of the General Financial Rules which specifies that in respect of purchases exceeding Rs.10,000 in value, sealed tenders must be invited, as per procedure given in para 15.41.
On receipt of an indent for purchase of the above mentioned articles it is examined with reference
to the previous issue of such articles, if any, once satisfied with the justification of such a demand, administrative approval of competent authority for purchase of such articles is obtained. Thereafter, the relevant firms/Super Bazar etc. is contacted for sending quotations or tenders (as the case may be) for such articles, as per the proceduregiven in para 15.65. After receipt of rates the same procedure is followed as enumerated in para 15.65.
Two separate pass books are maintained, one each for Super Bazar and Kendriya Bhandar, carrying the specimen signature of E.O. and it contains the quantity of the articles supplied by the Kendriya Bhandar/ Super Bazar as also the details of the payment made.
A stock register is maintained as per the format given in para 15.66 and whenever any article is purchased from Super Bazar/Kendriya Bhandar or local market, the entry is made in the register. The register carries page no., name of the article purchased, and date of purchase. Consignments received by goods train/trucks: If the goods are coming by goods train or roadways transport, the dealing assistant keeps in touch with the railway goods office to inquire about the consignment. He immediately applies for an advance, wherever necessary, for hiring carriages for bringing goods to Parliament House Annexe from the railway station/transport office and the receipts are sent to Estt.(A/Cs.) Section alongwith the expenditure incurredon transportation for necessary action. Entries in this respect are also made in the relevant register. 15.68 Issue of Stores-Before any non-consumable or valuable consumable store item is issued, it is to be given a serial number which must be painted at an appropriate place. The format will be thus (RS:1/code no./2001). An issue Register will be maintained with separate pages for each item. All items will be entered at the item of issue after noting down the serial no. of the item. The format of the Register is as follows:-
Issued to Date of Issue Signature of receiver with date
Date of return
In respect of valuable consumable stores such as inkjet cartridges, toner cartridges etc. a new item is to be issued only after the used item is returned and the outer packing is to be retained by Stores Section and destroyed in due course. Watch is also kept on consumption rate in such cases. Whenever any officer retires or any deputationist returns to his/her parent department, Stores Section must take back all consumable/non-consumable articles lying with him, NOC is issued, and relevant entries are made in the stock register. If any article is in a damaged condition, the order is obtained from the Secretary-General for condemning the same, if it has already outrun its normal life. In case repairs/replacements are possible under a warranty or contract, this is got done. 15.69 Procedure in respect of movement of store and stock items-All movement of stock and store items belonging to the Secretariat from one building to another or out of the complex will be regulated through the issue of Gate passes as follows: -
(i) In respect of items issued by Computer Cell/Stores etc. out of stock, the E.O. in charge will issue the gate pass, specifying the item with complete description, the stock item no. or make and serial no., its destination, name of persons (and organization) authorized to carry the item and the date and time period fixed for the purpose, and mode of transport if any.
(ii) In respect of items already issued to Sections/Officers, where movement of the item is on account of temporary deployment, repair or return to store etc., the E.O. or PA/PS concerned will issue the gate pass on above lines.
(iii) In respect of items brought in from outside for repair or demonstration (e.g. Members computers or sample items brought by Vendors), separate inward and outward gate pass will be issued by the E.O., PA/PS concerned.
GATE PASS RAJYA SABHA SECRETARIAT
Name of Office/Section____________________ Date of Issue:____________________
Item description: _______________ Make______________________ Serial No./Part No._________________ or Stock issue no.________ Issue in favour of Shri_____________________________ Of (Organisation) __________________________________ Valid for movement from_______________to_________through Gate no.____ On date________, between_______________________to____________ Signature of E.O./PA/PS with stamps & date Whenever an item is taken in or out of a building, the gate pass will be checked by Watch and Ward against the item, and the gate pass will be cancelled/endorsed giving date and time of the movement through the gate, and the gate number. All cases of unauthorized movement of stock/stores will be brought to the notice of Deputy Director, Watch and Ward, PH/PHA, by the Watch and Ward staff, who will institute necessary inquiries if necessary and also inform the Officer/Section concerned immediately. (also see para 18.20) 15.70 Action in cases of Loss, Theft or deliberate damage to stores issued or in stock-A separate register will be maintained in the Stores Section and other Sections issuing stores in the following format to register all cases of loss, theft or damage to valuable consumable stores or to non-consumable stores:-
Date & Time
Item description
Item code no./part/serial no.
Issued to Nature of complaint
Name of complaint
Action taken (Date & time of report to W & W)
All such matters will be reported to the Under Secretary in charge of Stores (or concerned) Section, and to Watch & Ward in case investigation is necessary to recover property or identify the culprit. All information to Under Secretary (Stores/concerned Section) and Watch & Ward will be sent in writing over the signature of the E.O. in charge of the Section or PA/PS of the Officer or Committee Chairman concerned, specifying the date and time of occurrence and detection of the event, the normal location and description of the item stolen/damaged (including make, stock item number and part/serial number if any) etc. In case of recovery of the item, information will again be communicated to all concerned. In respect of cases of recovery of unaccounted for stores by Watch & Ward etc., the issuing Section, i.e. Stores/Computer Cell etc. will be informed in writing of the details (description, Part/Serial No., Place and mode of discovery etc.), and the Section will enquire into the matter and submit a report to the Under Secretary in charge of Stores/Computer Cell etc., who in turn will intimate Watch & Ward at the earliest. 15.71 Maintenance and Physical Verification of Stores-In order to ensure accuracy about the entries made in the stock register of stationery and other non-consumable items as also the actual stock available in the Stores, physical verification of stores is conducted on yearly basis by an Officer specially deputed for the purpose.
Physical verification of all stores shall be made at least once a year as required under Rule 116 of the General Financial Rules. The work will be entrusted to officials conversant with the techniques and independent of the subordinate authority in charge of the stores.In no case shall the custodian, ledger keeper or the accountant of the stores be entrusted with this work. This work is to be done in the inter-session immediately after the monsoon session. During physical verification, if any difference is found between stock available and the balance shown in the stock register, it is resolved in the following manner :-
a) if the difference is in excess, it is posted in the receipt column as excess in stock register after getting the concurrence of the P&AO;
b) if the difference is a shortage, the shortage is evaluated according to the cost thereof as shown in the original vouchers and the total loss as a result of such difference is calculated in terms of money;
c) report of such loss is submitted to the P&AO giving cogent reasons for such loss; and d) thereafter the details of losses are submitted for orders of the Secretary-General either to recover
the same from the person responsible or write it off. Unserviceable articles like broken pens, glassware, etc. which can neither be reissued nor
sold/auctioned are destroyed in the presence of E.O. (Stores) after due approval. The following instructions are followed for proper maintenance of stores:-
(a) all stores remains under the lock and key of the assistant .responsible for its safe custody; (b) all locks of stores have duplicate keys, one key each in the possession of dealing assistant and
the E.O.; (c) special care is taken for the safe custody of Stores for keeping articles in good and efficient
working condition and protecting them from any loss and damage. (d) the unserviceable and surplus articles lying in Stores over a long period for which there is no
demand from any section are brought to the notice of the E.O.(Stores) and get rid of following due procedure; and
(e) in order to protect articles from fire etc.inflammable and other susceptible articles are not placed in the store room and are stacked separately.
15.72 Transfer of Charge- Whenever an official in charge of Stores is transferred he shall hand over charge of the Stores to the successor or a person designated for the purpose after proper physical verification of the balances handed over. A certificate to this effect will be recorded in the Stock Register. 15.73 Maintenance of Stock Register and life of Stock Register-All stock registers are maintained in the Stores Section well bound and machine numbered. The first few pages of the register are devoted to table of contents showing the name of the articles and pages in which the same havebeen entered for easy location during inspection and audit. A certificate of numbering of pages in a register is recorded on the first page of each register duly attested by E.O.(Stores). The register always remains under lock. All brought forward entries from one page of the register to the and from the old register to new are attested by the dealing assistant and counter signed by the E.O. (Stores).
All entries in the register are made neatly and in legible writing without any marks of eraser or over writing. Corrections, if any are invariably attested by the E.O. (Stores).
It is the responsibility of the E.O. (Stores) and concerned Under Secretary to ensure that the
registers are maintained regularly and are upto date and are required to put their signatures in the registers in token of having checked them.
The stock register maintained in the Stores Section is preserved permanently and bills/expenditure
and other registers are preserved for a period of 5 years. The period is reckoned from the year of closing of the register. If any audit objection is pending in any register, that register is kept till such objection is cleared by the audit.
The register will be destroyed only after thorough examination and after obtaining written
permission of the Under Secretary incharge. 15.74 Settlement of Bills-All bills/cash memos are normally disposed of within a week of the receipt. On receipt of a bill it is scrutinised to ensure that :-
a) the articles for which payment is claimed are accounted for in the stock register ; b) the bills are in terms of the order placed; c) the rates are in accordance with the supply order; d) the rates of sales tax charged is correct and the tax is not charged on goods exempted from such
tax; e) the total amount of bill is correct and written in words and figures;
f) the bill is prepared and signed by supplier in ink; g) the bill has not been earlier paid; h) in case of photocopier machines the reading mentioned in the bill is certified by the branch or
P.A/PS to Officers where it is installed and is appropriately calculated according to the prescribed charge; and
i) after the bill is found in order the follow up action for payments thereof is taken as per the procedure mentioned earlier, after recording the serial number and date of entry of the item as per stock register on the back of the bill and certifying that payment has not been made earlier.
15.75 Maintenance of office machines-Office machines including photocopiers, reprograph machines, electronic typewriters etc. are put under annual maintenance contracts (AMC) or Full Service Maintenance Agreements (FSMA) with manufactures/authorised agents. For the purpose, limited tenders are invited and an agreement is signed which specifies repairs, parts replacement, preventive maintenance etc. and penalty for downtime exceeding specified limits. All complaints regarding not functioning and defects in the machines are received in Stores Section and entered in the register in the following format: -
Date Time Name & designation of complainant
Item Nature of complaint
Date and time of attendance
Date and time of completion of repair
Dealing Assistant, on receipt of complaint, made in writing or verbally, shall liaise with the concerned agency for repair of defects immediately. The AMC contractor raises quarterly bills. Penalty for excess downtime is deducted while making payment. 15.76 Responsibility for safe custody- Safe custody of office machines and equipments issued to Officers/Sections are the responsibility of the PS/PA and Section/Committee Officer. These Officers are required to ensure that the machine –
(i) are used for official purposes only; (ii) are used by authorised and trained personnel; and (iii) are kept at a safe place and are not subject to mishandling.
15.77 Auction of obsolete Office Materials-Whenever equipment like manual/electronic typewriters, wooden furniture and other non-consumable office material become unserviceable, an office note is put up to the Secretary-General, incorporating therein details of the obsolete articles viz. its date of purchase, life span, etc. for declaring the same as condemned.
The detailed list of the articles prepared is sent to all junk dealers inviting them to participate in the auction of these articles. On receipt of their response, the date, place and time of auction is finalised and the concerned dealers are intimated accordingly.
On the fixed date, time and place of auction, U.S. incharge, E.O. (Stores), and a dealing Asstt.,
remain present in auction site. If due to an unavoidable reasons E.O. or U.S. is unable to attend the auction, another Officer of equivalent rank is nominated by the Director (Administration) to attend the auction to ensure smooth running and record the bid and award to the eligible bidder.
The senior-most Officers present records the highest bidder and check that all the auctionable
goods are taken by him with proper weightment etc. A sale account is prepared in a proper form and signed by all the officers present at the site. The
sale proceeds are collected in cash from the highest bidder and deposited with the cashier. Thereafter, the stock register is updated by deducting the auctioned materials from the stock of respective articles.
Finally a detailed note is submitted to the Secretary-General giving therein all the details of
auction and amount received. 15.78 Procedure regarding disposal of waste papers etc.- At the end of each calendar year the administrative approval of the competent authority is obtained for inviting tenders from Kabaries for purchase of waste paper of the Secretariat on annual contract basis for the next year. Thereafter a tender notice is published in the prominent national dailies publishing the detailed terms and conditions. The tenders received are opened in the presence of E.O. (Stores), U.S. incharge and other Officers so deputed in the presence of the tenderers. The highest bidder is given the contract if his quotation is found in order and he agrees to abide by the terms and conditions of the contract as mentioned in the tender notice. One fourth of the total amount is required to be deposited for the first quarter by the bidder with the cashier immediately. As soon as the quarter of the year for which amount has been deposited expires, the waste paper contractor is asked to desposit instalment for the next quarter, the same procedure is followed for depositing the subsequent instalments.
After the conclusion of every session or at any time, if necessary, all the Sections make survey of
the waste paper in their respective rooms that requires disposal. The Stores Section is informed about the disposable waste paper by the concerned Section who in turn informs the appointed kabari for collecting the waste paper. 15.79 Preparation of rubber stamps-The making of rubber stamps is ordered by the dealing assistant to the authorised firm after due consideration of its necessity. Upon receiving new rubber stamps, it is checked as to whether these tally with the specimen
given and returned for necessary corrections, in case, any discrepancy is found. The payments for preparation of rubber stamps are made as per the procedure after making entry
in the stock register to this effect. 15.80 Vehicles- 15.80.1 Bicycles: The bicycles are issued to messengers performing outdoor duties and they are responsible for its maintenance. Regular class-IV employees of sanitation wing are also entitled to have a bicycle. The details such as number, make, price, date of purchase etc. of new bicycle are entered in the stock-cum-repair register. A rate contract is formulated with authorised bicycle repairers. The tyres and tubes of bicycles are changed once in a year and old tyres/tubes are sold in auction. In case any bicycle is lost/stolen, an FIR is to be immediately lodged by the concerned person and a copy of the same is sent to the Stores Section. 15.80.2 Three-Wheeler Vans: Three-Wheeler Vans are purchased from the authorized three- Wheeler-dealers, after sanction is obtained from the competent authority. The maintenance of vans is done through Stores Section after receipt of the details of the repairs to be undertaken from the concerned driver. Thereafter, sanction is given for carrying out repairs by the authorised repairers. The Stores Section also maintains Petrol coupons obtained from the authorised filling stations for the use of three -wheeler vans.
A condemned three-wheeler van is sold in auction with the prior permission of the Electrical and Mechanical Officer, Department of Civil Aviation, Delhi Transport Corporation, after the orders of Secretary General. 15.80.3 Staff Car: Purchase of a new car or a proposal to have a new car under replacement scheme is done under orders of the Secretary-General. Condemnation of staff cars which have outlived their utility is done by a Condemnation Board comprising Director (A) or a representative and representative of Transport Department. Details of mileage covered, costs of repairs etc. are brought to the notice of the Board. The maintenance of staff cars is done through Stores Section for which driver is required to send a note giving the details of the repairs to be undertaken. Thereafter repairs are carried out by the authorised repairer after getting sanction of the competent authority. The Stores Section also maintains petrol coupons obtained from the authorised filling station in the name of each staff car and motorcycle with their number stamped on each coupon. 15.81 Purchase of Office Machines-Stores Section also deals with the purchase and maintenance of photocopier machines, fax machines, electronic typewriters, paper shredder etc. The procedure for purchase of these items and maintenance of records is the same as that described for Computers in Chapter XVI, i.e. by limited or open tenders (not quotation) from manufactures and authorised agents only as per specifications to be decided in advance. In case a 'buy back' of old model is contemplated, details are given in the Notice inviting tenders. When a new machine is purchased, the operator if one is required, is to be simultaneously identified and given mandatory training at tenderors cost as part of the purchase contact. 15.82 Indent for Office Furniture- Whenever a demand for supply of new furniture is received it is submitted for approval of the competent authority. After approval CPWD is requested to give financial estimate thereafter the sanction for incurring the expenditure is obtained and further procedure is the same as indicated in the para 15.2
Maintenance and repair of furniture is being handled by Stores Section on annual basis. The repair work is carried out by CPWD. The estimate received from the CPWD is consolidated annually and the payment is made thereof.
Whenever new furniture is procured from CPWD entry regarding each item is made in the stock
register mentioned in the following format: -
Name of item Received Quantity of item Date of delivery Bill No.
Whenever furniture is auctioned after condemnation, the same is deleted from the stock
