Complaint Handling Policy
Complaint Handling Policy
Complaint Handling Policy
A Maharatna Company
NTPC LIMITED
(A GOVT. OF INDIA ENTERPRISE)
Complaint Handling
Policy
VIGILANCE DEPARTMENT
I N D E X
Sl.No. T o p i c
1.0 Introduction
2.0 Complaint
3.0 Sources of Complaints
4.0 Lodging a complaint
5.0 Information required while making a complaint
6.0 Types of Complaints
7.0 Action on complaints
8.0 Action on complaints referred by the CVC
9.0 Action on complaints under the purview of the Administrative
Ministry
10.0 Processing of complaints
11.0 Time frame for Verification
12.0 Format of Verification Report
13.0 Action on Verification Report
14.0 Time frame for Investigation
15.0 Format of Investigation Report
16.0 Action on Investigation Report
17.0 Action against persons making false complaints
Reference
1.0 Introduction :-
1.1 NTPC believes in the highest level of personal and institutional integrity.
The core values of the Company are ‘Be-Committed’ – Business Ethics,
Environmentally & Economically Sustainable, Customer Focus,
Organizational & Professional Pride, Mutual Respect and Trust, Motivating
Self & Others, Innovation & Speed, Total quality for Excellence,
Transparent & Respected organization, Enterprising, Devoted.
1.3 The objective of the Policy is to assist the Management and public in
general handling of complaints in an efficient, effective and professional
manner wherein every possible step is taken to ensure that instances of
misconduct do not escape scrutiny and action, while at the same time, the
morale of the employees is not adversely affected by complaints of trivial
nature.
1.4 The Chief Vigilance Officer (CVO) and Heads of Projects / Regions /
Offices may cause an enquiry into any complaint concerning the functions
/ activities of any of the projects / Regions/ Joint Ventures / subsidiaries /
CC of the company.
1.5 This policy has been designed in line with the guidelines / instructions
issued by Government of India and Central Vigilance Commission (CVC),
from time to time.
• The Complaint Handling Policy is readily accessible to all stake holders and
public. The Policy is easy to understand and includes details on making
and resolving complaints.
• The Vigilance Officer will ensure that the complaints are addressed in
transparent and fair manner within the specified/reasonable time frame.
2.0 Complaint :-
should be separately given or given at the top or end of the letter so that
they can be easily blocked out.
(CVC Office Order No. 38/6/2004 dated 8th June, 2004, 33/5/04 dated 17th May,
2004 10/02/05 dated 10th March 2005, 4/2/09 dated 27th February, 2009 and
9/5/09 dated 12th May, 2009)
8.2 Wherever the CVC calls for ‘action and report’ on a complaint, it is treated
as a signed complaint though on the face of the complaints, it may be
anonymous / pseudonymous. A Report has to be submitted to the CVC in
such cases for obtaining necessary advice of the CVC.
Wherever, the CVC calls for ‘investigation and report’ on a complaint, the
reports of the investigation should normally be sent to the CVC. However,
after the investigation, if it is found that the officials involved in the case
do not fall under the jurisdiction of the CVC the case need not be referred
to the CVC and may be dealt with by the CVO. In such cases, action
taken by the CVO may be intimated to the CVC in order to monitor
compliance. This dispensation does not apply to PIDPI complaints
forwarded by them.
(CVC office order no. 53/09/03 dated 23rd September, 2003, 16/03/04 dated 1st
April, 2004, 12/03/05 dated 16th March, 2005 and 03/01/10 dated 28th January,
2010).
8.3 Wherever, the CVC forwards a PIDPI complaint, such complaints are
treated as a signed complaint and the investigation report are submitted
to the CVC within a period of one month from the receipt of reference of
the CVC.
(CVC office order no. 38/6/2004 dated 8th June, 2004, 33/5/04 dated 17th May,
2004, 10/02/05 dated 10th March, 2005, 4/2/09 dated 27th February, 2009 and
9/5/09 dated 12th May, 2009).
Where complaints against Boards Level Officials are received, the same
shall be forwarded to the CVO of the Ministry of Power. In case, the
Administrative Ministry calls for a report wherein the complaint is against
Board Level officials(s), a factual report shall be sent to the Ministry and
the copy of which shall be marked to the CVC.
9.3 At times, the complaints are forwarded by the Administrative Ministry for
report. In all such cases, the factual report shall be sent to the Ministry,
the copy of which shall also be endorsed to the CVC.
(CVC Office Order No. 25/4/05 dated 29th April, 2005 and 25/7/06 dated 6th July,
2006).
10.1 The complainant needs to be contacted to verify the genuineness and also
to clarify the gaps in information since, at times, the complainant may not
be able to articulate the allegations properly. It is hence necessary that in
all complaints where contact details are provided, the complainant is
contacted, to verify the genuineness and also for additional information /
clarification that the complainant could provide. Further, all signed
complaints received from the complainant in person are to be
acknowledged.
be taken by the Vigilance Head of the Project / Region not to reveal the
identity of the complainant.
(iii) Obtaining for himself or for any other person any valuable thing or
pecuniary by corrupt or illegal means or by abusing his position as a
public servant.
(vi) There are, however, other irregularities where circumstances will have
to be weighed carefully to take a view whether the officer’s integrity is
in doubt. Gross or willful negligence; recklessness in decision making;
blatant violations of systems and procedures; exercise of discretion in
excess, where no ostensible/public interest is evident; failure to keep
the controlling authority/superiors informed in the time- these are
some of the irregularities where the disciplinary authority with the help
of the CVO should carefully study the case and weigh the
circumstances to come to a conclusion whether there is reasonable
ground to doubt the integrity of the officer concerned.
Commercial risk taking forms part of business. Therefore, every loss caused to
the organization, either in pecuniary or non-pecuniary terms, need not
necessarily become the subject matter of a Vigilance inquiry. Thus, whether a
person of common prudence, working within the ambit of the prescribed rules,
regulations and instruction, would have taken the decision in the prevailing
(Clause 1.6.1 of Chapter I of CVC Vigilance Manual, CVC Office Order No.23/04/04
dated13th April, 2004 and 74/12/05 dated 21st December,2005).
(c) No action is necessary and the complaint shall be dropped and filed in
case the allegations are vague and general and are, pima facie,
unverifiable.
(f) As a rule, complaints relating to the incidents which are more than 5
years old and no action has been taken till then, should not be
processed. However, the limit of 5 years will not apply to cases of
fraud and other criminal offences.
(h) Any other disposal action, based on the merits of the issues raised in
the complaint, the reasons of which shall be recorded.
(Clause 3.4.3, 3.6 & 3.7 of Chapter-III of CVC Vigilance Manual 2005).
In cases where the Vigilance Head of the respective unit / Region needs more
time to complete the verification, an interim reply should be sent to CVO
mentioning the reasons for the delay and the probable date for submission of the
verification report.
The verification report should mention the complaint reference, allegations made
in the complaint, findings, observation on the merits of the complaint i.e.
whether allegations are true or not, the presence / absence of vigilance angle
and the conclusion.
The RVE in Corporate vigilance on analyzing the findings of the verification report
submitted by the vigilance executive of the unit / region may be guided by the
following provisions of CVC while submitting the observations to CVO :
(a) To close the complaint, if there is no merit in the allegations made in the
complaint.
(c) To carry out a detailed investigation if the allegations are prime-facie true
and point towards a vigilance angle.
(Clause 3.8.1 of Chapter-III of CVC Vigilance Manual, 2005 Clause 16.2 of CVC’s
Special Chapter on Vigilance Management in PSEs and CVC’s Office Order No.
25/7/06 dated 6th July, 2006).
Wherever verification has been called for under the belief that it is a
genuine signed complaint and it subsequently comes out that the
complaint is pseudonymous, the consent of the CVC is mandatory in case
investigation is required to be done
(d) The complaint be referred to CBI, with the approval of CMD, if the
findings of the verification reveal that the allegations:
(i) are criminal in nature (e.g. bribery, corruption, forgery, criminal breach of
trust, possession of assets disproportionate to known sources of income,
cheating, etc).; or
The time frame for carrying out a detailed Investigation is three months.
(Clause 4.13.1 of Chapter-IV of CVC Vigilance Manual 2005, Office Order no.000/VGL/18
dated 23rd May, 2000 and 20.05.10 dated 19th May, 2010).
As and when advised by CVO for an investigation, the RVE in Corporate Vigilance
shall seek a detailed investigation report from the Vigilance Executive of the
respective project / Region with a time frame of three months. Investigation
should be prioritized by keeping in view the date of superannuation of the
officials involved.
(a) Not to pursue the investigation any further if the irregularities are not
established.
(b) To recommend necessary action in case the irregularities are established.
The necessary action could be initiation of (i) disciplinary proceedings
against defaulting officials (ii) administrative action i.e.
Warning/Recordable Warning, Advisory Memo etc., and / or (iii) system
improvements.
16.2 While taking a final view on the investigation report, the following care
shall be taken:
(a) The advice of the CVC has to be sought in respect of all officials in the
jurisdiction of the CVC – Board level as well as two levels below the Board
level i.e. GM & above.
(c) If the investigation reveals that the involved officials are below the level
of GM, the case will be generally dealt with by CVO for advice to the
concerned Disciplinary Authority.
Further action shall be taken based on the advice of CVO/CVC, as the case
may be.
b) To use the lawful power of such public servant to the injury or annoyance
of any person;
Under Section 195(1) (e) Cr.P.C., a person making a false complaint can
be prosecuted on a complaint lodged with a court of competent
jurisdiction by the public servant to whom the false complaint was made
or by some other public servant to whom he is subordinate.
References
S.N. Detail
1. CVC Vigilance Manual 2005
2. CVC Special Chapter on Vigilance Management in PSEs
3. CVC Office Order/ Circulars
No. Date Detail
st
(i) 3(v)/99/1 21 June, 1999 Complaint receipt
th
(ii) 3(v)/99/2 29 June, 1999 Anonymous/Pseudonymous
(iii) 3(v)/99/3 7th July, 1999 Special chapter
(iv) 98/DSP/9 31st January, 2002 Anonymous/Pseudonymous
(v) 98/DSP/9 11th October, 2002 Anonymous/Pseudonymous
(vi) NZ/PRC/01 12th May,2003 First Stage Advice (FSA)
(vii) 98/DSP/9 13th August, 2003 Anonymous/Pseudonymous
(viii) 53/09/03 23rd Sept., 2003 Anonymous/Pseudonymous
th
(ix) 12/02/04 26 February, 2004 FSA
(x) 16/03/04 1st April,2004 CVC referred complaints
(xi) 23/04/04 13th April,2004 Definition of Vigilance angle
th
(xii) 33/5/04 17 May, 2004 PIDPI
th
(xiii) 38/6/2004 8 June, 2004 PIDPI
st
(xiv) 57/8/04 31 August,2004 Time limits
(xv) 10/02/05 10th March,2005 PIDPI
(xvi) 25/04/05 29th April,2005 Complaints under purview of Administrative
Ministry
th
(xvii) 30/05/05 9 May,2005 FSA
(xviii) 74/12/05 21st December, Vigilance angle definition
2005
th
(xx) 14/3/06 13 March, 2006 FSA
(xxi) 34/09/07 27th September, FSA
2007
th
(xxii) 4/2/09 27 February, 2009 PIDPI
(xxiii) 9/5/09 12th May, 2009 PIDPI
th
(xxiv) 14/6/09 5 June, 2009 Standard Notice Board
st
(xxv) 15/07/09 1 July, 2009 Complaint Handling Policy
th
(xxvi) 21/08/09 6 August, 2009 FSA
(xxvii) 20/05/10 19th May, 2010 Time limits
th
(xxviii) 03/03/11 11 March, 2011 FSA
The above circulars can be downloaded from the link www.cvc.nic.in