Handling of Appeals/Complaints against Disposal of Grievances – Standard Operating Procedure

Grievances in the Defence Accounts Department

DEFENCE ACCOUNTS DEPARTMENT (DAD) HEADQUARTERS
Ulan Batar Road, Palam, Delhi Cantt.- 110010
Phone 011-25665561, 25665745 Fax:25674806 / 25674821
email: grievancecgda.dad[at]gov.in
(Grievance Cell)

No. AN/Grievance /Report Meeting/VoI/VIII/E-1972

Dated: 30.06.2022

To
All the PCSDA/PIFAs/ PCA (Fys.)/CsDA/IFAs/ NADFM/RTCs.

Subject:- Strengthening of Grievance Redressal Mechanism in the Department -Nomination of Officers for Handling of Appeals and Standard Operating Procedure {SOP} for Appeals – reg.

Reference:- HQrs Office circular of even number dated 22.07.2021, 28.10.2021 & 23.12.2021.

Reference is invited to this Grievance Cell of HQrs Office circulars of even no. dated 22.07.2021 {Cir. No. 4542 on website}, circular dated 28.10.2021 {Cir No. 4647 on website}and dated 23.12.2021 {Cir No. 4681 on website} under reference on the subject.

2. Based on the guidelines issued by the Dept. of Administrative Reforms & Public Grievances, Min. of Personnel, Public Grievances & Pensions and MOD (Fin), the nomination of officers for handling grievance related issues have been revised by the Competent Authority, viz, CGDA. The details of officers nominated to deal with Appeals on Grievances received in the DAD HQrs and the MOD (Fin) are as under:-

3. Further, with a view to ensure smooth handling of Appeals on Grievances in the Department and also to ensure uniformity in dealing with the same, a Standard Operating Procedure {SOP} for handling of Appeals has been prepared and attached to this communication as Annexure ‘A’. It is requested that prompt action may be taken on the appeals to ensure disposal of the same within the prescribed time limits.

4. Further, a copy of the SOP for handling grievances circulated earlier is also attached as Annexure “B” for instant reference.

5. Suggestions for improving the processing/handling of Appeals/Grievances, if any, can be furnished {even in individual capacity by officers/staff also} through e-mail at “[email protected]. in’.

Sd/-
(Rajeev Ranjan Kumar)
or. Dy. CGDA (Estt.)

Annexure ‘A’

Handling of Appeals/Complaints against Disposal of Grievances – Standard Operating Procedure SoP

1. What is Appeal against Disposal of Grievance?

i. An Appeal is an application/complaint to the Appellate Authority with the request for review or reconsideration of the decision of the competent authority, who had earlier considered & redressed the grievance.

2. Who can prefer Appeal?

i. Any person, who had earlier preferred a grievance which was disposed of [closed and the individual is not satisfied with the decision of the competent authority who had earlier considered & redressed the grievance, may prefer an Appeal/Complaint.

3. Submission of Appeals

• i. An Appeal/ Complaint can be made only after final disposal of the grievance initially lodged. No Appeal is allowed against a grievance which is pending.
• ii The Appeal should contain details of the grievance and reply furnished to the individual in disposal of grievance. Incomplete appeals will not be considered.
• iii. Where the grievance has been received & disposed of through DARPG’s online pg-portal, appeal against such disposal shall be made through the DARPG’s pg-portal meant for Appeals only.
• iv. Where a grievance is received in hard-copy & disposed similarly, any appeal against such disposal shall be made through hard-copy only. Further, if any grievance is received through e-mail & disposed of through e-mail or hard-copy, appeal in such case should also be in hard-copy only. Submission of Appeals through E-Mail is not accepted.

4. Receipt of Appeals in DAD HQrs. Office & Action by Grievance Cell

• i. Appeals are received either through online pg-portal or in hard-copies.
• ii. Appeals received through pg-portal will initially be received by Nodal Appellate Authority in MOD (Fin) and the same will be forwarded online to the concerned Sub-Ordinate Appellate Authority in DAD HQrs., viz., Pension Cell for pension related appeals and to Grievance Cell for all other issues.
• iii The Grievance Cell, on receipt of Appeals, will further transmit the same to the concerned Sections of DAD HQrs./PCA (Fys.)/PCsDA/CsDA through pg-portal for examination & necessary action.
• iv. Appeals received through pg-portal and which do not pertain to the Department, will be either transmitted to the concerned Ministry/Department or returned back to the MOD (Fin)/Appellant as the case may be.
• v. Where a grievance was initially processed & finally disposed by the Grievance Cell of DAD HQrs. itself on pg-portal, Appeals in such cases will be processed by the Grievance Cell at their end for obtaining orders of the Sr.Joint CGDA/Joint CGDA concerned and disposed of the same. However, in certain cases, such Appeals can also be forwarded to concerned Section of DAD HQrs./ PCDA/CDA, if considered necessary, based on the nature and/or contents of the Appeal.
• vi Appeals received in hard-copies {grievances received initially in hard copies or through e-mails and disposed in hard copies} will be verified to ensure that the original grievance has been disposed through hard copy only. Thereafter, the same will be diarised with dak ID No. & date and entered in the Appeal Register (manual or electronically) by the Task-Holder. Thereafter, the same will be forwarded to the concerned Section of this HQrs office IPCA(Fys.)//PCsDA/CsDA, through a forwarding memo, for examination & disposal of the said appeal.
• vii. Where an appeal is received in hard-copy without necessary supporting documents or details of grievance initially disposed of, the Grievance Cell of DAD HQrs. may return the same to the appellant with request to re-submit the same with requisite details.
• viii. In case of any Appeal received through E-Mail, the appellant will be advised, through E-Mail only, to submit Appeal through pg-portal or in hard copy only.

5. Action by concerned Sections of HQrs Office

• i. On receipt of an appeal from the Grievance Cell of DAD HQrs. on pg-portal, the same will be examined in the Section of HQrs Office for further necessary action. After obtaining approval of the Competent Appellate Authority, viz., Sr. Joint CGDA / Joint CGDA concerned, a suitable reply in the form of speaking order will be issued to the appellant through post/mail and the ATR to be up-loaded on pg-portal for closure of appeal on portal by Grievance Cell. While issuing final reply to appellant or endorsing copy to Grievance Cell, it is necessary to mention that the disposal has the approval of the Sr. Joint CGDA / Joint CGDA.
• ii. In cases where the PCDA/CDA/Sub-Office is required to be consulted in the matter for further comments and/or additional inputs, the Section of DAD HQrs. may further refer the matter to the PCDA/CDA concerned from their end. However, final disposal of Appeal will be done as indicated at Para 5(i) above.
• iii. In case of receipt of appeals in hard-copies, the matter may be taken-up further with PCDA/CDA concerned, for their examination and further necessary action, where details/additional inputs are required, through post/e-mail as the case may be. After obtaining approval of the Sr. Joint CGDA / Joint CGDA concerned, a suitable reply will be issued to appellant by post and copy of the same/ATR endorsed to the Grievance Cell of DAD HQrs. for formal closure of the appeal and updation of records.
• iv. As far as Appeals on Pension related issues are concerned, the Nodal Appellate Authority in MOD (Fin) may also directly transmit the same to Sub-Appellate Authority in Pension Cell of DAD HQrs., who in turn may further take-up the matter with concerned PCDA/CDA/Sub-Offices for necessary comments/inputs. On receipt of requisite comments/inputs, the final disposal will be as per Para 5(i) above.

6. Action by PCDA/CDA ( Now as an Appellate Authority)

i. On receipt of appeal from the Office of the DAD HQrs., on pg-portal the same will be examined in PCA(Fys)/PCsDA/CsDA for further necessary action. After obtaining approval of the Appellate Authority (ie. PCsDA/CsDA) a suitable reply in the form of speaking order will be issued to the appellant through post/mail and the same ATR to be up-loaded on the PG portal for closure of appeal on portal by Grievance Cell. The appeal should be redressed at the earliest but not later than 15 working days.

7. Closure of Appeal/Complaint

• i. The Grievance Cell will examine the ATRs/Remarks uploaded on pg-portal by the Sections of the DAD HQrs./ PCA (Fys)/PCsDA/CsDA to ensure that the appeal has been disposed of with the approval of the Competent Authority and the appellant has also been informed of the action taken in the matter. Thereafter, the appeal will be closed by the Grievance Cell of DAD HQrs. and submit the same to the Nodal Appellate Authority in MOD (Fin) for final closure or further action, as the case may be.
• ii. Where appeals have been received directly in HQrs Office {hard copies/e-mails} and have been processed in hard-copies, the Grievance Cell of the DAD HQrs. will examine the ATRs/Copies of Replies endorsed to it and close the appeal. The Grievance Cell will update their data/records accordingly.
• iii. In cases, where the action taken by the Sections of the DAD HQrs./ PCsDA/CsDA office is found to be inadequate or incomplete, the Grievance Cell may request for re-examination/ revisit of the appeal by remitting back the appeal to the Sections /sub offices concerned.
• iv. In all the cases, it is necessary to ensure that the Appellant has been informed of the action taken in the matter.

8. Management Information System (MIS)

• i. Record/details of all the appeals received in hard-copies and their disposals will be maintained by the Grievance Cell, concerned Sections of the DAD HQrs./PCA(Fys)/ PCsDA/CsDA and furnished the reports as & when called for by the Ministry/DARPG.

Annexure ‘B’

The SOP for handling of grievances circulated vide HQrs Office circular bearing No. AN/Grievance/ Report Meeting/Vol.VIIl dated 16.12.2020 and as further amended vide HQrs circular dated 03.08.2021, is reproduced for instant reference and use.

Handling of Grievances in the Defence Accounts Department – Standard Operating Procedure

1. What is Grievance?

i. Grievances are expressions of resentment against specific acts of omission or commission that are wrong or perceived as wrong and require corrective action to be taken. In other words, if a grievance is received, it needs to be redressed.

ii. For the present purpose, grievances include complaints by service recipients against non-delivery of services as expected by service recipients but do not include requests for service delivery in the normal course (i.e. not before exhausting prescribed channels). However, the following are NOT covered under Grievances and not taken-up for redress

• Sub-judice cases or any matter concerning Judgement given by any Court
• Personal and family disputes
• RTI matters (non-furnishing of replies under RTI)
• Anything that impacts upon territorial integrity of the Country or friendly relations with other countries
• Suggestions {including grievance involving policy matters of the Govt. of India (DOPT, Min. of Finance, Min. of Law & Justice etc.)}

2. Who can prefer grievance

i. Officers & staff (including retired) of the DAD, the Armed Forces personnel including Defence Civilians as well as Public can lodge their grievance, if any.

ii. The person who seeks redress of his/her grievance shall submit representation/ grievance under his/her own signature or through online. Representations submitted by spouse/relatives will be considered as complaints only and will be treated accordingly. The only exceptions may be cases in which, because of the death/physical disability etc. of the Govt. servant, it is impossible for the Govt. servant himself to submit a representation; the spouse/relatives may represent. (GOI, MHA OM No.
F.25/21/63-Estt(A) dated 19.09.1963 reproduced as GID No. 4 below Rule 20 of Swamy’s Compilation of CCS (Conduct) Rules, 2019 Edition.} (Annexure-I). (Annexure-I not reproduced).

iii. Efforts shall be made to prefer grievance in clear & unambiguous terms by mentioning details of the individual representing and the relief sought. Copies of all the documents relevant to the case shall be uploaded/enclosed.

3. Prerequisites for submission of grievance, if any

i, Whenever a Government servant wishes to press a claim or seek redress of a grievance, the proper course for him/her is to address his/her immediate official superior or Head of his/her Office or such authority at the lowest level as is competent to deal with the matter. A representation/grievance may not be made unless the appropriate lower authority has already rejected the claim or refused relief or unduly delayed disposal of case. A person may lodge the grievance only after exhausting the prescribed normal channels.

ii. Needless to add, submission of representations including grievances by- passing prescribed channels can be treated as an unbecoming conduct attracting provisions of CCS (Conduct) Rules, 1964. This would include all forms of communication including through e-mails or public grievance
portal etc. The DOPT OM _ F.No.11013/08/2013-Estt.(A-III) dated 31.08.2015 refers. (Annexure-ll). (Annexure-II not reproduced).

4. Receipt of Grievances in DAD HQrs Office & Action by Grievance Cell

i. Grievances are received in DAD HQrs. through online pg-portal from MOD (Fin), hard copies by post, soft copies through e-mail etc.

ii. Grievances received through pg-portal will be first examined in the Grievance Cell, to verify whether the same are covered under the definition of ‘grievance’ or not. In case the same is NOT covered under the definition of ‘grievance’ and only a complaint/representation or suggestion in nature, the Grievance Cell will make a note/remarks to this effect in the relevant column on the pg-portal itself and closes the grievance. However, complaints/representations received on pg-portal through PMO/President’s Secretariat will be processed on E-Office for obtaining approval of the Public Grievance Officer before closure. After closure of such complaints/suggestions on portal, the same are transmitted through e-mail or print-outs to the concerned Sections in the HQrs Office/PCDA/CDA for necessary action as deemed fit.

The Grievances, which are covered under the definition of ‘grievance’, will be forwarded, through the same portal, to the concerned Sections of HQrs Office for examination & necessary action. Where there is any difficulty in identifying the Section to whom the grievance pertains, the SAO/AO (Grievance) and/or the Public Grievance Officer will be consulted by AAO/Task-Holder.

{Para 4(ii) as amended vide circular dated 03.08.2021}

iii. Representations received in hard copies will be diarised with dak ID No & date and enter in the workbook by the task holder. The same shall be examined in the Cell and if the issue(s) raised in the representation falls under the definition of Grievance, the same shall be scanned and uploaded on pg-portal with CGDAN login credentials and thereafter, forwarded to concerned Sections of HQrs Office for further necessary action.

iv. The hard copies of representations, which are NOT covered under the definition of grievance, shall not be uploaded on portal but forwarded to the concerned Sections of HQrs Office dealing with the subject matter with a forwarding memo for examination and further necessary action at their end as deemed fit.

{Example:- Shri/Smt. ‘X’ is a DAD employee. If ‘X’ represents for his/her transfer after exhausting prescribed channels, the same will be a ‘Grievance’. In case, ‘Y’, the spouse/relative of ‘X’ represents, the same will be treated as a complaint/representation only.}

v. Representations received through E-Mails shall be examined by the Grievance Cell. Print-outs of the representations, which are covered under the definition of grievance, shall be taken and uploaded on the portal using CGDAN login credentials. Thereafter, action as above shall be taken.

vi. The E-Mails which are NOT covered under the definition of grievance, shall be forwarded, through E-Mail only, to the concerned Sections of HQrs Office dealing with the subject matter for examination and necessary action at their end.

Note:- 1. The Grievance Cell monitors the receipt, progress and final disposal of the grievances and renders requisite reports to the Ministry.

2. The grievances shall be examined and redressed by the concerned Sections of the HQrs Office, dealing with the policy matters on the subject. Where grievances are further transmitted by HQrs to the PCDA/CDA, they may examine & dispose of the same.

3. The representations/complaints against the officials of DAD without having any vigilance angle shall be handled by the Grievance Cell and forwarded directly to the concerned PCDA/CDA for examination & appropriate action as deemed fit.

{Example:- The wife of an official of DAD, complaining that her husband is not taking proper care of the family or alleging any misbehavior (family disputes). However, in cases where an FIR has been lodged or Criminal Case filed, the same shall be forwarded to AN (Discipline & Vigilance Section) for examination & further necessary action.}

5. Action by concerned Sections of HQrs Office

i. On receipt of a grievance from the Grievance Cell, the same shall be examined in the Section of HQrs Office for further necessary action. In case the same is NOT covered under the definition of ‘grievance’, the same shall be considered as a representation/complaint only & processed for further necessary action as deemed fit. The individual shall be intimated suitably and copy of letter/action taken (ATR) uploaded on portal to enable the Grievance Cell to close the grievance (recommendation to Grievance Cell for closure).

ii. In cases other than (i) above, the issue raised in the grievance shall be examined and necessary corrective action taken. The action taken may be intimated to the individual concerned through a letter by post and the same/ATR up-loaded on pg-portal for closure of grievance on portal by Grievance Cell.

iii. In case where the PCDA/CDA is required to be consulted for further action or clarification, the Section of HQrs may further refer the matter, through pg-portal for necessary action by PCDA/CDA. After completion of action, the same shall be intimated to the individual concerned through a letter by post and copy/ATR uploaded on the portal for further action by Grievance Cell.

6. Action by PCDA/CDA

i. On receipt of grievance from HQrs Office for any clarification/details, the Office of PCDA/CDA shall examine the issue and furnish the requisite clarification/details to HQrs at the earliest to enable them to take further necessary action in the matter.

ii. Where the HQrs Office has transferred the grievance to the PCDA/CDA concerned, the Office of PCDA/CDA shall examine the issue(s) raised in the grievance and redress the same at the earliest and preferably, within 30 days. As per the revised guidelines, the grievances should be redressed finally within forty five (45) days from the date of its receipt in the Department. In case redressal is not possible within the prescribed time-frame due to any valid reasons, an interim reply shall be given to the petitioner.

However, the grievances related to the pensioners should continue to be finally resolved within 30 days in compliance of the decisions taken during eSamiksha in respect of Dept. of Ex-Servicemen Welfare on 08.11.2019. Further, the grievances under COVID-19 category shall continue to be taken up on high priority and resolved maximum within 3 days.”

{Para 6(ii) as amended vide circular dated 03.08.2021}

iii. | After resolving the issue raised in the grievance, the individual concerned shall be intimated through a letter to be sent by post and also copy uploaded on portal.

7. Closure of grievances

i. The Grievance Cell shall examine the ATRs uploaded by the Sections of the HQrs Office / Offices of PCSDA/CsDA to ensure that the grievance has been redressed and also that the individual concerned has been informed of the action taken in the matter. Thereafter, the grievance shall be closed.

ii. In cases, where the action taken by the Sections of HQrs/PCDA/CDA is found to inadequate or incomplete, the Grievance Cell may request for re-examination/ revisit of the grievance through portal.

8. Management Information System (MIS)

i. To ensure that the grievances are being handled as per the provisions on the subject and also to examine the areas of concern requiring improvement, all the PCsDA/CsDA will hold Fort-Nightly Meetings in their respective offices to discuss pending grievance, if any. In this regard, Para 4 of MOD ID No. F.36(7)/2019-D(PG/O&M) dated 30.12.2019, circulated vide HQrs Office circular bearing No. AN/Grievance/Report Meeting/Vol. VIII dated 10.01.2020 also refers.

ii. The details of grievances pending over 45 days, with justification for delay, shall be forwarded to the Grievance Cell of HQrs Office on monthly basis for appraisal of the Public Grievance Officer and furnishing of requisite reports to the Ministry. The Monthly Reports in respect of PCsDA/CsDA shall have the approval of PCDA/CDA concerned. Similarly, if grievances are pending with the HQrs Office only, the concerned Section/Wing of HQrs Office shall furnish the report, duly approved by the Joint CGDA concerned. The reports shall reach HQrs Office, through e-mail grievancecgda.dad[at]gov.in by 5th of the following month.

9 User Manual for “Centralized Public Grievances Redress and Monitoring System (CPGRAMS) is available on the Ministry of Personnel, Public Grievances & Pensions, Dept. of Administrative Reforms and Public Grievances DARPG website.