Common use of Banning of Business Dealings Clause in Contracts

Banning of Business Dealings. I. Normally, a decision to ban business dealings with any Agency should apply throughout the Company including Subsidiaries. However, the Competent Authority of the Department/Region except Corporate Office can impose such ban unit-wise only if in the particular case banning of business dealings by respective Department/Region will serve the purpose and achieve its objective and banning throughout the Company is not required in view of the local conditions and impact of the misconduct/default to beyond the Department/Region. Any ban imposed by Corporate Office shall be applicable across all Departments/Regions of the Company. II. For Company-wide banning, the proposal should be sent by The CVO through the Chief Executive of the Department/Region setting out the facts of the case and the justification of the action proposed along with all the relevant papers and documents. The Corporate Vigilance shall process the proposal of the Department/Region for a prima- facie view in the matter by the Competent Authority nominated for Company-wide banning. The CVO shall get feedback about that agency from all other Departments/Stations. Based on this feedback, a prima-facie decision for banning/or otherwise shall be taken by the Competent Authority. If the prima-facie decision for Company-wide banning has been taken, the Corporate Vigilance shall issue a show-cause notice to the agency conveying why it should not be banned throughout Pawan Hans. After considering the reply of the Agency and other circumstances and facts of the case, a final decision for Company-wide banning shall be taken by the Competent Authority. III. There will be a Standing Committee in each Department/Region to be appointed by Chief Executive for processing the cases of “Banning of Business Dealings” except for banning of business dealings with foreign suppliers of coal/coke. However, for procurement of items/award of contracts, to meet the requirement of Corporate Office only, the committee shall be consisting of Executive Director/General Manager from Finance, Procurement and Legal: a) To study the report of the Investigating Agency and decide if a prima-facie case for Company-wide/Local Region wise banning exists, if not, send back the case to the Competent Authority. b) To recommend for issue of show-cause notice to the Agency by the concerned department. c) To examine the reply to show-cause notice and call the Agency for personal hearing, if required. d) To submit final recommendation to the Competent Authority for banning or otherwise. IV. If the Competent Authority is prima-facie of the view that action for banning business dealings with the Agency is called for, a show-cause notice may be issued to the Agency as per paragraph 9.1 and an enquiry held accordingly. I. If the Competent Authority decides that the charge against the Agency is of a minor nature, it may issue a show-cause notice as to why the name of the Agency should not be removed from the list of approved Agencies - Suppliers/Contractors, etc. II. The effect of such an order would be that the Agency would not be disqualified from competing in Open Tender Enquiries. III. Past performance of the Agency may be taken into account while processing for approval of the Competent Authority for awarding the contract. I. In case where the Competent Authority decides that action against an Agency is called for, a show-cause notice has to be issued to the Agency. Statement containing the imputation of misconduct or misbehaviour may be appended to the show-cause notice and the Agency should be asked to submit within 15 days a written statement in its defence. II. If the Agency requests for inspection of any relevant document in possession of Pawan Hans, necessary facility for inspection of documents may be provided. III. The Competent Authority may consider and pass an appropriate speaking order: a) For exonerating the Agency if the charges are not established; b) For removing the Agency from the list of approved Suppliers/Contactors, etc. c) For banning the business dealing with the Agency. IV. If it decides to ban business dealings, the period for which the ban would be operative may be mentioned. The order may also mention that the ban would extend to the interconnected Agencies of the Agency. I. The Agency may file an appeal against the order of the Competent Authority banning business dealing, etc. The appeal shall be to the Appellate Authority. Such an appeal shall be preferred within one month from the date of receipt of the order banning business dealing, etc. II. Appellate Authority would consider the appeal and pass appropriate order which shall be communicated to the Agency as well as the Competent Authority. Any petition/application filed by the Agency concerning the review of the banning order passed originally by Chief Executive/Competent Authority under the existing guidelines either before or after filing of appeal before the Appellate Authority or after disposal of appeal by the Appellate Authority, the review petition can be decided by the Chief Executive/Competent Authority upon disclosure of new facts/circumstances or subsequent development necessitating such review. The Competent Authority may refer the same petition to the Standing Committee for examination and recommendation. I. Depending upon the gravity of misconduct established, the Competent Authority of the Corporate Office may circulate the names of Agency with whom business dealings have been banned, to the Government Departments, other Public Sector Enterprises, etc. for such action as they deem appropriate. II. If Government Departments or a Public Sector Enterprise request for more information about the Agency with whom business dealings have been banned, a copy of the report of Inquiring Authority together with a copy of the order of the Competent Authority/Appellate Authority may be supplied. III. If business dealings with any Agency have been banned by the Central or State Government or any other Public Sector Enterprise, Pawan Hans may, without any further enquiry or investigation, issue an order banning business dealing with the Agency and its inter- connected Agencies. IV. Based on the above, Departments/Stations may formulate their own procedure for implementation of the Guidelines.

Banning of Business Dealings. I. 7.1 Normally, a decision to ban business dealings with any Agency should apply throughout the Company including Subsidiaries. However, the Competent Authority of the Department/Region Unit except Corporate Office can impose such ban unit-wise only if in the particular case banning of business dealings by respective Department/Region Unit will serve the purpose and achieve its objective and banning throughout the Company is not required in view of the local conditions and impact of the misconduct/default to beyond the Department/RegionUnit. Any ban imposed by Corporate Office shall be applicable across all Departments/Regions Stations of the CompanyCompany including Subsidiaries. II. 7.2 For Company-wide banning, the proposal should be sent by The ACVO of the Department/Unit to the CVO through the Chief Executive of the Department/Region Unit setting out the facts of the case and the justification of the action proposed along with all the relevant papers and documentsdocuments except for banning of business dealings with Foreign Suppliers of imported coal/coke. The Corporate Vigilance shall process the proposal of the Department/Region Unit for a prima- prima-facie view in the matter by the Competent Authority nominated for Company-wide banning. The CVO shall get feedback about that agency from all other Departments/Stations. Based on this feedback, a prima-facie decision for banning/or otherwise shall be taken by the Competent Authority. If the prima-facie decision for Company-wide banning has been taken, the Corporate Vigilance shall issue a show-cause notice to the agency conveying why it should not be banned throughout Pawan HansAIR INDIA LIMITED. After considering the reply of the Agency and other circumstances and facts of the case, a final decision for Company-wide banning shall be taken by the Competent Authority. III. 7.3 There will be a Standing Committee in each Department/Region Unit to be appointed by Chief Executive for processing the cases of “Banning of Business Dealings” except for banning of business dealings with foreign suppliers of coal/coke. However, for procurement of items/award of contracts, to meet the requirement of Corporate Office only, the committee shall be consisting of Executive Director/General Manager from Finance, Procurement and Legal: ai) To study the report of the Investigating Agency and decide if a prima-facie case for Company-wide/Local Region unit wise banning exists, if not, send back the case to the Competent Authority. bii) To recommend for issue of show-cause notice to the Agency by the concerned department. ciii) To examine the reply to show-cause notice and call the Agency for personal hearing, if required. div) To submit final recommendation to the Competent Authority for banning or otherwise. IV. 7.4 If the Competent Authority is prima-facie of the view that action for banning business dealings with the Agency is called for, a show-cause notice may be issued to the Agency as per paragraph 9.1 and an enquiry held accordingly. I. If the Competent Authority decides that the charge against the Agency is of a minor nature, it may issue a show-cause notice as to why the name of the Agency should not be removed from the list of approved Agencies - Suppliers/Contractors, etc. II. The effect of such an order would be that the Agency would not be disqualified from competing in Open Tender Enquiries. III. Past performance of the Agency may be taken into account while processing for approval of the Competent Authority for awarding the contract. I. In case where the Competent Authority decides that action against an Agency is called for, a show-cause notice has to be issued to the Agency. Statement containing the imputation of misconduct or misbehaviour may be appended to the show-cause notice and the Agency should be asked to submit within 15 days a written statement in its defence. II. If the Agency requests for inspection of any relevant document in possession of Pawan Hans, necessary facility for inspection of documents may be provided. III. The Competent Authority may consider and pass an appropriate speaking order: a) For exonerating the Agency if the charges are not established; b) For removing the Agency from the list of approved Suppliers/Contactors, etc. c) For banning the business dealing with the Agency. IV. If it decides to ban business dealings, the period for which the ban would be operative may be mentioned. The order may also mention that the ban would extend to the interconnected Agencies of the Agency. I. The Agency may file an appeal against the order of the Competent Authority banning business dealing, etc. The appeal shall be to the Appellate Authority. Such an appeal shall be preferred within one month from the date of receipt of the order banning business dealing, etc. II. Appellate Authority would consider the appeal and pass appropriate order which shall be communicated to the Agency as well as the Competent Authority. Any petition/application filed by the Agency concerning the review of the banning order passed originally by Chief Executive/Competent Authority under the existing guidelines either before or after filing of appeal before the Appellate Authority or after disposal of appeal by the Appellate Authority, the review petition can be decided by the Chief Executive/Competent Authority upon disclosure of new facts/circumstances or subsequent development necessitating such review. The Competent Authority may refer the same petition to the Standing Committee for examination and recommendation. I. Depending upon the gravity of misconduct established, the Competent Authority of the Corporate Office may circulate the names of Agency with whom business dealings have been banned, to the Government Departments, other Public Sector Enterprises, etc. for such action as they deem appropriate. II. If Government Departments or a Public Sector Enterprise request for more information about the Agency with whom business dealings have been banned, a copy of the report of Inquiring Authority together with a copy of the order of the Competent Authority/Appellate Authority may be supplied. III. If business dealings with any Agency have been banned by the Central or State Government or any other Public Sector Enterprise, Pawan Hans may, without any further enquiry or investigation, issue an order banning business dealing with the Agency and its inter- connected Agencies. IV. Based on the above, Departments/Stations may formulate their own procedure for implementation of the Guidelines.

Banning of Business Dealings. I. 7.1 Normally, a decision to ban business dealings with any Agency should apply throughout the Company including Subsidiaries. However, the Competent Authority of the Department/Region Plant / Unit except Corporate Office can impose such ban unit-wise only if in the particular case banning of business dealings by respective Department/Region Plant / Unit will serve the purpose and achieve its objective and banning throughout the Company is not required in view of the local conditions and impact of the misconduct/misconduct / default to beyond the Department/RegionPlant / Unit. Any ban imposed by Corporate Office shall be applicable across all Departments/Regions Plants / Units of the CompanyCompany including Subsidiaries. II. For Company-wide banning, the proposal should be sent by The CVO through the Chief Executive of the Department/Region setting out the facts of the case and the justification of the action proposed along with all the relevant papers and documents. The Corporate Vigilance shall process the proposal of the Department/Region for a prima- facie view in the matter by the Competent Authority nominated for Company-wide banning. The CVO shall get feedback about that agency from all other Departments/Stations. Based on this feedback, a prima-facie decision for banning/or otherwise shall be taken by the Competent Authority. If the prima-facie decision for Company-wide banning has been taken, the Corporate Vigilance shall issue a show-cause notice to the agency conveying why it should not be banned throughout Pawan Hans. After considering the reply of the Agency and other circumstances and facts of the case, a final decision for Company-wide banning shall be taken by the Competent Authority. III. 7.2 There will be a Standing Committee in each Department/Region Plant / Unit to be appointed by Chief Executive for processing the cases of “Banning of Business Dealings” except for banning of business dealings with foreign suppliers of coal/coke. However, for procurement of items/items / award of contracts, to meet the requirement of Corporate Office only, the committee shall be consisting of Executive Director/General Manager / Dy. General Manager each from Operations, Finance, Procurement and LegalLaw & CMMG. Member from CMMG shall be the convener of the committee. The functions of the committee shall, inter-alia include: ai) To study the report of the Investigating Agency and decide if a prima-facie case for Company-wide/wide / Local Region unit wise banning exists, if not, send back the case to the Competent Authority. bii) To recommend for issue of show-cause notice to the Agency by the concerned department. ciii) To examine the reply to show-cause notice and call the Agency for personal hearing, if required. div) To submit final recommendation to the Competent Authority for banning or otherwise. IV7.3 If companywide banning is contemplated by the banning Committee of any plant/ unit, the proposal should be sent by the committee to ED (CMMG) through the Chief Executive of the Plant/ Unit setting out the facts of the case and the justification of the action proposed along with all the relevant papers and documents. CMMG shall get feedback about that agency from all other Plants / Units and based on this feedback, a prima- facie decision for banning / or otherwise shall be taken by the Competent Authority. At this stage if it is felt by the Competent Authority that there is no sufficient ground for companywide banning, then the case shall be sent back to the Chief Executive of the Plant/ Unit for further action at the Plant/ Unit level. If the prima-facie decision for Company-wide banning has been taken, ED (CMMG) shall issue a show-cause notice to the agency conveying why it should not be banned throughout SAIL. After considering the reply of the Agency and other circumstances and facts of the xxxx, XX (CMMG) will submit the case to the Competent Authority to take a final decision for Company-wide banning or otherwise. 7.4 If the Competent Authority is prima-facie of the view that action for banning business dealings with the Agency is called for, a show-cause notice may be issued to the Agency as per paragraph 9.1 and an enquiry held accordingly. I. 7.5 Procedure for Banning of Business Dealings with Foreign Suppliers of imported coal/coke. i) Banning of the agencies shall apply through out the Company including Subsidiaries. ii) Based on the complaint forwarded by ED (CIG) or received directly by Corporate Vigilance, an investigation shall be carried out by Corporate Vigilance. After investigation depending upon the gravity of the misconduct, Corporate Vigilance may send their report to Executive Director, Coal Import Group to be placed before a Committee consisting of the following :- 1. ED (F&A)/Head of Corporate Finance, 2. ED, CIG/Head of CIG – Convenor of the Committee 3. ED, CMMG/Head of CMMG, Corporate Office 4. ED (Law)/Head of Corporate Law The Committee shall examine the report and give its comments / recommendations within 21 days of receipt of the reference by ED, CIG. iii) The comments / recommendations of the Committee shall be placed by ED, CIG before SAIL Directors’ Committee (SDC) constituted for import of Coal. If SDC opines that it is a fit case for initiating banning action, it will direct ED (CIG) to issue show- cause notice to the agency for replying within a reasonable period. iv) On receipt of the reply or on expiry of the stipulated period, the case shall be submitted by ED (CIG) to SDC for consideration & decision. v) The decision of the SDC shall be communicated to the agency by ED (CIG). 8.1 If the Competent Authority decides that the charge against the Agency is of a minor nature, it may issue a show-cause notice as to why the name of the Agency should not be removed from the list of approved Agencies - Suppliers/Suppliers / Contractors, etc. II. 8.2 The effect of such an order would be that the Agency would not be disqualified from competing in Open Tender EnquiriesEnquiries but LTE may not be given to the Agency concerned. III. 8.3 Past performance of the Agency may be taken into account while processing for approval of the Competent Authority for awarding the contract. I. In case where the Competent Authority decides that action against an Agency is called for, a show-cause notice has to be issued to the Agency. Statement containing the imputation of misconduct or misbehaviour may be appended to the show-cause notice and the Agency should be asked to submit within 15 days a written statement in its defence. II. If the Agency requests for inspection of any relevant document in possession of Pawan Hans, necessary facility for inspection of documents may be provided. III. The Competent Authority may consider and pass an appropriate speaking order: a) For exonerating the Agency if the charges are not established; b) For removing the Agency from the list of approved Suppliers/Contactors, etc. c) For banning the business dealing with the Agency. IV. If it decides to ban business dealings, the period for which the ban would be operative may be mentioned. The order may also mention that the ban would extend to the interconnected Agencies of the Agency. I. The Agency may file an appeal against the order of the Competent Authority banning business dealing, etc. The appeal shall be to the Appellate Authority. Such an appeal shall be preferred within one month from the date of receipt of the order banning business dealing, etc. II. Appellate Authority would consider the appeal and pass appropriate order which shall be communicated to the Agency as well as the Competent Authority. Any petition/application filed by the Agency concerning the review of the banning order passed originally by Chief Executive/Competent Authority under the existing guidelines either before or after filing of appeal before the Appellate Authority or after disposal of appeal by the Appellate Authority, the review petition can be decided by the Chief Executive/Competent Authority upon disclosure of new facts/circumstances or subsequent development necessitating such review. The Competent Authority may refer the same petition to the Standing Committee for examination and recommendation. I. Depending upon the gravity of misconduct established, the Competent Authority of the Corporate Office may circulate the names of Agency with whom business dealings have been banned, to the Government Departments, other Public Sector Enterprises, etc. for such action as they deem appropriate. II. If Government Departments or a Public Sector Enterprise request for more information about the Agency with whom business dealings have been banned, a copy of the report of Inquiring Authority together with a copy of the order of the Competent Authority/Appellate Authority may be supplied. III. If business dealings with any Agency have been banned by the Central or State Government or any other Public Sector Enterprise, Pawan Hans may, without any further enquiry or investigation, issue an order banning business dealing with the Agency and its inter- connected Agencies. IV. Based on the above, Departments/Stations may formulate their own procedure for implementation of the Guidelines.

Banning of Business Dealings. I. 7.1 Normally, a decision to ban business dealings with any Agency should apply throughout the Company including Subsidiaries. However, the Competent Authority of the Department/Region Unit except Corporate Office can impose such ban unit-wise only if in the particular case banning of business dealings by respective Department/Region Unit will serve the purpose and achieve its objective and banning throughout the Company is not required in view of the local conditions and impact of the misconduct/default to beyond the Department/RegionUnit. Any ban imposed by Corporate Office shall be applicable across all Departments/Regions Stations of the CompanyCompany including Subsidiaries. II. 7.2 For Company-wide banning, the proposal should be sent by The ACVO of the Department/Unit to the CVO through the Chief Executive of the Department/Region Unit setting out the facts of the case and the justification of the action proposed along with all the relevant papers and documentsdocuments except for banning of business dealings with Foreign Suppliers of imported coal/coke. The Corporate Vigilance shall process the proposal of the Department/Region Unit for a prima- prima-facie view in the matter by the Competent Authority nominated for Company-wide banning. The CVO shall get feedback about that agency from all other Departments/Stations. Based on this feedback, a prima-facie decision for banning/or otherwise shall be taken by the Competent Authority. If the prima-facie decision for Company-wide banning has been taken, the Corporate Vigilance shall issue a show-cause notice to the agency conveying why it should not be banned throughout Pawan HansAIR INDIA. After considering the reply of the Agency and other circumstances and facts of the case, a final decision for Company-wide banning shall be taken by the Competent Authority. III. 7.3 There will be a Standing Committee in each Department/Region Unit to be appointed by Chief Executive for processing the cases of “Banning of Business Dealings” except for banning of business dealings with foreign suppliers of coal/coke. However, for procurement of items/award of contracts, to meet the requirement of Corporate Office only, the committee shall be consisting of Executive Director/General Manager from Finance, Procurement and Legal: ai) To study the report of the Investigating Agency and decide if a prima-facie case for Company-wide/Local Region unit wise banning exists, if not, send back the case to the Competent Authority. bii) To recommend for issue of show-cause notice to the Agency by the concerned department. ciii) To examine the reply to show-cause notice and call the Agency for personal hearing, if required. div) To submit final recommendation to the Competent Authority for banning or otherwise. IV. 7.4 If the Competent Authority is prima-facie of the view that action for banning business dealings with the Agency is called for, a show-cause notice may be issued to the Agency as per paragraph 9.1 and an enquiry held accordingly. I. If the Competent Authority decides that the charge against the Agency is of a minor nature, it may issue a show-cause notice as to why the name of the Agency should not be removed from the list of approved Agencies - Suppliers/Contractors, etc. II. The effect of such an order would be that the Agency would not be disqualified from competing in Open Tender Enquiries. III. Past performance of the Agency may be taken into account while processing for approval of the Competent Authority for awarding the contract. I. In case where the Competent Authority decides that action against an Agency is called for, a show-cause notice has to be issued to the Agency. Statement containing the imputation of misconduct or misbehaviour may be appended to the show-cause notice and the Agency should be asked to submit within 15 days a written statement in its defence. II. If the Agency requests for inspection of any relevant document in possession of Pawan Hans, necessary facility for inspection of documents may be provided. III. The Competent Authority may consider and pass an appropriate speaking order: a) For exonerating the Agency if the charges are not established; b) For removing the Agency from the list of approved Suppliers/Contactors, etc. c) For banning the business dealing with the Agency. IV. If it decides to ban business dealings, the period for which the ban would be operative may be mentioned. The order may also mention that the ban would extend to the interconnected Agencies of the Agency. I. The Agency may file an appeal against the order of the Competent Authority banning business dealing, etc. The appeal shall be to the Appellate Authority. Such an appeal shall be preferred within one month from the date of receipt of the order banning business dealing, etc. II. Appellate Authority would consider the appeal and pass appropriate order which shall be communicated to the Agency as well as the Competent Authority. Any petition/application filed by the Agency concerning the review of the banning order passed originally by Chief Executive/Competent Authority under the existing guidelines either before or after filing of appeal before the Appellate Authority or after disposal of appeal by the Appellate Authority, the review petition can be decided by the Chief Executive/Competent Authority upon disclosure of new facts/circumstances or subsequent development necessitating such review. The Competent Authority may refer the same petition to the Standing Committee for examination and recommendation. I. Depending upon the gravity of misconduct established, the Competent Authority of the Corporate Office may circulate the names of Agency with whom business dealings have been banned, to the Government Departments, other Public Sector Enterprises, etc. for such action as they deem appropriate. II. If Government Departments or a Public Sector Enterprise request for more information about the Agency with whom business dealings have been banned, a copy of the report of Inquiring Authority together with a copy of the order of the Competent Authority/Appellate Authority may be supplied. III. If business dealings with any Agency have been banned by the Central or State Government or any other Public Sector Enterprise, Pawan Hans may, without any further enquiry or investigation, issue an order banning business dealing with the Agency and its inter- connected Agencies. IV. Based on the above, Departments/Stations may formulate their own procedure for implementation of the Guidelines.

Banning of Business Dealings. I. 7.1 Normally, a decision to ban business dealings with any Agency should apply throughout the Company including Subsidiaries. However, the Competent Authority of the Department/Region Unit except Corporate Office can impose such ban unit-wise only if in the particular case banning of business dealings by respective Department/Region Unit will serve the purpose and achieve its objective and banning throughout the Company is not required in view of the local conditions and impact of the misconduct/default to beyond the Department/RegionUnit. Any ban imposed by Corporate Office shall be applicable across all Departments/Regions Stations of the CompanyCompany including Subsidiaries. II. 7.2 For Company-wide banning, the proposal should be sent by The ACVO of the Department/Unit to the CVO through the Chief Executive of the Department/Region Unit setting out the facts of the case and the justification of the action proposed along with all the relevant papers and documentsdocuments except for banning of business dealings with Foreign Suppliers of imported coal/coke. The Corporate Vigilance shall process the proposal of the Department/Region Unit for a prima- prima-facie view in the matter by the Competent Authority nominated for Company-wide banning. The CVO shall get feedback about that agency from all other Departments/Stations. Based on this feedback, a prima-facie decision for banning/or otherwise shall be taken by the Competent Authority. If the prima-facie decision for Company-wide banning has been taken, the Corporate Vigilance shall issue a show-cause notice to the agency conveying why it should not be banned throughout Pawan HansNACIL. After considering the reply of the Agency and other circumstances and facts of the case, a final decision for Company-wide banning shall be taken by the Competent Authority. III. 7.3 There will be a Standing Committee in each Department/Region Unit to be appointed by Chief Executive for processing the cases of “Banning of Business Dealings” except for banning of business dealings with foreign suppliers of coal/coke. However, for procurement of items/award of contracts, to meet the requirement of Corporate Office only, the committee shall be consisting of Executive Director/General Manager from Finance, Procurement and Legal: ai) To study the report of the Investigating Agency and decide if a prima-facie case for Company-wide/Local Region unit wise banning exists, if not, send back the case to the Competent Authority. bii) To recommend for issue of show-cause notice to the Agency by the concerned department. ciii) To examine the reply to show-cause notice and call the Agency for personal hearing, if required. div) To submit final recommendation to the Competent Authority for banning or otherwise. IV. 7.4 If the Competent Authority is prima-facie of the view that action for banning business dealings with the Agency is called for, a show-cause notice may be issued to the Agency as per paragraph 9.1 and an enquiry held accordingly. I. If the Competent Authority decides that the charge against the Agency is of a minor nature, it may issue a show-cause notice as to why the name of the Agency should not be removed from the list of approved Agencies - Suppliers/Contractors, etc. II. The effect of such an order would be that the Agency would not be disqualified from competing in Open Tender Enquiries. III. Past performance of the Agency may be taken into account while processing for approval of the Competent Authority for awarding the contract. I. In case where the Competent Authority decides that action against an Agency is called for, a show-cause notice has to be issued to the Agency. Statement containing the imputation of misconduct or misbehaviour may be appended to the show-cause notice and the Agency should be asked to submit within 15 days a written statement in its defence. II. If the Agency requests for inspection of any relevant document in possession of Pawan Hans, necessary facility for inspection of documents may be provided. III. The Competent Authority may consider and pass an appropriate speaking order: a) For exonerating the Agency if the charges are not established; b) For removing the Agency from the list of approved Suppliers/Contactors, etc. c) For banning the business dealing with the Agency. IV. If it decides to ban business dealings, the period for which the ban would be operative may be mentioned. The order may also mention that the ban would extend to the interconnected Agencies of the Agency. I. The Agency may file an appeal against the order of the Competent Authority banning business dealing, etc. The appeal shall be to the Appellate Authority. Such an appeal shall be preferred within one month from the date of receipt of the order banning business dealing, etc. II. Appellate Authority would consider the appeal and pass appropriate order which shall be communicated to the Agency as well as the Competent Authority. Any petition/application filed by the Agency concerning the review of the banning order passed originally by Chief Executive/Competent Authority under the existing guidelines either before or after filing of appeal before the Appellate Authority or after disposal of appeal by the Appellate Authority, the review petition can be decided by the Chief Executive/Competent Authority upon disclosure of new facts/circumstances or subsequent development necessitating such review. The Competent Authority may refer the same petition to the Standing Committee for examination and recommendation. I. Depending upon the gravity of misconduct established, the Competent Authority of the Corporate Office may circulate the names of Agency with whom business dealings have been banned, to the Government Departments, other Public Sector Enterprises, etc. for such action as they deem appropriate. II. If Government Departments or a Public Sector Enterprise request for more information about the Agency with whom business dealings have been banned, a copy of the report of Inquiring Authority together with a copy of the order of the Competent Authority/Appellate Authority may be supplied. III. If business dealings with any Agency have been banned by the Central or State Government or any other Public Sector Enterprise, Pawan Hans may, without any further enquiry or investigation, issue an order banning business dealing with the Agency and its inter- connected Agencies. IV. Based on the above, Departments/Stations may formulate their own procedure for implementation of the Guidelines.

Banning of Business Dealings. I. Normally, a 7.1 A decision to ban business dealings with any Agency should by any one of the Departments of DPA will apply throughout the Company Board including Subsidiaries. HoweverDivisions, the Competent Authority of the Department/Region except Corporate Office can impose such ban unit-wise only if in the particular case banning of business dealings by respective Department/Region will serve the purpose and achieve its objective and banning throughout the Company is not required in view of the local conditions and impact of the misconduct/default to beyond the Department/Region. Any ban imposed by Corporate Office shall be applicable across all Departments/Regions of the Company. II. For Companyi.e., Board-wide banning, the proposal should be sent by The CVO through the Chief Executive of the Department/Region setting out the facts of the case and the justification of the action proposed along with all the relevant papers and documents. The Corporate Vigilance shall process the proposal of the Department/Region for a prima- facie view in the matter by the Competent Authority nominated for Company-wide banning. The CVO shall get feedback about that agency from all other Departments/Stations. Based on this feedback, a prima-facie decision for banning/or otherwise shall be taken by the Competent Authority. If the prima-facie decision for Company-wide banning has been taken, the Corporate Vigilance shall issue a show-cause notice to the agency conveying why it should not be banned throughout Pawan Hans. After considering the reply of the Agency and other circumstances and facts of the case, a final decision for Company-wide banning shall be taken by the Competent Authority. III. 7.2 There will be a Standing Banning Committee (SBC) in each Department/Region Department to be appointed by Chief Executive Competent Authority for processing the cases of “Banning of Business Dealings” except for banning of business dealings with foreign suppliers of coal/coke”. However, for procurement of items/items / award of contracts, to meet the requirement of Corporate Office Board only, the committee Committee shall be consisting HoD each from Operations, Finance & Law Departments. The proposal of Executive Director/General Manager from Finance, Procurement the Concerned Department for initiating action under the Guidelines for Banning of Business Dealings based on their own findings and Legal: a) To study the report / or upon receipt of advice of the Investigating Agency Department shall be forwarded through respective Head of Department to the Standing Banning Committee for consideration. 7.3 The functions of the Standing Banning Committee shall, inter-alia include: i) To examine in detail the allegations / irregularities / misconduct mentioned in the proposal for banning forwarded by the Department, hold preliminary meeting and decide if a prima-facie case for Company-wide/Local Region wise banning under the guidelines exists. If during preliminary meeting, if notSBC is of opinion that prima facie no case is made out, send back it shall return the case to the Competent AuthorityConcerned Department. bii) To If it is decided to proceed for banning action, to recommend for issue of show-cause notice (as per para 9) to the Agency by the concerned departmentConcerned Department, as to why action should not be taken against the Agency, including its interconnected agencies, under the Guidelines for Banning of Business Dealings with them. Agency should be asked to submit its reply within 15 days of the show- cause notice. ciii) To examine the reply given by the Agency to show-cause notice and call the Agency for personal hearing, if required. div) To submit final recommendation to the Competent Authority Concerned Department for banning or otherwise. IV. If the Competent Authority is prima-facie of the view that action for banning business dealings with the Agency or Board wide Hold on participation of the Agency in tenders or exoneration. 7.4 If banning is called forrecommended by the Standing Banning Committee of any Department / Division, the proposal containing the facts of the case, proper justification of the action proposed, relevant supporting documents along with the recommendation of the SBC and proposed banning period should be sent by the Concerned Department and duly forwarded by the Head of the Department / Division, to the Competent Authority. Based on this proposal, a show-cause notice may decision for banning or otherwise shall be issued to taken by the Agency as per paragraph 9.1 and an enquiry held accordingly. I. If Competent Authority. At this stage if it is felt by the Competent Authority decides that there is no sufficient ground for banning, then the charge against the Agency is of a minor nature, it may issue a show-cause notice as to why the name of the Agency should not case with detailed reasons shall be removed from the list of approved Agencies - Suppliers/Contractors, etc. II. The effect of such an order would be that the Agency would not be disqualified from competing in Open Tender Enquiries. III. Past performance of the Agency may be taken into account while processing for approval of the Competent Authority for awarding the contract. I. In case where the Competent Authority decides that action against an Agency is called for, a show-cause notice has to be issued sent back to the Agency. Statement containing the imputation of misconduct or misbehaviour may be appended to the show-cause notice and the Agency should be asked to submit within 15 days a written statement in its defence. II. If the Agency requests respective Department / Division for inspection of any relevant document in possession of Pawan Hans, necessary facility for inspection of documents may be provided. IIIaction at their end. The Competent Authority may consider and pass an appropriate speaking orderSpeaking Order: a) For exonerating the Agency if the charges / allegations are not established; b) For removing banning the business dealings with the Agency from the list of approved Suppliers/Contactors, etc.or c) For putting on Hold the participation of the Agency in tenders in the concerned Department / Division. 7.5 If the Competent Authority decides that it is a fit case for banning the of business dealing dealings with the Agency, the Competent Authority shall pass necessary orders which shall be routed back to the Department concerned for issuance of banning orders to the Agency. However, in cases where there is a shortage of suppliers and banning may hurt the overall interest of DPA, endeavour should be to pragmatically analyze the circumstances, try to reform the Supplier and to get a written commitment from them that their performance will improve. IV. 7.6 If it the Competent Authority decides to ban business dealings, the period for which the ban would be operative may shall be mentioned. The If applicable, the order may also mention that the ban would extend to the interconnected Agencies agencies of the Agency. The Speaking Order for banning would be conveyed by the Concerned Department to the Agency concerned and copy circulated to all Departments of DPA. I. 7.7 The Agency Banning period may file an appeal against range from 1 year to 3 years depending on the order gravity of the case as decided by the Competent Authority Authority. Ordinarily, the period of banning business dealing, etc. The appeal shall be to in the Appellate Authority. Such an appeal shall be preferred within one month range of 1-2 years from the date of receipt issuance of order depending on the severity of the order banning business dealingirregularities / lapses committed / termination of contract due to poor performance, etc. However, in case of fraud / forgery / corrupt / fraudulent practice or tampering of documents by the Agency as given in para 6.7 above, the period of banning to be imposed on the Agency would be three years. The period of suspension, if any, shall be accounted for up to a maximum of 6 months in the period of banning provided the banning order is issued within the period of suspension. II7.8 As far as possible, the Agency under xxxxxxx should be allowed to complete the job of existing contracts, unless the Competent Authority, having regard to the circumstances of the case, decides otherwise. Appellate Once the order for banning is issued, existing offers against ongoing tenders (prior to issuance of contract) / new offers of the Agency shall not be entertained during the period of banning. In addition, if the Agency has been banned under provisions of Para 6.7, then the particular contract in which the irregularity has been proved will be terminated with immediate effect. In exceptional cases, where it would not be prudent to terminate the said contract with immediate effect, the contract may be allowed to continue for such minimum period during which alternate arrangement(s) can be made. The same shall however require the approval of the Chairman / HoD where the exigency to continue the contract has been clearly brought out. 7.9 In case the Competent Authority would consider has decided to exonerate the appeal and pass appropriate order which shall be communicated Agency, the Concerned Department will issue the exoneration letter to the Agency concerned as well as communicate to all Departmental Heads within the Competent AuthorityDepartment / Division. Any petition/application filed by If the Agency concerning has been suspended in the review of the banning order passed originally by Chief Executive/Competent Authority case under the existing guidelines either before or after filing of appeal before the Appellate Authority or after disposal of appeal by the Appellate Authorityconsideration, the review petition can be decided by the Chief Executive/Competent Authority upon disclosure of new facts/circumstances or subsequent development necessitating such review. The Competent Authority may refer in the same petition letter to the Standing Committee for examination and recommendationAgency it must be clarified that the Suspension has also been revoked. I. Depending upon the gravity of misconduct established, the Competent Authority of the Corporate Office may circulate the names of Agency with whom business dealings have been banned, to the Government Departments, other Public Sector Enterprises, etc. for such action as they deem appropriate. II. If Government Departments or a Public Sector Enterprise request for more information about the Agency with whom business dealings have been banned, a copy of the report of Inquiring Authority together with a copy of the order of the Competent Authority/Appellate Authority may be supplied. III. If business dealings with any Agency have been banned by the Central or State Government or any other Public Sector Enterprise, Pawan Hans may, without any further enquiry or investigation, issue an order banning business dealing with the Agency and its inter- connected Agencies. IV. Based on the above, Departments/Stations may formulate their own procedure for implementation of the Guidelines.