Presentation 6.1 & 6.2

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DISCIPLINARY PROCEEDINGS

Purpose To enforce discipline in Government

serviceAuthority CCS (CCA) Rules, 1965 Article 311 of Constitution

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DISCIPLINARY PROCEEDINGS

Application proper understanding of the rules

along with the Article failure to observe the proper

procedure, either wilfully or through gross negligence is liable to vitiate the entire proceedings rendering them null and void

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Objectives of the Session

Familiarity with the practical application of the CCS (CCA) Rules and instructions issued by various authorities

Drawing up a deficiency free charge sheet against the errant official

To determine correct nature of disciplinary action and the quantum of punishment to commensurate with the gravity of the offence alleged to have been committed

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CHARGE-SHEET - Definition

A charge may be described as the essence of an allegation setting out the nature of accusation in general terms, such as negligence in the performance of official duties, inefficiency, breach of conduct rule, etc

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Terminology Disciplinary

Authority (DA) Presenting Officer (PO) Inquiry Officer (IO)

Charged Officer (CO)

Defence Assistant

Initiates the proceedings

Presents the case for the department

Carries out inquiry to arrive at correct findings

Charged Govt. servant

Presents the case of the charged officer

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Disciplinary Proceedings

Occasion Misconduct Definable Decision to institute proceedingsPurpose Providing opportunity for rebuttal/

acceptance

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FRAMING OF CHARGE-SHEET

Precautions to be taken initial stage of the disciplinary proceedings

is drawing of charge sheet a charge may be framed only when there is

some act in violation of the rules in different service manuals, CCS (Conduct) Rules, different circulars or general letters issued

important to quote that rule or order in support of the charge invariably, the breach of which has constituted the charge

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Aspects of Charge-Sheet -contd.

Precautions

decision to charge-sheet an officer should be taken only when full facts have been gathered and evaluated and there is controvertible inference that a definable misconduct has been committed

all available evidences and relevant documents should be collected and in important cases, evidences of witnesses be reduced to writing and got signed by them

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Composition of Charge-SheetComprises of five parts

Memorandum - Instrument of institution of proceedings, in Annexure I

Articles of charge - Actual expression of misconduct, formal statement of charges, Annexure II

Imputation of Misconduct - recitation of specific acts of Omission/ Commission, Annexure III

List of Documents - supportive of misconduct, Annexure IV

List of witnesses - relevant to authenticate imputations and Supporting documents, Annexure V

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Contents of Charge-Sheet Memo proper format conforming to the prescribed requirements issued by the competent authority

Articles Clear, Unambiguous, Provable, Precise Separate article for each allegation (bunching of

allegation to be avoided clear construction)

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Content of Charge-Sheet -contd.

Imputations of misconduct Rule 14(3) of the CCS (CCA) Rules

stipulates that “substance of the imputations

of misconduct or misbehaviour into distinct articles of charge”

should be drawn up by the Disciplinary Authority in Annexure II

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Imputations

Should deal with each article of charge separately Full, precise and categorical recitation of relevant

and specific acts of omission /commission No non specific or open ended statement No reference to any preliminary investigation,

internal observations on File , CVC’s advice or general conduct or reputation

Preliminary show cause and reply thereto ( points satisfactorily explained not to be included again)

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Documents relied upon Evidentiary value Conforming to articles of charge and the imputations relating

thereto All material particulars given in the allegations such as

figures, dates, names

Witnesses having direct bearing Capable of authenticating the documents relied upon Can withstand cross examination

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Composition and Content of Charge-Sheet -contd.

The four Annexure so prepared are to be sent to the Charged Officer along with a forwarding Memorandum asking the Government servant to submit his written statement of defence within the time specified in the Memorandum

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Composition and Content of Charge-Sheet

Charge sheet to be signed by DA Charge sheet to be served on official

during duty Government servant be given an

opportunity to admit or deny his guilt -Rule 14(4)

Closure of prosecution case

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AUTHORITY TO FRAME A CHARGE-SHEET

Rule 2(g) of CCS (CCA) Rules, describes Disciplinary Authority as an authority who is empowered to impose any of the penalties specified in the CCS (CCA) Rules, 1965.

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DISCIPLINARY AUTHORITY

Rule 12 of CCS (CCA) Rules, 1965

The President The Appointing Authority An Authority specified in

the “Schedule” An Authority specially

empowered by President In respect of Group C/D

employees Working in Ministries –

Secretary Working in attached

offices – Head of office not lower in rank than (iii) or (iv) above

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DISCIPLINARY AUTHORITY

Rule 13 of CCS(CCA) Rules, 1965 defines

Authority empowered to institute disciplinary proceedings (to issue charge-sheet)

The President or any other authority empowered by him by general or special order

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Rules of institution of disciplinary proceedings

A disciplinary authority competent under the CCS (CCA) Rules to impose any of the penalties specified in clauses (i) to (iv) of Rule 11 may institute disciplinary proceedings against any Government servant for the imposition of any of the penalties specified in clauses (v) to (ix) of Rule 11

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before any action is initiated under Rule 14 with a view to imposing any of the major penalties on an official, it should first be verified that it does not contravene the provisions of Article 311(1)

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Disciplinary authority in respect of an official is to be determined with reference to his posting at the relevant stage of the disciplinary case and not with reference to his posting and status at the time of commission of the offence

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Stages of Conducting Departmental Inquiry

Principles of natural justice apply to disciplinary proceedings as these are quasi-judicial in nature

Strict rules of Indian Evidence Act do not apply to the disciplinary proceedings

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Documentation Inquiry Officer to verify his appointment

order The documents received from DA along with

his appointment order To send a notice to the Charged Official Listed documents to be brought on record

exhibiting numbers in a continuous series such as S-1, S-2

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Inspection of documents Charged Officer to be allowed inspection of

documents listed with the charge-sheet to prove the charges

(undisputed documents) the documents in official custody, called “Additional

Documents”, which may be relied upon by the CO for preparing his defence

CO may be allowed to take copies or to take extracts of the documents

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Stages of Conducting Departmental Inquiry -contd.

Daily Order Sheet (DOS)

a record of the conduct of the inquiry proceedings on day to day basis maintained by the IO

important points to find mention in the DOS

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Interlocutory Orders an order passed by the IO during the actual

conduct of the inquiry, for example, demand of CO for supply of copies of listed documents, request for postponement of hearings

Power of IO to pass interlocutory orders is absolute and there is no appeal against such orders

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Recording of evidence proving the validity of listed documents

through witnesses and recording their oral statements

examination of witness is done in three parts, viz., examination-in-chief, cross-examination and re-examination

deposition of every witness should be taken on separate sheet and should by signed by the IO and the deponent

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Closing stage IO may hear the PO and the CO or permit

them to file written brief of their respective case

on receipt of the written brief from the PO, a copy of the same shall be supplied to the CO asking him to submit his defence brief

on receipt of the defence brief the IO may write inquiry report

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EX PARTE INQUIRY

If the CO does not submit his written defence within the time specified or does not appear before the IO or otherwise fails or refuses to comply with the provisions of the rules, the IO may hold ex parte inquiry, recording reasons for doing so

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INQUIRY REPORT

Report prepared by IO after conclusion of Inquiry as per Rule 14(23)(i) of the CCS(CCA) Rules along with the records of inquiry

consisting of documents prescribed in Rule 14(23)(ii)

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Contents of Inquiry Report Introduction Defence assistance The charges and substance of imputation of

misconduct Case of the DA Case of the CO Analysis and assessment of evidence Findings and decision against each charge List of documents produced by PO and CO

to prove their case

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Action of DA on Inquiry Report DA to take a final decision on the Inquiry Report

within a period of three months at the most Government of India’s instruction no. 11 below Rule 15

If the DA is of the opinion that any of the penalties should be imposed on the Government servant, orders can be passed straightaway

decision recorded by DA at the conclusion of departmental proceedings is final and cannot be varied by itself or by its successor-in-office, before it is formally communicated to the Government servant concerned

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PENALTIES - RULE 11

Major Penalties

vi. Reduction to lower stage in time scale of pay for specified period with/ without cumulative effect

vii. Reduction to a lower time-scale of pay/grade/ post or service

viii. Compulsory retirementix. Removal from service, which shall not be a

disqualification from future employment, and x. Dismissal

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PROCEDURE FOR IMPOSINGMAJOR PENALTIES

RULE 14,15 and 17 of CCS (CCA) conduct Rules read with clause (2) of Article 311 of Constitution

“no person who is a member of a civil service of the Union or an All India Service shall be dismissed or removed or reduced in rank except after an inquiry in which he has been informed of the charges against him and given a reasonable opportunity of being heard in respect of those charges”

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PROCEDURE FOR IMPOSINGMAJOR PENALTIES

Steps to be taken Decision to initiate proceeding Charge-Sheet to be drawn accompanied by Memorandum in Form 6 Statement of Articles of charge in Annexure I Statement of imputation of misconduct in support of each

article of charge in Annexure II List of documents by which each article of charge is proposed

to be sustained in Annexure III List of witnesses by whom the articles of charge are proposed

to be sustained in Annexure IV

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PENALTIES - RULE 11 Minor Penalties

i. Censureii. Withholding of promotion for a specified periodiii. Recovery of pecuniary loss, arising from

negligence/ breach of ordersiv. Reduction to a lower stage in time scale of pay for

a period not exceeding 3 yrs without cumulative effect

v. Withholding of increments

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PROCEDURE FOR IMPOSINGMINOR PENALTIES - contd.

RULE 16 Decision to initiate proceeding (after receipt of

preliminary enquiry report) Written information to Government servant in

Form 11 along with Standard Memorandum Narrative statement of imputations of misconduct

Consideration of representation of the charged officer

Evaluation of documents and witnesses relevant to prove imputation of misconduct or misbehaviour

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PROCEDURE FOR IMPOSINGMINOR PENALTIES - contd.

If as a result of examination the charges are

NOT PROVED - Government servant be exonerated by sending written intimation

PROVED – DA may proceed to impose any of the minor penalties specified in Rule 11 which it is competent to impose

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PROCEDURE FOR IMPOSINGMINOR PENALTIES

ORAL INQUIRY - Under Rule 16(1)(b) the DA can hold oral inquiry if

DA is of the opinion that oral inquiry is necessary Where it is proposed to impose a penalty

withholding a) of increments that will adversely affect pension, OR b) of more than 3 increments c) of increments with cumulative effect.

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Communication of Order

Government servant shall be supplied with a copy of the finding on each article

of charge a statement of the findings of the

disciplinary authority together with brief reasons for its disagreement

If any penalty is levied, it should be entered in the confidential report

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Common Proceedings

When two or more government servants are charged

Common proceedings to be taken for imposition of penalty

If authorities to impose penalties are different in their cases, highest authority to impose the penalty

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SPECIAL PROCEDURE IN CERTAIN CASES

Clause (i) of Rule 19 - Where a Government servant has been convicted in a Court of Law the DA to provide an opportunity of being heard

by holding an inquiry No charge sheet required to be served as the

charges have already been established in the court

Rule 19 (ii) - Under peculiar circumstances DA may not hold inquiry, but written reasons to be given

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PROCEDURE AFTER RETIREMENT -contd.

Disciplinary proceedings can be initiated against a retired officer under Rule 9 of the Central Civil Services (Pension) Rules, 1972, for the misconduct committed during service, for the purpose of withholding or withdrawing a pension or any

part of it either permanently or for a specified period

ordering recovery from pension and or Gratuity of the whole or a part of any pecuniary loss sustained by the Government on account of the negligence of the retired officer

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PROCEDURE AFTER RETIREMENT -contd.

If departmental proceedings not instituted during service of the officer

To be instituted with prior permission of president

Shall not be in respect of any event which took place more than four years before such institution

To be conducted by such authority and in such place as the President may direct

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PROCEDURE AFTER RETIREMENT

No judicial proceedings can be institutedin respect of any event which took place more than four years before such institution

Article 351-A (Rule 9) President’s right to withhold or withdraw pension in full is absolute

If any departmental or judicial proceeding is instituted under Rule 9 retired officer should be granted provisional

pension in accordance with the provision of Rule 69 of the CCS(Pension) Rules, 1972