DISCIPLINARY PROCEEDINGS Purpose To enforce discipline in Government service Authority CCS (CCA) Rules, 1965 Article 311 of Constitution

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

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

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

Terminology Disciplinary Authority (DA) Inquiry Officer (IO) 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

Disciplinary Proceedings Occasion Misconduct Definable Decision to institute proceedings Purpose Providing opportunity for rebuttal/ acceptance

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

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

Composition of Charge-Sheet Comprises 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

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)

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

Content of Charge-Sheet -contd. 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)

Content of Charge-Sheet -contd. 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

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

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

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.

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

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

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

Rules of institution of disciplinary proceedings 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)

Rules of institution of disciplinary proceedings 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

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

Stages of Conducting Departmental Inquiry 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

Stages of Conducting Departmental Inquiry 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

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

Stages of Conducting Departmental Inquiry -contd. 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

Stages of Conducting Departmental Inquiry -contd. 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

Stages of Conducting Departmental Inquiry -contd. 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

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

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)

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

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

PENALTIES - RULE 11 Major Penalties Reduction to lower stage in time scale of pay for specified period with/ without cumulative effect Reduction to a lower time-scale of pay/grade/ post or service Compulsory retirement Removal from service, which shall not be a disqualification from future employment, and Dismissal

PROCEDURE FOR IMPOSING MAJOR 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”

PROCEDURE FOR IMPOSING MAJOR 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

PENALTIES - RULE 11 Minor Penalties Censure Withholding of promotion for a specified period Recovery of pecuniary loss, arising from negligence/ breach of orders Reduction to a lower stage in time scale of pay for a period not exceeding 3 yrs without cumulative effect Withholding of increments

PROCEDURE FOR IMPOSING MINOR 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

PROCEDURE FOR IMPOSING MINOR 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

PROCEDURE FOR IMPOSING MINOR 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.

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

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

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

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

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

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