1. PRESENTATION ON CONTEMPLATING DISCIPLINARY PROCEEDINGS
PREM SAGAR SHARMA
ASSISTANT CONTROLLER (Finance)

2. LEGAL FRAMEWORK
Doctrine of Pleasure (Article 310)
"Except as expressly provided by this Constitution, every person who is a member of a Defense service or of a civil service of the Union or of an All India Service or holds any post connected with Defense or any civil post under the Union holds office during the pleasure of the President, and every person who is a member of a civil service of a State or holds any civil post under a State holds office during the pleasure of the Governor of the State.
Safeguards to civil servants (Article 311)
(1) No person who is a member of a civil service of the Union/State shall be dismissed or removed by an authority subordinate to that by which he was appointed.
(2) No such person as aforesaid 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.

3. Exceptions to Article 311
(A) CRIMINAL CHARGES where a person is dismissed or removed or reduced in rank on the ground of conduct which has led to his conviction on a criminal charge; or (A)IMPRACTICABILITY where the authority empowered to dismiss or remove a person or to reduce him in rank is satisfied that for some reason, to be recorded by that authority in writing, it is not reasonably practicable to hold such inquiry; or (C) SECURITY where the President/ the Governor is satisfied that in the interest of the security of the State it is not expedient to hold such inquiry.
The procedure laid down in Article 311 is intended to assure, first, a measure of security of tenure to Government servants, and secondly to provide certain safeguards against arbitrary dismissal or removal of a Government servant or reduction to a lower rank.
These provisions are enforceable in a court of law.
Where there is an infringement of Article 311, the orders passed by the disciplinary authority are void ab-initio and in the eye of law
The exercise of pleasure by the President under Article 310 is thus controlled and regulated by the provisions of Article 311.

4. LEGAL FRAMEWORK
Is suspension or compulsory retirement a form of punishment? Neither suspension nor compulsory retirement amounts to punishment and hence they can't be brought under the purview of Article311 and has no protection is available.
PROSECUTION SHOULD PRECEDE DEPARTMENTAL ACTION
PRELIMINARY ENQUIRY – TO SEE WHETHER A PRIMA FACIE CASE EXISTS/OFFENCE HAS TAKEN PLACE
LOSS OF PUBLIC UND IS NOT AN ESENTIAL ELEMENT OF MISCONDUCT. ESSENTIAL ELEMENT IS ABSENCE OF GOOD CONDUCT.
APPROPRIATE DISCIPLINARY AUTHORITY
DISCIPLINARY AUTHORITY WITH REFERENCE TO POSTING AT THE RELEVANT STAGE
DISCIPLINARY AUTHORITY SHOULD REFRAIN FROM BEING INQUIRY OFFICER
Disciplinary authority to examine:
WHETHER THE OFFICIAL IS TO BE PLACED UNDER SUSPENSION & type of penalty ( Major or minor)

5. PENALTIES MINOR PENALTIES:- MAJOR PENALITIES:-
(i) Censure;
(ii) withholding of his promotion;
(iii) recovery from his pay of the whole or part of any pecuniary loss caused by him to the government by negligence or breach of orders;
2(iii) (a) reduction to a lower stage in the time-scale of pay for a period not exceeding 3 years, without cumulative effect and not adversely affecting his pension.
(iv) withholding of increments of pay;
MAJOR PENALITIES:-
1(v) save as provided for in clause (iii) (a), reduction to a lower stage in the time-scale of pay for a specified, with further directions as to whether or not the Government servant will earn increments of pay during the period of such reduction and whether on the expiry of such period, the reduction will or will not have the effect of postponing the future increments of his pay;
(vi) reduction to lower time-scale of pay, grade, post or service which shall ordinarily be a bar to the promotion of the Government servant to the time-scale of pay, grade, post or Service from which he was reduced, with or without further directions regarding conditions of restoration to the grade or post or Service from which the Government servant was reduced and his seniority and pay on such restoration to that grade, post or Service;
(vii) compulsory retirement;
(viii) removal from service which shall not be a disqualification for future employment under the Government;
(ix) dismissal from service which shall ordinarily be a disqualification for future employment under the Government.

6. - POSSESSION OF DISPROPORTIONATE ASSETS
ACTION AND QUANTUM OF PUNISHMENT SHOULD BE COMMUNSURATE WITH THE GRAVITY
CASES WHICH MERRIT IMPOSITION OF MAJOR PENALTIES
- POSSESSION OF DISPROPORTIONATE ASSETS
OBTAINING ILLEGAL GRATIFICATION
MISAPPROPRIATION OF Govt. MONEY/STORES
FALSIFICATION OF RECORD.
GROSS IRREGULARITY OR NEGLIGENCE IN DISCHARGE OF GOVT. DUTIES WITH A DISHONOST MOTIVE
MISUSE OF OFFICIAL POSITION FOR PERSONAL GAIN.
DISCLOSURE OF SECRET/CONFIFDENTIAL INFORMATION
FALSE CLAIMS ON GOVERNMENT LIKE T.A.

7. PROCEDURE FOR IMPOSING PENALTIES
DISCIPLINARY AUTHROTY SHALL DRAW
THE SUBSTANCE OF IMPUTATIONS OF MISCONDUCT OR MISBEHAVIOUR IN DEFINITE AND DISTINCT ARTICLES OF CHARGE;
A STATEMENT OF THE IMPUTATIONS OF MISCONDUCT OR MISBEHAVIOUR IN SUPPORT OF EACH ARTICLE OF CHARGE, WHICH SHALL CONTAIN-
(a) A STATEMENT OF ALL RELEVANT FACTS
(b) A LIST OF DUCUMENTS BY WHICH AND A LIST OF WITNESSES BY WHOM, THE ARTICLES OF CHARGE ARE POROPOSED TOBE SUSTAINED.
FRAMING OF CHARGE SHEET ON STANDARD FORMAT
CHARGE SHEET TO BE DELIVEREED
GOVT. SERVANT TO BE ASKED TO SUBMIT HIS WRITTEN STATEMENT OF DEFENCE WITHIN A SPECIFIED TIME.

8. FRAMING CHARGE SHEET
SEPARATE CHARGE FOR EACH TRANSACTION/EVENTS OR SERIES OF RELATED EVENTS AMOUNTING TO MISCONDUCT/MISBEHAVIOURDEPARTMENTAL RULES AND REGULATIONS.
SPLITTING OF SAME CHARGES TO BE AVOIDED
ARTICLE OF CHARGE TO GIVE PLAIN FACTS BUT MENTION THE NATURE OF MISCONDUCT/MISBEHAVIOUR
CHARGE NOT TO BE AN EXPRESSION OF OPINION AS TO THE GUILT
A CHARGE NOT TO REFER TO THE REPORT OF PRELIMINARY INVESTIGATION
ALL DATA, FIGURES, DATES ETC. TO BE CAREFULLY CHECKED
Statement of imputation to give full and specific acts of omission/commission.
The charges should be in third form.
If there are no documents/witnesses, nil statement should be appended.
Not to mention the name of complainant
Acknowledgement of charge sheet to be obtained/refusal of registered letters normally tent amounts to proper service.

9. ENQUIRING AUTHORTY TO BE PROVIDED WITH
(a) a copy of articles of charge and the statement of the imputations of misconduct or misbehavior along with a copy of witnesses/documents
(b) a copy of written statement of defense.
© evidence proving the delivery of documents to the govt. servants.
(d) a copy of the order appointing the Presenting Officer.
Govt. servants shall appear in person before the enquiry officer on the fixed dated by the enquiring authority
Govt. servant can take the assistance of other govt. servant (Defense Asstt.)
Defense Assistant to intimate the Controlling Authority of the govt. servant assisting the accused.
Govt. servant under suspension eligible to function as D.A.
Retired govt. servant can functions as D.A. subject to certain conditions.
Assistance of legal practioner to be decided on merit of each case.
Inspection of record by the charged officer
Supply of copies of documents and affording access to official record provided but measures taken to prevent tempering with records
ENFORCE ATTENDANCE OF WITNESSES AND PRODUCTIONOF DOCUMENTS
DISCIPLINARY ACTION IN CASE OF REFUSAL TO APPEAR AS WITNESS
STATEMENTS OF WITNESSES TO BE AUITHENTICATED BY THE SIGNATURE OF THE WITNESSES, THE ACCUSED AND THE INQUIRING AUTHORITY
SUPPLY OF A COPY OF DAY TO DAY PROCEEDIN GS DURING ENQUIRY
PRESENTING OFFICERS WRTITTEN BRIEF TO BE SERVED ON THE DELINQUENT IN THE FIRST INSTANCE

10. INQUIRY
COPIES OF DOCUMENTS TO BE GIVEN TO THE E.O. & ORIGINAL RECORD SHOULD NORMALLY BE WITH THE P.O.
E.O. TO SEND NOTICE TO THE c.o. ASKING HIM TO PRESENT HIMSELF FOR PRELIMINARY HEARING AT THE APPOINTED PLACE ON A DATE AND TIME FIXED & TO INTIMATE THE NAME OF HIS DEFENSE ASSISTANT.
AT THE PRELIMINARY HEARING, THE C.O. WILL BE REEQUIRED TO STATE CATEGORICALLY WHETHER HE PLEADS GUILTY OR HAS ANY DEFENSE TO MAKE.
IF HE PLEADS GUILTY, THE E.O.WILL PROCEED TO RECORD HIS FINDINGS
IFHE PLEADS NOT GUILTY, THE E.O.WILL START THE NORMAL ENQUIRY
IF THE C.O. FAILS TO APPEAR, THE E.O. MAY FIX THE DATES AND THE OPLACE FOR REGULAR HEARINGAND SEND INTIMATION UNDER ACKNOWLEDGEMENT DUE TO REACH HIM IN GOOD TIME.
THE E.O. WILL RECORD AN ORDER THAT THE CHARGED OFFICER MAY FOR THE PURPOSE OF PREPARING DEFENCE(1) INSPECT DOCUMENTS(B) SUBMIT LIST OF WITNESSES©SUBMIT LIST OF ADDITIONAL DOCUMENTS WHICH HE WISHES TO HAVE ACCESS TO AND ARE RELEVANT

11. PRODUCTION OF DOCUMENTS
P.O. WILL PRODUCE ALL DOCUMENTARY EVIDENCES AND ALSO HAVE HIS WITNESS EXAMINED.
EXAMINATION OF WITNESS WILL BE IN THREE PARTS- EXAMINATION IN CHIEF, CROSS EXAMINATION AND RE-EXAMINATION.
The leading questions are permissible in cross examination BUT NOT IN.IN CHIEFEXAM.
On re-examination, witnesses can not be examined on new facts except with the permission of E.O.
THE P.O. TO PRODUCE DOCUMENTS THROUGH WITNESSES WITHOUT PUTTING LEADING QUESTION.
E.O. CAN DISALLOW Questions IF CONSIDERED IRRELEVANT. THE P.O. CAN PRODUCE NEW Evidences BEFORE THE CLOSE OF THE PROSECUTION CASE.
THE A.O. TO SUBMIT HIS DEFENSE ORALLY OR IN writing.
E.O.TO RECORD CERTIFICATE AT THE END OF DEPOSITION OF EACH WITNESS” READ OVER TO THE WITNESS IN THE PRESENCE OF THE C.O. AND ADMITTED AS CORRECT/OBJECTION OF WITNESS RECORDED”
COPIES OF STATEMENT OF WITNESS RECORDED FROM DAY TO DAY TO BE GIVEN TO THE C.O. & P.O. AT THE CLOSE OF THE DAYS PROCEEDINGS.
THE E.O. TO MAINTAIN A DAILY ORDER SHEET TO RECORD THE BUSINESS TRANSANCTED.
E.O. TO HEAR THE ARGUMENTS OF BOTH SIDES AFTER THE EVIDENCES HAVE BEEN CLOSED

12. PROCEDURE FOR IMPOSING PENALTIES
ON RECEIPT OF WRITTEN STATEMENT, THE DISCIPLINARY AUTHORITY MAY ITSELF ENQUIRE SUCH CHARGES AS ARE NOT ADMITTED
IF THE CHARGES HAVE BEEN ADMITTED, THE DISCIPLINARY AUTHROITY TO REORD HIS FINDINGS ON EACH CHARGE
Enquiry mandatory ,if charges not accepted
APPOINT AN ENQUIRY OFFICER. IF NO WRITTEN STATEMENT IS RECEIVED, MAY ITSELF ENQUIRE OR APPOINT AN ENQUIRY OFFICER & ALSO, APPOINT A PRESENTING OFFICER
Enquiry officer to be senior in rank. No bar to the immediate superior holding an enquiry provided he is not suspected of any bias.
Witness cannot function as Inquiry Officer/Presenting Officer
Inquiry to be stayed when application is made against the Enquiry Officer appointment on ground of bias till passing of final order. This is subject to proviso that the proceedings have not reached an advanced stage.

13. HOLDIDNG EX PARTY ENQUIRY
IF A Govt. servant is absenting/absconding or fails to reply to official communications the D.O. To take recourse to ex-party enquiry after recording the reasons therefore.
Govt. servants absconding/absenting from duty need not be pout under suspension. When the accused officer is already under suspension disappears and can not be contacted at his last known address, the suspension order should be lifted and ex party proceedings initiated for his removal in absentia.
The notices of all hearing should be served on the accused
Entire gamut of enquiry has to be gone through.
The witnesses to be summoned, led by the Presenting Oficer.The Enquiry Officer to put such questions as he may deem fit.
During the course of enquiry, the accused is free to put in appearance and participate in the enquiry
It is not necessary to transact the business again unless the accused give sufficient justification for the same.
The competent authority to pass orders of imposition of penalty after following the prescribed procedure.

14. Procedure for imposing minor penalties
NO ORDER IMPOSING ON A GOVT. SERVANT ANY OF THE PENALTIES SHALL BE MADE EXCEPT AFTER:
INFORMING THE GOVT. SEVANT IN WRITINGOF THE PROPOSAL TO TAKE SUCH ACTION AGAINST HIM AND GIVING HIM REASONALBE OPPORTUNITY OF MAKING SUCH REPRESENTATION AS HE MAY WISH TO MAKE AGAINST THE PROOPOSAL.
HOLDING AN ENQUIRYIN EVERY CASE IN WHICH THE DISCIPLINARY AUTHORITY IS OF THE OPITION THAT SUCH INQUIRY IS NECESSARY
TAKING THE REPRESENTATION, IF ANY, SUBMITTED BY THE GOPVT. SERVANT AND RECORD OF ENWUIRY IF ANY, HELD INTO CONSIDERATION
RECORDING A FINDING ON EACH IMPUTATION OF MISCONDUCT OR MISBEHAVIOUR
CONSULTATING THE COMMISSION WHERE SUCH CONSULTATION IS NECESSARY
SHOULD IT BE PROPOSSED TO HOLD INCREMENTS LIKELY TO AFFECT PENSION OR WITHHOLD INCREMENTS WITH CUMULATIVE EFFECTIVE EFFECT FOR A PERIOD EXCEEDING THREE YEARS, AN ENQUIRY SHALL BE HELD AS LAID DOWN IN SUB RULE (3) TO (23) OF Rule 14 before making any order imposing on the govt. servant any such penalty.

15. PROCEDURE FOR IMPOSING PENALTIES
The E.O. shall give the Govt. servant an opportunity of inspecting such documents before they are taken on record.
When the case for the disciplinary authority is closed, the C.O. shall be required to state his defense, orally or in writing.
A copy of statement of defense shall be given to the P.O.
Defense evidences to be led/ cross examined.
Written briefs to be had.
Enquiry report along with record must contain assessment of evidence in respect of each articles of charge and reasoned findings on each article of charge.

16. PROCEDURE FOR IMPOSING PENALTIES
If the govt. servant has not submitted statement of defense but appears before the enquiring authority , such authority shall ask whether he is guilty or has any defense to make.
The enquiring authority shall record the plea, sign the record and obtain the signature of govt. servant.
If the Govt. servant fails to appear within the specified time, require the P.O. to produce the evidences
Govt. servants free to inspect the documents specified in the list
Govt. servant to submit a list of defense witnesses.
Enquiry officer to ask for the production of documents
On the date of inquiry, the oral and documentary evidences shall be produced, examined by the P.O. And cross examined by the defense.
The P.O. shall be entitled to re-examine the witnesses on any points on which they have been cross examined.
The E.O.also to put question to the witnesses as it thinks fit.

17. REPORT OF THE ENQUIRY OFFICER
The report should contain:
AN INTRODUCTORY PARA
CHARGES THAT WERE FRAMED
CHARGES THAT WERE ADMITTED OR DROPPED OR NOT PRESSED
CHARGES ACTUZALLY ENQUIRED INTO
BRIEF STATEMENT OF THE CASE OF DISCCIPLINARY AUATHORITY IN RESPECT OF THE CHARGES ENQUUIRED INTO
BRIEF STATEMENT OF FACTS AND DOCUMENTS ADMITTED
POINTS FOR DETERMINATION OR ISSUES TO BE DECIDED.
BRIEF STATEMENT OF THE CASE OF THE GOVT. SERVANT
ASSESSMENT OF EVIDENCE IN RESPECT OF EACH POINT
FINDING ON EACH CHARGE.
*ENQUIRY OFFICER TO SUBMIT THE FOLLOWING DOCUMENTS:
LISTS OF EXHIBITS PRODUCED BY THE PRESENTING OFFICER
LIST OF EXHIBITS PRODUCED BY THE CHARGED OFFICER.
LIST OF PROSECUTION WITNESSES
LIST OF DEFENSE WITNESSES
DEPOSITION OF WITNESSES
A FOLDER CONTAINING DAILY ORDER SHEETSS
A FOLDER CONTAINING WRITTEN STATEMENT OF DEFENSE
WRITTEN BRIEFS OF BOTH SIDES.
ORDERS PASSED DURING ENQUIRY

18. ACTION ON THE ENQUIRY REPORT
ON RECEIPT OF ENQUIRY REPORT, THE DISCIPLINARY AUTHORITY SHALL FORWARD A COPY OF THE REPORT TO THE GOVT. SERVANT AND REQUIRE HIM TO SUBMIT HIS REPRESENTATION WITHIN A SPECIFIED TIME.
THE DISCIPLINARY AUTHROTY SHALL CONSIDER THE REPRESENTATION BEFORE PROCEEDING FURTHER IN THE MATTER.
SHOULD THERE BE ANY DISAGREEMENT WITH THE FINDINGS OF THE E.O.HE SHALL RECORD REASONS FOR SUCH DISAGREEMENT AND RECORD HIS OWN FINDINGS.
SHOULD THE CONSULTATION OF THE PUBLIC SERVICE COMMISSION DEEMED NECESSARY, THE MATTER SHALL BE SENT FOR SEEKING ADVICE AND SUCH SUCH ADVICE SHALL BE TAKEN INTO CONSIDERATION BEFORE MAKING FINAL ORDER.
THE DISCIPLINARY AUTHROTY SHALL MAKE AN ORDER IMPOSING SUCH PENALITY AND IT SHALL NOT BE NECESSARY TO GIVE THE GOVT. SERVANT ANY OOPORTUNITY OF MAKING REPRESENTATION ON THE PENALTY PROPOSED TO BE IMPOSED.
Self contained ,speaking and reasoned order to be passed and issued under the signature of the prescribed disciplinary authority.
Dismissal with retrospective effect not permissible
Cessation of disciplinary proceedings on death.
Censure to be awarded and not “warning”
Decision taken by the disciplinary authority is a judicial decision and is final.

19. COMMON PROCEEDINGS SPECIAL PROCEDURE IN CERTAIN CASES
WHEN TWO OR MORE GOVT. SERVANTS ARE INVOLVED IN ANY CASE.
A JOINT PROCEEDINGS AGAINST THE ACCUSED AND THE ACCUSER IS AN IRREGULARITY
IN SUCH CASES, THE DISCIPLINARY AUTHORITY IS TO BE DECIDED WITH REFERENCE TO THE HIGHEST OFFICER INVLOLVED.
SPECIAL PROCEDURE IN CERTAIN CASES
-WHERE ANY PENALTY IS IMPOSED ON A GOVT. SERVANT ON THE GROUND OF CONDUCT WHICH HAS LED TO HIS CONVICTION ON A CRIMINAL CHARGE –WHERE THE DISCIPLINARY AUTHORITY IS SATISFIED THAT IT IS NOT REASONALY PRACTICABLE TO AN ENQUIRY
- WHERE THE PRESIDENT IS SATISFIED THAT IN THE INTEREST OF THE SECURITY OF THE STATE, IT IS NOT EXPEDIENT TO HOLD ANY ENQUIRY IN THE MANNER AS PROVIDED.
THE DISCIPLINARY AUTHROITY MAY CONSIDER THE CIRCUMSTANCES FOO THE CASE AND MAKE SUCH ORDER THEREEON AS IT MAY DEEM FIT.
PROVIDED THE GOVT. SERVANT MAY BE GIVEN AN OPPRTUNITY OF MAKING REPRESENTATION ON THE PENNALTY PROPOSED TO BE IMPOSED. BEFORE ANY ORDER IS MADE.