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

2. 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

3. 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

4. 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

5. 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

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

7. 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

8. 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

9. 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

10. 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)

11. 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

12. 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)

13. 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

14. 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

15. 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

16. 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.

17. 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

18. DISCIPLINARY AUTHORITY
Rule 13 of CCS(CCA) Rules, 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

19. 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

20. 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)

21. 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

22. 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

23. 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

24. 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

25. 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

26. 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

27. 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

28. 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

29. 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

30. 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)

31. 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

32. 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

33. 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

34. 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”

35. 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

36. 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

37. 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

38. 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

39. 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.

40. 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

41. 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

42. 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

43. 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

44. 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

45. 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