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DISCIPLINARY PROCEEDINGS

Purpose
 To enforce discipline in Government
service
Authority
 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  Initiates the


proceedings
Authority (DA)
 Presenting Officer (PO)  Presents the case for
the department
 Inquiry Officer (IO)  Carries out inquiry to
arrive at correct
findings
 Charged Officer  Charged Govt. servant
(CO)
 Defence Assistant  Presents the case of
the charged officer

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Disciplinary Proceedings

Occasion
 Misconduct Definable
 Decision to institute proceedings
Purpose
 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-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 9

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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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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)

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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

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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 14
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 

The President
The Appointing Authority
(CCA) Rules,  An Authority specified in
1965 
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  The President or
Authority any other authority
empowered to empowered by him
institute by general or
disciplinary special order
proceedingsto (
issue charge-sheet )
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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 inclauses
(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 19
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 Article
of
311(1)
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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

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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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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
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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

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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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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
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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

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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

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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
ex parte
may hold 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 32
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 retirement
ix. Removal from service, which shall not be a
disqualification from future employment, and
x. Dismissal

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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” 34
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

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PENALTIES - RULE 11

 Minor Penalties

i. Censure
ii. Withholding of promotion for a specified period
iii. Recovery of pecuniary loss, arising from
negligence/ breach of orders
iv. 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 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 37
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 inRule 11
which it is competent to impose

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PROCEDURE FOR IMPOSING
MINOR PENALTIES

 ORAL INQUIRY - UnderRule 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 underRule 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 43
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 underRule 9
 retired officer should be granted provisional
pension in accordance with the provision ofRule
69 of the CCS(Pension) Rules, 1972

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