Disciplinary Proceedings

Objectives

Define Disciplinary Proceedings Outline Constitutional Provisions Outline provisions relating to suspension Describe the penalties for misconduct Outline the procedure for imposing penalties

Misconduct

Vigilance Angle Bribery Corruption Forgery Falsification of

records False claims Disproportionate

assets

Non-vigilance Cases Unauthorized

absence Lack of devotion to

duty Negligence Insubordination

Sources of Information

Complaint Genuinely signed Anonymous Pseudonymous

Audit reports Newspaper reports Other sources

SUSPENSION- When

Disciplinary proceeding is contemplated or is pending

Official has engaged himself in activities prejudicial to the interest of the security of the State

Criminal case is under investigation, inquiry or trial

DEEMED SUSPENSION

Detained in custody, whether on criminal charge or otherwise, for a period exceeding 48 hours

Conviction for an offence and imprisonment exceeding 48 hours

Who can suspend? The appointing authority Any other authority to which the A.A. is

subordinate Disciplinary authority Any other authority empowered by the

President

PENALTIES

Minor Penalties (Rule -11) Censure Withholding of promotion Recovery from pay Reduction to a lower stage in time

scale for period not exceeding 3 years without cumulative effect

Withholding of increments of pay

Major Penalties

Reduction to a lower stage in the time-scale of pay with cumulative effect

Reduction to lower time-scale of pay, grade, post or service

Compulsory retirement Removal Dismissal

SAFEGUARDS OF ART 311

No dismissal or removal by authority subordinate to appointing authority

No dismissal or removal or reduction in rank without inquiry in which:- charge should be communicated to the

Govt. Servant concerned. should be given reasonable opportunity of

being heard in respect of charges; and penalty may be imposed only on the basis

of evidence adduced during such inquiry

Exceptions in Art 311

Conviction on a criminal charge Not reasonably practicable to hold inquiry

Appointing authority to be satisfied Reasons to be recorded in writing

In the interest of the security of the state President/ Governor to be satisfied

Procedure for MINOR PENALTY- Rule 16

Rule 16 of CCS (CCA) Rules Memorandum to the official indicating that action is

proposed to be taken Statement of imputations of misconduct Provide opportunity to make representation Inquiry to be held at the discretion of the Disciplinary

Authority Inquiry obligatory if it is proposed to withhold increments

for more than 3 years with cumulative effect

Recording a finding on each of the imputation of misconduct , issue & communication of punishment orders

DRAFTING OF CHARGE SHEET

Charge sheet for imposition of minor penalty in two parts a forwarding memorandum and the statement of imputations

Drafting of Charge sheet contd..

For Violation of departmental rules Articles of charges should mention the

departmental rule which has been violated apart from conduct rule violated

For Contravention of Conduct Rule 3(1)(i) to be quoted when integrity is suspected 3(1)(ii) to be quoted when devotion to duty is

suspected 3(1(iii) to be quoted when unbecoming of a govt.

servant is alleged 3(2)(i) is to be used when the supervisor fails to

ensure integrity and devotion duty of his subordinates

Drafting a Charge sheet- Rule 16 Clear, precise and intelligible Should mention all relevant facts Then state the nature of the misconduct Rule violated may be mentioned No inference as to guilt Charge should not mention the evidence Separate charge for each allegation The articles of charge should be framed in clear,

concise terms and without ambiguity. Avoid charges which mainly depends on the

statement of govt. servant

Drafting a Charge sheet…

For minor irregularities, charge sheet under Rule-16 is sufficient and only minor penalty can be imposed and the minimum penalty is Censure.

Oral hearing -Rule-16(b)-is admissible in Rule-16 cases but can be denied if the article of charge is simple, easy to understand and does not involve any complexity

Charge sheet can be dropped if technically found defective and an order should be passed if so decided. If it is proposed to issue a fresh charge sheet, the reason for dropping the original one and the proposal to issue fresh charge sheet should be indicated in the order

FORMAT of a Charge Sheet- Rule 16

Annexure II Statement of Imputations of misconduct or misbehavior

It is alleged that Sh./Smt. ……………………………(name) while functioning as ……………………… (designation) from …………………………to …………………………(period of irregularity/posting) in ………………………. Branch/beat no. of the ………………………. Head/Sub Post Office failed to do………………………………………………………………(event) thereby contravening Rule……….of Postal Manual Vol. ………………………………… thus showing lack of devotion to duty and contravening Rule 3(1)(ii) of CCS (Conduct) Rules, 1964”.  

PUNISHMENT………Rule 16 Give 10 days time to the official to make

representation against the articles of charge If received, go through the representation Judge the quantum of punishment without

prejudice, keeping in view the gravity of the misconduct

Findings on each article of charge after taking into consideration of the representation of the CO

Consider the representation and pass orders The order of punishment to be specific, clear

and unambiguous. Final order to be a speaking order and to be

signed by the disciplinary authority

PUNISHMENT………Rule 16 Service book to be checked before imposing the punishment to see

whether the punishment proposed to be awarded can be implemented fully. Next increment and Next One increment – Reduction to lower stage, post,

grade or service – intention to be made clear- period of reduction whether earn increment to be specified – on expiry of punishment whether the punishment will have the effect of postponing future increment to be made clear – restoration to grade or post or service will be automatic or after review to be specified

Recovery from pay for the loss of govt. money can spread over unspecified period till the loss is fully adjusted

After issuing the order, the same authority cannot rectify the errors in punishment. Only the next higher authority can do it.

PUNISHMENT………Rule 16

Minor penalty proceedings cannot be extended beyond date of superannuation.

The entire disciplinary proceedings should be stopped if the CGS dies.

Communication of the Orders

Findings on each article of charge after taking into consideration of the representation of the CO

Rule 17, CCS (CCA) RulesOrder passed & communicated

Counseling Avoid punishments for petty lapses If the case is fit for counseling, call the

employee Keep in mind the positive & negatives of the

employee Focus the counseling on exploiting positives

of the employee Sensitize & make the employee aware about

the work & conduct needed for that job

Warning

There may be occasions when you may find it necessary to criticize your subordinate’s work

Call for explanation bringing the facts to his/her notice & give opportunity to explain

If lapse is not serious enough viz. petty negligence, carelessness, lack of thoroughness to justify the formal punishment of Censure

Communicate a written warning/admonition/reprimand Should be kept in PF of the official

Warning continued….

Should not be placed on record unless there is good & sufficient reason to do so

If official has not improved even after written warning, may mention in APAR

If kept in APAR, official has the right to represent against this

Should not be issued as a result of disciplinary proceedings

It is not a punishment

DIES NON

Absence from duty without prior information

leaving office during duty time without permission

even though in workplace refuses to perform duty assigned to him.

THANK YOU