Indian Audit and Accounts Department s1

Indian Audit and Accounts Department Courseware on Common Administrative Issues, Reservation Rosters, Vigilance and Disciplinary Proceedings Session 6.1 and 6.2: Disciplinary Proceedings under CCS (CCA) Rules, 1965.

SESSION OVERVIEW DISCIPLINARY PROCEEDINGS

Discipline in the central civil A. FRAMING OF CHARGE- services is enforced through SHEET application of various provisions contained in the Central Civil Services 1. General - The initial stage of (Classification Control and Appeal) the disciplinary proceedings is drawing Rules, 1965, hereinafter referred as of charge sheet. A charge may be CCS (CCA) Rules. These rules have described as the essence of an been framed in conformity with the allegation setting out the nature of provisions of Article 311 of the accusation in general terms, such as Constitution. The affectivity and the negligence in the performance of success of establishing delinquencies official duties, inefficiency, breach of in a Government servant for genuine conduct rule, etc. The articles of charge guilt depends on proper understanding should be framed with great care of the rules along with the Article mentioning the documents by which referred by all authorities who have and the witnesses by whom the charges been vested with disciplinary powers. will be established. Each charge should The procedure laid down in these rules be expressed in clear and precise terms and the various instructions issued and should not be vague. there under are required to be followed rigidly. Any failure to observe the 1.1 Terminology in respect of proper procedure, either wilfully or Disciplinary Proceedings – through gross negligence is liable to vitiate the entire proceedings rendering i) Disciplinary Authority - them null and void. Rule 2(g) of CCS (CCA) Rules defines Disciplinary authority as an authority LEARNING OBJECTIVE empowered to impose any of the penalties specified in At the end of the session, during the CCS (CCA) Rules, which attempts will made to 1965. familiarize the participants with the practical application of the CCS (CCA) iii) Presenting Officer – Rules and instructions issued by Officer appointed by the various authorities from time to time in DA, ordinarily from the regard to the application of these rules, departmental set up, to they will be able to draw up a present the case in its behalf deficiency free charge sheet against the in support of the articles of errant official and the nature of charge. He is custodian of disciplinary action and the quantum of all the documents and every punishment will commensurate with aspect of disciplinary the gravity of the offence alleged to proceeding and also to have been committed. submit report to the DA. In cases involving complicated points of law, a legal

Note 6.1 & 6.2 44 Indian Audit and Accounts Department Courseware on Common Administrative Issues, Reservation Rosters, Vigilance and Disciplinary Proceedings Session 6.1 and 6.2: Disciplinary Proceedings under CCS (CCA) Rules, 1965.

practitioner can be quote that rule or order in support of appointed by the DA. the charge invariably, the breach of which has constituted the charge. ii) Inquiry Officer – Officer appointed to do inquiry into 2.2 Decision to charge-sheet an the charges after officer should be taken only when full verification of allegations facts have been gathered and evaluated and counter comments by and there is controvertible inference the charged official. He that a definable misconduct has been functions as a judge and committed. Once a decision has been gives his finding after taken that formal disciplinary hearing the case of proceedings should be instituted department and the charged against the Government servant under officer. the rules, the disciplinary authority will need to decide whether proceedings iv) Charged Officer – should be taken under Rule 14 or Rule Government servant against 16. whom disciplinary proceedings are initiated. 2.3 At this enquiry, all available evidences and relevant documents v) Defence Assistant – should be collected and in important Under the rules the accused cases, evidences of witnesses be officer has also the right to reduced to writing and got signed by take the assistance of them. another Government servant or one under 3. Purpose suspension or a retired Government servant to 3.1 On receipt of all documents the present the case on his authority will inform the Government behalf. He is referred as servant concerned in writing of the defence assistant. For this, proposal to take action against him in charged officer is not the form prescribed accompanied by a required to take prior statement of imputations of permission of the DA. He misconduct misbehaviour for which need send only an action is proposed to be taken, giving intimation to this effect to him such time as may be considered the DA. reasonable, ordinarily not exceeding ten days, for making such 2. Occasion representation as he/she may wish to make against the proposal. 2.1 A charge may be framed only when there is some act in violation of 4. Composition and contents - The the rules in different service manuals, charge-sheet basically comprises of CCS(Conduct) Rules, different five parts : circulars or general letters issued. It is therefore, of greater importance to

4.1 Memorandum - The instrument of on which it is proposed to institution of proceedings referred as rely for bringing home the Memorandum should be in prescribed charges. Care should be form and signed only by the taken in use of language to Disciplinary Authority, except when ensure that the guilt of the this power has been delegated to others charged official is not pre- constitutionally or legally. judged or pronounced upon in categorical terms in 4.2 Articles of charge - It is basically advance. a formal statement of charges bringing out the general nature of misconduct/ 4.3 Imputations of misconduct- misbehaviour in Annexure I. It should Rule 14(3) of the CCS (CCA) Rules cover the following aspects:- stipulates that

i) The grounds on which it is i) “substance of the proposed to take action imputations of misconduct should be reduced to the or misbehaviour into form of a definite charge or distinct articles of charge” charges. The charges should should be drawn up by the be clear, specific and Disciplinary Authority precise. A separate charge whenever it is proposed to should be framed in respect hold an enquiry against a of each separate offence. Government servant. This Each charge should also would mean that no charge have a separate statement of can be proper or complete imputations of without including therein misbehaviour/ misconduct. elements of the main The common failing of content of the allegations/ listing out one long imputations. Therefore, the statement of misconduct/ spirit of all Conduct, misbehaviour ought to be Discipline & Appeal Rules avoided. Care should be imply that there should be a taken that no expression of specific finding on each opinion as to the guilt of the allegation made against the accused official is officer. contained in the wording of the charge. ii) The statement of imputations, also referred ii) The statement of as statement of allegations allegations on which these in Annexure II, is to make charges are based should the basis of charge, contain a dispassionate and allegation-wise, precise and objective enumeration of specific and should include the order of events or details of what exactly each succession of facts or any witness/ document is going other corroborative material to prove regarding every

charge. It should give witnesses who will be able precise recitation of the to give positive evidence to specific and relevant acts of substantiate the allegations. commission or omission on They should be capable of part of the Government authenticating the servant in support of each documents relied upon to charge including any prove the imputations and admission or confession should be able to withstand made by the Government cross-examination. servant and any other circumstances which it is ii) The four Annexure so proposed to take into prepared are to be sent to consideration. The common the Charged Officer along failing of listing out one with a forwarding long statement of Memorandum asking the misconduct/ misbehaviour Government servant to ought to be avoided. submit his written statement of defence within the time 4.4 List of documents specified in the Memorandum. The Officer i) All material particulars should be asked to given in the allegations specifically admit or deny such as figures, dates, each article of charge and to names or any documents state whether he/ she conforming to articles of desires to be heard in charge and the imputations person. relating thereto should be carefully checked with reference to the original B. AUTHORITY TO FRAME A documents and records, CHARGE-SHEET before such documents are included in the list of 1. Rule 2(g) of CCS (CCA) Rules documents, in Annexure defines Disciplinary authority as an III, at the time of issue of authority empowered to impose any of charge-sheet. the penalties specified in the CCS (CCA) Rules, 1965. ii) The documents should have evidentiary value 2. Following authorities can be a supportive of misconduct. Disciplinary Authority as prescribed in Rule 12- 4.5 List of witnesses – It should consider these aspects- i) The President ii) The Appointing Authority i) The list of witnesses in iii) An Authority specified in Annexure IV should the “Schedule” contain the names of those

iv) An Authority specially against any Government servant for the empowered by President imposition of any of the penalties v) In respect of Group C/D specified in clauses (v) to (ix) of Rule employees 11 notwithstanding that such Working in Ministries – disciplinary authority is not competent Secretary under these rules to impose any of the Working in attached offices latter penalties. – Head of office not lower 4. Under no circumstances, the in rank than (iii) or (iv) appointing authority can delegate his power to a subordinate authority. The 2.1 Thus, there can be more than one underlying idea is that a Government Disciplinary Authority for a group/ servant is entitled to the judgment of class of Government servants and the authority by whom he had been different Disciplinary Authorities may appointed or of and authority superior have different powers of imposing to that authority. It is therefore, penalties. necessary that before any action is initiated under Rule 14 with a view to 3. Rule 13 of CCS(CCA) Rules, imposing any of the major penalties on 1965 prescribes the authority an official, it should first be verified empowered to institute disciplinary that it does not contravene the proceedings (to issue charge-sheet) as provisions of Article 311(1). Any hereunder : violation will render the order 3.1 The President or any other defective and any subsequent authority empowered by him by confirmation of such an order by the general or special order may – competent authority will not validate it.

(i) institute disciplinary 5. Disciplinary authority in respect of proceedings against any an official is to be determined with Government servant ; reference to his posting at the relevant stage of the disciplinary case and not (ii) direct a disciplinary with reference to his posting and status authority to institute at the time of commission of the disciplinary proceedings offence. against any Government servant on whom that disciplinary authority is C. VARIOUS STAGES OF competent to impose any of CONDUCTING DEPARTMENTAL the penalties specified in INQUIRY Rule 11 of CCS (CCA) Rules. 1. General - Principles of natural justice apply to disciplinary 3.2 A disciplinary authority proceedings, as these are quasi-judicial competent under the CCS (CCA) Rules in nature. Strict rules of Indian to impose any of the penalties specified Evidence Act do not apply to the in clauses (i) to (iv) of Rule 11 may disciplinary proceedings, and only institute disciplinary proceedings

Note 6.1 & 6.2 48 Indian Audit and Accounts Department Courseware on Common Administrative Issues, Reservation Rosters, Vigilance and Disciplinary Proceedings Session 6.1 and 6.2: Disciplinary Proceedings under CCS (CCA) Rules, 1965. requirement is of observing principles by the DA to the Presenting Officer of natural justice. (hereinafter referred as PO) who will be the custodian thereof till the inquiry 1.1 Applying the above principles, proceedings are over and report is stages in which the inquiry should be submitted to the DA. Once the listed conducted have been evolved by documents are brought on record, they various authorities on the subject and should be assigned exhibit numbers in can be enunciated as under : a continuous series such as S-1, S-2 and so on. Similarly, documents 2. Documentation brought on behalf of the defendant may also be allotted serial numbers as D-1, 2.1 The first document that comes D-2 and so on. Prosecution documents into the hand of and Inquiry Officer, may be marked in red ink and defence hereinafter referred as IO, in a documents in any other ink for easy departmental enquiry is his own distinction. appointment order as an IO. He should first check that his order has been 3.2 The undisputed documents may issued in the proper form and signed be taken on record straightaway. by the competent authority. Any legal Documents which are not admitted as flaw in this document should be genuine or authentic by the CO have to pointed out to the Disciplinary be introduced through witnesses who Authority (hereinafter referred as DA) can prove the authenticity and for rectification under intimation to all genuineness of the documents. concerned. 3.3 Once the documents are brought on record and are marked in the above 2.2 The documents received from manner by the IO they should not be the DA along with the appointment passed on to the PO for custody. order as required under Rule 14(6) of CCS(CCA) Rules also be checked to 4. Inspection of documents ensure that they are complete in all respects. 4.1 The CO has right of access to two categories of documents for 2.3 The IO should then send a defending himself- notice to the Charged Official (hereinafter referred as CO) fixing the i) The first category date and time for preliminary hearing. comprises of documents The CO is also required to intimate listed with the charge-sheet particulars of his Defence Assistant to prove the charges. The and also that of the latter's controlling CO has a complete and authority. unconditional right of access to these documents. 3. Bringing the documents on records ii) The second category includes the documents in 3.1 The documents appended to the official custody, called charge-sheet are to be made available “Additional Documents”,

which may be relied upon important points which should find by the CO for preparing his mention in the DOS are :- defence. In order to peruse these documents the CO i) Additional documents and should indicate the the witnesses asked for by relevancy of each from the CO in his defence. defence point of view. However, request for ii) Additional documents and inspection of the defence witnesses ‘additional documents’ can permitted. be turned down on ground of prejudice to the public iii) Reasons for disallowing the interest or security of the remaining documents and state. Inspection is to be witnesses. carried out in the presence of the IO himself, or the PO iv) Whether the additional or any other officer deputed documents permitted as for the purpose. relevant were made available for inspection and 4.2 The CO may be allowed to take were inspected by the CO. copies or to take extracts of the documents. It should, however, be v) If the authority having ensured that the documents are not custody of any such tampered with in the course of the document does not consent inspection. to its production, the fact of such refusal. 4.3 Before close of the case on behalf of the DA, the PO may make a request 5.2 The day to day DOS is to be under Rule 14(15) for producing new dated and signed by the IO, the PO, documentary evidence if there is and the CO. inherent lacuna or defect in the evidence which had been produced 5.3 If the CO or the PO or the originally. If permitted, such new Defence Assistant refuses to sign the document proposed to be so introduced DOS, the fact of such refusal may be should also be offered for inspection, mentioned in the DOS itself. before it is brought on record with minimum three clear days intervening 6. Interlocutory Orders between the adjournments granted on account of proposal and resumption of 6.1 It means a decree given in the proceedings later on. course of legal action. In the context of departmental proceedings it means an 5. Daily Order Sheet (DOS) order passed by the IO during the actual conduct of the inquiry. 5.1 It is a record of the conduct of the inquiry proceedings on day to day 6.2 There may be several occasions basis maintained by the IO. The at different stages of the inquiry calling

Note 6.1 & 6.2 50 Indian Audit and Accounts Department Courseware on Common Administrative Issues, Reservation Rosters, Vigilance and Disciplinary Proceedings Session 6.1 and 6.2: Disciplinary Proceedings under CCS (CCA) Rules, 1965. for orders by the IO. For example, The IO may ask the PO to submit his demand of CO for supply of copies of written brief in duplicate. listed documents, request for postponement of hearings on one 8.2 On receipt of the written brief ground or the other or any other from the PO, a copy of the same shall demand which call for decision and be supplied to the CO asking him to order by the IO. submit his defence brief within a stipulated date and time. 6.3 The power of the IO to pass interlocutory orders is absolute and 8.3 On receipt of the defence brief the there is no appeal against such orders. IO may write inquiry report. It is therefore, imperative that the power is exercised judiciously on the 8.4 If the CO does not submit his basis of valid reasons to be recorded in written defence within the time the DOS. specified or does not appear before the IO or otherwise fails or refuses to 7. Recording of evidence comply with the provision of the rules, the IO may hold the inquiry ex-parte, 7.1 Recording of evidence includes recording reasons for doing so. proving the validity of listed documents through witnesses and 9. Ex Parte Inquiry recording their oral statements, if any. Examination of witness is done in 9.1 If the CO does not submit his three parts, viz., examination-in-chief, written defence within the time cross-examination and re-examination. specified or does not appear before the Admitted documents and facts and IO or otherwise fails or refuses to earlier written statements, if any given comply with the provisions of the by the witness, may be read out to him rules, the IO may hold ex parte and he may be specifically questioned inquiry, recording reasons for doing so. whether he admits the same or not. 9.2 The only difference in this kind of 7.2 The deposition of every witness inquiry is that the CO has denied should be taken on separate sheet and himself the opportunity of cross- should by signed by the IO and the examining the prosecution witnesses deponent. Copies of the statements and producing and examining his own recorded during the course of witnesses. proceedings should be supplied to the PO and the CO soon after their 9.3 In this inquiry the job of the IO recording. becomes difficult in absence of any explanation from the CO. The IO, 8. Closing stage therefore, has to examine the records and witnesses to enable him to come to 8.1 On conclusion of the Government a valid conclusion as to the culpability servant’s case, the IO may hear the PO of the CO based on the evidence led and the CO or permit them to file before him. written brief of their respective case.

9.4 In ex parte inquiry the IO has to 2.3 The charges and substance of follow all the steps as he would in a imputation of misconduct – The IO normal inquiry, including fixing the should give his findings on every date of hearing. If the IO does all this charge so that no part of the evidence later on the CO can not later on plead is left which the charged officer may that he was not given reasonable refute on the grounds of natural opportunity to prove his case. justice. The IO should not assume the correctness of the imputations/ charges 10. Based on examination of witnesses or the defence version. He should and the oral and written briefs of the endeavour to reconstruct the conduct prosecution and the defence, the IO expected of the charged official and may give his findings in form of then judge whether the CO within his Inquiry Report. knowledge and experience behaved with due care and attention, reasonably and honestly, whether he violated law, D. INQUIRY REPORT rules and procedure he was expected to follow. 1. An inquiry is held to ascertain the truth or otherwise of the allegations 2.4 Case of the DA – After examining and is intended to serve as the basis on the witnesses on behalf of DA, the CO which the DA has to take a decision as is required to state his defence orally or to whether or not the imposition of in writing. The CO along with his penalty on the Government servant is Defence Assistant are allowed to called for. examine his witnesses who will then be cross examined by the PO and re- 1.1 After conclusion of the Inquiry, examined again, if necessary. On the the IO has to prepare a Report as laid basis of evidence gathered thereafter, down in Rule 14(23)(i) of the charges that were framed, charges that CCS(CCA) Rules and forward the were admitted dropped or not pressed same to the DA together with the and the charges that were actually records of inquiry consisting of inquired into will be detailed. documents prescribed in Rule 14(23) (ii). 2.5 Case of the CO – On conclusion of the case of the CO, the IO will 2. The inquiry report is to be divided question him on the circumstances into the following parts:- appearing against him in the evidence for the purpose of enabling the CO to 2.1 An Introductory para – indicating explain any circumstances appearing in Appointment of IO and the dates of the evidence against him. On the basis hearing. of written and oral briefs submitted by the CO in respect of each article of 2.2 Defence assistance availed of by charge the findings will be given. the CO and his participation in the inquiry. 2.6 Analysis and assessment of evidence – the findings on each article of charge and reasons therefore stating

Note 6.1 & 6.2 52 Indian Audit and Accounts Department Courseware on Common Administrative Issues, Reservation Rosters, Vigilance and Disciplinary Proceedings Session 6.1 and 6.2: Disciplinary Proceedings under CCS (CCA) Rules, 1965. clearly whether each article of charge vi) Daily order sheet of the has been proved. conduct of day to day inquiry proceedings. 2.7 Findings and decision against each charge – The IO should give vii) Written briefs of both sides, definite findings on the articles of if any, filed by the PO or charge individually; provided that the the Government servant or findings on each article of charge shall both during the course of not be recorded unless the Government inquiry. servant has either admitted the facts on which such article of charge is based or viii) Applications, if any filed has had a reasonable opportunity of during the course of defending himself against such article inquiry, and orders passed of charge. thereon, as also orders passed on oral requests 3. The report is to be based on made during the inquiry. evidence brought on record after evaluating it carefully, intelligently, dispassionately and impartially. The IO E. FINAL ORDER should then forward the Inquiry Report to the DA. 1. The report of the IO is only an enabling document which helps DA in 3.1 Along with the report, the IO formulating his opinion. It is intended should send a folder containing below to assist DA in coming to a conclusion documents:- about the guilty of the Government servant. i) List of exhibits produced by the PO. 1.1 The DA should examine carefully and dispassionately the ii) List of exhibits produced by Inquiry Report and the record of the the Government servant. inquiry.

iii) List of Prosecution and 1.2 As per Government of India’s defence witnesses instruction no. 11 below Rule 15 it produced. should normally be possible for the DA to take a final decision on the iv) Deposition of witnesses in Inquiry Report within a period of three the order in which they months at the most. The findings of the were examined. IO are not binding on the DA who can disagree with them and come to its v) Written statement of own conclusions on the basis of its defence, if any, submitted own assessment of the evidence by the Government servant. forming part of the record of the enquiry.

2. Having regard to its own findings inquiry in which he has been informed on the articles of charge, and on of the charges against him and given a consideration of the written submission reasonable opportunity of being heard of the CO, if the DA is of the opinion in respect of those charges. that the articles of charge have not been proved and that the Co should be 2.2 As soon as a decision has been exonerated, it should make and order taken by the competent authority to to that effect and communicate it to the start disciplinary proceedings for a CO. major penalty, charge-sheet is drawn up on the basis of the material gathered 3. If the DA is of the opinion that any during the preliminary investigation of the minor penalties should be accompanied by- imposed on the CO, orders can be passed straightaway. i) Standard Memorandum - Form 6 4. If the DA is of the opinion that any of the major penalties should be ii) Statement of articles of imposed on the CO, it is not necessary charge Annexure I to give the CO any opportunity of making representation on the penalty iii) Statement of imputation of proposed to be imposed. An order misconduct in support of imposing penalty should be passed each article of charge – straightaway. Annexure II

5. When a decision is recorded by a iv) List of documents by which disciplinary authority at the conclusion each article of charge is of departmental proceedings, the proposed to be sustained - decision is final and cannot be varied Annexure III by that authority itself or by its successor-in-office, before it is v) List of witnesses by whom formally communicated to the the articles of charge are Government servant concerned. proposed to be sustained – Annexure IV

F. PROCEDURE FOR IMPOSING 2.3 The Memorandum should be MAJOR AND MINOR signed by the DA, except when this PENALTIES power has been delegated constitutionally or legally. 1. Major Penalties (Rule 14, 15 & 17) 2.4 The charge-sheet together with its enclosures should be served on person 2.1 Under clause (2) of Article 311 if he is on duty. If it is not possible to no person who is a member of a civil trace him, the DA may take recourse to service of the Union or an All India Rule 19(ii) and finalise the Service shall be dismissed or removed proceedings after dispensing with the or reduced in rank except after an

Note 6.1 & 6.2 54 Indian Audit and Accounts Department Courseware on Common Administrative Issues, Reservation Rosters, Vigilance and Disciplinary Proceedings Session 6.1 and 6.2: Disciplinary Proceedings under CCS (CCA) Rules, 1965. inquiry on the ground that it is not 2.10 On the basis of the evidences reasonably practicable to hold one. gathered, Inquiry Report is submitted by the IO to the DA, with findings on 2.5 As required under Rule 14(4) the each charge along with records. Government servant may be given an opportunity to admit or deny his guilt. 2. Minor Penalties (Rule 16) Copies of documents as listed in Ann – III are provided to the Government 1.1 On receipt of all the relevant servant. papers connected with the preliminary enquiry the competent authority should 2.6 If in the written statement of take a decision whether proceedings defence all the charges are admitted by should be initiated for imposing a the Government servant, the DA may minor penalty. record his finding and take further action in the manner prescribed in 1.2 Once the decision is taken, the Rule 15. He may either drop the authority will inform the Government proceedings giving reasons for doing servant concerned in writing of the so or conduct an oral inquiry. proposal to take action against him in the form prescribed (Form 11) 2.7 To proceed with the oral inquiry, accompanied by - Inquiry Officer and Presenting Officer are appointed paying due regard to the i) Standard Memorandum seriousness of the alleged offence and also to the status of the accused officer. ii) Narrative statement of The procedure as detailed in the imputations of ‘various stages of inquiry’, also misconduct bringing known as Rule 14 inquiry, is followed out articles of charge to arrive at final decision in the case. and the Rules contravened 2.8 Closure of prosecution case - iii) Separate imputation for Statement of the case of defence and each separate statement of the CO are recorded. misconduct. Production of defence documents and recording of evidence of defence 1.3 The memorandum should be witness is carried out. Defence witness signed only by the disciplinary is cross examined by PO and IO. authority, except when this power has been delegated to others 2.9 Closure of defence case - CO is constitutionally or legally. examined by the IO on the circumstances emerging against him 1.4 After taking into consideration the during the inquiry. Prosecution brief is representation of the Government submitted to the IO and CO by the PO servant or without it, if no such followed by submission of Defence representation is received from him by brief by the CO to the IO. the date specified, the disciplinary authority will proceed, after taking into

Note 6.1 & 6.2 55 Indian Audit and Accounts Department Courseware on Common Administrative Issues, Reservation Rosters, Vigilance and Disciplinary Proceedings Session 6.1 and 6.2: Disciplinary Proceedings under CCS (CCA) Rules, 1965. account such evidence as it may think authority together with brief reasons fit, to record its findings on each for its disagreement, if any, should also imputation of misconduct or be supplied. misbehaviour. If as a result of examination the charges are not 3.2 If as a result of disciplinary proved, the Government servant may proceedings any of the prescribed be exonerated by sending intimation to punishments (censure, reduction to a him in written. In case the DA is of the lower post, etc.) is imposed, a record of opinion that the allegations against the the same to be invariably be kept in his Government servant stand confidential roll. substantiated, it may proceed to impose upon him any of the minor penalties 4. Common proceedings [Rule 18] specified in Rule 11 which it is competent to impose. 4.1 Where two or more Government servants are concerned, the authority 1.5 Under Rule 16(1)(b) the DA, in competent to impose the penalty of the circumstances of any particular dismissal on all such Government case as below, can hold oral inquiry in servants may make an order directing the manner laid down in sub-rules (3) that disciplinary action against all of to (23) of Rule 14. them may be taken in a common proceeding. If the authorities i) Where DA is of the opinion that competent to impose the penalty of oral inquiry is necessary dismissal on such Government servants are different, the highest of ii) Where it is proposed to impose a such authorities with the consent of the penalty withholding others may make such an order.

a) of increments that will adversely affect G. SPECIAL PROCEDURE IN pension, OR CERTAIN CASES b) of more than 3 increments 1. Clause (i) of Rule 19 of CCS c) of increments with (CCA) Rules, envisages that in a case cumulative effect. where a Government servant has been convicted in a Court of Law, the DA 3. Communication of orders should provide him an opportunity of [Rule 17] being heard by holding an inquiry. No charge sheet is required to be served as 3.1 Orders of the disciplinary the charges have already been authority shall be communicated in established in the court. writing to the Government servant who shall also be supplied with a copy of 2. As per Rule 19 (ii), in peculiar the finding on each article of charge. circumstances of a case, the DA can Where the disciplinary authority is not make such orders as it deems fit the inquiring authority, a statement of without holding inquiry, in case it is the findings of the disciplinary satisfied, for reasons to be recorded in

Note 6.1 & 6.2 56 Indian Audit and Accounts Department Courseware on Common Administrative Issues, Reservation Rosters, Vigilance and Disciplinary Proceedings Session 6.1 and 6.2: Disciplinary Proceedings under CCS (CCA) Rules, 1965. writing, that it is not reasonable iii) Shall be conducted by such practicable to hold an inquiry in the authority and in such place manner laid down in the rules. It is as the President may direct constitutional obligation that the DA and in accordance with the should record his reasons for taking procedure applicable to this course. departmental proceedings in which an order of dismissal from service could be made F. PROCEDURE AFTER in relation to the RETIREMENT Government servant during his service. 1. Disciplinary proceedings can be initiated against a retired officer in the 1.2 No judicial proceedings, if not manner provided in Rule 9 of the instituted while the Government Central Civil Services (Pension) servant was in service, shall be Rules, 1972 for the purpose of instituted in respect of a cause of withholding or withdrawing a pension action which arose, or in respect of an or any part of it either permanently or event which took place, more than four for a specified period and also for years before such institution. ordering recovery from pension and or Gratuity of the whole or a part of any 2. In such cases the President pecuniary loss sustained by the functions as the DA and reserves to Government on account of the himself the right to withhold or negligence of the retired officer. Such withdraw pension of the retired officer orders can also be passed under that concerned. Going by the language of rule and in the manner provided Article 351-A (Rule 9) President’s therein, if the pensioner is found guilty right to withhold or withdraw pension of grave misconduct or negligence in full is absolute. The final order during the period of service, including under Rule 9 is also issued in the name service rendered upon re-employment of President. after retirement. 3. Where any departmental or 1.1 The departmental proceedings, if judicial proceeding is instituted under not instituted while the Government Rule 9 or where a departmental servant was in service, whether before proceeding is continued under that his retirement or during his re- rule, the retired officer should be employment- granted provisional pension in accordance with the provision of Rule i) Shall not be instituted save 69 of the CCS(Pension) Rules, 1972. with the sanction of the President. 4. Institution of proceedings is not dependent upon any pecuniary loss ii) Shall not be in respect of being occasioned to the Government. any event which took place Even in the absence of any pecuniary more than four years before loss, the pension of a pensioner can be such institution, and withheld or withdrawn in whole or

Note 6.1 & 6.2 57 Indian Audit and Accounts Department Courseware on Common Administrative Issues, Reservation Rosters, Vigilance and Disciplinary Proceedings Session 6.1 and 6.2: Disciplinary Proceedings under CCS (CCA) Rules, 1965. part, after following the prescribed procedure, for an act of misconduct/ negligence committed while in service.

SUMMARY

In this session we have discussed the importance of drawing deficiency free charge-sheet. Inadequate skill in drafting the charge-sheet is one of the reasons which help the charged officials to get away with lapses/ misconduct committed by them. We also learnt the fundamentals of inquiry process and the importance of Inquiry report. Participants were also exposed to the two prescribed procedures for imposing penalties – minor and major in case of Government servants and pensioners. It is expected that the participants have understood the basic procedure of Disciplinary Proceedings and implications of various rules and this exercise will definitely guide them to handle disciplinary cases with ease and effectively.

Note 6.1 & 6.2 58