Disciplinary Proceedings

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

Vigilance Angle Bribery Corruption Forgery Falsification of records False claims Disproportionate assets Non-vigilance Cases Unauthorized absence Lack of devotion to duty Negligence Insubordination Misconduct

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

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) Rules • Order 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

Disciplinary Proceedings