2 Objectives Define Disciplinary Proceedings Outline Constitutional ProvisionsOutline provisions relating to suspensionDescribe the penalties for misconductOutline the procedure for imposing penalties
3 Misconduct Vigilance Angle Non-vigilance Cases Bribery Corruption ForgeryFalsification of recordsFalse claimsDisproportionate assetsNon-vigilance CasesUnauthorized absenceLack of devotion to dutyNegligenceInsubordination
4 Sources of Information ComplaintGenuinely signedAnonymousPseudonymousAudit reportsNewspaper reportsOther sources
5 SUSPENSION- When Disciplinary proceeding is contemplated or is pending Official has engaged himself in activities prejudicial to the interest of the security of the StateCriminal case is under investigation, inquiry or trial
6 DEEMED SUSPENSIONDetained in custody, whether on criminal charge or otherwise, for a period exceeding 48 hoursConviction for an offence and imprisonment exceeding 48 hours
7 Who can suspend? The appointing authority Any other authority to which the A.A. is subordinateDisciplinary authorityAny other authority empowered by the President
8 Minor Penalties (Rule -11) CensureWithholding of promotionRecovery from payReduction to a lower stage in time scale for period not exceeding 3 years without cumulative effectWithholding of increments of pay
9 Major PenaltiesReduction to a lower stage in the time-scale of pay with cumulative effectReduction to lower time-scale of pay, grade, post or serviceCompulsory retirementRemovalDismissal
10 SAFEGUARDS OF ART 311No dismissal or removal by authority subordinate to appointing authorityNo 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; andpenalty may be imposed only on the basis of evidence adduced during such inquiry
11 Exceptions in Art 311 Conviction on a criminal charge Not reasonably practicable to hold inquiryAppointing authority to be satisfiedReasons to be recorded in writingIn the interest of the security of the statePresident/ Governor to be satisfied
12 Procedure for MINOR PENALTY- Rule 16 Rule 16 of CCS (CCA) RulesMemorandum to the official indicating that action is proposed to be takenStatement of imputations of misconductProvide opportunity to make representationInquiry to be held at the discretion of the Disciplinary AuthorityInquiry obligatory if it is proposed to withhold incrementsfor more than 3 yearswith cumulative effectRecording a finding on each of the imputation of misconduct , issue & communication of punishment orders
13 DRAFTING OF CHARGE SHEET Charge sheet for imposition of minor penalty in two partsa forwarding memorandum andthe statement of imputations
14 Drafting of Charge sheet contd.. For Violation of departmental rulesArticles of charges should mention the departmental rule which has been violated apart from conduct rule violatedFor Contravention of Conduct Rule3(1)(i) to be quoted when integrity is suspected3(1)(ii) to be quoted when devotion to duty is suspected3(1(iii) to be quoted when unbecoming of a govt. servant is alleged3(2)(i) is to be used when the supervisor fails to ensure integrity and devotion duty of his subordinates
15 Drafting a Charge sheet- Rule 16 Clear, precise and intelligibleShould mention all relevant factsThen state the nature of the misconductRule violated may be mentionedNo inference as to guiltCharge should not mention the evidenceSeparate charge for each allegationThe articles of charge should be framed in clear, concise terms and without ambiguity.Avoid charges which mainly depends on the statement of govt. servant
16 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 complexityCharge 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
17 FORMAT of a Charge Sheet- Rule 16 Annexure II Statement of Imputations of misconduct or misbehaviorIt 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”.
18 PUNISHMENT………Rule 16Give 10 days time to the official to make representation against the articles of chargeIf received, go through the representationJudge the quantum of punishment without prejudice, keeping in view the gravity of the misconductFindings on each article of charge after taking into consideration of the representation of the COConsider the representation and pass ordersThe order of punishment to be specific, clear and unambiguous.Final order to be a speaking order and to be signed by the disciplinary authority
19 PUNISHMENT………Rule 16Service 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 specifiedRecovery from pay for the loss of govt. money can spread over unspecified period till the loss is fully adjustedAfter issuing the order, the same authority cannot rectify the errors in punishment. Only the next higher authority can do it.
20 PUNISHMENT………Rule 16Minor penalty proceedings cannot be extended beyond date of superannuation.The entire disciplinary proceedings should be stopped if the CGS dies.
21 Communication of the Orders Findings on each article of charge after taking into consideration of the representation of the CORule 17, CCS (CCA) RulesOrder passed & communicated
22 Counseling Avoid punishments for petty lapses If the case is fit for counseling, call the employeeKeep in mind the positive & negatives of the employeeFocus the counseling on exploiting positives of the employeeSensitize & make the employee aware about the work & conduct needed for that job
23 WarningThere may be occasions when you may find it necessary to criticize your subordinate’s workCall for explanation bringing the facts to his/her notice & give opportunity to explainIf lapse is not serious enough viz. petty negligence, carelessness, lack of thoroughness to justify the formal punishment of CensureCommunicate a written warning/admonition/reprimandShould be kept in PF of the official
24 Warning continued….Should not be placed on record unless there is good & sufficient reason to do soIf official has not improved even after written warning, may mention in APARIf kept in APAR, official has the right to represent against thisShould not be issued as a result of disciplinary proceedingsIt is not a punishment
25 DIES NON Absence from duty without prior information leaving office during duty time without permissioneven though in workplace refuses to perform duty assigned to him.