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) 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.