1. Disciplinary Proceedings

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

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

4. Sources of Information
Complaint
Genuinely signed
Anonymous
Pseudonymous
Audit reports
Newspaper reports
Other 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 State
Criminal case is under investigation, inquiry or trial

6. 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

7. 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

8. 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

9. 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

10. 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

11. 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

12. 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

13. DRAFTING OF CHARGE SHEET
Charge sheet for imposition of minor penalty in two parts
a forwarding memorandum and
the statement of imputations

14. 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

15. 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

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 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

17. 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”.

18. 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

19. 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.

20. PUNISHMENT………Rule 16
Minor 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 CO
Rule 17, CCS (CCA) Rules
Order passed & communicated

22. 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

23. 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

24. 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

25. 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.

26. THANK YOU