INTERACTION ON DISCIPLINARY MATTERS

(BASED ON LEGAL PROVISIONS AND PRACTICAL

EXPERIENCE)

22.02.2022

FACILITATOR : KRISHAN KUMAR CHUG

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 I Know All – A Myth or Reality
EXTRACTS FROM GOI ORDERS ON THE
OBSERVATIONS OF APPOINTMENTS COMMITTEE OF
THE CABINET.
………However, while considering cases for
empanelment, the ACC has observed that in many
cases, rather than exonerating the officer or
imposing a penalty on him, administrative warning
is issued even when disciplinary proceeding were
drawn against him……………
DoPT OM No. 11012/12/2016-Estt.A-III
dated 6th December, 2016
2
 KNOWLEDGE ONE OUGHT TO POSSESS FOR
DEALING WITH DISCIPLINARY MATTERS

CONSTITUTION OF INDIA
ALL INDIA SERVICES (DISCIPLINE & APPEAL) RULES
CONDUCT RULES
CENTRAL CIVIL SERVICES (CLASSIFICATION,
CONTROL & APPEAL) RULES, 1965
VIGILANCE MANUAL
JUDGEMENTS PRONOUNCED BY THE COURTS
GOVERNMENT OF INDIA DECISIONS
PRINCIPLES OF NATURAL JUSTICE 3
 CONSTITUTIONAL PROVISIONS

ARTICLE 309 (RULE FRAMING POWER OF

EXECUTIVE)
ARTICLE 311 :
Provision for Three Penalties : Dismissal, Removal
or Reduction in Rank
Authority : Not Lower than the Appointing Authority
Procedure : After the Government Servant is
informed of the charges leveled against him/her and
given reasonable opportunity
4
Extracts from para 1.4.4 of Vigilance Manual, 2017
 

The purpose of vigilance activity is not to reduce but

to enhance the level of managerial efficiency and
effectiveness in organization. ……….. A positive
response to this question may indicate the existence
of bona fides. A negative reply, on the other hand,
might indicate their absence.
5
 WHAT DO WE MISS OR WHAT IS NOT CLEAR

If intention of Government is to take best from the

Government Servant, what options are available for
disciplining a Government Servant I II III
Are Protection available to temporary Government
Servants
Are there any penalties other than the ones
mentioned in the Constitution of India.
Who will inquire into the charges
When will inquire charges be inquired into
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 WHAT DO WE MISS OR WHAT IS NOT CLEAR

When will inquire charges be inquired into

Who will present the case on behalf of the
Government or disciplinary authority;
At what place inquiry should be held;
How many opportunities to Government Servant;

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 SET UP IN THE GOVERNMENT AS GIVEN IN CVC
MANUAL, 2017

• Administrative Vigilance Division of DoP&T

• Central Vigilance Commission
• Central Bureau of Investigation
• Vigilance Units in the Ministries/Departments of
Government of India, Central Public Sector
Enterprises
• Disciplinary Authorities
• Supervisory Officers
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 ADVISORY AND PENALTIES
• ROLE OF SUPERIOR OFFICERS IN GIVING
ADVISORY/WARNING – DISCUSSED IN THE PRECEDING
SESSIONS
PENALTIES
• Censure }
• Withholding of Promotion } Minor Penalty
• Recovery from Pay }
• Withholding of increments (as a minor penalty)
• Withholding of increments (as a major penalty)
• Reduction in rank; }
• Compulsory Retirement } Major Penalty
• Removal from Service }
• Dismissal from Service } 9
 PRINCIPLES FOR IMPOSITION OF PENALTY

The Administrative Department/Competent Authority

should study the allegations more carefully and resort to
minor penalty proceedings instead of initiating major
penalty proceedings, where the circumstances involve
minor infringements or cases of procedural irregularities. It
has to be kept in mind that a minor penalty swiftly but
judiciously imposed by a Disciplinary Authority is much
more effective than a major penalty imposed after years
spent on a protracted enquiry.

(Extracts from DoP&T O.M. No.425/04/2012-AVD-IV (A)

dated 29.11.2012) 10
 INTERFERENCE BY THE COURT ON QUANTUM OF
PENALTY
Judgement in State Bank of India vs. Samrendra Kishore
Endow [(1994)I SLR 516] which led to Department of
Personnel and Training issued OM No.11012/6/94-Estt. (A)
dated 28.3.1994 for guidance

“……It may be noted that the imposition of appropriate

punishment is within the discretion and judgement of the
disciplinary authority. It may be open to the Appellate
Authority to interfere with it but not to the High Court or to
the Administrative Tribunal…..”

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 OUTCOME OF DISCUSSION – FOLLOWING
PROCEDURAL REQUIREMENT BUT THERE ARE
MISCELLANEOUS ISSUES TO BE DISCUSSED

MISCELLANEOUS ISSUES FOR DISCUSSION

PROCEDURAL REQUIREMENTS
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 MISCELLANEOUS PROVISIONS REQUIRING CAUTION

• A STENOGRAPHER REMOVED PLACED UNDER

SUSPENSION BY THE PRINCIPAL SECRETARY

• A POLICE OFFICIAL PROCEEDED AGAINST BY THE

BORROWING DEPARTMENT.

• OBSERVATIONS OF AUDIT TEAM ON MISSING ENTRY IN

CASH BOOK

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SUMMING UP MISCELLANEOUS PROVISIONS REQUIRING
CAUTION

• SUSPENSION CAN BE ORDERED BY AUTHORITIES

EMPOWERED TO DO SO BUT ACTION SHOULD BE TAKEN
BY AUTHORITIES WITH CAUTION
• SUSPENSION AND DISCIPLINARY PROCEEDINGS CAN GO
TOGETHER
• CRIMINAL PROSECUTION AND DISCIPLINARY
PROCEEDINGS CAN GO TOGETHER.
• DISCIPLINARY PROCEEDINGS DEVOID OF PROCEDURAL
REQUIREMENT MAY VITIATE INQUIRY
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 STAGES IN DEPARTMENTAL PROCEEDINGS

• SATISFACTION OF DISCIPLINARY AUTHORITY THAT THE

ALLEGED MISCONDUCT NEEDS TO BE PROBED INTO
• DRAFTING OF CHARGE SHEET
• SERVING OF CHARGE SHEET ON THE DELINQUENT
OFFICIALS GIVING HIM TIME FOR REPLYING TO THE
CHARGES LEVELED AGAINST HIM
• INQUIRY TO BE HELD IN RESPECT OF THOSE CHARGES
WHICH ARE NOT ADMITTED
• APPOINTMENT OF INQUIRY OFFICER
• OBLIGATIONS OF INQUIRY OFFICER ON RECEIPT OF
CHARGE SHEET FOR CHECKING DOCUMENTS
• PRELIMINARY HEARING 15
 STAGES IN DEPARTMENTAL PROCEEDINGS

• LAYING DOWN SCHEDULE FOR INSPECTION OF

DOCUMENTS AND ADVISING CHARGED OFFICER TO
FURNISH LIST OF ADDITIONAL DOCUMENTS AND
WITNESSES WHICH HE MAY REQUIRE IN HIS DEFENCE
• CONSIDERATION OF LIST OF ADDITIONAL DOCUMENTS
AND WITNESSES AND ALLOWING THOSE DOCUMENTS
AND WITNESSES WHICH ARE RELEVANT
• REQUISITIONING OF ADDITIONAL DOCUMENTS
CONSIDERED RELEVANT
• FIXING DATE OF ORAL HEARING ON BEHALF OF
DISCIPLINARY AUTHORITY 16
 STAGES IN DEPARTMENTAL PROCEEDINGS

• ON COMPLETION OF ORAL HEARING ON BEHALF OF

DISCIPLINARY AUTHORITY, MAY ALLOW ADDITIONAL
EVIDENCE TO BE PRODUCED ON BEHALF OF INQUIRING
AUTHORITY
• CHARGED OFFICER TO BE GIVEN AN OPPORTUNITY TO
PUT HIS STATEMENT OF DEFENCE AND A COPY OF
STATEMENT OF DEFENCE TO BE GIVEN TO THE
PRESENTING OFFICER
• ORAL EVIDENCE ON BEHALF OF DEFENCE THEN TO
COMMENCE
• CHARGED OFFICER TO BE EXAMINED FIRST IN CASE HE
WANTS TO EXAMINE HIMSELF. 17
 STAGES IN DEPARTMENTAL PROCEEDINGS
• ON COMPLETION OF ORAL HEARING ON BEHALF OF
DISCIPLINARY AUTHORITY, MAY ALLOW ADDITIONAL
EVIDENCE TO BE PRODUCED ON BEHALF OF INQUIRING
AUTHORITY
• CHARGED OFFICER TO BE GIVEN AN OPPORTUNITY TO
PUT HIS STATEMENT OF DEFENCE AND A COPY OF
STATEMENT OF DEFENCE TO BE GIVEN TO THE
PRESENTING OFFICER
• ORAL EVIDENCE ON BEHALF OF DEFENCE THEN TO
COMMENCE
• CHARGED OFFICER TO BE EXAMINED FIRST IN CASE HE
WANTS TO EXAMINE HIMSELF AND THEREAFTER OTHER
WITNESSES ON HIS BEHALF 18
 STAGES IN DEPARTMENTAL PROCEEDINGS

• AFTER COMPLETION OF EVIDENCE ON BEHALF OF

DEFENCE, GENERAL EXAMINATION OF CHARGED
OFFICER BY INQUIRING AUTHORITY
• SUBMISSION OF BRIEFS – FIRST BY THE PRESENTING
OFFICER AND THEN BY THE CHARGED OFFICER
• A COPY OF THE PRESENTING OFFICER TO BE GIVEN TO
THE CHARGED OFFICER BUT CHARGED OFFICER BRIEF
NOT TO BE GIVEN TO THE PRESENTING OFFICER
• AFTER SUBMISSION OF BRIEFS BY BOTH PARTIES,
SUBMISSION OF INQUIRY REPORT BY THE INQUIRY
OFFICER
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 PROCEDURAL REQUIREMENT (1)

Who should conduct Inquiry? What are provisions and

what principles of natural justice say?

“... Disciplinary Authority may itself inquire into, or appoint

under …… an inquiry authority to inquire into the truths
thereof” (Rule 14 (2) of CCS (CC&A) Rules, 1965

It has accordingly been decided that unless it is unavoidable

in certain cases as mentioned above, the disciplinary
authority should refrain from the Inquiry Officer and
appoint another officer for the purpose”. (DP&AR OM No.
35014/1/76-Estt. (A) dated 29.6.1976) 20
PROCEDURAL REQUIREMENT BECOMES EASY TO FOLLOW
WITH COMPLETE INVOLEMENT OF THE FOLLOWING

 APPOINTING AUTHORITY
 DISCIPLINARY AUTHORITY
 INQUIRING AUTHORITY
 PRESENTING OFFICER
 CHARGED OFFICER AND HIS DEENCE ASSISTANT

My experience on the charge sheet and on the role of

Presenting Officer.
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 PROCEDURAL REQUIREMENT (2)
A Trainee during the training asked as to whether the
Disciplinary Authority can ask them to draft charge sheet
• The Disciplinary Authority shall draw up or cause to be
drawn up ……. (Rule 14 (3) of CCS (CC&A) Rules,
1965;
• Charge Sheet has to be approved by the Disciplinary
Authority;
• The covering memorandum should be signed by the
Disciplinary Authority or in case in which the President is
the Disciplinary Authority by an officer who is authorized
to authenticate orders on behalf of the President (DoPT
OM No.234/18/65-AVD.II dated 14.03.1966)
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 PROCEDURAL REQUIREMENT (3)
RECONCILIATION OF PROVISIONS FOR CONDUCT OF
INQUIRY
• RULE 14 (24) OF CCS (CC&A) RULES, 1965 REGARDING
TIME LIMIT FOR SUBMISSION OF INQUIRY REPORT
• RULE 14 (1) OF CCS (CC&A) RULES, 1965 : USE OF
WORDS ‘AS FAR AS MAY BE…” FOR FOLLOWING
PROVISIONS IN THE SAID RULE FOR CONDUCT OF
INQUIRY;
• PARA 7.24.2 (iv) OF VIGILANCE MANUAL, 2017 :
PROGRAMME FOR CONDUCT OF INQUIRY IS PREPARED
IN CONSULTATION WITH PROSECUTION AND DEFENCE.
Example : Allotment of Room and Date of Hearing on
Sunday 23
CONDUCT OF INQUIRY AND PROCEDURAL REQUIREMENT
(4)

Inquiry Officer submitted report holding charges ‘Proved’

since the charged officer did not turn up on issue of notice
for Preliminary Hearing and Reminder twice - Did we do
right was the query?

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SITUATIONS FACED IN CONDUCT OF INQUIRY

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 SITUATION 1

On going through the charge sheet it was observed that

Preliminary Investigation mandated under the Vigilance
Manual was not carried out because of one of the
members of the Investigating Team was busy. And the
charge sheet was handed over to the Head of the Unit on
the last date of his superannuation.

Questions 1 : Was it proper on the part of the Disciplinary

Authority?

Question 2 : What opinion of Disciplinary

Authority you would have made on receipt of charge
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 SITUATION 2
Charged officer on the date of Preliminary Hearing
submitted that the Inquiry be deferred as she has filed
application before the Central Administrative Tribunal.
Question : What would you do in such circumstances –
whether you would accede to request or pass an order not
allowing request made.

Answer : Bring on record provisions in the Vigilance

Manual not to allow such request as the proceedings
cannot be stopped until and unless there is stay by the
Tribunal/competent court.
Incidentally, there were no court orders not only till
submission of my Report but even till decision of 27the
 SITUATION 3

Charged Officer asked for leave for going abroad as the

Presenting Officer had proceeded on election duty but was
about to return soon.

Question : What would have been your decision?

Sharing what I did.

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 SITUATION 4

Charged Officer attempted an ugly scene during the course

of proceedings with a view to stalling inquiry.

Question : What you would have done?

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 SITUATION 5

Charged Officer made an application alleging bias against

Inquiring Authority.

Question : What you would have done?

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 SITUATION 6

There is a query from one of IPS officers asking me what to

do when the Charged Officer does not appear before him as
Inquiring Authority in spite of notices having been served
on him three times.

Normal Answer : Charged Officer be proceeded against ex

parte

Question : Does Rule say so?

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 SITUATION 7

Charged Officer requested for proceedings to be held on

holidays because her Defence Assistant cannot attend
training because of his being on training and he cannot
afford to miss training.

Question : What would have done?

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 SITUATION 8

Charged Officer submitted a list of witnesses who were

witnesses on behalf of Prosecution?

Question : What would have done?

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 SITUATION 8

Charged Officer submitted a list of documents about which

you were not clear?

Question : What would have done?

Answer : Keep a date for hearing Defence Case;

Never refuse documents where there is a slight link with his
defence. 34
 SITUATION 9

• After receipt of Order appointing me as Inquiring

Authority, Charged Officer sent a communication
mentioning ‘erroneous appointment of inquiring
authority’ and inquiry be kept pending.
• After resolution of the aforesaid issue, charged officer
came and gave a communication saying that his
presence be not construed as participation in the inquiry
and he will not sign any paper
• After resolution of the said issue, he gave a
communication that he wants more time to inspect
documents;
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 SITUATION 9 (contd.)

• In the midst, he gave a communication saying that

Inquiring Authority/PO be asked to refrain from
endorsing a copy of proceedings to Disciplinary
Authority;
• Again he gave an application that proceedings be
conducted in Hindi;
• He gave an application saying that disciplinary
proceedings be not carried further as time limit for
inquiring as per CVC guidelines is 6 months.

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 SITUATION 10

• In an enquiry, charge sheet was prepared alleging six

misconducts against an officer
• All the charges were proved ‘Not Charged’ by me.

Reasons :

• Poor work done at the time of drafting of charge sheet;

• It was all vindictive;

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 STEPS TO BE FOLLOWED BY THE INQUIRY OFFICER

• MAINTENANCE OF ORDER SHEET

• CHECK CHARGE SHEET TO ENSURE THAT ALL DOCUMENTS
MENTIONED HAVE BEEN RECEIVED IN COMPLETE (MY
EXPERIENCE WITH SCERT, DEPARTMENT OF PERSONNEL
AND TRAINING)
• IF EVERYTHING IS IN ORDER OR GETTING THE SAME IN
ORDER, ISSUE NOTICE FOR PRELIMINARY HEARING;
• IN THE NOTICE FOR PRELIMINARY HEARING TO DECIDE
FURTHER COURSE OF PROCEEDINGS; FOR CONSIDERATION
REQUEST FOR DEFENCE ASSISTANT.
 STEPS INVOLVED IN INITIATING ACTION FOR IMPOSITION OF
MAJOR PENALTY

• SHOULD BE CLEARLY MENTIONED :-

HIS RIGHT TO ENGAGE DEFENCE ASSISTANT OF HIS
CHOICE BUT HE SHOULD BE SATISFYING CONDITIONS
LAID DOWN IN RULES
FIRST QUESTION ; ASKING CHARGED OFFICER
WHETHER HE HAS CONFIDENCE IN I.A.
IN CASE OF HIS NON-APPEARANCE ON THE DATE
AND, PROCEEDINGS SHALL BE HELD EX PARTE (CASE
RELATING TO NDMC)
IN CASE OF NON APPEARANCE, PLACING A DATE 30 DAYS AWAY FROM
THE DATE OF PRELIMINARY HEARING MAKING ORDERS :
INSPECTION OF DOCUMENTS MAY BE DONE IN 5 DAYS
 ROLE OF DISCIPLINARY AUTHORITY.

ROLE OF DISCIPLINARY AUTHORITY

AGREE WITH THE REPORT

DISAGREE WITH THE REPORT
SEND A COPY OF THE REPORT AND NOTE OF
DISAGREEMENT TO THE CHARGED OFFICER SEEKING
HIS COMMENTS
 RIGHT OF GOVERNMENT SERVANT AFTER IMPOSITION OF
PENALTY

• APPEAL/REVISION/REVIEW AVAILABLE TO THE CHARGED

OFFICER.
• JUDICIAL REVIEW AVAILABLE TO THE CHARGED OFFICER.
 SUPREME COURT JUDGEMENT AND
GOVERNMENT OF INDIA ORDER ON THE NEED FOR ISSUE OF
SPEAKING ORDER

……… instances have come to the notice of the Department

where the final orders passed by the competent
disciplinary/appellate authorities do not contain the reasons on
the basis whereof the decisions communicated by that order
were reached. Since such orders may not confirm to legal
requirements, they may be liable to be held invalid, if
challenged in a court of law. It is, therefore, impressed upon all
concerned that the authorities exercising disciplinary powers
 SUPREME COURT JUDGEMENT AND
GOVERNMENT OF INDIA ORDER

should issue self-contained speaking and reasoned orders

conforming to the aforesaid legal requirements. (Department
of Personnel and Training issued OM No. 134/1/81-AVD.I dated
13-7-1981 after SC Judgement in Mahavir Prasad vs. State of UP
RESPONSE OF PARTICIPANTS IN VARIOUS TRAINING SESSIONS

Supreme Court judgements in cases of Shri Nyadar Singh and

Shri N.J. Ninama v. Union of India (Civil Appeal Nos. 3003 and
889 of 1988).

• A Government servant initially recruited as a Postal

Assistant and was later promoted as UDC, while working as
UDC, was reduced in rank, as a measure of penalty, to the
post of LDC, which was lower in rank than the post of Postal
Assistant to which he had been recruited initially.
RESPONSE OF PARTICIPANTS IN VARIOUS TRAINING SESSIONS

• In the second case, the disciplinary authority has imposed a

penalty of reduction in rank reducing an officer from the
post of Assistant Locust Warning Officer to which he was
recruited directly to that of Junior Technical Assistant.

Issue of Department of Personnel and Training OM

No.11012/2/88-Estt. (A) dated the 2nd February, 1989.
 FOOD FOR THOUGT

“……. The challenge before us is to create an environment in

which the honest can work fearlessly and the corrupt are
punished promptly”.

(Extracts from Vigilance Manual, 2017)

HOW MANY GOVERNMENT SERVANTS ARE HAVING CONDUCT
S AS DEPICTED IN VIDEO I

FAREWELL – DO YOU WANT OF THIS TYPE

THANKS