A

Session on
Disciplinary/ Vigilance
Proceedings
for
91st Foundation Course at
LBSNAA, Mussoorie
Human Resource (Personnel) Department

•Grievance Handling
•Counseling
•Performance Appraisal
•Career Planning
•Training & Development
•Discipline and Vigilance

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Vigilance function –
parts
•Preventive (Preventive Vigilance)
•Surveillance & Detective
•Punitive

With regard to :
Misconduct, malpractice and corruption
on the part of public servants.

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Surveillance & Detective

Complaint
• Receipt of information about corruption,
malpractice or misconduct on the part of public
servants from whatever source
• From employee or public
• Inspection Report
• Press Clipping
• Property transaction report under conduct rules
• Audit Report, Report of Parliamentary Committee

Anonymous and Pseudonymous complaints

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Disciplinary Angle
• Unauthorized absence
• Overstayal of leave
• Insubordination
• Use of abusive languages

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Vigilance Angle
Where an employee:
• Causes wrongful loss to organization
• Derives personal benefits other than legitimate
dues or legal remunerations
• Accepts illegal gratification
• Shows favour
• Commits theft, fraud, misappropriation
• Possesses pecuniary resources or property
disproportionate to known sources of income
• Misuses or abuses official position

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Preliminary Investigation
• Preliminary investigation is fact finding inquiry,
carried out after a decision has been taken to
have an enquiry made into allegation
contained in a complaint in order to establish
the existence or absence of a prima facie case

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Departmental investigation to be made
when the allegation relate to:

• A departmental irregularity / negligence

• A misconduct where alleged facts are capable of

verification or inquiry departmentally.

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Cases which are to be entrusted to the CBI

• Allegations involving offences punishable under

laws (which SPE is authorized to investigate) such
as bribery , corruptions etc.
• Possession of assets disproportionate to known
sources of income.
• Cases requiring inquiries from non-official persons
or involving examination of non government
records .
• Other cases of a complicated nature requiring
expert police investigation.
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Procedure for preliminary investigation
• Identification of persons who can throw light on the
case & identification of records.
• Seize all relevant files.
• Interrogation & recording of statements of all
concerned including the suspect officer.
• To make site inspection for verification of facts & to
ensure that evidence is not disturbed.
• To consider transfer of suspected officer to prevent
tampering of records.
• To obtain technical opinion from experts if required.

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The report of the investigating report should
contain
• Gist of complaint.
• Investigation including the method of investigation
employed.
• Documents & oral evidence relied upon role of the
suspected officer .
• Explanation of the suspected officers or opportunity
given to him to explain his conduct
• Material available to controvert the defense .
• All original documents seized & report.
• Conclusion whether a prima – facie case exist
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Action on investigation reports
• Report to be submitted by the CVO to disciplinary
authority, who will decide whether:

• the complaint should be dropped

• administration of a warning or caution
• regular department proceedings.

• In cases pertaining to Category A officials having

Vigilance angle or where the CVC has asked for a
report , the report will be referred for I stage advice
of CVC.
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 Suspension

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Guiding principles – when to suspend
• Disciplinary proceedings contemplated or pending
• To prevent tampering of witnesses or documents
• To avoid subversion of discipline in office
• To demonstrate the policy of govt.
• When prima facie case exists for conviction, dismissal,
etc.
• When security of State involved
• Activities prejudicial to security of state
• Criminal offence is under investigation, inquiry or trial
• Rule 10(1)

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Who can suspend
• Appointing Authority
• Authority to which ‘AA’ is subordinate
• Disciplinary authority
• Any other authority empowered by president

{Authority lower than ‘AA’ should report to ‘AA’ the

circumstances.}

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Deemed Suspension
• w.e.f the date of his detention if detained in custody for a period >
48 hours- Rule.10.(2)(a)
• w.e.f the date of conviction if sentenced to a term of imprisonment
> 48 hours- Rule.10.2(b)
• w.e.f. the date of order of dismissal / removal / compulsory
retirement if appellate /reviewing authority sets aside the order of
government servant (who is under suspension)
(The order of suspension shall be deemed to have continued) - Rule
10(3)
• w.e.f. the date of order of dismissal / removal / compulsory
retirement if the court of Law set aside the order (on technical
grounds without going into merit) and disciplinary authority
decides to hold further enquiry on the same allegation- Rule 10(4)

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Rule-20:Provision regarding officers lent to other
authorities
• Suspension: Powers of appointing authority
automatically delegated to the borrowing authority.
• Condition-shall forthwith inform lending authority.

• Subsistence allowance-F.R.53
• First 3 months: Half pay leave salary
• Beyond 3 months- 25% to 75%
• Payment subject to non-employment certificate.
• Increase-prolongation of period not directly attributable to
G.S
• Decrease-Directly attributable to G.S

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Suspension-how long?
• Order of suspension under Rule 10(1) or 10(2) shall not
be valid after 90 days
• Unless extended further before expiry of 90 days.
• Extension of suspension shall not be for a period > 180
days at a time.
• DoPT O.M.No.11012/4/2003-Estt.(A) dt.7.1.2004

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CONSTITUTIONAL
PROVISIONS
RELATING TO DISCIPLINARY PROCEEDINGS
Major Areas
• PART XIV ( SERVICES UNDER THE UNION AND THE
STATES)
• ARTICLE 310
• ARTICLE 311

• 310-Pleasure doctrine
• 310(1) Except as expressly provided by this Constitution, every
person who is a member of a Defence service or of a civil
service of the Union or of an all-India service or holds any post
under the Union, holds office during the pleasure of the
President…

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311-Dismissal, removal or reduction in rank of person
employed in civil capacities under the Union or a State

• (1) No person who is a member of a civil service of the

Union or an all-India service or a civil service of a State
or holds a civil post under the Union or a State shall be
dismissed or removed by an authority subordinate to
that by which he was appointed .
• (2) No such person as aforesaid shall be dismissed or
removed or reduced in rank except after an inquiry in
which he has been informed of the charges against him
and given a reasonable opportunity of being heard in
respect of those charges.

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Provided further that this clause shall
not apply:
(a) where a person is dismissed or removed or reduced in rank on
the ground of conduct which has led to his conviction on a
criminal charge; or

(b) where the authority empowered to dismiss or remove a

person or to reduce him in rank is satisfied that for some
reason, to be recorded by that authority in writing, it is not
reasonably practicable to hold such inquiry; or

(c) Where the President or the Governor, as the case may be, is
satisfied that in the interest of the security of the State it is
not expedient to hold such inquiry.

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311(3): If, in respect of any such person as
aforesaid, a question arises whether it is
reasonably practicable to hold such inquiry as is
referred to in clause(2),the decision thereon of
the authority empowered to dismiss or remove
such person or to reduce him in rank shall be
final.

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311[2](b): Not reasonably practicable - When
it should be resorted to?
• Government servant/ his associates terrorizes, threatens
or intimidates
• Witnesses
• Disciplinary authority / Inquiry authority or
• Members of their family
• Atmosphere of violence or general indiscipline and
insubordination prevails.
• D.A is not bound to suspend the inquiry and wait for
the normalcy to return.
• Reasons can arise even during the course of inquiry.

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311[2] (c) Security of State [Rule 19(3)]
• Only president (or Governor) can take action under
this proviso.
• ‘Security of State’ not restricted to security of entire
country but could be part of a state also.
• May not be armed rebellion or revolt but could be
related to state secrets etc.
• May be open or clandestine.
• Reasons not to be recorded in the order.
• Consultation with UPSC before making order.
• Judicial review-satisfaction should not be vitiated by
wholly extraneous or irrelevant consideration
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Principles of Natural Justice
• ‘Audi alteram partem’ which denotes ‘hear the other
party’ or in other words ‘no one shall be condemned
unheard’.

• ‘Nemo judex in causa sua’ meaning that no one shall be a

judge in his own case – no bias

• The Decision Must be Made in Good Faith i.e. Justice

should not only be done but also manifestly appear to
have been done.
The final order must be a speaking order.

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Principle of Natural Justice - General
Features
• Accepted by all civilised societies for millennia
• Operates in areas where Codified law does not exist,
or is silent
• Supplement law – cannot supplant law
• Applicable even to administrative actions
• Cannot override law
• Can be exempt by
• Specific provisions of law, or
• Necessary implications

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Purpose
• To avoid miscarriage of justice
• To ensure justice and fair play

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Audi alteram partem
Accused person has a right to:
• Know the charges
• Submit explanation
• Know evidence against him
• Inspect the documents
• Hear the witnesses
• Cross-examine them
• Lead evidence

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Why Speaking Orders:

• Disclosure guarantees consideration

• Introduces clarity
• Excludes or minimises arbitrariness
• Satisfaction of the party
• Enables appellate authority to exercise control

Travancore Rayons Vs Union of India AIR 1971 SC

862
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Applicability
• Finalising the list of witnesses
• Choosing the Inquiry Officer
• While deciding on the request for
• adjournment
• defence documents/witnesses
• Out-station defence Assistant
• engagement of counsel
• Change of inquiry officer

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 Departmental Proceedings

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STAGES
COMPLAINT PRELIM.
INV.

CHARGE
FORWARD INQUIRY SHEET
REPORT

CONSIDER PASS FINAL

REPLY ORDERS
CONTD../-

• APPLICABILITY (Rule-3) -- To every Govt. Servant and civilian Govt.

Servant in Defence Services
• Not applicable to –
• Railway G.S.
• Member of All India Service
• Person in
• casual employment

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Appointing Authority (AA)-Rule.2(a)
of CCS(CCA) Rules,1965
Appointing authority in relation to a Government
Servant :-
• (a) A.A has to be located with reference to the
present post and not the post in which misconduct
was committed.
• (b) Find out the A.A of present post( as per
rules/orders);
• (c) Find out the authority who actually appointed him.
• A.A for the purpose of disciplinary action will be
highest of (b) & (c)

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Penalties-Good and Sufficient Reasons-Rule -11
Minor
• Censure
• Withholding of promotion
• Recovery, whole or part of pecuniary loss by negligence or breach of orders
• Reduction to a lower stage - by one stage - not more than 3 years - without cumulative effect -
no adverse affect on pension
• Withholding of increments of pay
Major
• Reduction to a lower stage for a specified period, with directions whether or not he will earned
increments during the period of reduction and whether on expiry of such period the reduction
will or will not have effect of postponing future increments of pay
• Reduction to a lower time scale, grade, post, ordinarily bar to promotion to post from which
reduced. This to be with or without directions regarding conditions for restoration, seniority
and pay on such restoration
• Compulsory Retirement
• Removal (not a disqualification for future employment under Govt)
• Dismissal (Ordinarily a disqualification for future employment under Govt)
Proviso:
• Assets disproportionate, accepting gratification during official act – if established – removal or
dismissal to be imposed
• Exceptional Case, Special reason, recorded in writing any other penalty

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 Conduct of inquiry
Rule 14
Central Civil Services (Classification, Control and
Appeal) Rules
 Stages in Inquiry
PRELIMINARY HEARING

REGULAR HEARING

WRITTEN BRIEFS

IO’s REPORT

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 Actors On The Stage

INQUIRY OFFICER

IO

PRESENTING CHARGED CO
OFFICER OFFICER

PO

DEFENCE
ASSISTANT

STATE WITNESSES DEFENCE WITNESSES

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 Preliminary Hearing
Appoint Def. Asset. Three questions
Summon CO/PO

•Received charge sheet

Fix dates for •understood charges
•Admit/deny

Inspection of original listed

documents
Submission of list of Defence
witnesses & Documents
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 Examination of Witnesses
Stages SW DW

Examination- in -Chief PO CO

Cross Examination CO PO

Re-Examination PO CO

Statement of Mandatory
Defence of C.O question
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Cross Examination
OBJECTIVE:
• To Impeach The Accuracy, Credibility And General
Value Of The Witness.

• To Detect And Expose Discrepancies.

• Elicit Suppressed Facts Which Will Support The

Party.

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QUESTIONS THAT CAN BE ASKED in
cross examination
• Relate To Relevant Facts
• Need Not Be Confined To The Facts In E-i-chief.
• Previous Statements (In Writing Or Reduced To
Writing).
• To Test His Veracity.
• To Discover Who He Is And What Is His Position In
Life.
• To Shake His Credit, By Injuring His Character.

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Restrictions On Cross-examination

IO should not allow any question

• Not Relevant To Matter Under Inquiry

• To Intend To Insult Or Annoy Or Though Proper

But Needlessly Offensive.

• Indecent Or Scandalous.

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• General Examination /Mandatory Question
by IO to CO
• PO’s Brief
• CO’s Brief
• IO’s Report to Disciplinary Authority

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Stages of Departmental Inquiry in
chronological order

• Appointment of Inquiring Authority and Presenting Officer by Disciplinary Authority and

forwarding them copies of charge-sheet and other documents etc.

• Summoning of the Charged Officer for Preliminary Hearing by the Inquiry Officer (IO)

• I.O. questions the CO as to whether; he has received the chargesheet; understood its content
and whether he admits the charge.

• Inspection of Documents listed in Annexure-III of the Charge Sheet by the Charged officer (CO).

• I.O. takes those listed documents as are admitted by the CO on record by marking them SE-I
(State Exhibit-I), SE-2 etc.

• Deposition of State Witnesses i.e. their Examination-in-chief by PO, Cross-Examination by CO/DA

& Re-examination by PO.

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Stages of Departmental Inquiry in
chronological order ……contd
•IO asks CO to state his defence and lead evidence.

•Deposition of Defence Witnesses i.e. their Examination-in-Chief by CO/Defence Assistant,

Cross-examination by Presenting Officer (PO) & Re-examination by CO/DA.

•Mandatory Question by IO questioning the CO generally on the circumstances appearing

against him in the evidence for the purpose of enabling the CO to explain any circumstances
appearing in evidence against him.

•Submission of Written brief by PO.

•Submission of Written brief by CO.

•Evaluation of Evidence & Preparation of Inquiry Report by I.O.

•Examination of Inquiry Report by the Disciplinary Authority.

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INSPECTION REPORT 1
PRESS REPORT COMPLAINT
AUDIT REPORT, ETC.

ANONYMOUS/
NORMAL
PSEUDONOMOUS

IGNORE

NO VERIFIABLE
CONTAINS VERIFIABLE
MATERIAL
MATERIAL

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 ADMIN ACTION 3
STAGE 2 PROSECUTION SANCTION

MINOR PNLTY

MAJOR PNLTY

ISSUE
CHARGE SHEET
ORAL HEARING
NECESSARY?
APPOINT
IO-PO
NOT
CONVINCING YES
STAGE 4

EXAMINE ISSUE MEMO

REPLY NO

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CONVINCING DROP 49
 4
STAGE 3

PROCEEDINGS
BEFORE IO

IO’s REPORT

STAGE 4

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 5

CONSIDER
STAGE 4 PROCEDURE
IO’s REPORT
VIOLATION?

ARE FINDINGS NO
ACCEPTABLE YES

REMIT

STAGE 5

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 6
ARE FINDINGS
STAGE 5 ACCEPTABLE

YES NO

RECORD REASONS

NOT GUILTY GUILTY

DROP STAGE 6

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 7
FORWARD IO’s REPORT &
STAGE 7
NOTE OF DISAGREEMENT, IF ANY TO CO

EXAMINE REPLY

PASS FINAL ORDERS CONSULT CVC /UPSC

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Remedies After Penalty
FACTOR APPEAL REVISION REVIEW

BY APPELLATE INCLUDES PRESIDENT

WHOM AUTHORITY APPELLATE AUTHY

HOW ON APPEAL BY THE ON OWN MOTION OR ON OWN

INDIVIDUAL OTHER WISE MOTION OR
OTHER WISE

WHEN WITHIN 45 DAYS – ANY TIME AFTER ANY TIME

AUTHORITY MAY TIME FOR APPEAL IS
CONDONE OVER OR AFTER
DISPOSAL OF APPEAL

CONDITI NOT APPEALABLE OR NEW

ON NO APPEAL MADE MATERIAL

(Remedies after Penalty)

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Central Administrative Tribunal

Proceedings subjected to scrutiny on ground of

violation of
• PNJ
• Constitutional provisions
• Rules provisions

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 Thank You

Case Study

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