importance of following the due process in disciplinary proceedings - regarding

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Importance of following the due process in disciplinary proceedings – DOPT Orders issued on 18.2.2015

G.I., Dep. of Per. & Trg., O.M.F. No.11012/3/2015-Estt.A-III, dated 18.2.2015

Subject: Importance of following the due process in disciplinary proceedings – regarding

This Department has been emphasising the necessity of conforming with the procedures prescribed in the Central Civil Services (Classification, Control & Appeal) Rules, 1965 [CCS(CCA) Rules, 1965] while dealing with the disciplinary proceedings conducted in Ministries/ Departments. Many a times the Hon’ble Administrative Tribunals and Courts have held the proceedings non-est for non-conformity of the procedure, without even going into the merits of the case. This issue was highlighted recently in the judgement of the Hon’ble Supreme Court in the B.V. Gopinath case in SLP No. 6348/2011.

2. Procedural lapses have also been noticed in a few cases referred to this Department for advice. Two areas where procedural lapses are frequently noticed are: (i) not following the procedure prescribed in Rule 14(18) of CCS (CCA) Rules, 1965 while conducting the disciplinary inquiry; and (ii) not following the procedures laid down in Rule 9 of CCS(Pension) Rules, 1972 in the case of proceedings against retired Government servants.

3. Rule 14(18) of CCS (CCA) Rules, 1965, provides that, “the inquiring authority may, after the Government servant closes his case, and shall, if the Government servant has not examined himself, generally question him on the circumstances appearing against him in the evidence for the purpose of enabling the Government servant to explain any circumstances appearing in the evidence against him.”. This is a formal action required to be taken by the inquiry officer before closing the inquiry. It has been seen that many a times this is not formally recorded and the inquiry gets vitiated. It is imperative that the inquiry is conducted strictly in accordance with the procedures prescribed.

4. Attention is also invited to Rule 9 of the Central Civil Services (Pension) Rules, 1972, while lays down that the departmental proceedings, if instituted while the Government servant was in service, whether before his/her retirement or during his re-employment, shall, after his/her final retirement, be deemed to be proceedings under the rule and shall be continued and concluded by the authority which

commenced them, in the same manner as if the Government servant had continued in service. This rule also stipulates that where the departmental proceeding is instituted by an authority subordinate to the President, that authority shall submit a report recording its findings to the President.

5. All Ministries / Departments are requested to please bring to the attention of all concerned the necessity of conforming to the procedures prescribed for conducting departmental proceedings.

6. In this regard, attention is also invited to the ISTM publication ‘Handbook for Inquiry Officers & Disciplinary Authorities, 2013′, which can be used as a reference guide in such matters. The Handbook may be accessed under ‘Publications/Reports’ on this Department’s website: http://persrnin.nic.in/DOPT.asp.

Authority www.persmin.gov.in

Penalty Proceedings against Central Government Employees...

The below information is tabled to a question in Lok Sabha on 9th July 2014 by the Minister of State for Personnel, Public Grievances and Pensions as follows... Article 311(1) of the Constitution provides that no person who is a member of the 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. Again as per Article 311(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. Disciplinary proceedings under the Central Civil Services (Classification, Control and Appeal) Rules, 1965 [CCS(CCA)Rules, 1965] can be initiated against a Government Servant for violation of the provisions of the Central Civil Services (Conduct) Rules, 1964. The procedures for imposition of major penalties minor penalties are prescribed in the Rule 14 and Rule 16 of the [CCS(CCA)Rules, 1965], respectively. There are similar provisions in Rules governing the All India Services. A list of Minor and Major penalties that may be imposed on a Government servant for good and sufficient reasons as provided in Rule 11 of CCS (CCA) Rules is annexed. The data on cases registered involving major penalty proceedings and punishment awarded on conviction are not centrally maintained. It is the endeavour of the Government to strengthen and streamline the institutional mechanism for disciplinary proceedings. In order to check delays in completion of disciplinary proceedings, guidelines for monitoring and expeditious disposal of the disciplinary proceedings cases have been issued on 29th November, 2012. ANNEXURE PENALTIES SPECIFIED IN THE RULE 11 OF THE CENTRAL CIVIL SERVICES (CLASSIFICATION, CONTROL AND APPEAL) RULES, 1965. MINOR PENALTIES (i) Censure; (ii) Withholding of his promotion; (iii) Recovery from his pay of the whole or part of any pecuniary loss caused the Government by negligence or breach of orders; (iii a) Reduction to a lower stage in the time-scale of pay by one stage for a period not exceeding three years, without cumulative effect and not adversely affecting his pension. (iv) Withholding of increments of pay; MAJOR PENALTIES (v) Save as provided for in clause (iii) (a), reduction to a lower stage in the time-scale of pay for a specified period, with further directions as to whether or not the Government servant will earn increments of pay during the period of such reduction and whether on the expiry of such period, the reduction will or will not have the effect of postponing the future increments of his pay (vi) reduction to lower time-scale of pay, grade, post or Service for a period to be specified in the order of penalty, which shall be a bar to the promotion of the Government servant during such specified period to the time-scale of pay, grade, post or Service from which he was reduced, with direction as to whether or not, on promotion on the expiry of the said specified period - (a) the period of reduction to time-scale of pay, grade, post or service shall operate to postpone future increments of his pay, and if so, to what extent; and (b) the Government servant shall regain his original seniority in the higher time scale of pay , grade, post or service; (vii) Compulsory retirement; (viii) Removal from service which shall not be a disqualification for future employment under the Government; (ix) Dismissal from service which shall ordinarily be a disqualification for future employment under the Government. Provided that, in every case in which the charge of possession of assets disproportionate to known-source of income or the charge of acceptance from any person of any gratification, other than legal remuneration, as a motive or reward for doing or forbearing to do any official act is established, the penalty mentioned in clause (viii) or clause (ix) shall be imposed: Provided further that in any exceptional case and for special reasons recorded in writing, any other penalty may be imposed.

Check list for tendering Rule 9 cases at the Single Window of this office

To see detail of OM no. C-32016/09/2013-VP dated  7/05/2014 is click here

Regarding check list for tendering Rule 9 cases at the Single Window of this office

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Guidelines for monitoring and expeditious disposal of the disciplinary proceeding cases - reg.

To view original memo issued  by Department of Personnel & Training vide OM No.425/04/2012-AVD-IV(A) dated 29th November, 2012, please click here