Disciplinary inquiry

Disciplinary Proceedings under CCS(CCA) Rules, 1965

[1] Show Cause Notice (SCN) & Charge Sheet [2] Board of Inquiry (BoI) [3] Suspension [4] Court of Inquiry (CoI) [5] Procedure for conducting Inquiries [6] Disciplinary Authority (DA) [7] Inquiry Officer(IO) [8] Presenting Officer (PO) [9] Charged Officer [10] Defence Assistant [11] Procedure to conduct inquiry (Minor Penalty) [12] Travelling Allowances [13] Remuneration/Honorarium [14] Penalty [15] Appeal [16] Revision [17] Review [18] Tribunal [19] Miscellaneous

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[1] Show Cause Notice (SCN) & Charge Sheet

1.1 Show Cause Notice (SCN) is a notice which is served to the Government employee who is alleged to have committed any misconduct or omitted something which he ought to have done and asked to represent his/her stand within stipulated time why any disciplinary action can’t not be initiated against his/her.

1.2 It is a notice which is actually served to the Government employee for giving him/her a chance to clarify his/her stand on the allegation made against him/her.

1.3 On the basis of reply/stand of the Government employee against Show Cause Notice, it is decided that whether Charge Sheet is to be issued or otherwise.

1.4 Charge: Before discussing on Charge Sheet, it is essential to discuss on ‘Charge’. As per Vigilance Manual 1991, “A Charged is described as the prima-facie proven essence of an allegation setting out the nature of the accusation in general term”. The accusation which lead to charge is termed in case of – (i) Negligence in performance of official duty assigned; (ii) Inefficiency; (iii) Acceptance of sub-standard work; (iv) False measurement of work executed; (v) Execution of work below specification; (vi) Breach of a conduct rule etc.

1.5 A charged should clearly & precisely identify the misconduct/misbehavior. It should also give time, place & persons or things involved so that the public servant concerned has clear notice of his/her involvement and it becomes easy for inquiry officer if inquiry is set up.

1.6 A charge is essentially involved an (a) Omission or a (b)Commission in terms of duty or responsibility.

1.7 (a) Omission: When a charge articulates that a Charged Officer is failed to do something which he ought to have done.

(b) Commission: When a charge articulates that a Charged Officer has committed something wrong which should not have been done.

1.8 Charge Sheet: A Charge-sheet is a document which contains description of misconduct alleged or reported to have committed or omitted but not proved against a Government employee. In other words, it can also be defined as the document which contains the substance of the imputation of misconduct or misbehaviour into distinct articles of charge under extent rule.

1.9 Significance of issue of a Charge-Sheet: Issue of a Charge sheet is the discharge of the Constitutional obligation case by Article 311(2) which states that “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”.

1.10 Charge Sheet is also compliance of the principle of natural justice – “No one can be condemned unheard” and the same is codified in the constitutional provisions under Article 311(2).

1.11 Authority to issue Charge Sheet: ‘Disciplinary Authority’ who takes the cognizance of the misconduct (commission or omission as the case may be) is the appropriate authority to decide whether formal disciplinary proceedings are to be initiated against the Government employee or warning or counselling to be administered in the matter. If the case has any vigilance angle CVC may be communicated.

1.12 As per Rule 13(2) of the CCA Rules, an authority who is competent only to impose minor penalties can institute proceedings for imposition of major penalties also.

1.13 If at the end of the proceedings, it is felt that major penalty is to be imposed, the case is required to be submitted before the authority who is competent to impose major penalty.

1.14 As per Ministry of Home Affairs Memo No. F/30/1/6-Ests(A) dtd: 16/04/1969, if Disciplinary Authority is the President of India then such cases are to be taken by the Minister concern.

1.15 If there is a criminal case is initiated against a Government employee, departmental proceedings may also be initiated. There is no such bar that criminal and departmental proceedings cannot be initiated altogether.

1.16 Annexure to Charge Sheet: A Charge Sheet is required to be complete in all respect to frame the charge in r/o the degree of misconduct or misbehaviour as the case may be done by the Government Employee. It is need of justice that Charge Sheet should be prepared in a judicial and explicit manner. Charge Sheet should contain following Annexures:

Annexure – I : Article of Charge

Annexure – II : Statement of imputation of misconduct or misbehaviour.

Annexure – III : List of Documentary evidence in support of the charges.

Annexure – IV : List of Oral witness in support of the charges.

1.17 Drafting of Annexure – I: It must be prepared on the basis of Preliminary Investigation Report. It is required to list all the charges that come to the mind in the relevant case such as: Theft, Negligence, non-compliance of departmental instructions, failure to safeguard Government property, facilitating theft etc. After listing all charges, it is required to arranged these charges either in ascending or descending order as per seriousness of the charges.

1.18 Drafting of Annexure – II: As per Preliminary Investigation Report.

1.19 Drafting of Annexure – III: Annexure III & IV are to be drafted on the basis of Annexure – II. It is practically drafted by asking from self like – ‘Is it required to be proved?’ If the answer is yes, then it should be asked, ‘Where is the evidence?’ And in the same manner Annexure –III should be prepared with supporting documents. If supporting document is not available, efforts must be made to collect them to include in the Annexure.

1.20 Drafting of Annexure – IV: After completion of Annexure – III, each item must be considered from the angle as to how the document is to be introduced, if the same is disputed by the Charged Officer, Oral witness that could introduce the documents should be added in Annexure – IV in addition to those who were already included for establishing the facts. If no disputed documents exist in the charge, Annexure-IV shall be Nil.

1.21 Precautions while drafting Charge Sheet: To prepare a Charge Sheet, it must be ensured that only those documents are referred to on which the charges realises. All such documents should be made available. Only those documents are to be annexed which can be made available. Hon. Apex Court in Ste of Utter Pradesh & Ors. Vs Saroj Kumar Sinha observed that “Respondent had been denied a reasonable opportunity to defend himself the inquiry”. It happened when the Charged Officer was not supplied with all requisite documents in support of charged framed against him.

1.22 There is no limit about the number of charges in a Charge Sheet. However, it must be ensured that a charge should relate to a single transaction.

1.23 If an inquiry is under proceeding against a Government employee, he/she may be issued another Charge Sheet in respect of some other misconduct(s) or misbehaviour(s). This is also upheld by Hon. Apex Court in Indian Durgs & Pharmaceuticals Ltd. and Anr. Vs. R.K. Shewaramani in JT 2005(6), (2005)6 SC 76.

1.24 The Charge Sheet preferably should be prepared on the basis of the Preliminary Investigation Report.

1.25 Time Limit for issue of Charge Sheet: As per Vigilance Manual (Ed 2005), the time limit for issue of Charge Sheet are as follows:

(a) 01 (One) Month: From the date of receipt of CVCs advice;

(b) 02 (Two) Months: From the date of receipt of Investigation Report.

1.26 There is no time limit between the occurrence of the misconduct and the issue of Charge Sheet in r/o service employees. However, unexplained inordinate delays may have the effect of vitiating the inquiry. Hon. Supreme Court in Case of P.V. Mahadevan Vs M.D., Tamil Nadu Housing Board quashed the proceedings as the Charge Sheet was issued in 2000 in respect of alleged misconduct committed in 1990.

1.27 A Charge Sheet which was issued earlier and disciplinary inquiry is under process, Charge Sheet may be amended.

1.28 If the Charged Officer/Delinquent Employee is absent from duty and could not be contacted, copies of the Charge Sheet may be dispatched to all the known addresses of the Charged Officer/Delinquent Employee, available with the organization/department. It it fails, Charge Sheet or the gist thereof may be published in the local News Paer. Charge Sheet may be also be published on the web site of the department/organization and also posted on the notice board of the department/organization.

[2] Board of Inquiry (BoI)

2.1 An Inquiry which is held for finding the fact is normally termed as Board of Inquiry. It is also called Preliminary Inquiry.

2.2 When allegations of misconduct or misbehaviour against a Government employee are brought to the notice of the disciplinary authority for initiating disciplinary proceedings, it may order a Preliminary Inquiry or Fact-Finding Enquiry.

2.3 The purpose of holding the preliminary enquiry is not to find out whether the Government employee concerned is guilty or otherwise of the charges. The purpose is to just to collect the facts and evidences relating to the allegation.

[3] Suspension

3.1 Suspension is a temporary deprivation of office. In case of suspension, contract of service is not terminated. It is only an intermediate step.

3.2 An official is under suspension is not allowed to discharge the function of his/her office duties during the period of his/her suspension.

3.3 Under Rule 23(i) of CCS (CCA) Rules, 1965, an appeal can be made against the order of suspension.

3.4 An official is entitled to receive subsistence allowance during the period of suspension.

3.4 Authority to suspend: Authorities who are empowered to place a Government servant under suspend are – (a) Appointing Authority; (b) Disciplinary Authority; (c) Any other authority empowered in this behalf by the President of India by general or special order.

3.5 Whenever an Authority who is lower than the Appointing Authority places a Government servant under suspension, the circumstances leading to suspension must be communicated to the Appointing Authority forthwith.

3.6 Persons on deputation: In a case, (a) where the services of a Government servant are lent by one department to another department; or (b) borrowed from; or (c) lent to a State Government or an authority subordinate thereto; or (d)

[4] Court of Inquiry (CoI)

4.1 It is an inquiry which is set up to investigate into the matter. In this Inquiry the Disciplinary Authority appoints – (a) an Inquiry Officer and (b) a Presenting Officer. Court of Inquiry is held mostly in case of Charge Sheet issued under Rule 14 of CCS (CCA) Rules 1965.

4.2 It is called Court of Inquiry because hearing and evidencing is done mostly in the line of court procedure as such hearings may result into court cases. Hence, legal aspect is kept into mind always.

4.3 The main objective of Court of Inquiry is to investigate into the case as per Charge Sheet and establish article of charges on merit or record findings to place before the report before Disciplinary Authority.

4.5 Court of Inquiry is to be completed within 6 (Six) months from the date appointment of – (a) Inquiry Officer; (b) Presenting Officer. Details of Court of Inquiry are widely discussed in successive para hereinafter.

[5] Procedure for conducting Inquiries

5.1 To conduct an inquiry, it is necessary to understand the prescribed process to set an inquiry in motion by keeping in view of its legal aspects as in later part, there is a possibility that, the outcome of such inquiries may be challenged before court of law. Hence, it is mandatory to conduct an inquiry in a prescribed way.

5.2 Conduct of disciplinary inquiry comprises of the following main stages:

(a) Pre-Hearing Stage: The stage from the appointment of an Inquiry Officer & Presenting Officer till the date of commencement of hearing is called Pre-Hearing Stage. During this stage, Inquiry Officer & Presenting Officer examine the documents received by them and ensure their correctness. Besides it, the Presenting Officer prepares for the presentation of the case.

(b) Preliminary Hearing Stage: The stage from the time, the parties start appearing before the Inquiry Officer till the commencement of presentation of evidence is called Preliminary Hearing Stage. During this stage, Charged Officer is asked once again wither the charges are admitted or otherwise. In this stage, inspection of documents takes place. Charged Officer presents the list of documents and oral witness required for the purpose of his/her defence.

(c) Regular Hearing Stage: After Preliminary Hearing Stage, Regular hearing Stage arrives in the disciplinary proceeding. During this stage, evidence is produced by the parties.

(d) Post Hearing Stage: After hearing is concluded, this stage arrives. During this stage, the Inquiry Officer & Presenting Officer submit their respective Written Briefs. Presenting Officer submits his/her Written Brief to Inquiry Officer and Inquiry Officer submits his/her report to the Disciplinary Authority.

5.3 As per Rule 14(7) of CCA Rules, first hearing of the case must be scheduled within 10 (Ten) days from the date of receipt of Charge Sheet by the Inquiry Officer.

5.4 First Hearing: As per Rule 14(9) of CCA Rules, when the Charged Officer appears before Inquiry Officer, the Inquiry Officer need to ask whether the Charged Officer admits charges or have any defence to make. If the Charged Officer pleads guilty in respect of charges, the Inquiry Officer needs to record the same with signature of the Charged Officer.

5.5 As per Rule 14(10) of CCA Rules, the Inquiry Officer needs to send finding of guilt to the Disciplinary Authority in case of the Charged Officer pleaded guilty.

5.6 In addition to the activities discussed in Para 5.4 & 5.5, the Inquiry Officer is required to fix a schedule for the following:

(i) Inspection of documents listed in Annexure-III of Charged Sheet within 5 (Five) days which may be further extended to another 5 (Five) days, total stretch – 10 (Ten) days [Rule 14(11)(i)].

(ii) Submission of the list of witness(es) is required to be examined on behalf of the Charged Officer [Rule 14(11)(ii)].

(iii) Submission of the list of additional documents required by the Charged Officer within 10 (Ten) days which may be further extended for another 10 (Ten) days, Total 20 (days) [Rule Rule 14(11)(iii)].

5.7 To adopt a good practice, it is sagacious to ask from the Charged Officer wither he has faith in the Inquiry Officer or otherwise. If the Charged Officer expresses lack of faith on the Inquiry Officer, he may be advised of the opinion to seek change of Inquiry Officer.

5.8 Inspection of document under the custody of Court: (a) Court may be prayed to make available such documents temporarily; (b) If court does not accept such prayer then a prayer should be made before the court to allow the Charged Officer to inspect the documents in court.

5.9 Documentation: This is the very first & vital process by which an inquiry is set in motion. It refers to – (a) handling; (b) disposal; (c) creation at different stages of inquiry.

5.10 In documentation process, the first document is appointment order issued to the Inquiry Officer (IO) by the Disciplinary Authority (DA) to conduct a particular inquiry. Appointment Order must be in proper form and signed by the Competent Authority duly annexed with certain documents as prescribed in Rule 14(6) of CCS (CCA) Rules.

5.11 Documents as prescribed in Rule 14 (6) of CCS (CCA) Rules are –

5.12 If documents are not annexed or any certain document is missing the same is required to be call for. Only specified documents are supplied to the Inquiry Officer alongwith Appointment Order.

5.13 Evidence, proving delivery of the Charge-sheet to the Charged Officer/Delinquent Officer is to be made available in original to the Inquiry Officer.

5.14 Inquiry Officer is required to summon within 10 to 20 working days from the date of receipt of Appointment Order to Charged Officer/Delinquent Officer to appear in person before the Inquiry Officer on a fixed date.

5.15 Charged Officer/Delinquent Officer needs to produce particulars of his/her Defence Assistant and Controlling Officer of the Defence Assistant to whom the Charged Officer wishes to nominate as Defence Assistant to present his case. Detail about Defence Assistant is discussed in Para – 9.

5.16 Documents on Record: Documents appended to Charge-sheet are to be made available by the Disciplinary Authority to Presenting Officer who will be the custodian thereof till the inquiry proceedings are over and the report is submitted to before Disciplinary Authority.

5.17 Once the listed documents are brought on record, they are to be assigned exhibit numbers in a continuous series such as – S/1, S/2… and so on. Likewise, documents which are brought on behalf of the Defendant are marked as D/1, D/2… and so on.

5.18 Marking of documents which are brought on record from defence side is generally marked as D/1, D/2, D/3… and so on in court cases also. It’s a general practice of marking defence records codified as letter ‘D’ for Defence perhaps.

5.20 The marking of documents is required to be done on the Right-Top corner at a visible place and bear the initials of Inquiry Officer with date.

5.21 Once the documents are brought on record and are marked by Inquiry Officer, they should not be passed on to the Presenting Officer for custody in any circumstances.

5.22 Disputed documents: Undisputed documents may be taken on record straightway. Documents which are not admitted as genuine or authentic by the Charged Officer, are required to be introduced through witness who can prove the authenticity and genuineness of the documents under dispute.

5.23 Inspection of documents before hearings: The Charged Officer has right to access some specific documents before hearings. These specific documents have two categories – (i) Documents listed with Charge-Sheet which proves the charge against the Charged Officer; (ii) Defence documents on which the Charged Officer relied upon for his/her defence.

5.24 Second category of documents or Defence documents are commonly known as Additional Documents. Charged Officer is required to submit an Index of such documents while submitting Defence document/Additional Documents by the Charged Officer.

5.25 The Charged Officer has complete and unconditional right of access to the first category of documents whereas access to Additional Documents once submitted and are in the custody of Government is limited by two conditions – (i) Disciplinary Authority/Controlling Authority/Head of the Department bar its disclosure on the ground of prejudice to the public interest or security of the State; (ii) The Inquiry Officer turns down the request for the production of those documents which are considered as irrelevant to the defence.

5.26 The Charged Officer will be given an opportunity to inspect the listed documents/Additional documents before the commencement of regular hearing.

5.27 Inspection of documents may be carried out in the presence of – (a) Inquiry Officer; (b) Presenting Officer (c) Any other officer deputed for the such specific purpose by the Disciplinary Authority.

5.28 At the time of inspection, the Charged Officer will be given facilities to see them and to take copies of them if permitted or to take extracts without tempering the documents.

5.29 Before closure of hearing/case, the Presenting Officer may make a request under Rule 14(15) for producing new documentary evidence not included in original list supplied to the Charged Officer. These request are required to be granted by the Inquiry Officer only when there is inherent lacuna or defect in the evidence.

5.30 New evidence is not to be permitted to fill up any gap in the evidence. However, the Inquiry Officer should hear the viewpoints of both the sides before taking decision on admissibility of the new evidence.

5.31 Whenever any fresh documentary evidence is produced on behalf of the Disciplinary Authority, the same should be offered for inspection before it is brought on record.

5.32 There is a gap of minimum three days should be taken into account between adjournment granted on account of proposal to introduce fresh evidence and resumption of proceedings after that.

5.33 Daily Order Sheet: Daily Order Sheet is a record maintained by Inquiry Officer for all business transacted by him/her on day-to-day basis of the conduct of the inquiry proceedings.

5.34 Gist of requests and representations made by either party and orders passed thereon by the Inquiry Officer are required to be incorporated in Daily Order Sheet.

5.35 Daily Order Sheet must contain specific particulars mentioned as –

(a) Additional documents and the witness asked for by the Charged Officer in his/her defence.

(b) Additional documents and defence witness permitted.

(d) Whether the additional documents permitted as relevant were made available for inspection and were inspected by the Charged Officer.

(e) If the authority having custody of any such documents does not consent to its production, the fact of such refusal.

5.36 Daily Order Sheet is required to be signed and dated by – (a) Inquiry Officer; (b) Presenting Officer; (c) Charged Officer; (d) Defence Assistant. If Presenting Officer or Charged Officer or Defence Assistant refuses to sign the Daily Order Sheet, such fact of refusal may be mentioned in the Daily Order Sheet.

5.37 Interlocutory Orders: Interlocutory order means, the decree given in the course of legal action. In context of departmental inquiry, it means an order passed by Inquiry Officer during the course of conduction of inquiry. Example: Demand to supply Xerox of listed documents, request to produce certain defence documents & defence witness, request for postponement of hearings etc.

5.38 Before passing any Interlocutory Orders, the Inquiry Officer require to hear the viewpoints of both parties. The decision to pass interlocutory order is his/her discretion but should be based on natural justice.

5.39 The decision of an Inquiry Officer to pass Interlocutory Orders is absolute and there is no appeal against such orders. Therefore, such power should be exercised judiciously on the basis of valid reasons to be recorded in the Daily Order Sheet.

5.40 Departmental proceeding is a quasi-judicial in nature, hence, recording of reasons in support of decisions is obligatory as it ensures that the decision reached was not a result of caprice, whim or fancy or is taken on the ground of some expediency. The Recorded reason should reveal a rational nexus between the facts considered and the conclusion reached.

5.41 Recording of Evidence: It includes – (a) proving the validity of listed documents through witnesses and recording their oral statements; (b) Examination of witness is done.

5.42 Examination of witness is done in three parts – (i) Examination-in-chief; (ii) Cross-Examination; (iii) Re-Examination.

(i) Examination-in-chief is conducted by the party who is producing the witness. It is confined to the relevant issue. Means to say that, issues relating to the transaction on which the charged have been framed in case of State Witness and points mentioned in the statement of defence in respect of defence witness. Examination-in Chief may be in narrative form.

(ii) Cross –Examination is conducted by Presenting Officer in case of Defence witness & the Charged Officer assisted by Defence Assistant in case of prosecution/state witness. It should preferably in the form of question & answer.

(iii) Re-Examination is done by the party who performed Examination-in-Chief. Re-Examination is conducted to the issues on which Cross-Examination was conducted. It should preferably in the form of question & answer.

5.43 Written Statement (WS) if any given by a witness may be read out to him/her and he/she may be specifically questioned whether he/she admits the same or not. If he admits then the statement may be marked as an Exhibit and the Charged Officer asked to proceed with the cross-examination.

5.44 Disputed documents should be produced by PO through Presenting Officer.

5.45 The deposition of every witness should start on a separate sheet. The same is required to be signed by the Inquiry Officer & the deponent. Copies of the statements recorded during the course of proceedings should be supplied to the Presenting Officer and the Charged Officer soon after their recording.

5.46 Witness produced on behalf of – (a) Disciplinary Authority is known as State Witness (SW); (b) Defendant are known as Defence Witness (DW). They are accordingly marked and identified as SW/1, SW/2, SW/3 ………. and so on & DW/1, DW/2, DW/3…….. and so on respectively.

5.47 Every evidence has to be weighed and evaluated very carefully, intelligently, dispassionately and impartially.

5.48 Inquiry Report: After conclusion of the Inquiry, the Inquiry Officer is require to prepare a Report as laid down in Rule 14(23)(i) of the CCS(CCA) Rules 1965 and forward the same to the Disciplinary Authority together with all records of inquiry consisting of documents prescribed in Rule 14(23)(ii).

5.49 There is no prescribed format for writing the report. However, the Inquiry Report is to be divided into the following parts:

(a) Introductory

(b) Defence Assistance availed of by the Charged Officer and his participation in the said Inquiry.

(d) Case of Disciplinary Authority

(e) Case of Charged Officer.

(f) Analysing and assessment of evidence.

(g) Findings and decision against each charge.

5.50 An Inquiry Officer is required to draw his/her inferences and record his /her reasoned conclusions. The assessment of evidence and arguments on each charge should be done under separate headings.

[6] Disciplinary Authority (DA)

6.1 As per Rule 2(g) of the CCS (CCA) Rules 1965, Disciplinary Authority is the authority who is competent to impose on a Government servant any of the penalties specified in Rule 11 of CCS(CCA) Rules 1965.

6.2 In general, the term Disciplinary Authority refers to such authorities who have been entrusted with powers to impose any penalty.

6.3 Disciplinary Authority is defined with reference to the post held by the Government employee. In Rule 12 of CCS (CCA) Rules 1965, various Disciplinary Authorities are specified. Hence, it is clear that there may be more than one Disciplinary Authority in an organization

6.4 Disciplinary Authority is based on designation. It can be said that, Disciplinary Authority is directly proportional to the level/designation of Government employee. Higher is the designation, higher may be the Disciplinary Authority. It does not mean that, a Disciplinary Authority is available for every level of Government employee separately. A Disciplinary Authority may be for disciplinary authority for different grades of Government employee etc.

6.5 Category of Disciplinary Authority: Normally, there are two categories of Disciplinary Authorities – (i) those who can impose all penalties & (ii) those who can impose only minor penalties. Such Disciplinary Authority may be referred as lower Disciplinary Authority for the sake of convenience.

6.6 Function of Disciplinary Authority: It is not explicitly stated anywhere, however, the main function/responsibility of the Disciplinary Authority is to ensure discipline in the organization/department.

6.7 To ensure discipline in the department/organization, a Disciplinary Authority is required to identify acts of indiscipline and take appropriate remedial action such as – (a) Counselling; (b) Admonition; (c) Imposition of penalties; (d) Criminal prosecution etc.

6.8 Appointing Authority is always a Disciplinary Authority for a Government employee. Appointing Authority is always empowered to impose major penalties but a Disciplinary Authority may or may not.

6.9 As per Article 311 (1) of the Constitution, no one can be dismissed or removed from service by an authority subordinate to the Authority who appointed him/her/them.

6.10 Appointing Authority is generally determined as – by the signature of an authority a Government employee is appointed. Appointing Authority goes by factum not by rule.

6.11 As per Hon. Supreme Court judgement delivered on 05/09/2013 in Civil Appeal No. 7761/2013 titled as Union of India & Ors. Vs B.V. Gopinathan, where a statutory function has been performed by an authority who has not been empowered to perform it, such action without jurisdiction would be rendered null and void.

[7] Inquiry Officer(IO)

7.1 An Authority appointed under Rule 14(2) of CCS (CCA) Rules or under the provisions of Public Servants (Inquiries) Act, 1850 to inquire into the truth of any imputation of misconduct or misbehaviour against a Government servant.

An Inquiry Officer is an impartial authority who decides the case on merit based on evidences.

7.2 In case of Sexual harassment, the complains committee constituted in the Ministry or Department shall be deemed to be the Inquiry Authority/Officer appointed by the Disciplinary Authority for the purpose of Rule 14(2) of CCS (CCA) Rules. It was inserted through a notification dtd: 01/07/2004.

7.3 The complaints Committee stated at Para 7.2, shall hold its inquiry as far as practicable in accordance with the provisions of Rule 14, unless a separate procedure has been prescribed.

7.4 Procedure to appoint Inquiry Officer: There is no explicit defined rule how to appoint an Inquiry Officer. However, principle of natural justice require that the person appointed as Inquiry Officer has not bias and had no occasion to express an opinion in the earlier stages of the case. As per Dept of Per O.M. No. 7/12/70-Ests. (A) dtd: 06/01/1971, an Inquiry Officer should be senior in rank to the officer inquired against.

7.5 As per O.M. No. 42/20/2008-AVD I. dtd: 27/07/2009, a retired officer can also be appointed as Inquiry Officer.

7.6 Necessity to appoint Inquiry Officer and Presenting Officer: Inquiry Officer & Presenting Officer are to be appointed if there is a need to inquire into the charges. The need will emerge only when the Charged Officer denies the charges or does not respond to the Charged Sheet. Hence, the appointment of Inquiry Officer & Presenting Officer will arise only after the Charge Sheet is issued and the Charged Officer does not respond or denies the charges.

7.7 Remuneration and Travelling allowances etc. paid to the Inquiry Officer & Presenting Officer are widely discussed in Para 11 & 12.

7.8 Functions of Inquiry Officer: As per Rule 14(2) of CCS (CCA) Rules 1965, the basic purpose of appointment of an Inquiry Officer is to inquire into the truth of the imputations of misconduct or misbehaviour against a Government employee.

7.9 To discharge the duty of Inquiry Officer, following activities to be performed by the Inquiry Officer: (a) Pre-Hearing Stage; (b) Preliminary hearing Stage; (c) Regular Hearing Stage; (d) Post Hearing Stage; (e) At any stage during the Inquiry; (f) Tackling some unusual circumstances which may arise.

7.10 Pre-Hearing Stage: In this stage, an Inquiry Officer executes following functions:

(i) Verifying the appointment order (Relating to Inquiry Officer) and the enclosed documents.

(ii) Acknowledging the appointment.

(iii) Preparation of the Daily Order Sheet – This is required to be execute throughout the Inquiry.

(iv) Analysing and understanding the Charges.

(v) Fixing the date for Preliminary Hearing.

(vi) Communicate with all parties about hearing.

(vii) Informing the Controlling Officers of Charged Officer and Presenting Officer about proceeding so that they may be spared for the same.

(viii) Communicate the Charged Officer about his rights to appoint Defence Assistant as per rule with conditions applicable on it with copies of the same.

(ix) Ascertaining as to whether the Charged Officer has finalised a Defence Assistant and if so informing the Controlling Officer of the Defence Assistant to spare him for the proceedings.

7.11 Order regarding appointment an Inquiry Officer is required to be verified by the Inquiry Officer himself in detail to check – (a) Whether the appointment order is issued by the Disciplinary Authority or otherwise; (b) If the President is the Disciplinary Authority then appointment order must be signed by competent authority who is competent to sign communications on behalf of the President. At any rate, it must be explicitly indicating that the appointment is made by the President. The entire proceedings will be liable to be quashed if the Inquiry Officer is appointed by other than the Disciplinary Authority; (c) documents if any discrepancies in reference of documents annexed in Charge Sheet and denial of charges made by the Charged Officer.

7.12 Acknowledgement of Appointment Order: It is a good practice for an Inquiry Officer to acknowledge his appointment order. This will keep the Disciplinary Authority informed that the Inquiry Officer has taken the charge of the investigation and it proceeding with the task. If the Inquiry Officer is not in a position to take the charge, he/she should intimate the Disciplinary Authority with valid reasons.

7.13 Preparation of Daily Order Sheet (DOS): It is the record of the progress of the case handled by the Inquiry Officer during a day of proceeding. It is prepared and maintained by the Inquiry Officer. There is no definite format is prescribed under rule for the purpose, however, it is desirable to indicate following in the DOS: (a) Serial No. of the Order; (b) Date; (c) Parties Present; (d) What happened/Business done/detail of proceeding/examination, date of next hearing fixed etc. (e) Signature of parties concerned.

Details about Daily Order Sheet (DOS) is discussed in Para 5.5 to 5.28. However, it is once again briefly discussed herein after due to its significant.

7.14 Significance of DOS: It is the most authentic record for ascertaining as to what happened during the course of inquiry in that particular business day in proceedings. It is signed by all present. DOS to be recorded and maintained with adequate care to ensure accurate recording of the facts. All opportunities granted to the Presenting Officer is required to be recorded in DOS without fail as it help in countering the allegation at any stage.

7.15 DOS is prepared whenever there is a progress in the case not only in case of hearings. Hence, the very first DOS may be parepared on the day when Inquiry Officer received his/her appointment order. It may read as under:

Daily Order Sheet No. 1

Dated: xx/xx/xxxx Parties present: None

Received Order No. ___________ dtd: __________ from _____________ appointing me as the Inquiry Officer/Authority to inquire into the charges framed against _________________ vide Memorandum No. __________________ dtd: _______________.

Following papers were also received along with the Charge Sheet:

(a) Copy of Charge Sheet;

(b) Copy of the Written Statement (WS) of defence;

An acknowledgement was sent to the Disciplinary Authority.

Signature:_______

Name: ___________

Designation: __________

7.16 Copy of DOS must be supplied to parties present and who has signed it. In case of conducting Ex-Parte proceedings, it would be a good practice to dispatch the copies of the DOS to the Charged Officer as this action manifests the bonafide of the authorities. In case, the Charged Officer alleges denial of reasonable opportunity, bias, malafide etc.

7.17 To analyse and understand the charge, an Inquiry Officer has to perceive the Charge Sheet based on the charges, facts & connected evidences and to co-relate with them. It help an Inquiry Officer to proceed with the task with clarity right from the beginning.

7.18 Preliminary Hearing: The phase of hearing from the first appearance of the parties before the Inquiry Officer till the state of recording of evidence is known as Preliminary Hearing.

7.19 To fix a date for preliminary hearing, an Inquiry Officer must keep in mind the time of communication that may take place and time of traveling of parties so that parties may be communicated well in advance and they can reach for hearing in all cases.

7.20 Inquiry Officer cannot stay on proceedings if and only if (iff) – (a) When there is a stay order from the court of competent jurisdiction; (b) When the Charged Officer expressed lack of faith in the Inquiry Officer.

7.21 When the Charged Officer express his/her lack of faith in the Inquiry Officer, on respect of such intimation, Inquiry Officer will stay the proceeding & and inform the Charged Officer that he is at the liberty to seek a change of Inquiry Officer as per Rule. It should also be intimated to the Charged Officer that stay on proceedings can’t be made for indefinite time but to facilitate the Charge Officer to apply for change of Inquiry Officer. The charged Officer must submit his representation within time (may be within one week) with proof. In other case, the Inquiry Officer is on liberty to resume the proceedings.

7.22 Functions to be executed by Inquiry Officer during Preliminary Hearing Stage: During the Preliminary Hearing Stage, an Inquiry Officer is required to execute following actions:

(a) Making arrangements for conducting hearing

(b) Setting the state for smooth conduct of hearing

(d) Finalisation of the question of Defence Assistant;

(e) Fixing dates for Inspections of the original documents;

(f) Fixing dates for the submission of the list of additional documents and witness as required by the Charged Officer for his defence.

(g) Finalisation of the documents and witness admissible for defence;

(h) Taking action for procuring the additional documents required for the defence;

(i) Settling the issue of disputed documents;

(j) Taking the documents on record;

(k) Issue of certificates of attendance to the parties. Generally, this is to be done on regular basis.

(l) Deciding on the requests for adjournment.

7.23 An Inquiry Officer is not empowered to enforce attendance of witness except when an ad hoc notification in respect of a particular inquiry is issued by the Central Government to exercise the powers specified in Section 5 of the Departmental Enquiries (Enforcement of Attendance of Witness and Production of Documents) Act, 1972.

7.24 If a Government employee fails to turn up for witnessing if he/she is made witness then the same should be brought to the notice of the higher authorities and it’s the sufficient reason to initiate disciplinary proceedings against him/her.

7.25 Post hearing activities to be performed by Inquiry Officer: During the last hearing, the Inquiry Officer will fix time limit for the Presenting Officer & the Charged Officer to submit their respective written briefs. After that, the Inquiry Officer prepares his report and to submit it the same to the Disciplinary Authority together with all records.

7.26 As per Vigilance Manual (Ed 2005), Inquiry Report is to be submitted by the Inquiry Officer within six months from the date of his/her appointment as Inquiry Officer.

7.27 Amendment in Charge Sheet: Inquiry Officer has full liberty to bring to the notice of the Disciplinary Authority any discrepancy which is of the nature of Clerical or typographic mistake. An Inquiry Officer is required to confine himself/herself only to the patent errors in the Charge sheet and not to try to make qualitative improvement in it. Any such initiative may lead to the fortification of the Charge Sheet by way of including additional evidence is not likely to provide material for challenge on the grounds of bias as the action of the Inquiry Officer is liable to be perceived as that of a prosecutor.

7.28 Preparation of Report: Coming soon.

7.29 Acceptance of Inquiry Report by Disciplinary Authority: Coming soon…..

[8] Presenting Officer (PO)

8.1 Presenting Officer: A Government servant or a legal practitioner appointed by an order of the Disciplinary Authority to present on its behalf the case in support of the articles of charge against a Government servant. A Presenting officer is the agent of the Disciplinary Authority and his endeavour is to prove the charge.

8.2 Presenting Officer is appointed by Disciplinary Authority under Rule 14(5)(c) of CCS (CCA) Rules. Documents supplied to the Presenting Officer along with his/her appointment order are:

(a) Charge Sheet along with the enclosures.

(b) Written Statement of defence submitted by the Charged Officer.

(c) In case, if the Charged Officer has not filed any Statement of Defence, a confirmation to the above effect and a confirmation to the effect that the charge Sheet has been served to the Charged Officer.

(d) Copy of appoint order of Inquiry Officer.

8.3 As per Vigilance Manual (Ed 1991), an officer who was involved in the Preliminary Investigation or Inquiry into the case should not be appointed as Presenting Officer.

8.4 To discharge the duties of Presenting Officer, he/she needs to perform several functions. Basically, the Presenting Officer is required to lead the evidence of the Disciplinary Authority and satisfactorily answer the contentions raised by the Charged Officer.

8.5 The explicit functions of the Presenting Officer are as follows:

(i) Presenting the documentary evidence.

(ii) Leading the Oral evidence on behalf of the Disciplinary Authority.

(iii) Cross examination of the defence witness.

(iv) Preparation and presentation of the Written Brief.

(v) Liaising with Disciplinary Authority throughout the course of his/her assignment.

8.6 For convenience, the assignment performed during the course of disciplinary proceeding by Presenting Officer may be categorised as:

(a) Preparatory Stage

(b) Preliminary Hearing State

(d) Post Hearing Stage.

8.7 (a) Preparatory Stage: In this stage, following activities performed by the Presenting Officer (PO):

(i) Examine the Appointment Order and the documents received along with it.

(ii) To read and understand the charged made against the Charged Officer with due care.

(iii) To analyse the charged framed against the Charged Officer.

(iv) To link the facts with evidences.

(v) Prepare by anticipation the possible line of defence against the Charged Officer expected to make in his own defence.

(vi) To visualise the transaction by contemplating the process.

8.8 Presenting Officer is compared with Government Standing Counsel and every counsel is the officer of the court and owes a responsibility towards the court in helping the court to ascertain the truth. On receipt of appointment order, Presenting Officer should communicate with the Inquiry Officer immediately and assure him/her of his/her co-operation.

8.9 Presenting Officer can present the case effectively if he/she understands the charge very well. It is very essential to under the degree of charge made against the Charged Officer. Sometimes the charges are not easily understandable as there is a situation wherein the Commission or Omission of the Charged Officer may not be understanding easily. Way to understand charge is –

(a) To analyse what commission or omission the Charged Officer has instituted.

(b) To analyse what actually to be done and what actually not to be done.

8.10 (b) Preliminary Hearing Stage: In this stage, a Presenting Officer is required to do execute following functions:

(i) Collection of original documents

(ii) Finalising the schedule for the inspection of the listed documents.

(iii) Conducting the inspection of the listed documents

(iv) Additional documents required by the Charged Officer.

(v) Collection of the documents cited by the Charged Officer.

(vi) Handing over the listed documents to the Inquiry Officer after the inspection.

(vii) Obtaining the copies of the documents required by the Charged Officer.

8.11 Original copy of documents listed in Annexure-III of the Charge Sheet are officially held by the office which initiates the disciplinary process and issued Charge Sheet on behalf of Disciplinary Authority. The same is required to be obtained by the Presenting Officer and kept in safe custody till it is got inspected by the Charged Officer and finally presented to the Inquiry Officer.

8.12 Custody of Original documents: Depending on the nature of the documents and convenience of parties, these documents (mentioned at Para 8.11) may be taken over by the Presenting Officer at an appropriate time. At any rate, the documents must be with the Presenting Officer before the inspection of the same by the Charged Officer.

8.13 Inspection of Document: As per Rule 14(II)(i), inspection of original documents is required to be done within 5 (Five) days of the order or within such further time not exceeding five (05) days. Inquiry Officer fixes date, venue and schedule for inspection of original documents.

8.14 Procedure to be followed for Inspection of Original Documents: Inspection of listed original documents by the Charged Officer is a sensitive event in disciplinary proceeding under rule. Inspection of original documents is a valuable right of the Charged Officer and it cannot be curtailed by unwarranted and unreasonable restrictions. It is the obligation of Inquiry Officer & Presenting Officer to executed this essential exercise on time. Care to be taken while inspection are appended below:

(a) Charged Officer may not be allowed to hold a pen. If the Charged Officer wish to note down which is his/her entitlement may be allowed to use pencil only.

(b) One original document to be placed for inspection at a time preferably.

(c) Inspection to be carried out only in the presence of Presenting Officer. In case of difference of opinion about the rights of Charged Officer or the limitations which the Presenting Officer may impose, the matter may be referred to the Inquiry Officer.

8.15 After inspection of documents by the Charged Officer, in the next hearing, the Presenting Officer is required to hand over the listed documents to the Inquiry Officer who will be taking over the documents and marking them as – SE-1, SE-2 and so on.

8.16 Presenting Officer should ensure that the facts regarding admission and dispute over the listed documents should be correctly brought out into Daily Order Sheet.

8.17 Documents taken over by the Inquiry Officer are to be signed by the Presenting Officer and the Charged Officer.

8.18 Regular Hearing Stage: In this state, witness of both sides (Disciplinary Authority side & Charged Officer side) are examined. The sequence of events during Regular Hearing stage are –

(a) Documentary evidence on behalf of the Disciplinary Authority are taken on record.

(b) Oral evidence of Disciplinary Authority is taken on record.

(d) Documentary evidence on behalf of the Disciplinary Authority is taken on record.

(e) Oral evidence of Disciplinary Authority is taken on record.

(f) Mandatory questions by the Inquiry Officer.

(g) Fixing time for submission of briefs by the Presenting Officer and Charged Officer.

8.19 During the course of examination of witness from Disciplinary Authority side, Presenting Officer needs to exercise following responsibilities:

(a) As per Annexure-IV of the Charged Sheet, if it contains witness only for the purpose of introducing disputed documents and Charge Officer has finds no dispute regarding authenticity of such documents, it may not necessary to call such witness. Inquiry Officer may be informed accordingly. This is to be done with the approval of the Disciplinary Authority.

(b) If any additional witness is required, the same may be done with the approval of the Disciplinary Authority and after that such request to be made to the Inquiry Officer.

(d) Examination of witness may not be in Question & Answer form. It should be examined on the basis of pre-recorded statement if available and may be asked whether Charged Officer admits or wants to modify or otherwise.

(e) Presenting Officer need to seek permission of Inquiry Officer in either case before dropping any evidence or introducing any new evidence.

8.20 Cross-examination of Defence witness by PO: Cross-examination of Defence witness may be conducted in the following manner:

(a) Gathering background information about Defence Witness.

(b) To anticipate the deposition of the Defence Witness.

8.21 If there is a case arises when Presenting Officer is not available for hearing, then as per Rule 14(14) of CCA Rules, witness may be examined by or on behalf of the Presenting Officer. Absence of Presenting Officer on any particular hearing would not necessarily imply postponement of hearing if an authorised person is present on behalf of the Presenting Officer. The substituted officer need not be formally appointed as Presenting Officer.

8.22 Presenting Officer should brief reports of work done at each haring to the Disciplinary Authority in a prescribed proforma.

8.23 Post Hearing Stage: This state comes once the hearing is over. In this stage, a Presenting Officer is required prepare and submit Written Brief. The purpose of such brief is to establish charge(s) on merit (by relying on the evidence produced in the inquiry).

8.24 Format for preparation of Written Brief: There is no specific format is designed and prescribed for this purpose. However, Written Brief should preferably be in the following form:

(i) Introduction: It contains details of case. It should be written as- “Charges were framed by the Disciplinary Authority against Shri Charged Officer under Rule 14 of the CCS (CCA) Rules 1965 vide Memorandum No. ____ dtd: dd/mm/yyyy. On denial of charges by Shri Charged Officer, it was considered necessary by the Disciplinary Authority to hold an inquiry into the matter and accordingly Shri Inquiry Singh was appointed as Inquiry Officer and the under signed as appointed as Presenting Officer. Inquiry was held from dd/mm/yyyy to DD/MM/YYYY (date). The Inquiry Officer ordered on dd/mm/yyyy that the Written Brief of the Presenting Officer be submitted by dd/mm/yyyy” etc.

(ii) Details of the charges levelled: After Introduction, this para may be inserted begin as: The articles of charge framed against Shri Charged Officer are _________________.

(iii) Details about proceeding during Preliminary Hearing: – Details regarding denial of the charges by the Charged Officer during the Preliminary Hearing & details of process of inspection of original documents conducted, number of documents disputed by the Charged Officer, Number of documents which are taken on record by the Inquiry Officer, number of documents introduced through oral evidence, details of documents and witness demanded by Charged Officer for the purpose of his/her/their defence are incorporated in this para.

(iv) Opportunities given to the Charged Officer: Under this heading, details of all possible opportunities – (a) engagement/appointment of Defence Assistant; (b) for presenting additional documents/witness to the Charged Officer; (c) number of witness were led from each side; (d) any other facility granted to the Charged officer; (e) adjournment demands and granted if any; (f) documents and oral witness demanded and allowed if any etc. in the inquiry should be inserted in detail. The Charged Officer is likely to blame that he/she was not given proper opportunity during the inquiry.

(v) Case of the Disciplinary Authority: This paragraph is predominantly relying on the statement of imputations of the misconduct. Here the Presenting Officer may indicate the facts on the basis of which the charge is required to be proved. Means to say that Charge-facts-evidence co-relation to be incorporated.

(vi) Details of evidence on behalf of Disciplinary Authority: Under this heading, the Presenting Officer is required to give details of the evidence actually led by on behalf of the Disciplinary Authority vis-à-vis the evidence mentioned in the Charge Sheet (Annexures-III & IV). Any deviation, such as not presenting any witness mentioned in the Charge Sheet or presenting additional witness with the permission of the Inquiry Officer may be indicated herein.

(vii) Details of evidence on behalf of the Charged Officer: The details of the oral and documentary evidence presented by the Charged Officer are listed herein.

(viii) Evaluation of Evidence presented by parties: This is the most crucial portion of the Written Brief. In this portion, the Presenting Officer should highlight the facts established by each piece of evidence. There are two ways of achieving this – (a) The Presenting Officer may take up the facts to be established for proving the charge one by one and indicate the evidence which establishes the fact; (b) Alternatively, the Presenting Officer may take up each item of evidence presented on behalf of the Disciplinary Authority and indicate what points have been established on merit.

(ix) Analysis of the case of the Charged Officer: Under this head, analysis of the case of Charged Officer is incorporated based on his Written Statement against Charge Sheet and further his steps etc. Under this head, the argument of Presenting Officer should be made on the basis of –

(a) That the case of the Charged Officer is not logically possible.

(b) That the Charged Officer has failed to established what he tried to do.

(d) That the defence witness were interested parties and hence their evidence cannot be relied upon.

(e) Inconsistency and absence of corroboration in the statements of the Defence Witness.

(x) Conclusion: At the end, the brief of the Presenting Officer should contain a specific assertion to the effect that on the basis of the evidence presented during the inquiry, charges should be held as proved. At this stage, the Presenting Officer should not bother about adequacy of evidence. If there is some evidence pointing towards the guilt of the Charged Officer, the charges should be held proved on the basis of preponderance of probability. If the evidence produced in the inquiry leads to proof beyond doubt, the Presenting Officer should specifically mention the same under this brief.

[9] Charged Officer(CO)/Delinquent Officer

9.1 Charged Officer (CO)/Delinquent Officer: A person who fails or neglects to do what law/rule or obligation requires him/her to do. A person who is alleged to have committed a misconduct for which proceedings are initiated or continuing against him/her.

9.2 It is the person who either committed any misconduct or omitted any duty which he/she ought to have done during the course of his official duty.

9.3 Charged Officer (CO) or Delinquent Officer is the termed used for accused in disciplinary inquiry under rule.

[10] Defence Assistant

10.1 A person who is appointed to assist the Charged Officer in disciplinary inquiry is termed as Defence Assistant. Defence Assistant is appointed under Rule 14(8) of the CCA Rules.

10.2 It is desirable that the Inquiry Officer should inform the Charged Officer regarding his/her entitlement regarding appoint of a Defence Assistant in the case. On receipt of the request of Charged Officer regarding appoint of Defence Assistant, the Inquiry Officer should write the Controlling Officer of the Defence Assistant to spare him/her for services as Defence Assistant.

10.3 As per Rule 14(8) of CCA Rules – (a) A Government Servant; (b) Legal Practitioner & (c) A retired Government Servant may be appointed as Defence Assistant subject to certain conditions under rule. Such conditions are discussed in subsequent paras (9.4 to 9.12) separately.

10.4 Serving Government Servant as Defence Assistant: A serving Government Servant may be appointed as Defence Assistant on conditions – (i) The Government servant concerned must be posted in any office at the Headquarters of the Charged Officer or in any office where the inquiry is being held; (ii) The person so appointed must not have three pending cases

10.5 Government Servant under suspension can be allowed to function as Defence Assistant [DG P&T Letter No. 201/5/75-Disc.IIK dtd: 03/07/1975].

10.6 Inquiry Officer (IO) may permit appoint of a Government Servant posted in a station other than the place of inquiry as well as the Headquarter of the Charged Officer on request of the Charged Officer keeping in view of the circumstances. In either case – (a) accepting the request of Charge Officer or (b) rejecting the request of the Charged Officer, reasons must be recorded to justify natural justice.

10.7 In case of rejection of the request of the Charged Officer in the matter incorporated at Para 9.5 above, The Charged Officer has liberty to make an appeal before the Disciplinary Authority [DoP&T OM No. 11012/3/86-Estt(A) dtd: 29/04/1989].

10.8 Legal Practitioner as Defence Assistant: A Legal Practitioner may be allowed to serve as Defence Assistant on request of Charged Officer under two conditions – (i) Where the Presenting Officer is a Legal Practitioner; (ii) Where the Disciplinary Authority having regard to the circumstances of the case so permits.

10.9 When the Presenting Officer (PO) is a Legal Practitioner, then the Charged Officer has statutory right to engage a Legal Practitioner as his Defence Assistant.

10.10 A list of factors which are required to be considered for appoint of a Legal Practitioner as Defence Assistant on request of the Charged Officer is laid down in DG P&T Letter No. 6/8/72-Disc. Dtd: 29/08/1972.

10.11 As per MHA DP&AR vide OM No. 11012/7/83-Estt.(A) dtd: 23/07/1984 clarified that the request of appoint of Legal Practitioner as Defence Assistant to be considered if – (a) the case is presented by the Prosecuting Officer of CBI; or (b) the Law Officer.

10.12 Retired Government Servant as Defence Assistant: A Retired Government Servant may be permitted to be appointed as Defence Assistant on the request of Charged Officer subject to certain conditions as – (a) He/She should have retired from Service under Central Government; (b) He/She should not have been associated with the case in any manner in his/her official capacity; (c) He/She cannot function as Defence Assistant in more than seven cases at any point of time.

[11] Procedure to conduct Inquiry (Minor Penalty)

10.1 The Disciplinary Authority on perusal of findings on the basis of disciplinary inquiry on all or any of the articles of charge is of the opinion that any of the penalties specified under Rule 11 (widely discussed at Para 13) should be imposed on the Government servant provided that –

If it is necessary to consult Central Vigilance Commission, the record is required to be forwarded to the commission for advice and if such advice shall be taken into consideration before making any order of imposing any penalty under Rule.

10.2 Blank.

10.3 Blank.

10.4 Blank.

[12] Travelling Allowances (T.A.)

12.1 Monetisation of travelling expenses for the sake of Departmental Inquiry under CCS(CCA) Rules, 1965 is allowed under rule.

12.2 A Government servant against whom oral enquiry is held under CCS(CCA) Rules, 1965 and he/she is required to proceed from one station to another station to appear before the Inquiry Officer concerned may be allowed Travelling Allowance on tour under SR 154.

12.3 No T.A. will however, be admissible to the Charged Officer if the enquiry is held at a place other than his/her headquarters expressively at his own request.

12.4 Suspended Government servant to attend departmental enquiry: A suspended Government servant is allowed to T.A. for a journey on tour from – (a) his headquarters to the place of Departmental Enquiry is held; or (b) from the place at which he is permitted to reside during suspension whichever is less. No T.A. will however be admissible if the enquiry is held at outstation on the request of the Government servant [SR 153A].

12.5 If headquarter of the Government servant under suspension is changed in the public interest then he is allowed to T.A. [SR 153-A].

12.6 T.A for Delinquent/Charged Officer for perusal of documents: T.A. on tour with Daily Allowance for halts restricted to three days only may be allowed to the Charged Officer whether on duty or on leave or under suspension for journey undertaken by him under certain conditions – (i) Inquiry Officer needs to certify that the official records to be consulted are relevant and essential for defence assistant; (ii) Competent Authority certifies that original documents can’t be sent to the headquarter of the Charged Officer or it is voluminous; (iii) Head of Office of Charged Officer certifies that journey was performed with his approval.

12.7 T.A. to Witness, Presenting Officer & Defence Assistant: Every person, whether he is a Central or State Government servant or not, who is called to give evidence in a departmental inquiry by either the Government or the Government servant against whom the inquiry is being held is entitled for T.A.

12.8 In case of State Government servant: T.A. will be disbursed by the State Government and the expenditure incurred will be paid by the Central Government department where the disciplinary inquiry is being held for which he was called for.

12.9 T.A. for Retired Employee: A Retired Government servant required to attend Departmental Enquiry instituted against him may be allowed for re-imbursement of T.A. only from – (a) his home town (declared for LTC while in service) to the place of Departmental Enquiry; or (b) the place where he/she resides after retirement to the place of Departmental Enquiry.

12.10 TA. For Dismissed/Removed/Compulsory Retired employee: T.A. as for a journey on tour is allowed for such employees how were dismissed or removed or awarded compulsory retirement as a penalty and it is decided to hold a further departmental enquiry. Entitlements of T.A. as per Para 11.9.

12.12 Retired Government servant is allowed for T.A. with D.A. maximum for 3 days for undertaking journeys to outstations for perusal of official documents. His/her entitlements will be as per before his/her retirement.

12.13 Retired Government servant against whom judicial proceedings are instituted by the Government after retirement and have to attend such cases in the Court of Law from outstation is allowed to T.A. on tour with D.A. for halt.

12.14 T.A. to Defence Assistant: A retiring Government servant who is assisting a Government servant in disciplinary proceedings, is allowed to T.A. as discussed at Para 11.7 above.

12.15 T.A. to Retired Government Officers appointed as Inquiry Officer: Retired Government Officers who are appointed as Departmental Inquiry Officers are eligible for the same T.A./D.A as he/she was entitled to immediately prior to his/her retirement [Authority: GoI MoF O.M. No. F.19016/1/99-E-IV dtd: 16/08/1999].

12.16 T.A. to Private Persons: T.A. is admissible to a private person who is appearing as prosecution or defence witness in departmental enquiries including those conducted by the Commission of Departmental Enquiries [Authority: GoI, MoF, O.M. No. F. 5(15)-E.IV(B)/68 dtd: 15/09/1969].

12.17 If an enquiry is held by a Ministry/Department other than the Ministry/Department under whom the Government servant (against whom the enquiry is held) is for time being serving, the Ministry/Department holding the Enquiry will make on spot payment of TA./D.A. to that private person called for witness in departmental inquiry [Authority: GoI, MoF, O.M. No. F. 5(15)-E.IV(B)/68 dtd: 15/09/1969].

12.18 Transport Allowance (T.A.) paid to retired Government servant who are appointed as Inquiry Officer/Authority is tabulated below subject to certain conditions:

Transport Allowance (T.A.)
Particulars/Details	Range of Rate/case in INR per Case
	Minimum	Maximum
IO (Retired)	Rs. 15,000/-	Rs. 40,000/-
Ref: Ministry of Personnel, Public Grievances and Pensions (Department of Personnel and Training) No.142/15/2010-AVD-I dtd: 31/07/2012.

[13] Remuneration/Honorarium

13.1 Department of Personnel and Training (DoP&T) issued instructions vide No. 1344/99-AVD-I dated 29/06/2001 and 07/04/2003 on the subject of honorarium to be paid to the Inquiry Officers and Presenting Officers (serving & retired both) covering the aspects of rates of honorarium, terms and conditions for payment of honorarium etc from time to time.

13.2 A Committee of Experts set up to review the procedure of Disciplinary/ Vigilance inquiries and to recommend measures for their expeditious disposal under the chairmanship of P.C. Hota, former Chairman of UPSC in May 2010 had made a series of recommendations in July 2010 including the rates of honorarium to be paid to Inquiry Officer & Presenting Officer (serving & retired both).

13.3 The Committee had made specific recommendations as regards the rates of honorarium to IO/PO. The Recommendations of the Committee on the proposed increases in Honorarium relating to IO/PO are contained in Paras 37, 42-44 of the report.

13.4 The revised rates of honorarium payable in cases of departmental proceedings will be regulated within the range of rates indicated in the table as follows subject to certain conditions:

Honorarium
Particulars/Details	Range of Rate/case in INR per Case
Particulars/Details	Minimum	Maximum
(a)IO (Serving-Part time)	Rs. 5,000/-	Rs. 10,000/-
(b) IO (Retired)	Rs. 15,000/-	Rs. 75,000/-
(c) PO (Serving-Part time)	Rs. 5,000/-	Rs. 10,000/-
Secretarial Assistance	Rs. 30,000 per case if no assistance is provided by the department.
Ref: Ministry of Personnel, Public Grievances and Pensions (Department of Personnel and Training) No.142/15/2010-AVD-I dtd: 31/07/2012.

13.5 As per Government of India, Ministry of Personnel, Public Grievances and Pensions, Department of Personnel & Training No. 142/15/2010-AVD-I dtd: 31/07/2012, above rates are subject to certain conditions as mentioned below:

(a) Honorarium should be as per quantum of work involved in individual disciplinary cases, rank of the Inquiry Officer, the complexity of the case time taken for completion of the inquiry etc.

(b) Controlling Department should make efforts to relieve the IO/PO of his/her/their normal duties to enable him/her/them to complete the proceedings expeditiously.

(c) All case records and Inquiry Report (two ink signed copies) properly documented and arranged is required to be handed over to the Disciplinary Authority by the Inquiry officer.

(d) No honorarium is to be paid if the inquiry is not completed within 06 (six) months. If there is a delay in completion of the inquiry which is due to non-cooperation of the Charged Officer or due to stay orders etc. the honorarium should be reduced by 50%.

(e) Number of disciplinary cases may be restricted to 10 cases in a year with not more than 2 cases at a time for serving Government servant and 20 cases with not more than 4 cases at a time for retired officers.

[14] Penalty

14.1 A punishment which is imposed or incurred for commission of misconduct or omission of duty which is ought to be done is termed as penalty. In CCS (CCA) Rules, 1965, Penalty is categories as Minor Penalty & Major Penalty. Penalty is imposed under rule 11 of CCS(CCA) Rules, 1965.

14.2 CCS(CCA) Rules, 1965 is conspicuously silent about the quantum of penalty that may be imposed for any misconduct. Under IPC, maximum quantum of punish is defined under each sections whereas minimum and maximum quantum of punishment against each misconduct is laid down under Prevention of Corruption Act. In CCS (CCA) Rules, 1965, the appropriateness and sufficiency of reasons for imposition of penalty is left out to the discretion of the authority concerned.

14.3 In some specific cases, CCA(CCA) Rules, 1965 is specific in imposing quantum of penalty. The detail is tabulated below:

S.No.	Misconduct	Penalty shall be imposed
(a)	The charge of possession of assets disproportionate to known source of income;	(i) Removal from service which shall not be a disqualification for future employment under the Government [Rule 11(viii)]. or (ii) Dismissal from service which shall ordinarily be a disqualification for further employment under the Government.
(b)	The charge of acceptance from any person of any gratification, other than legal remuneration as a motive;
(c)	Reward for doing or forbearing to do any official act is established
Note: Provided further that in any exceptional case and of special reasons recorded in writing, any other penalty may be imposed.
(d)	Initial recruitment in service by furnishing false information or fake certificate	Removal or Dismissal from service if he/she is on probation. Inquiry setup under Rule 14 and if charges established, removal or dismissal from service.
(e)	When pecuniary loss is caused and the same is attributable to the charged officer.	Recovery of such loss [Rule 11(iii)].

14.4 While dealing with the quantum of punishment, reasons to be recorded as to why it is felt that the punishment does not commensurate with the proved charges as reasons are live links between the mind of the decision taken to the controversy of question and the decision or conclusion arrived at. Failure to give reasons amounts to denial of justice [Hon. Supreme Court judgement in Regional Manager, UPSRTC, Etawah and Ors. Vs Hoti Lal and Anr. in AIR 2003 SC 1462, JT 2003(2) SC 27, (2003) 3 SSC 605, 92003 1 SCR 1019].

14.5 Past bad record of service of a Charged Officer can’t be taken into account while deciding the quantum of penalty under CCS(CCA) Rules, 1965 unless the same is incorporated in the

14.6 Minor Penalty: The punishment which is imposed on a Charged Officer for minor commission or omission is termed as Minor Penalty under CCS (CCA) Rules, 1965.

14.7 As per CCS(CCA) Rules 1965, Minor Penalty are – (a) Censure; (b) Withholding of promotion; (c) recovery of whole or part of any pecuniary loss caused to the Government by the Charged Officer by negligence or breach of orders; (d) reduction to a lower stage in the time-scale of pay for a period not exceeding 3 years, without cumulative effect and not adversely affecting pension; (e)Withholding of increments of pay.

14.8 (a) Censure: An order of Censure is a formal and public act intended to convey that the Charged Officer has been guilty of some blameworthy act or omission for which it has been found necessary to award him a formal punishment. Censure is a kind of punishment which is treated as admonition.

14.9 (b) Withholding of promotion: Withholding of promotion for specific time is a minor penalty under CCS (CCA) Rules, 1965. In this penalty, expected or due promotion of a Charged Officer is withheld for a specific period of time.

14.10 (c) Recovery of pecuniary loss: It is a penalty in terms of monetary recovery against pecuniary loss caused to the Government. The period of such recovery is treated as penalty period.

14.11 (d) Reduction to lower stage: In this kind of penalty, time scale of Charged Officer is reduced to lower stage for a period not exceeding 3 years without cumulative effect. Without cumulative effect means after the penalty period the reduced time scale shall be restored.

14.12 Withholding of increment of pay: In this penalty, future increment is withheld for a specific period of time not exceeding 3 years without cumulative effect.

14.13 Major Penalty: The punishment which is imposed on a Charged Officer for major misconduct is termed as Minor Penalty under CCS (CCA) Rules, 1965.

14.14 There are mainly in 5 (Five) categories – (i) Reduction to a lower stage in time scale of pay for a specified period, with further directions as to whether or not the Charged Officer 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 pay;

(ii) Reduction to lower time-scale of pay, grade, post or Service which shall ordinarily be a bar to the promotion of the /charged Officer to the time scale of pay, grade, post or Service from which he/she was reduced, with or without further directions regarding conditions of restoration to the grade or post or service from which the Charged Officer was reduced and his seniority and pay on such restoration to that grade, post or service;

(iii) Compulsory retirement;

(iv) Removal from service which shall not be a disqualification for future employment under the Government;

(v) Dismissal from service which shall ordinarily be a disqualification for further employment under the Government.

[15] Appeal

15.1 Appeal is an immediate available departmental remedy which may be adopted by an aggrieved employee against whom the order of penalty is imposed by Disciplinary Authority under CCS (CCA) Rule, 1965 subject to certain conditions. Against the order of Disciplinary Authority, an Appeal is the first departmental remedial hierarchy may be preferred under Rule.

15.2 An employee aggrieved by an order adversely affecting the career has departmental remedies in the form of – Appeal, Revision & Review.

15.3 An Appeal is made before Appellate Authority in case the Government servant is not satisfied by the decision of Disciplinary Authority.

15.4 Relative position of the three remedies is briefly stated as follows:

Factor	Appeal	Revision	Review
By whom	Appellate Authority	Includes Appellate Authority	The President
How	On Appeal by the Aggrieved individual	On own motion or otherwise	On own motion or otherwise
When	Within 45 days	Any time after time for Appeal is over or After disposal of Appeal	Any Time
Condition	–	Not appealable or no Appeal made	New Material

15.5 Appellate Authority: Appellate Authority is tabulated as follows:

Condition/Category	Appellate Authority
Where no such authority is specified, the appeal of Group ‘A’ or Group ‘B’ officer	*Appointing Authority* provided that if the order of penalty is imposed by an authority subordinate to it.
	*The President* provided that such order is made by any other authority except above.
Group ‘C’ & Group ‘D’	The Authority to which the authority making the order appealed against is immediately subordinate. Means to say that above the disciplinary authority.
In case of those whose appointing authority is the President & disciplinary authority. Ex: CCS Group A.	No Appeal available

15.6 An Appeal should be preferred within 45 (Forty-Five) days from the date on which a copy of the order appealed against is delivered to the Government servant.

15.7 An appeal preferred against the order should be complete in all respect and contain all material statements and arguments on which an Appellant relied upon.

15.8 An Appellate Authority is empowered to entertain appeal preferred even after the expiry of the said period if it is satisfied that the Government servant has sufficient cause for not submitting the same within time (within 45 days).

15.9 Action on Appeal: On receipt of an Appeal, it is considered as follows:

(i) Whether the procedure laid down in the rules are compiled with, and if not, whether such non-compliance has resulted in the violation of any provisions of the Constitution in the failure of justice;

(ii) Whether the findings of the Disciplinary Authority are warranted by the evidence on the record of the case;

(iii) Whether the penalty or the enhanced penalty imposed is adequate, inadequate or severe etc. as the case may be.

15.10 Personal hearing is not entertained at the appellate level under disciplinary proceedings. However, if the aggrieved Government appeals for personal hearing even with taking the assistance of Defence Assistant, the Appellate Authority may after considering all the relevant circumstances of the case, allow the appellant on its discretion.

15.11 On perusal of the appeal and in the light of findings, the Appellate Authority may pass an order as under –

(a) confirming, enhancing, reducing or setting aside the penalty; or

(b) remitting the case to that authority which imposed or enhanced the penalty or to any authority with such direction as it may deem fit in the circumstances of the case.

15.12 An order of enhance penalty cannot be imposed unless the Government servant is given sufficient reasonable opportunity of making a representation against such enhanced penalty.

15.13 An Authority who proposes to impose one of the major penalties and if no enquiry as laid down in the rules had been held already, it should itself hold such an enquiry or direct such enquiry to be held and pass orders thereafter on a consideration of the proceedings of such enquiry.

[16] Revision

16.1 Revision is an available departmental remedy which may be adopted by an aggrieved Government employee against an Appeal passed by the Appellate Authority under CCS (CCA) Rule, 1965.

16.2 After the judgement passed by the Appellate Authority and the Government servant is not satisfied with it, he/she has an opportunity to prefer Revision under Rule before an authority higher than the Appellate Authority (the Revising Authority).

16.3 The power of revision is vested with – (a) the President; (b) the Comptroller and Auditor General; (c) the Member (Administration) Postal/Telecommunication Board; (d) the Head of a Department; (e) the relevant Appellate Authority; or any other authority specified in this regard.

16.4 No specific time-limit is prescribed for Revision, except in the case of the Appellate Authority, where the revised order has to be passed within 06 (Six) months of the date of the order proposed to be revised.

16.5 The proceeding of Revision should not be commenced in any circumstances until – (a) after the expiry of the period of limitation of appeal; or (b) the disposal of the appeal where any such appeal has been preferred.

16.6 An application for revision should be dealt with in the same manner as if it were an appeal under the rule.

[17] Review

17.1 The president has power to review any order passed earlier, including an order passed in Revision when any new fact or material which has the effect of changing the nature of the case, comes to his/her notice.

[18] Tribunal

18.1 There is yet another opportunity available to all Government servants – (a) Gazetted; (b) Non-Gazetted. Any Government servant can prefer an Application before the appropriate Bench of the Central Administrative Tribunal under section 19 of the Administrative Tribunal Act against the final decision in any disciplinary proceeding.

18.2 The Central Administrative Tribunal (CAT) cannot go into the basic decision means to say that the nature and quantum of penalty imposed. It can only interfere (in case of disciplinary proceedings only) in a case just to see whether –

(a) statutory provision or rules prescribing the mode of enquiry were disregarded;

(b) rules of natural justice were violated.

(d) If there are some legal evidence on which the findings can be based, the Tribunal (CAT) cannot go into the adequacy or reliability of that evidence, even if it be of the view that on the same evidence, its conclusion may have been different.

(e) consideration extraneous to the evidence or the merits of the case taken into account.

(f) the conclusion was so wholly arbitrary and capricious that no reasonable person could easily arrive at the conclusion.

18.3 An application before the Central Administrative Tribunal under local jurisdiction is applied under section 19 for grant of any relief sought.

[19] Miscellaneous

19.1 Procedure of empanelment of Retired Officer as Inquiry Officer: As per Government of India Ministry of Personnel, Public Grievances and pensions Department of Personnel and Training No. F.No. 1 42140/2 0 1 S-AVD.I dtd: 15/09/2017, Officers not below the rank of Deputy Secretary in Central Government and equivalent officer in the State Governments/PSUs to be appointed as Inquiry Officer for the purpose of conducting departmental inquiry. Such panel is maintained at controlling authority where its offices are located.

19.2 Validity of the panel: The panel of the retired officers created for the purpose of appointing Inquiry Officers for conducting departmental inquiry will be valid for a period of 03 (three) years. The respective Cadre Controlling Authority will ensure that a panel of retired Inquiry officers is available with them [DoP&T F.No. 1 42140/2 0 1 S-AVD.I dtd: 15/09/2017].

19.3 Eligibility conditions: (i) Retired officers who are willing to serve as Inquiry Officer; (ii) He/she/they should not have been penalized in a Disciplinary Proceeding case (no penalty in DP or prosecution in criminal case) [DoP&T F.No. 1 42140/2 0 1 S-AVD.I dtd: 15/09/2017].

19.4 The respective Cadre Controlling Authority required to immediately take necessary action for inviting applications from willing and eligible retired officers to serve as the Inquiry Officer for conducting departmental inquiry in the prescribed format [DoP&T F.No. 1 42140/2 0 1 S-AVD.I dtd: 15/09/2017].

19.5 The rates and quantum of honorarium to be disbursed to retired government servant who is/are engaged as Inquiry Officer for conduction of inquiry is/are tabulated below:

Items	Category	Time taken to complete the inquiry	proceedings Rate per case (in rupees)
Honorarium	I	Where the number of witnesses cited in the charge sheet is more than 10	80 % of the monthly basic pension drawn
	II	Where the number of witnesses cited in the charge sheet are between 6-10	60 % of the monthly basic pension drawn
	III	Where the number of witnesses cited in the Charge Sheet is less than 6	50 % of the monthly basic pension drawn
Secretarial Assiatance	I	Where the number of witnesses cited in the charge sheet is more than 10	Rs. 40,000/-
	II	Where the number of witnesses cited in the charge sheet are between 6-10	Rs. 30,000/-
	III	Where the number of witnesses cited in the Charge Sheet is less than 6	Rs. 20,000/-
Note: These guidelines are issued for internal use of DoP&T and other Cadre controlling authorities may adopt the same with suitable amendments.

19.6 50% will be paid on submission of the Inquiry Report. Remaining amount will be paid within 45 days. In case, it is not possible to proceed with the matter due to stay by courts etc., the Inquiry Officer may be discharged from his/her duties and payment of honorarium and other allowances will be made on pro rata basis [DoP&T F.No. 1 42140/2 0 1 S-AVD.I dtd: 15/09/2017].

19.7 Ex-Parte Inquiry: Coming soon.

19.8 Disciplinary Inquiry after Retirement: Coming soon.

Disciplinary inquiry

Disciplinary Proceedings under CCS(CCA) Rules, 1965

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