UNIVERSITY INSTITUTE OF LEGAL

STUDIES
PANJAB UNIVERSITY
CHANDIGARH

A Project Report submitted as a part of curriculum

of B.A.LLB (Hons.) in the subject of
Service Laws.

Major and Minor Penalties

Submitted To: Submitted By:

Dr. Priya Akshita
R. no. 256/18
B.A.LL.B(H) Sem 10th
Section-A

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 Index

Acknowledgment 3

Introduction ................................................................................................................................ 4

Penalties ..................................................................................................................................... 5

Penalties ..................................................................................................................................... 6

Minor Penalties .......................................................................................................................... 6

Censure ...................................................................................................................................... 6

Censure and warning distinguished ........................................................................................... 7

Effect of warning on promotion to a higher grade or post ......................................................... 8

Withholding of Promotion under Rule 11 (ii) ............................................................................ 8

Recovery from payRule 11(iii) .................................................................................................. 9

Reduction to lower stage of pay, as a minor penalty under rule 11(iii-a) ................................ 10

Withholding of increment under rule 11(iv) ............................................................................ 10

Procedure of imposing minor penalities .................................................................................. 11

Major Penalties ........................................................................................................................ 12

Reduction to lower stage in the time scale of pay for a specified method, which shall
ordinarily be not a bar to promotion under rule 11(v)........................................................................... 12

Reduction to a lower time scale of pay, grade, cost of service, which shall ordinarily, be a bar
to the promotion under rule vi............................................................................................................... 13

Exceptions- .............................................................................................................................. 14

Imposition of two penalties for one lapse/offence ................................................................... 14

Reduction to lower grade service posts not held before .......................................................... 14

Reduction of status of an employee from permanent two temporary ...................................... 15

Procedure for imposing major peanlties .................................................................................. 15

Remedies against imposition on penalties ............................................................................... 15

Conclusion ............................................................................................................................... 16

Bibliography ............................................................................................................................ 16

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 Acknowledgment
I would like to express my special thanks of gratitude to our teacher Dr.
Priya, who gave me the golden opportunity to do this project on the topic
Major and minor penalties, which also helped me in doing a lot of Research
and I came to know about so many new things.

I am overwhelmed in all humbleness and gratefulness to acknowledge my

depth to all those who have helped me to put these ideas, well above the level of
simplicity and into something concrete.

Any attempt at any level can’t be satisfactorily completed without the

support and guidance of my parents and friends.

I would like to thank my parents who helped me a lot in gathering

different information, collecting data and guiding me from time to time in
making this project, despite of their busy schedules, they gave me different
ideas in making this project unique.

Akshita

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 Introduction

Service rules provide for the imposition of penalties in case a government

submit is found guilty of any kind of misconduct any blameworthy act. Keeping
in view the gravity of the misconduct committed by the employee, the
disciplinary authority is to decide the kind of penalty to be imposed on him. The
rules enumerate the following two kinds of penalties that is minor penalties and
major penalties.

The power of the state under article 309 to prescribe conditions of service
by law or by rules includes the power to regulate disciplinary proceedings
against government servants. Whether the matter is regulated by rules or
under acts of legislature they have the same effect and therefore it is obligatory
for the state to act in conformity with those rules.1 The object of providing for
and regulating disciplinary proceedings is to punish government servants guilty
of corruption, misbehaviour, misconduct, negligence or inefficiency. It is to
ensure a fair trial to the government servants against whom disciplinary
proceedings are instituted and also to provide adequate safeguards against false
allegations. Therefore, the rules prescribe certain mandatory procedures for
holding disciplinary proceedings. In the exercise of the power under the proviso
to article 309 the President has framed rules titled as the Central Civil Services
(Classification, Control and Appeal) Rules, 1965 which regulate disciplinary
proceedings against persons appointed to services and posts under the union.
Similar rules have also been framed in each state.2 In substance, the rules are all
of the same pattern. The salient features of the rules are: (1) the rules authorise
the imposition of any one of the following penalties for good and sufficient
reasons: -
(a) Minor penalties:
(i) censure;
(ii) withholding of the promotion;
(iii) recovery from pay of the whole or part of any pecuniary loss
caused to the government by negligence or breach of orders;
(iv) withholding of increments.
(b) Major penalties:
(i) compulsory retirement;
(ii) removal from service which shall not be a disqualification for
future employment under the government; and
(iii) dismissal from service which shall ordinarily be a disqualification
for future employment under the government.

1
State of Uttar Pradesh v. Baburam,MR-1961 SC 751: 1961(2) SCR 679
2
See e.g., Mysore Civil Services (Classification, Control and Appeal) Rules, 1957
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The rules prescribe the holding of and the procedure for, regular departmental
enquiry before the imposition of any one of the major penalties3 as well as the
holding of an enquiry and the procedure for the imposition of minor penalties.4
The rules provide for appeal to the prescribed authorities5 and reserve the
power of review to the President or Governor as the case may be to review any
order passed against a government servant.6

No classification of delinquencies but only classification of procedure: If the

rules classify the penalties of (i) reduction in rank including reduction to a lower
stage in the time scale, (ii) removal, (iii) dismissal, (iv) compulsory retirement
as major penalties, the holding of a regular departmental enquiry is a condition
precedent for imposing any one of these punishments. The other four penalties
viz., (i) fine, (ii) censure, (iii) recovery from pay and (iv) withholding of
increments or promotion are classified as minor penalties and a summary
procedure of asking for explanation and imposition of any one of these penalties
after considering the explanation, if the same is not satisfactory are provided.
According to the rules any penalty can be imposed on a government servant for
good and sufficient reasons,7 and there is no classification of delinquencies as
major and minor. What is good and sufficient reason is left to the opinion of the
disciplinary authority. It is open to the disciplinary authority to impose any
penalty whether minor or major at its discretion, for any charge proved against a
government servant. The only requirement is that the prescribed procedure
should be followed.

Penalties
According to Merriam webster dictionary, meaning of the word ‘penalty’ is
liability to punishment.8 It is a punishment imposed or incurred for a violation
of law or rule.

The minor penalties and major penalties in rule 11 of the CCS(CCA) a

rules,1965 have been graded in order of the severity to be awarded two are
charged government servant in proportion to the brevity of misconduct slash
negligence which has given rise to the charge sheet.

3
C.C.S. (CCA) Rules, 1965-rule 14; M.C.S. (CCA) Rules, 1957-rule 11.
4
C.C.S. (CCA) Rules, 1965-rulel6; M.C.S.(CCA) Rules, 1957-rule 12.
5
C.C.S. (CCA)Rules, 1965 -rules22 to 28 and29; M.C.S. (CCA) Rules. 1957-rules 18 to 25 and 27.
6
C.C.S. (CCA) Rules, 1965-rule 29; M.C.S. (CCA) Rules, 1957-rule26.
7
C.C.S.(CCA) Rules, 1965-rule 11; M.C.S.(CCA) Rules, 1957-rule 8.
8
https://www.merriam-webster.com/dictionary/penality
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 Penalties
The following penalties may, for good and sufficient reasons and as
hereinafter provided, be imposed on a government servant, namely:-

Penalties

Minor Penalty under rule Major Penalties

11 of CCS(CCA)Rules clauses(vii),(viii) and
1965 (ix) Rule 11

Minor Penalties
These include

i. Censure;
ii. Withholding of promotion;
iii. Recovery from play;
iv. Withholding of increments of pay.
v.

Censure
Censure is discussed under the rule 11 clause one of CCS CCA rules,
1965. Censure is a formal and public act intended to convey that the person
concerned has been guilty of some blameworthy act or omission for which it
has been found necessary to avoid him a formal punishment. Censure is the
minor most penalty which can be imposed on a government servant, for a
misconduct of lighter nature.

The term ‘censure’ is not defined in the service rules. Literally, it means
adverse judgment, expression of disapproval, reprimand. Censure is a formal
punishment and imposed for good and sufficient reason after following the
prescribed procedure. A record of the punishment so imposed is kept on the
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officers confidential rule and the fact that he has been censured will have its
bearing on the assessment of his merit or suitability for promotion to higher
posts.

It is imposed for good and sufficient reason after following the prescribed
procedure imposition of the penalty of censure on government servant does not
by itself stand against the consideration of such person for promotion or for the
person to appear at a departmental /promotional examination.

In B.D. Gupta v. State of Haryana 9the apex court held that before
imposing the penalty of censure or show cause notice must be given and he
should be given a reasonable opportunity for defence. In State of Rajasthan v.
Shankar Lal Parmar 10the apex court upheld the denial of selection grade for one
year where penalty of censure has been imposed. A record of the punishment so
imposed is kept on the employee’s confidential roll. The fact, that he has been
censured will have its bearing on the assessment of his merit and suitability for
promotion to higher post it may, therefore adversely affect the employee and
promotion can be denied on the basis of censure. The same was reiterated in
many cases. It has also been held that before imposing the penalty of censure a
show cause notice, indicating the points on which the employee concerned, is
expected to give reply, must be given, to provide him a reasonable opportunity
for defence.

Censure and warning distinguished

A censure can be distinguished from a warning. There is a thin line
difference between the two. While censure is a formal penalty, warning is an
administrative action. It is an administrative device in the hands of the superior
officer for cautioning the subordinate officials, with the view to toning up the
efficiency in maintaining discipline. Sometimes, circumstances justify the
mention of a warning in the official confidential roll. However, the mere fact
that it is so mentioned in the confidential roll does not convert a warning into a
censure.

Warning maybe in the form of pointing out negligence, carelessness, lack

of thoroughness, delay etc.

It is the duty of the superior officer to advise guide and assist the subordinates to
correct their faults and deficiencies. There may be occasions when a superior
officer may find it necessary to adversely criticize the work of his subordinate
and he may call for an explanation for some act of omission or Commission and
at the same time he may feel that the matter is not so serious as to justify the
9
AIR 1972 SC 2472
10
(2011)14SCC235
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imposition of the formal punishment of censure, in such a case, call for an
explanation and communicate a written warning, admonition or reprimand.

Effect of warning on promotion to a higher grade or post

When a copy of warning is kept in the confidential roll of the employee,
it will be taken to constitute an adverse entry. In that case, the employee
concerned, will have the right to represent against it in accordance with the
rules. The procedure laid down for imposing minor penalty is to be followed in
such cases.

The fact that a mere informal warning cannot be equated to a formal

censure should not, however, be taken as tantamount to suggesting that a written
warning may be freely given without caring whether or not it is justified.
Mention of a warning in the confidential role would have the effect of making it
appeared that the employee concerned has done something blameworthy and to
extent may also affect the assessment of his merit and suitability for promotion,
it would not, however, amount to the imposition of the penalty of sin, because it
has not intended that any formal punishment should be inflicted. Refusal to
consider the name of for promotion only on this ground has been held illegal in
the case of R.K. Das v. coal India limited.11

At the end of the year, the appropriate authority while writing the
employee’s confidential report, made decide not to make a reference of such
warning there if in his opinion the performance of the employee has improved
and has been found satisfactory. If the authority feels that the despite of warning
the employee has not improved it may make appropriate mention of such a
warning in the confidential report and such a copy of it be kept in the CR file.

Withholding of Promotion under Rule 11 (ii)

Every government servant has a fundamental right to be considered for
promotion. Generally, his promotion is considered on the basis of seniority-
cum-merit and an overall assessment of his service record. An order for
withholding of promotion should be clearly stated the period for which
promotion is withheld. In Jagat Narain v. Food Corporation of India, 12the
promotion orders of the petitioner were cancelled as he was facing disciplinary
proceedings on the day of his promotion. Five vigilance cases were pending
against him. The sealed cover procedure adopted by the respondent in respect of

11
(1999) SLR Cal 58
12
, 2008(3) SLR 316.
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the petitioner, in denying him the promotion, was held not to be arbitrary, unfair
or unjust, which might warrant interference by the court.

The imposition of his penalty shall have a two-way effect, that is, firstly
the factum of punishment may stand in his way of getting selected for
promotion; and secondly, even if he is selected, the promotion shall take effect
only after the period of punishment is over. So, the penalty being imposed must
be free from ambiguity and vagueness. Scope of penalty must be clearly
brought out in the order without leaving any scope for interpretation or filling
up the gap through arguments such as ‘by necessary implication’.

Though, before any imposition of the penalty of withdrawal of promotion, a

notice of proposed punishment is not necessary, but the government servant
would have a right to make a representation against the order.

In Jagat Narayan v. Food corporation of India, the promotion orders of the

petitioner were cancelled as he was facing disciplinary proceeding on the day of
his promotion of five vigilance cases were pending against him the sealed cover
procedure adopted by the respondent in respect of the petitioner in denying him
the promotion, was held not to be arbitrary unfair or unjust which might warrant
interference by the court.

Recovery from payRule 11(iii)

This penalty is mentioned in Rule 11(iii) read painful as recovery from his pay
of the whole or part of any pecuniary loss caused by him to the government by
negligence or breach of orders. The following requirements are, therefore, to be
met for imposing this penalty:-

 Recovery can be ordered only from pay, not from pension or other
retirement benefits not even from allowances or near honorarium;
 Recovery cannot be ordered for an amount more than the actual loss of to
the government. It may, however, be ordered for a part of loss
 The loss for which the recovery is to be ordered must be pecuniary, that
is, estimable in one money.
 The loss must have been caused to the government. No recovery can be
imposed for loss caused to somebody else; and
 The laws has been caused either by negligence or by breach of orders.

The liability for the loss should not be fixed in an arbitrary manner the status
and financial position of the employee should be kept in view while fixing the
amount and the mode of recovery. In fact, the authority should keep in mind that

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the object of the penalty is to punish the employee, not to recover the amount of
loss from him. The penalty should be regulated in such a manner that it does not
impair the future efficiency. As far as possible, the recovery should be made in
easy installments, leaving him enough money to take make both ends meet. The
recovery should not be extended beyond his retirement period.

While it is expected that in imposing the penalty of recovery pecuniary loss the
disciplinary authority should not display such severity that a government
servant suffer hardship disproportionate to his negligence/misconduct that lead
to the less, it is not necessary to fix a rigid limit for the purpose of such
recovery.

In Commissioner of rural development v. A.S. Jagannathan13, the apex court

held that where the charge of causing loss by miss proportion was proved and
the disciplinary authority had imposed penalty of recovery of loss and stoppage
of two increments without cumulative effect and further treated period of
pension period of suspension as spent on duty but without pay, it could not be
raised that more punishments than one head had been imposed.

Reduction to lower stage of pay, as a minor

penalty under rule 11(iii-a)
Rule 11(iii-a) enumerates reduction to lower stage in the time scale of pay by
one stage for a period not exceeding three years and without cumulative effect
and not adversely affecting his pension.

Withholding of increment under rule 11(iv)

Withholding of increment is a minor penalty which is imposed after serving
show cause notice and giving a reasonable opportunity for delinquent. Such
orders should indicate the period for which increment is withheld and whether
the withholding will have the effect of postponing future increments. In
Balwinder Singh v. state of Punjab14 case, it was held that as a measure of
minor penalty, it can be imposed for a specified only. Unless a specific order for
withholding increment payable to government servants is passed by the
disciplinary authority, he earns increment in a scale of pay, as a matter of right
and as a matter of course. However, when the increment is withheld with

13
(1999) 2 SCC 313.
14
1995(3)SCT56
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cumulative effect which results in cutting of the employees’ increment forever
then it has to be treated as a major penalty which require the holding of a full
fledged enquiry.

As the uniform date of increment now is 1st July, on imposition of a penalty of

withholding of increment, the increment due on the 1st of July falling after the
date of imposition of the penalty would be withheld. In case where penalty of
withholding of more than one increment is imposed increments due on 1 st of
July in the subsequent year would similarly be withheld. Enter the increment
would be restored at the end of the period for which the penalty is imposed.
This also applies to cases where the penalty is imposed for a part of year. For
instance, if the penalty of withholding of the increment for six months is
imposed on a government servant in April 2013, then the increment falling due
on 1/7/2013 will be withheld for the period of six months, that is, till
31.12.2013. The increment would be in released with effect from 1.1.2014. In
this case the next increment falling due on 1.7.2014 will also be allowed.

Procedure of imposing minor penalities

Services rules prescribe different procedures for imposing minor penalties
and major penalties. While, in the case of major penalties, a full fledged regular
department enquiry required to be held, a minor penalty may be imposed by
following the summary procedure.

Service rules provide that no minor penalty shall be imposed unless the
government servant concerned, is informed in writing of the proposal, he is
given an opportunity to make representation and that the representation is
considered by the disciplinary authority. The disciplinary authority is also
required to consult the Public Service Commission where such consolidation is
necessary.

It, Therefore, requires that a minor penalty may be imposed merely by issuing a
show-cause notice, setting out allegations leveled against the government’s
servant concerned and after considering the reply, if any, finished by the
employee.

However, where the charges against the employee, are of such a nature that if
denied by him, can be proved only in a regular inquiry, as in the case of
imposition of major penalties, then the minor penalty shall be imposed only
after holding an inquiry in the manner prescribed for imposing the major
penalty. In such a case the imposition of a minor penalty cannot be made a
ground toward the holding of a regular enquiry.

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The Service rules require the holding of a regular departmental enquiry, if, in a
case it is proposed, after considering the representation submitted by the
government servant, if any, that the following minor penalty be imposed-

I. Withholding increments of pay and such withholding is likely to affect

adversely the amount of pension payable to the employee ;or
II. Withholding increments of pay for a period exceeding three years; or
III. Withholding increments of pay with cumulative effect for any period.

In case, where the disciplinary authority initiates proceedings under the

Rules which prescribe the procedure for imposing a major penalty, it is
obligatory for it to hold the enquiry in conformity with the the riles, even
though ultimately, a minor penalty is imposed. Therefore, the non-compliance
with the mandatory provision in holding the enquiry , vitiates the final order,
though a minor penalty has been imposed.

The only difference is that, where only a minor penalty was imposed the
fact that after the completion of the inquiry any of any of the subsequent steps
such as issuing a show causeway notice or furnishing of the enquiry officers
report, prescribed for inflicting a major penalty, were not adopted, would not
initiate the order imposing minor penalty.

However, where the report of the inquiry officer contains any material
extraneous to the charges or anything in addition to what is found in the original
statement of allegations though a minor penalty is inflicted, the employee must
be furnished with a copy of the enquiry report.

Major Penalties
Rule 11 of the service rules provides for the following major penalties that may
be imposed on a government servant, namely

Reduction to lower stage in the time scale

of pay for a specified method, which shall
ordinarily be not a bar to promotion under rule
11(v)
 Rule11(v) reads as follows- “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

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 will or will not have the effect of postponing the future increments
of his pay.” This penalty has the following implications -
 The penalty can be imposed for a specified period only and it
should be a reasonable one.
 The reduction in pay can be ordered to any lower stage in the time
scale, but cannot be fixed at an amount below the minimum of
scale.
 It is obligatory for the authority to make orders
 Whether the employee will draw his normal increments during
the occurrence of punishment.
 Whether the reduction will have effect of postponing his future
increments.

In R.K. Bharati v. Union of India,15 the Delhi Bench of central

administrative tribunal held that if during the period of operation of this penalty
the public servant is allowed to draw his normal increment, then the question of
future increments does not arise. The reason is that if there is only reduction in
pay but no withholding of increment, how it can postpone any future increment.
In State of Punjab v. Kishan Das,16 the apex court held that since the operation
of this penalty does not involve reduction in rank in physical sense, Article 311
will not be attracted in the case of this penalty.

Reduction to a lower time scale of pay, grade,

cost of service, which shall ordinarily, be a bar
to the promotion under rule vi
Reduction to lower time scale of pay, grade, post or service for a period to be
specified in the order of penalty, 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 the 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.

15
GB CB(1986) Vol.II p.80
16
AIR 1971 SC 766
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 Exceptions-
 Reversion of government serving officiating in a higher service
grade or post to lower service, grade or post, on the ground that he
is considered to be unsuitable for such higher service common
grade or post or on any administrative ground connected with his
conduct;
 Reversion off government servant on probation on a higher surface,
grade or post to his permanent service, grade or post, according to
the terms of his appointment or the rules and standing order
governing such probation.
 Replacement of services of a government servant, whose services
had been borrowed from a state government or any authority under
the control of that government.

Imposition of two penalties for one

lapse/offence
Normally, there should be no necessity for imposing two statutory
penalties at a time For a single offence committed by a government servant.
However, there is no bar in awarding the penalty of ‘recovery from pay’ along
with any other penalty. In such cases, the severity of the strain vis-a-viz the
nature of offence committed by the official should be carefully assessed and
borne in mind by the disciplinary authority.

However, when the penalty of recovery from pay is awarded, there should
be no necessity to impose a lower penalty, a higher penalty may be awarded if it
is considered absolutely necessary.

Where punishments imposed are censure and recovery for pay, it has been
held that only one penalty can be imposed.

Reduction to lower grade service posts

not held before
It has been held that the power to reduce in rank by way of punishment
can only be exercised in respect of those employees who were appointed by
promotion to a higher post service etc. Therefore, reduction in rank and
employee initially recruited to a higher time scale grade or service or post to a
lower time scale grade service or post is not permissible.

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 Reduction of status of an employee from
permanent two temporary
This is not one of the recognized penalties that can be post on a
government servant under the service rules. Even a quasi-permanent employee
cannot be relegated status for reasons of inefficiency or as a disciplinary
measure. The reason being that the penalties permissible under the rules can
only be awarded.

Procedure for imposing major peanlties

Before inflicting any one of the major penalties the procedure prescribed
for imposing the penalties under the rules23 must be complied with. The
procedure prescribed for imposing major penalties regulate the reasonable
opportunity guaranteed in article 311(2). All aspects relating to disciplinary
proceedings including those dealt with under article 311(2) apply to the
imposition of major penalties as specified in the rules.17

Remedies against imposition on penalties

A government servant, being not satisfied with the decision of the
disciplinary authority has the following remedies against the order passed
against him broadly there are two remedies
A. Administrative remedies which include appeal review and revision

B. Constitutional remedy

A government servant being a citizen of India, is entitled to protection

under the Constitution of India. Therefore, if any action taken against him is in
violation of his constitutional rights he may invoke the writ jurisdiction of the
Supreme Court as well as the High courts.

17
State of Bombay v. Nurul Latif Khan, AIR 1966 SC 269
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 Conclusion
Service rules provides for the imposition of penalties in case of
government services found guilty of any kind of misconduct, any blameworthy
the act keeping in view the gravity of the misconduct committed by the
employee the disciplinary authorities to decide the kind of penalty to be
imposed on him The rules enumerate the two kinds of penalties that is minor
and major penalty. These penalties have deterrence effect over the employees.
So, these penalties have great impact in proper functioning of the offices. They
are very helpful in maintaining discipline. Also, they are acting as a mode of
strengthening the public trust in the government officials.

Bibliography
 Narinder Kumar, Law relating to Government Services and Management
of Discipline Proceedings(Allahabad Law Agency)Allahabad 2nd
edn.2008.
 Dr. Babita Devi Pathania, Service Law(New Era Law Publications)
Faridabad Haryana 2nd edn.2020.
 http://mcrhrdi.gov.in/
 https://dopt.gov.in/
 http://www.referencer.in/
 http://www.manit.ac.in/

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