Presentation_made_at_Institute_of_Public_Administration_Bangalore_in_Aug._2008.ppt

HOW TO CONDUCT A
DEPARTMENTAL INQUIRY
By R.K. Sharma,
Dy. Secretary (Retd.), GOI
E-mails: rks@dtf.in

Organisation of the Presentation
• Examination of complaints
• Preliminary Enquiry/Investigation
• Drafting and issue of charge-sheet Memo.
• Minor penalty proceedings
• Major penalty proceedings
• Inquiry proceedings
• Consultation with CVC/UPSC
• Order imposing penalty or exonerating the CO
under the CCS (CCA) Rules, 1965
• Departmental proceedings under the Pension Rules

EXAMINATION OF
COMPLAINTS
Sources of complaint:-
(1) A colleague or jealous/inimical colleague or
acquaintance or any other person,
(2) Complaint received through M.P./MLA,
(3) Complaint received through CVC or CBI,
(4) Acts of omission and/or commission on the part of
the Govt. servant concerned referred to Vig./Disc.
Cell by by Estt./Admn. Branch. For example,
irregularities in LTC/TA claim, submission of false
caste certificate, penalty imposed by Chief
Information Commissioner, report of arrest of a Govt.
servant in a criminal case or his conviction by a court
of law, etc.

(Contd.)
Sources of complaint:-
(4) Complaint of sexual harassment
(5) Complaint of discrimination, etc. by a member
of SC/ST category.
(6) Acts of omission and/or commission reported in
an Audit Report,
(7) Anonymous/pseudonymous complaint, etc.

(Contd.)
• No cognizance to be taken of
anonymous/pseudonymous complaints –
CVC’s instructions
• Identification of acts of misconduct/
lapses alleged in the complaint

PRELIMINARY
ENQUIRY/INVESTIGATION
• Departmental investigation by Vigilance Section or Disc.
Section or by an officer to be designated for the
purpose
• Reference to an outside agency for investigation such
as the CBI, police, etc.
• Consideration of the issue of suspension of the
employee in case of acts of moral turpitude, financial
scandal, criminal offence, etc.

(Contd.)
To avoid unnecessary harassment to the officials,
against whom frivolous complaints are received at
the time of their promotion/selection, the CVC, vide
its circular dated 31.8.2004 addressed to the CVOs
of all PSUs/PSBs, has decided that:
(a) As a rule, complaints/cases which are more than 5 years old and no
action has been taken till then, should not be investigated. However,
the limit of 5 years will not apply to cases of fraud and other
criminal offences; and
(b) No cognizance should be taken of any complaint which is received 6
months prior to the initiation of selection process for senior posts.

Drafting and issue of
charge-sheet Memo.
• CVC to be consulted wherever necessary for
their 1st stage advice
• Charges to be definite and specific, and not
general, vague or non-specific
• Format for minor or major penalty proceedings is
given in the CCS (CCA) Rules, 1965
• An act reflecting on integrity will normally
warrant major penalty proceedings.

(from pre-page)
• Articles of Charge, Statements of Imputations of
Misconduct, List of Documents and List of Witnesses to
be drawn up carefully for major penalty action.
• Minor penalty charge-sheet Memo. to be issued with
Statement of Imputations of Misconduct only.
• Original documents to be collected as evidence as far as
possible and kept safely in Vig./Disc. Cell.
• Charge-sheet Memo. to be signed by the competent
disciplinary authority himself/herself or by an authorized
officer under the rules/regulations where the
President/Central Government is the Disciplinary
Authority

(Contd.)
WARNING, REPRIMAND,
ADVISORY, ETC.
Two types of warnings:-
(1)Non-recordable – A copy of it is not
placed in the ACR dossier.
(3)Recordable – A copy of it is placed in the
ACR dossier.

(Contd.)
VIGILANCE CLEARANCE
The Government have issued revised guidelines
for issuing vigilance clearance, vide Department
of Personnel and Training’s O.M. dated
14.12.2007 (copy is available under the heading,
“Conduct/Discipline Rules” on the website,
dtf.in.

(Contd.)
Penalties enumerated in Rule 11
Minor Penalties:-
(i) Censure; (ii) Withholding of promotion; (iii) recovery
from pay of the whole or part of any pecuniary loss
caused by him to the Government by negligence or
breach of orders; (iii a) Reduction to a lower stage in the
time scale of pay by one stage for a period of not
exceeding three years, without cumulative effect and
not adversely affecting the pension; (iv) Withholding of
increments of pay.

(Contd.)
Major Penalties:-
(v) Save as provided for in clause (iii) (a), lower stage in the time scale
of pay for a specific period, with further directions as to whether or
not the Government servant will earn increments of pay during the
period of such reduction and whether on the expiry of such period,
the reduction will or will not have the effect of postponing the future
increments of pay;
(vi) Reduction to lower time-scale of pay, grade, post of service which
shall ordinarily be a bar to the promotion of the Government servant
to the time-scale of pay, grade, post or service from which he was
reduced, with or without further directions regarding conditions of
restoration to the grade, or post or service from the Government
servant was reduced and his seniority and pay on such restoration to
that grade, post or service;

(Contd.)
(vii) Compulsory retirement;
(viii) Removal from service; and,
(ix) Dismissal from service.

Rule 16 – Minor penalty
proceedings
• Copies of the documents to be provided
to the charged official on request for
preparing his/her reply/statement of
defence
• Provision for holding full-fledged inquiry
under Rule 16 of the CCS (CCA) Rules
• Speaking Order to be passed by the
competent disciplinary authority

Rule 14 – Major penalty
proceedings
• Copies of the listed documents to be provided to the
charged officer for preparing his/her reply/written
statement of defence.
• Repeated requests for extension of time for submitting
reply may not be considered.
• Issue of common proceedings or simultaneous
proceedings is also to be considered.
• On denial of charges, Inquiry Officer and Presenting
Officer are to be appointed.

Inquiry proceedings
(Preliminary Hearing)
- Admission/denial of charges by the CO before the IO. Upon denial,
regular oral inquiry will be conducted by the IO.
- The CO to be provided an opportunity to engage a Defence
Assistant to assist him in the inquiry.
- IO will fix date and time for inspection of the listed documents,
normally in the office of the PO. IO will give opportunity to the CO
to submit a list of additional documents and a list of defence
witnesses, indicating relevancy to the charges.
- After completion of inspection of documents, all the prosecution
and defence documents will be taken on record by the Inquiry
Officer and each document will be assigned an Exhibit No.

(Contd.)
Specimen of document taken on record
Ex.P.1
Signature of IO with date
Ex.D.1
Signature of IO with date

Regular Hearings (RHs)
• Recording of daily order sheet by the IO
• Recording of evidence –Depositions of witnesses
-- Examination-in-Chief
-- Cross-examination
-- Re-examination
-- Further cross-examination
-- Further re-examination
-- Questions, if any, by the IO
-- Questions – simple and leading
-- Copies of depositions to be provided to CO/PO

(Contd.)
* Submission of Statement of Defence by the CO on conclusion
of the prosecution case
* Defence to adduce evidence on its behalf by way of
examination of defence witnesses and documents
* After examination of all witnesses, the IO will give
opportunity to the CO to appear as a witness in his own
case or his/her general examination would be conduced by
the IO. (no cross-examination by IO).
* Questions by IO to the CO as witness.
* IO will direct the PO/CO to submit Briefs within such time as
may be specified by him
* Thereafter, IO will write his report and submit it to the
Disciplinary Authority.

(Contd.)
• PO’s Brief
• Defence Brief
• Inquiry Officer’s Report
- Background, details about hearings, witnesses, etc.,
- Prosecution case
- Defence case
- Analysis of evidence
- Findings

CONSULTATION WITH THE
CVC/UPSC
l Obtaining the advice of CVC
• First Stage – before issuing charge-sheet
Memo.
Second Stage – after IO’s Report is
available
• Reference can be made for reconsideration
of CVC’s advice, in suitable cases.
UPSC to be consulted before imposition of
penalty, wherever necessary.

• EX PARTE INQUIRY
• REASONABLE OPPORTUNITY
• NATURAL JUSTICE
• BURDEN OF PROOF
• PREPONDERANCE OF PROBABILITIES

Order imposing penalty or
exonerating the CO
• The Disciplinary Authority would consider the nature of
charges, facts and circumstances of the case, evidence
on record, Brief of PO and submissions of the CO with
regard to findings of the IO.
• The penalty has to be commensurate with the gravity of
the misconduct. The CO to be exonerated, if charges
are held not proved.
• A speaking order imposing the penalty to be issued
under the signatures of the Disciplinary Authority

DOPT’s O.M. dated 1.8.2007 – Simultaneous
action of prosecution and initiation of
departmental proceedings
• In serious cases involving offences such
as bribery/corruption, etc., action should
be launched for prosecution as a matter
of course.
Disciplinary proceedings – the question is whether the
respondent is guilty of such conduct as would merit his
removal from service or a lesser punishment, as the
case may be.
Criminal proceedings – the question is whether the
offences registered against the Govt. servant are
established and if established, what sentence can be
imposed on him.

(Contd.)
• In serious nature of cases like acceptance of
illegal gratification, the desirability of continuing
the concerned Govt. servant in service in spite
of the serious charges levelled against him may
have to be considered by the Competent
Authority to proceed with departmental action.
• If the charge in the criminal case is of a grave
nature which involves complicated questions of
law and fact, it would be desirable to stay the
departmental .. .. ..

(Contd.)
proceedings till the conclusion of the criminal case. If
the criminal case does not proceed and its disposal is
being unduly delayed, the departmental proceedings,
even if they were kept pending on account of the
pendency of the criminal case, can be resumed and
proceeded with so as to conclude them at an early date,
so that if the employee is found not guilty, his honour
may be vindicated and in case he is found guilty, the
administration may get rid of him at the earliest, if the
case so warrants.

(Contd.)
• Quoting the Apex Court’s judgment, DOPT has
clarified that stay of disciplinary proceedings is
not a must in every case, where there is a
criminal trial on the very same charges and the
concerned authority may decide on proceeding
with the departmental proceedings after taking
into consideration the facts and circumstances
of each case and the guidelines given by the
Hon’ble Supreme Court.

Departmental proceedings
under the Pension Rules
• Rule 8 – Pension subject to future good
conduct
• Rule 9 – (i) Event or transaction within 4
years before the institution of
departmental proceedings will attract
action under the Pension Rules;
(ii) Sanction of the President necessary
for proceedings under the Pension Rules

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