Tuesday, February 12, 2019

Discipline & CCS (CCA) Rules, 1965

Discipline & CCS (CCA) Rules, 1965

1. What is review under CCS (CCA) rules, 1965? Who is competent to exercise the power? What are the scope and limitations of such review?
Rule 29 A CCS CCA Rules, 1965

2. What are the provisions for proceeding against officials lent to State Govt or any other Department?
Rule 20 CCS CCA Rules, 1965

3. Under what circumstances a Govt. Servant may be placed under suspension?
Rule 13 of Vol –II

4. What are the principles for acceptance of resignation from Govt. servant under suspension or when investigations are pending against him?
Rule 38 of Vol-III
  • When a Govt servant under suspension submits resignation, the competent authority should examine with reference to the merits of the disciplinary case pending against him, whether it would be in the public interest to accept the same.
  • Normally suspension is resorted to for grave delinquency and it would not be correct to accept the resignation of an officer under suspension.
  • The following are the few  cases in which resignation can be accepted :-
(a)    The alleged offence does not involve moral turpitude;
(b) The quantum of evidence against the accused officer is not strong enough to justify the assumption that if the departmental proceedings are continued , the officer would be removed or dismissed  from services; or
(c)   The departmental proceedings are likely to be so protracted that it would be cheaper for public exchequer to accept resignation.
5. What are the penalties that can be imposed on a Govt servant under CCS CCA Rules, 1965? Rule 11 CCS CCA Rules, 1965
6. Explain the procedure for imposing a minor penalty?
Rule 16 CCS CCA Rules, 1965
7. Enumerate penalties that can be imposed on a Gramin Dak sevak and also explain the procedure for imposing them.
Rule 7& 9 of Service and conduct rules, 2001
8. What are the circumstances in which a Govt. Servant may be placed or deemed to be under suspension? Rule 10(1) CCS CCA Rules, 1965
9. What is the method of recruitment of a Gramin Dak Sewak?
Rule 2A of Sch –1B
10. What is the procedure for imposing Major penalties?
Rule 14 CCS CCA Rules, 1965
11. What are the orders against which a Govt servant can appeal?
Rule 23 CCS CCA Rules, 1965
12. What are the guidelines regarding placing a Govt. servant under suspension?
Rule 17 of Vol III
13. Discuss the principles to be followed for imposition of the penalty of recovery. General Conditions: -
(1) The penalty of recovery can be imposed only when it is established that the Govt servant was responsible for a particular act or acts of negligence or breach of orders or rules and that such negligence or breach caused the loss to Govt.
(2) The Competent disciplinary authority should correctly assess in a realistic manner the contributory negligence  on the part of an officer and while determining any lapse or omission on the part of the officer , the bearing of such lapse on the loss considered and the extenuating circumstances in which the duties were performed by him , shall be given due weight.
(3) Recovery from pay of a delinquent officer, for pecuniary loss caused by him to the Govt by negligence or breach of orders should not exceed 1/3rd of his basic pay (excluding DA or any other allowances) and should not spread over a period of more than 3 years. However, no such limits have been prescribed in Rule 11(iii) of CCS (CCA) Rules, 1965. While imposing this penalty, the disciplinary authority should not display such severity that a Govt servant suffers hardship disproportionate to his negligence /misconduct that led to loss. It is necessary to fix a rigid limit for the purpose of such recovery. As such, the recovery may be spread over till entire loss is recovered.
(4) The amount of recovery of loss ordered as a measure of penalty can be reduced by the punishing authority at any later stage if it is found that the amount of loss sustained by the Govt is less than that of originally calculated. In case, if the loss is subsequently found to be nil, the case has to be reviewed by the competent authority for imposing appropriate penalty. But that Authority will not, however, be competent to impose a penalty higher than that of recovery.
(5) There is no bar to impose any other statutory penalty in addition to the penalty of recovery, if the circumstance of the case justifies it. While imposing a penalty on a Govt servant in addition to penalty of recovery, the Punishing authority should, however bear in mind that net cumulative effect on the Govt servant should not be of such severity so as to make impossible for him to bear the strain.
(6) Recovery from pension of a delinquent officer, for pecuniary loss caused by him to the Govt by negligence or breach of orders should not exceed 1/3rd of his gross pension including any amount which has been commuted.
Rule 106-111 of Vol- III
14. What are the documents forwarded by disciplinary authority to Inquiry officer?
The following documents are required to be forwarded on the Enquiry Officer by the Disciplinary authority: -
(a) a copy of the articles of charge and the statement of the imputation of misconduct or misbehavior together   with a list of documents by which and a list of witnesses by whom , the articles of charges are to be sustained ;
(b) a copy of the written statement of defence, if any, submitted by the Govt Servant. If any defence has not been submitted, this fact should be communicated to the Enquiry Officer;
(c) a copy of the statement of witnesses, if any referred to in Sub-rule (3) of Rule 14 of CCS (CCA) Rules, 1965;
(d) evidence proving the delivery of the documents referred to in sub-rule ibid to the Govt servant;
(e) a copy of order appointing the Presenting officer
(f) a copy of the memo, intimating that the Govt servant will take the assistance of a particular Govt servant for presenting his case.
Rule 14(6) of CCS CCA Rules
Rule 89 of Vol- III

15. Enumerate the salient features of suspension. Give reasons to substantiate if suspension is a penalty or not.
Suspension is an executive action  where by a Govt servant is kept out of duty temporarily pending the final action being taken against him for acts of discipline , delinquency, misdemeanors etc., . Suspension pending departmental enquiry is a safe guard against the Govt servant interfering with and hampering the preliminary investigation, documentary and oral material evidence.
Though Order of Suspension prevents the employee from rendering his services, it provides the Govt servant with enough time to prepare himself adequately for enquiry and to clear himself of the charges levelled against him.
Even though Suspension is not a statutory penalty, it constitutes a great hardship for the official, apart from not being allowed to perform his legitimate duties and earn his salary.  However, he continues to be in the grade held by him immediately before suspension. He does not suffer a reduction in rank.
Rule 23 (i) of CCS (CCA) provides a suspended official preferring an appeal against the order of suspension made or deemed to have been made under rule 10.
If official under suspension dies, the proceedings initiated became invalid.
16. Explain the role of Enquiry officer in imposing a major penalty.

17. What are the provisions relating to consideration of an appeal?
Rule 27 of CCS CCA Rules
18. What are the Schedule of Administrative powers of an Inspector Posts?
(i) to appoint and recruit Postmen/Group ‘D’ /GDS except EDBPMs/EDSPMs.
(ii) to transfer PM/Dept Stamp Vendor /Group ‘D’ within sub division
(iii) to accept resignation
(iv) to grant leave
(v) to grant leave with out allowance to GDS BPM, & DA and to regularize unauthorised absence as dies – non under rule 62 of Vol –III.
(vi) to make disciplinary action
(vii) to contact /correspond directly with Supdt, PSD in respect of matters relating to stock and other of BOs under his control.
(viii) to impose penalties (i) to (iv) of Rule 11 of CCS (CCA) and 7 of GDS              (service & Conduct rules)
(ix) to maintain personal records of staff including CRs of GDS
(x) to function as Inquiry Officer and Presenting Officers in disciplinary cases  and also assist as defence asst in court cases and to watch proceedings in respect of departmental cases .
19. Narrate the circumstances when an inquiry as per (3) to (23) of Rule 14 of CCs (CCA) rules is to be held invariably?
(a) When it is proposed to impose a Major penalty
(b) Even when it is proposed to impose a minor penalty, the Disciplinary authority has the opinion, that inquiry is mandatory.
(c) While imposing Penalty With holding of increments
    1. for not more than 3 years ,
    2. with out cumulative effect
    3. When it is not adversely affects the pensionary benefits
20. What are the monetary and other entitlements of a suspended official?
  • Monitory
  • Misc
An official under suspension can
(a) apply for change of Head Quarters.
  1. Retain Quarter , by paying rent levied  unless the quarter is attached with post
  2. Give option for revision of pay
  3. Appear for departmental promotion examinations
  4. Assist any other Govt. servant in his Disciplinary proceedings
  5. Prefer appeal against the order of suspension

21. What are the safeguards of a Govt.servant as per article 311 of Constitution of India.? Narrate the exceptions to it with illustrations.                                                                                                                                                                                                   
Rule 19 of CCS (CCA) Rules, 1964
Illustrative cases are
  1. Where a civil servant , through or  together with his associates , terrorises , threatens or intimidates witnesses, with fear of reprisal in order to prevent them from doing so or,
  2. Where a civil servant  by himself or with or through others   threatens or intimidates and terrorises the officer who is the disciplinary authority or members of his family so that the officer is afraid , to hold the inquiry or direct it to be held or,
  3. Where an atmosphere of violence or of general indiscipline and insubordination prevails at the time the attempt to hold the inquiry is made.
22. What are the points to be considered while appointing an Enquiry Officer?
  • In the interest of justice and equity, it is desirable that only disinterested officers are appointed as enquiry officers. There is no bar to appoint the immediate superior officer as Enquiry officer, but the disciplinary authority should satisfy itself that the enquiry officer is not suspected of any bias.
  • Enquiry Officer should of sufficiently senior rank to the officer whose conduct is being enquired in to.
  • He should not have been associated with an enquiry against accused person at an earlier stage and should not  expressed an opinion about the merits of the case ordinarily adverse to accused Official
  • Any subordinate to an officer who narrates specific opinion during the preliminary enquiry, which shall ordinarily adverse to accused Official should not be appointed as an Enquiry officer.
  • A person concerned as material witness of the case should not be appointed as an Enquiry Officer.
  • It is not obligatory that an officer of the department to which accused official belongs to at the time of initiation of Disciplinary proceedings should be appointed as Enquiry officer. An  Officer of other department or even State Govt can be appointed as Enquiry officer in the interest of proper enquiry ,especially in case of disciplinary proceedings for lapses committed while employed in that department or State Govt.
  • Unless it is unavoidable , the disciplinary authority should refrain from being the enquiry officer and appoints a suitable officer for the purpose. (Rule 85 -87 of Vol -III)
23. What are the conditions for an official in assisting a Govt servant in a proceeding?
Rule 88 of Vol-III & rule 14(8) of CCS (CCA) Rules, 1965
24. What is the follow-up action taken by Disciplinary authority, on placing a Govt. servant under suspension?
  1. Official be served with an order of suspension. Same will also be fwd to Pay Accounts Office for effective revised pay and allowances.
  2. Auth should grant Subsistence allowance at admissible rate as per FR 53 , also ensure the subsequent  revision of rate in time.
  3. He should be reinstated within 6 months from the date of suspension.
(d) Charges be framed within the reasonable period of time and final decision taken expeditiously and suspension terminated.
25. What are the rights reserved by the accused official as well as by the Disciplinary authority in giving assess the inspection of documents in disciplinary proceedings? Rule 72, 75 of Vol-III
26. Comment on the following:-
  1. A Govt servant has been issued with a charge sheet in English, asked to submit his defence. Govt servant denies submitting his defence, of being his inability to read English.
Rule 70 of Vol –III provides that the charge sheet may be served in Hindi or English. It is for the delinquent to get the same translated into some other language for his own benefit.  As such the plea submitted by Govt servant is not accepted.
  1. A Govt servant submits his resignation letter to the competent authority, while he was on leave. He quits the post on expiry of his leave originally granted.
A resignation becomes effective when it is accepted and an officer is relieved of his duties. Any official, who having sent in his resignation, quits the post before receiving intimation of acceptance will be dealt with in accordance with the provisions contained in Rule 65 of Vol-III and legal proceedings will be taken against him. Disciplinary proceedings under rule 14 of CCS (CCA) should be initiated against him.
Rule 160 of Vol -III

(c) A GDS was put off duty and was subsequently charge-sheeted. The charges levelled against the applicant were that, he had received one RL, for delivery, but had not delivered to the correct addressee and resulted in to misappropriation of some amount .After the receipt of   representation, the inquiry was completed and report submitted to Disciplinary authority. The applicant preferred an appeal and the appellate officer rejected the appeal. Then GDS submits that the non payment of Subsistence allowance to him has vitiated the inquiry proceedings. Comment.
By rejecting grant of Subsistence allowance, the delinquent official did not have sufficient opportunity to defend himself in the inquiry and therefore, the whole inquiry proceedings are vitiated.
The denial to pay the ex-gratia compensation for the period of put-off duty was unconstitutional and struck down Rule 9 (3) of GDS (Service and Conduct Rules) 2001 as violative of Article 14 of Constitution of India.
The applicant be reinstated with immediate effect in the same post and the amount of lump sum compensation be paid to him within a period of four months from the date of order and if not paid , the same would be payable with running interest at the arte 12% per annum .
(d) A GDS was placed on put –off duty under rule 9(1) contemplating disciplinary proceedings against him. There after his services were terminated exercising the power under provisio to rule 6(b). He preferred an appeal against the order.
The intension of placing an applicant on put –off duty is to conduct a regular inquiry after giving an opportunity. The impugned order is to be quashed, as it was passed with out inquiry.
The Disciplinary authority are directed to reinstate official  with all consequential benefits from the date of termination, within one month from the date of receipt of the copy of this order . But it is open to the Disciplinary authority to take any action as it deems fit against   the official in accordance with law.
(e) A disciplinary proceedings were initiated against official and at the end of proceedings Enquiry officer by his report exonerated the official. The disciplinary authority passed an order of imposing a penalty, disagreed with the finding of the inquiry officer. The appellate authority also rejected the appeal after consideration. The review application also rejected. The applicant submitted in his plea that Disciplinary authority has decided the case against him, disagreeing with the findings of the inquiry officer with out communicating him the reasons for disagreement thereby denying him any opportunity for effective representation, which was incorrect and illegal.
If Disciplinary authority had taken a view that the Enquiry Officer’s report was wrong  and the charged official has to be punished, it was definitely incumbent on him to have communicated to the official, the detailed reasons for arriving at such conclusion while communicating the inquiry officer’s report. By not doing so, the disciplinary authority has been remiss the adherence to the principles of natural justice and the order passed by him vitiated. As the order passed by the Disciplinary Authority is set aside for non adherence of principles of natural justice, orders of Appellate authority and reviewing authority also follow suit.
(f) A Disciplinary authority passed an order of imposing a penalty at the end of a proceeding. An appeal has been preferred and is still pending. Mean while Disciplinary authority withdrew his order.
Normally, a Disciplinary Authority cannot review his own order, but may recall the same if it suffers from serious illegality on account of a mistake committed by him. There is prohibition in law against such course.  
27. Define the following: -
  1. Ad-hoc Disciplinary authority
  2. Common proceedings
  3. De-novo  proceedings
  4. Ex-parte order
  5. Absent with out permission
  6. Suspension
      • Suspension is an executive action, where by a Govt servant is kept out of duty temporarily pending final action being taken again him for criminal offences or acts of indiscipline, delinquency, misdemeanour etc.
  • Suspension is not a statutory penalty.
  • Appeal can be preferred against an order of suspension.
28.   What is the difference between review and revise?
Appellate Authority can revise an order within a period of six months from the date of order proposed to be revised. However for the Head of Department, no time limit is prescribed under Rule 29(i) (iv). The words ‘may at any time’ given below various authorities who can revise the order shows that the Head of Department no time –limit is provided.
As per Rule 29(i), power of revision can be exercised by the Head of Department only if the Appellate Authority is subordinate to Head of Department.  
Disciplinary authority has no right to revise its own orders even if it found procedural defects. However, it can revise orders of in operational nature such as withholding of increment of basic pay which is attaining the maximum scale of pay.
29. What are the Compulsory, optional and recoveries from subsistence allowance and recoveries which cannot made from it?
Rule No 28-30 of Vol-III
30. What would be the status of Disciplinary proceedings/order of suspension against an employee?
  1. After death of the employee
  2. After he has found missing for 7 years
  3. attains superannuation  
Answers: -
  1. On death of Employee, the order of suspension is no longer valid. The period is treated as duty and his family becomes eligible for payment of full pay and allowances for this period.
  2. The inquiry proceedings against an employee after he has been found missing for 7 years are liable to be set aside.
  3. He is given provisional pension DCRG is withheld for conclusion of the proceedings and issue of final orders.
31. What are the points to be kept in mind while framing a charge sheet?
32. Explain various stages of disciplinary proceedings?

33. At what circumstances Disciplinary authority can revise its own order?

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