Stages of Disciplinary proceedings

2. The procedure as laid down in the Central Civil Services (Classification, Control and Appeal) Rules, 1965, is required to be followed rigidly. Any failure in its due observance is liable to vitiate disciplinary proceedings including the final punishment order passed. The various stages in a disciplinary case are given below :

(a)

First Stage : Decision to proceed against an employee after making preliminary enquiries, if necessary, at the appropriate level in regard to offences alleged to have been committed by him.

(b)

Second Stage : Framing of charges and issue of a charge sheet either for a major or a minor penalty in the prescribed proformae.

(c)

Third Stage : Submission of defence by the delinquent officer, appointment of Enquiry Officer and presenting officer holding of enquiry into the charges where necessary and findings of the Enquiry Officer.

NOTE:-Even though withholding of increment is a minor penalty, Government have decided that

an enquiry should be held in the manner laid down in Sub Rules (3) to (23) of Rule 14 of

CCS (CCA) Rules, 1965, if it is proposed :-

(i)

to withhold increment of pay for a period exceeding three years; or

(ii)

to withhold increment of pay with cumulative effect of any period, or

(iii) to impose the penalty of withholding of increment at a time when it is likely to effect adversely the amount of pension admissible to the government servant.

(d) Forth Stage : Examination of Enquiry Report and evidences and taking of a decision whether the charges have been established. Passing of final orders.

1. First Stage : When a report is received about the commission of an offence by an employee the appropriate authority should decide whether or not there is justification for having the matter investigated into. At the stage of preliminary enquiries, all available evidences and relevant documents should be collected and in important cases, evidences of witnesses be reduced to writing and got signed by them, if possible, in the presence of the accused employees. No prior sanction of the punishing authority is necessary for holding such a preliminary enquiry. The investigation report alongwith the preliminary evidences collected should then be examined by the appropriate authority to come to a decision whether a prima-facie case exists for initiation of formal disciplinary proceedings. The office responsible for the decision should take care not to express, as far as possible, any definite opinion on the merits of the final outcome of the case. If

2. this decision is taken at a level lower than the competent disciplinary authority, all the papers should then be forwarded to that authority for taking a final decision and initiation of disciplinary proceedings. Even if it is felt that there is no justification for initiation of disciplinary proceedings, it is desirable that the papers are shown to the competent disciplinary authority for his information. At this stage itself the competent authority should examine whether pending disciplinary proceeding, the official should be placed under suspension, and issue order in the form prescribed.
1. Second Stage : On receipt of all the relevant papers, the authority receiving them should take a decision whether the proceedings should be initiated for a major or a minor penalty. In a case of minor penalty, the authority may, even at this stage, decide whether an enquiry should be held in regard to the allegations to be leveled against the official concerned. Thereafter it should satisfy itself by a reference to the schedule to the CCS (CCA) Rules, 1965, and rule 12 of those rules that it is competent to issue the necessary charge sheet and impose a major or minor penalty as the case may be. The charge sheet should the be drafter in the prescribed form giving all the details as required under Rule 14 or Rule 16 of the above rules as the case may be, while framing the charge sheet, the following points should be kept in mind :-

(i)

The grounds on which it is proposed to take action against an employee should be reduced to the form of a definite charge or charges. The charges should be clear, specific and precise. A separate charge should be framed in respect of each separate offence. It is desirable that the charges should not be of a petty nature or unnecessarily numerous. They should not, except where the charge is one of inefficiency or incompetence, relate to mattes which have already been the subject of previous official enquiry and decision. Care should be taken that no expression of opinion as to the guilt of the accused official is contained in the wording of the charge.

(ii)

A statement of allegations on which each charge is based and of any other circumstances which it is proposed to take into consideration in passing the orders on the case should invariably be attached with the chargesheet. In the statement of allegation also, care should be taken that no opinion or anything that can be construed as an opinion as to the guilt of the official should appear therein.

(iii) A complete list of documents by which, and a complete list of witnesses by whom, the articles of charge are proposed to be sustained should be attached with the chargesheet.

(iv) The employee should be required, within a reasonable time to be specified in the Memorandum, to state whether he desires to be heard in person, and thereafter, to put in a written statement of his defence.

NOTE: When the Memorandum of charges is sent by post, it should be enclosed in a Registered Cover with acknowledgement due.

5. Third state : (i) On receipt of the statement of defence of the accused officer, a preliminary examination should be made by the disciplinary authority with a view to finding out whether the official has admitted any or all the charges leveled against him. In the cases of proceedings for a major penalty, enquiry into such of the charges as are not categorically admitted by the accused official is obligatory. If an enquiry is required to be held, the disciplinary authority should decide whether it would like to hold the enquiry itself or to appoint a separate Enquiry Officer. The status of the Enquiry Officer should not in any case be lower than that of the accused officer. In making a selection, the disciplinary authority should pay due regard to the seriousness of the alleged offence and also to the status of the accused officer. In fairness to the accused, as well as to the Enquiry Officer, the enquiry should not be entrusted :-

(a)to an officer who held the preliminary enquiry and expressed a definite opinion on the allegations, especially, where such opinion is adverse to the accused, or;

(b)to an officer directly subordinate to an officer, who has already expressed an opinion on the allegations, especially where such opinion is adverse to the accused.

(ii) The disciplinary authority may also at this stage nominate a Presenting Officer who would present on its behalf the case in support of the articles of charge. The Accused Officer has also the right to take assistance of another Government servant to present the case on his behalf, for this purpose, he is not required to take prior permission of the disciplinary authority. He need send only an intimation to this effect to the disciplinary authority. The disciplinary authority is not, however, responsible to ensure the release of that Government servant to enable him to attend the enquiry. The accused officer is not also entitle to engage a legal practitioner to present his case without the specific permission of the disciplinary authority. If, however, the Presenting Officer appointed by the disciplinary authority is a legal practitioner, the accused official will have a right to appoint a legal practitioner to assist him.

(iii) To enable the Enquiry Officer to hold the enquiry, the disciplinary authority is required to send copies of the documents as indicated in sub rule 6 of Rule 14 of Central Civil Services (Classification, Control and Appeal) Rules, 1965 to him. The original documents should be available with the Presenting Officer. In case there is no Presenting Officer, the enquiry officer should have the original documents.

(iv) Before the start of the enquiry, the accused officer will be required to state categorically whether he pleads guilty to any of the articles of charges. If the accused officer does not plead guilty to any or all the articles of the charges the enquiry officer will start formal enquiries. Before the start of the enquiry, the accused officer will have the option to apply for the production and inspection of certain documents to be specified by him which are expected to be in the possession of Government but not already mentioned in the list of documents attached with the chargesheet, and are relevant. During the enquiry, the Presenting Officer will produce all documentary evidence and also have all his witnesses examined and cross-examined to prove the allegations and charges. At the discretion of the Enquiry Officer and before the close of the case on behalf of the disciplinary authority, the Presenting Office may produce new evidences not included in the original list supplied to the accused officer. Similarly, the Enquiry Officer may himself call for new evidence or recall and reexamine any witness vide sub-rule 15 of Rule 14 of CCS (CCA) Rules, 1965. After the witnesses on behalf of the disciplinary authority have been examined, the accused officer shall be required to state his defence orally or in writing. He shall also produce evidence in support of his defence. The Enquiry Officer has the right to examine the accused officer himself. Thereafter the Presenting Officer as well as the accused officer will have an opportunity to file written statements of their respective case, if they so desire. On the basis of the evidences recorded during the enquiry, the Enquiry Officer will submit his report discussing all the evidences and giving his finding on each charge separately taking into account the evidence of both the sides. The enquiring authority should, after the completion of the production of evidences, hear the presenting officer, if any appointed, and the delinquent official or permit them to file written briefs of their respective cases, if they so desire. In case they decide to be heard orally, the presenting officer will be required to present his case in the first instance. In case written briefs are obtained from them, the presenting officer should be required to submit his brief in the first instance and a copy of that brief should be supplied to the delinquent official before he is required to submit his brief.

6. Fourth Stage : On receipt of the Enquiry Officer’s report, the competent disciplinary authority should examine the report carefully with a view to taking a decision whether the charges have been established and whether the recommendations of the Enquiry Officer in this regard should be accepted. In case, the disciplinary authority does not accept any of the recommendations of the Enquiry Officer, it shall give its own findings, discussing the relevant evidences in support thereof. At this stage, it will be open to the disciplinary authority either to direct the Enquiry Officer to hold supplementary enquiry for further examination of any of the witnesses or may itself hold a supplementary enquiry subject to the restrictions imposed by the note below sub-rule 15 of Rule 14 of CCS (CCA) Rules. However, the disciplinary authority at this stage is debarred from taking into account any evidence, either documentary or oral, which had not been adduced during the formal enquiry. Accordingly, it will not be proper to bring in extraneous matters, such as bad records to service, not connected with the enquiry for either establishing the charge or for deciding the quantum of penalty. If however, the accused officer makes a request for a lenient view being taken on the ground of his previous records of service or good conduct in his brief submitted to the Enquiry Office, no injustice is likely to accrue to the accused officer if his previous bad service records weigh with the disciplinary authority is not agreeing to show leniency.

After the disciplinary authority has arrived at a decision about the charges, it should take a decision about the quantum of penalty which is considered to be justified on the basis of the charges held to have been established against the officer. The disciplinary authority should thereafter issue the final punishment orders. A copy of the enquiry report alongwith the findings of the disciplinary authority should be attached with the punishment orders. In case, the disciplinary authority is itself the enquiring authority, a copy of its own report should be furnished to the delinquent officer alongwith the punishment orders. In some cases, a delinquent may not offer any defence to the chargesheet served on him. Even in such cases, the usual procedure of holding an enquiry has to be followed. If the accused officer does not attend the enquiry, an ex-parte enquiry should be held. During this enquiry, the Enquiry officer should follow the prescribed procedure of inspection of the original records produced in support of the charges and of examination and cross-examination of the witnesses produced on behalf of the disciplinary authority. In case the proceedings are for a minor penalty, the disciplinary authority should pass the final punishment orders after giving due consideration to the defence unless an enquiry is required to be held in accordance with the provisions of Sub Rule 1-A of Rule 16 of CCS (CCA) Rules, 1965.

NOTE:-The procedure which is required to be followed for holding a joint enquiry in which

two or more Govt. servants are involved is laid down in Rule 18 of the CCS (CCA)

Rules, 1965.

1. In a case in which it is necessary to consult the Union Public Service Commission, the disciplinary authority should forward the enquiry report alongwith the relevant records in original to the Commission and pass the final orders only on receipt of the Commission’s advice. A copy of the Commission’s advice should also in that case be forwarded to the accused officer. On the issue of the punishment orders, the officers if already under suspension and if not dismissed, removed, or compulsorily retired from servicefi should be released from suspension and the period of suspension regulated under FR 54. In appropriate cases, the desirability of releasing the officer from suspension should be examined even at an earlier stage to ensure that

2. no officer is kept under suspension beyond the minimum period essentially required. An order should be issued in the form as prescribed.
1. The order of punishment should be framed in a proper judicial form. It should contain a sufficient record of the evidence (including oral evidence, if any) and a statement of the findings and ground thereof. In other words, the punishment order should contain :-

(i)

the facts and the history of the case lending to the charges;

(ii)

the charges in detail;

(iii) a record of the examination of the defence and the evidence (including oral evidence, if any) in respect of each charge; and

(iv) a statement of the findings in respect of each charge.

A copy of the order must be furnished to the employee punished under receipt which must be kept on record attached to the original order or punishment in the personal file of the official concerned or in the file from which the order is issued as the case may be. Particulars of the punishment awarded to the official should be recorded in this confidential record. The adverse remark to be recorded should be prepared in duplicate , one copy to be signed and returned by the official to be kept in his confidential record. In case where an official prefers an appeal and his appeal is upheld either wholly or partially, particulars of the appellate order should be recorded in the confidential record.

1. The special circumstances under which the procedure laid down in Rule 14 or 16 of the Central Civil Services (Classification, Control and Appeal) Rules, 1965 is not required to be followed, are given in Rule 19 ibid. The form of order issued in such cases is shown in Appendix.

2. NOTE : In judicial trials, it sometimes happens that some censure is passed on the public servant in a side remark from the Bench, which he has no opportunity of answering, or which the Presiding Officer may not have thought of sufficient importance to require verification. Such a remark should not be taken as a deliberate judgement and unless convicted at a judicial trial, an employee should always be given the opportunity of defending himself against nay imputation that he may have therein incurred.
1. It may be that the circumstances of a case are such that an accused employee should be allowed the option of resigning his appointment in the Department. If so, and if he then voluntarily tenders an unconditional resignation, this should be accepted without comment, subject to the provision of Rule 158.

2. Copies of all punishment orders effecting the pay of the employee punished should be sent to the head of the office from which his pay is drawn and to the Director of A/cs (Postal) alongwith the pay bill.

Consultation with Central Vigilance Commission

12. In all Vigilance cases relating to Gazetted Officers, the Central Vigilance Commission should be consulted during the progress of the case at the following stages :

(i) If in any case the administrative authority does not think that a preliminary enquiry is necessary, the complaint (other than an anonymous or pseudonymous

complaint) together with the views of the administrative authority shall be

forwarded to the Central Vigilance Commission for advice.

(ii) Similarly, when an administrative authority has, after preliminary enquiry, come to the conclusion that no further action is necessary, the case shall be reported to the Central Vigilance Commission for advice.

(iii) Where an administrative authority proposes after a preliminary enquiry, to institute disciplinary proceedings, the report of the preliminary enquiry, together with other relevant records, shall be forwarded to the Central Vigilance Commission for advice as to the course of further action to be taken.

(iv)

In cases in which the Central Vigilance Commission advises that formal disciplinary proceeding should be instituted, it will also advise whether proceedings should be instituted for imposing a major penalty or a minor penalty. It will then be the responsibility of the Ministry/Department to draw up a charge sheet, statement of allegations etc., and take all further steps according to the prescribed procedure and practice. It will be open to the administrative authority concerned to seek such further advice and guidance as may be considered necessary from the Central Vigilance Commission.

(v)

The report of the Enquiry Officer conducting oral enquiry into any departmental proceedings together with the full record of the case should be forwarded to the Central Vigilance Commission who will advise the disciplinary authority concerned as to the course of further action to be taken.

(vi)

The administrative authority may, in its discretion, decide to make an enquiry into an anonymous or pseudonymous complaint or to drop it or may seek the advice of the Central Vigilance Commission. However, once an administrative authority has decided to make an enquiry into a complaint, the result of such enquiry should be intimated to the Central Vigilance Commission.

(vii) In respect of proceedings for imposition of major penalty a reference has to be made to the Central Vigilance Commission after the enquiry has been concluded. In respect of a case of minor penalty, it should be referred to the Central Vigilance Commission after the receipt of the written statement of defence of the delinquent officer and before the case is referred to the Union Public Service Commission, where this step is necessary. The disciplinary authority should indicate his provisional conclusions while making such a reference. Further, where statement has been made in the reply of the officer to controvert the allegations, the Commission’s attention should specifically be drawn to the correct facts.

NOTE I : In consonance with the spirit of the Scheme of the Central vigilance Commission only those cases in which there is an allegation of corruption or improper motive, or if the alleged facts indicate an element of corruption or improper motive, need be referred to the Commission. Cases involving purely administrative or technical lapses e.g. late attendance, disobedience, insubordination, negligence, lack of supervision or operational or technical lapses and irregularities etc., need not, therefore, be referred to the Commission. However, difficulty sometime arises in distinguishing vigilance cases from no-vigilance cases. In all such cases discretion has to be exercised by the administrative authority. Broadly speaking it may be stated that any case which prima facie has a vigilance angle or which has the potentiality of having a vigilance angle should be referred to the Commission for advice.

NOTE II : Heads of Circles and Administrative Officers who are competent to impose minor penalty on class II officers may consult the Commission direct.

Suspension

1. The appointing authority or any authority to which it is subordinate or any other authority competent to impose on a Government servant any of the penalties specified in rule 11 of the

2. Central Civil Services (Classification, Control and Appeal) Rules, 1965, may place that Government servant under suspension under the circumstances laid down in rule 10 of the said rules. A Government servant who is undergoing a sentence of imprisonment shall also be dealt within the manner laid down in sub rule (2) of rule 10 of the said rules pending decision of the appropriate disciplinary authority about the final action to be taken against him in accordance with the provision of rule 19 ibid.
1. If an order of suspension is passed by an authority lower than the appointing authority, that authority will report to the appointing authority the circumstances in which the order was passed.

2. Where the services of a Government servant are borrowed from or lent to by one department to another department or from or to a State Government or an authority subordinate thereto or from or to a local authority or other authority, the borrowing authority can suspend such Government servant under rule 20 of the Central Civil Services (Classification, Control and Appeal) Rules, 1965. The lending authority should, however, be informed forthwith of the circumstances leading to the order of suspension.

3. Before passing an order of suspension, the authority proposing to make the order, should verify whether it is competent to do so. Otherwise, the suspension order is liable to be declared to the grant of full pay and allowances for the period of suspension. A Government servant should not be placed under suspension by or oral order.

4. A suspended Government servant continues to be in the grade held by him immediately before suspension and does not suffer a reduction in rank. Suspension may, however, cause a lasting damage to Government servant’s reputation even if he is ultimately exonerated or is awarded only a minor penalty. The competent authority is, therefore, expected to exercise his power with proper care and caution. As an alternative, it may be considered whether the purpose cannot be served by transferring the Government servant elsewhere or by granting leave due and admissible in case the suspect officer prefers to proceed on leave. If the suspect officer is already on leave or absent without permission, the orders of suspension, if any, should normally be given effect to only from the date the said officer returns from leave or desires to resume duty. The following instructions should guide an officer in suspending an employee :-

(a)

there must be a strong prima facie case against delinquent;

(b)

if the offence is of such a serious nature that dismissal will be the probable punishment or such that it is inadvisable that the offender should be allowed to perform the duties of his office pending decision on the case, suspension is justifiable;

(c)

unless there is some very strong reason why the offender should not be allowed to continue to work until the case has been decided, suspension should not be resorted to;

(d)

no one should be suspended for petty breaches of discipline and for minor departmental offences;

(e)

no one should be suspended unless

(i)he wilfully and obstinately refuses to carry out an order;

(ii) during the course of enquiry, his retention in his appointment would hamper or frustrate such enquiry;

(iii) he is charged with an offence of a nature which, if proved against him would ordinarily result in his dismissal.

(f)

where the continuance in office of the Government servant is likely to seriously subvert discipline in office in which he is working or where his continuance in office will be against the wider public interest, as for example, in the case of public scandal, it is necessary to place the concerned official under suspension;

(g)

suspension is also desirable in the following cases :-

(i)

if the alleged offence or conduct on the part of the employee involves moral turpitude;

(ii)

where the charge relates to corruption, embezzlement or misappropriation of Government money, possession of disproportionate assets, mis-use of official powers for personal gains, or serious negligence and dereliction of duty resulting in considerable loss to Government.

NOTE 1 : While suspension of an official may be justified at the initial stage, it should always be ensured by the suspending authority be undertaking periodical reviews that the period of suspension of an official is reduced to the barest minimum. For this purpose, every effort should be made to file the chargesheet in court or serve the chargesheet on the Government servant, as the case may be, within three months of the date of suspension. In cases where it may not be possible to do so, the disciplinary authority should report the matter to next higher authority explaining the reasons for the delay. That authority should consider whether it is still necessary to continue the official under suspension or the suspension order should be revoked. The intention is that in cases other than those pending in courts, the total period of suspension viz. both in respect of investigation and disciplinary proceedings should not ordinarily exceed six months. However, in exceptional cases where it is not possible to adhere to this time-limit the suspension may be continued only under the specific order of the authority immediately superior to the disciplinary authority. In case the order of suspension is revoked, the authority ordering the revocation shall pass an order immediately regulating the period of suspension as required under Sub-Rule 1 of F.R. 54-B. For this purpose, it is not necessary for that authority to await the finalisation of the disciplinary or court proceedings. Where the order regulating the period of suspension its issued pending finalisation of the disciplinary or court proceedings, it should be reviewed by the concerned authority on its own motion after the conclusion of the proceedings as required under Sub- Rule 6 of F.R. 54-B.

NOTE 2 : “Where documentary and oral evidence has already been collected and the risk of tempering with evidence (documentary or oral) by the official no longer exits. The cancellation of the suspension order should be considered by the component authority. when, however, there is still such a risk the question of his transfer should be considered keeping in view the nature and gravity of offence committed by the official.”

NOTE 3 : A Government servant against whom a criminal charge or a proceeding of arrest for debt is pending should also be placed under suspension by the issue of specific orders to this effect during the periods when he is not actually detained in custody or imprisoned e.g. while released on bail, if the charge made or proceeding taken against his is connected with his position as a Government servant or is likely to embarrass him in the discharge of his duties as such or involves moral turpitude.

1. It is the duty of a Government servant who may be convicted by a Court of law or arrested, to inform his official superior of the fact of his conviction and the circumstances connected therewith as soon as it is possible for him to do so. Failure in this regard will be regarded as suppression of material information and will render him liable to discipl9nary action on his ground. Alone, apart from the penalty called for on the basis of the offence on which his conviction was based.

2. Except in cases which an employee is deemed to have been placed under suspension under rule 10(2) of the Central Civil Services (Classification, Control and Appeal) Rules, 1965, an order of suspension will normally take effect to from a back date. In a case in which the officer to be suspended (a) is stationed at a place other than the headquarters of the competent authority or his is on tour (b) he is holding charge of stores and/or cash the order of suspension will not take effect from the date of issue of the orders. In a case of the type (a) above, the orders of suspension will take effect from the date of receipt of the orders by the employee or the date of his relief to be specified by the Competent authority. In a case of type (b) above, the competent authority should, taking into account the circumstances of the case, lay down that the checking and verification of stores and or cash should commence on receipt of the orders of suspension and be completed by a specified date from which suspension should take effect.

3. The station of posting immediately before his suspension will be the headquarters of the suspended officer. The disciplinary authority may, however, for reasons to be recorded in writing, fix any other place as his headquarters in the interest of public service (vide Govt. of India’s decision No. 3 below S.R. 153-A). A change of headquarters can be also be ordered at the request of the suspended officer if the competent authority is satisfied that it will not put Government to any extra expenditure in the shape of T.A. etc or create difficulty in investigation or in processing of departmental proceedings.

4. A suspended officer is subject to all conditions of services applicable to Government servants. He should not accordingly leave his headquarters without the permission of the disciplinary authority.

5. Suspension should not be continued beyond the minimum period for which it is essentially required. If the finalisation of the court case or departmental proceedings is likely top be delayed, the feasibility of revoking the orders of suspension and transferring the official to any other post or office, if necessary, should be considered.

6. An order of suspension made or deemed to have been made can be revoked at any time for good and sufficient reasons by the authority who made the orders or is deemed to have made or by any other higher authority.

7. A copy of the order placing an employee under suspension (other than those whose names are not shown in the Establishment pay bills) and also a copy of the subsequent order either releasing the employee from suspension of compulsory retirement, should be forwarded by the officer issuing the order to the Director of A/c’s ‘Postal’ to enable him to audit grants payable to the official concerned, and to know whether the period of suspension may count for pension or not.

In the case of an employee whose name is not required to be shown in the Establishment pay bill or in the annual Establishment return a copy of the order should accompany bill of the employee concerned.

Copies of orders must also be sent to the officer in whose custody the Service book or

Service Roll is kept to enable him to make necessary entries in the Service Book or Service Roll

as the case may be.

25. A Government servant under suspension is entitled to subsistence allowance from the date of his suspension at the rate prescribed in F.R. 53. If the period of suspension exceeds 3 months, the suspending authority may vary the rate of subsistence allowance for the subsequent period of suspension in accordance with the provisions of the rule referred to above. Normally it is not advisable that any orders revising the rate of subsistence allowance, are given retrospective effete. Suspending authorities should, therefore, maintain a register for noting all the suspension cases to enable them to undertake reviews as soon as a suspended officer has completed three months under suspension,. In each case, specific orders should be passed by the competent authority placing on record the reasons for the decision decreasing/increasing or allowing the rate of subsistence allowance to remain unaltered.

NOTE 1 : In a case where the period of unemployment is subsequently treated as period of suspension on the reinstatement of the official, the rate of subsistence allowance for that period cannot, however, be increased or decreased under the provisions of F.R.

53.

NOTE 2 : Where departmental proceedings against a suspension employee for the imposition of a major penalty finally end with the imposition of major penalty, the suspension can be said to be wholly unjustified in terms of FR (54-B) and the employee concerned should, therefore, be paid full pay and allowances for the period of suspension by passing a suitable order under F.R. 54-B.

1. After the first review, it will be open to the competent authority to make a further review or reviews at any time at its discretion. However, the increase or decrease at any stage should not exceed the limit of 50 percent of the subsistence allowance granted initially.

2. The maximum and minimum limits in respect of leave on half average pay prescribed in

F.R. 89 and 90 and on leave on half pay in rule 15(2) of the Revised Rules will be applicable, to the initial rate of subsistence allowance under F.R. 53, but will not apply when it is increased or decreased after the first 3 months of suspension.

Recoveries from subsistence Allowance

28. The following recoveries from the subsistence allowance are compulsory :-

(i)

income tax and super tax.

(ii)

house rent, electricity, water and other charges.

(iii) repayment of loans and advances taken from the Government at such rates as the Head of the Department deems it just to fix.

29. The following recoveries are optional and should be made only with the consent of the suspended officer :-

(i)

P.L.I. premia.

(ii)

Dues of the Co-operative stores and Co-operative Societies.

(iii) Refund of advance taken from the G.P.F

30. The following recoveries are not to be made from the subsistence allowance :-

(i)

Subscription to G.P.F.

(ii)

Amount due on court attachments.

(iii) Recoveries of loss to Government for which the suspended officer has been held responsible.

Admissibility of D.A. & C.A. during suspension

1. Recovery of over-payment can be made from the subsistence allowance at the discretion of the competent authority but the rate of recovery should not in any case exceeds 1/3^rd of the subsistence allowance excluding D.A. and other allowances.

2. Rates of D.A. admissible to a suspended officer will be equal to the amount admissible had he been on leave on leave salary equivalent to the subsistence allowance payable from time to time. Compensatory allowances admissible to him will however be at the rate admissible with reference to the emoluments which he was in receipt immediately prior to his suspension.

House Rent Allowance during suspension

33. A Government servant who has been in occupation of rent-free accommodation will cease to enjoy the concession from the date of suspension but he will not be required to vacate the quarter unless it is attached to any particular post. However, rent at the usual rate will be recovered from him. If ultimately the employee is allowed full pay and allowances for the period of suspension, the concession of rent-free accommodation will stand restored and rent, if recovered, for the period of suspension will be refunded. If however, the employee had been made to vacate the quarter, he will be entitled to house rent allowance in lieu of rent-free accommodation only if house rent allowance is otherwise admissible at the headquarters of his suspension. The house-rent allowance will be calculated with reference to the pay that he was drawing for the period of suspension.

Subsistence Allowance in the case when paid prior & reinstatement is regulated as suspension

34. In the case of Government servant dismissed, removed or compulsorily retired from service who is subsequently deemed to have been placed under suspension or to continue to be under suspension from the date of such dismissal, removal or compulsory retirement under Rule 10 of the Central Civil Services (Classification, Control and Appeal) Rules 1965, he shall be entitled to subsistence allowance and other allowance for such period of suspension but the amount of earnings, if any, for the period will be deducted from the subsistence allowance. In such a case, the rate of subsistence allowance will not be liable to be decreased or increased retrospectively for the period of suspension beyond the first 3 months.

Option for revised scale of pay

35. When the scale of pay of a post held by the Govt. servant under suspension is revised and the revision takes effect from a date prior to the date of suspension, the Government servant should be allowed to exercise the option under G.R. 23 even if the date by which he is to exercise the option falls within the period of suspension. He will be entitled to the benefit of increase in pay, if any, in respect of the period before suspension and also in the subsistence allowance for the period of suspension.

Procedure in respect of temporary Government servants the term of whose post expires or he is likely to be retrenched before proceedings are completed

36. In the case of a temporary Government servant if the tem of the temporary post held by him at the time of suspension is likely to expire or if he otherwise becomes liable to be retrenched from service before the disciplinary proceedings are likely to be completed, it may be considered on merits whether;

(a)

he should be discharged from service on the expiry of the term of the post held by him; or

(b)

his services should be terminated under Rule 5 of the Central Civil Services (temporary Service) Rules, 1965; or

(c)

the disciplinary proceedings should be continued to its logical conclusion.

If it is decided to continue the disciplinary proceedings, the temporary post should be extended for an appropriate period under orders of the authority competent to sanction such extension. If delay is anticipated in obtaining the sanction of the competent authority competent to dismiss or remove the Government servant concerned from service may issue orders extending the post without reference to the competent authority. The vacancy caused by such extension should not, however, be filled.

Termination of Service under suspension

37. The services of a temporary Government servant can be terminated under Rule 5 of the Central Civil Services (Temporary Service) Rules, 1965, while he is under suspension or/and departmental proceedings are pending against him.

Acceptance of resignation during suspension

38. If a Government servant who is under suspension, submits his resignation the competent authority should examine with reference to the merits of the disciplinary case pending against him whether it would be in the pubic interest to accept the resignation. Normally, an officer is placed under suspension only in cases of grave delinquency and it would not be correct to accept the resignation of an officer under suspension. Exception, may however, be made only in cases in which :-

(i)

the alleged evidence does not involve moral turpitude; or

(ii)

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 service; or

(iii) the departmental proceedings are likely to be so protracted that it would be cheaper to the public exchequer to accept resignation.

Regulation of the period of suspension

1. On release from suspension, the period of suspension should be regulated in accordance with the provisions of F.R. 54.

2. Unauthorised absence from duty is opposed to discipline and a serious view may be taken of it. Such unauthorised absence would include the following cases :

(i)

Absence form duty without leave previously sanctioned.

(ii)

Overstayal of leave already sanctioned without previous sanaction of leave for the period in excess of the original period of leave.

(iii) Being away from duty in excess of the limits laid down in Rule 32(2)(a) of the CCS (Leave Rules, 1972).

A Government servant who is unauthorisedly absent from duty will normally be allowed to rejoin duty at the end of the period of unauthorised absence. He may be called upon to explain the circumstances in which he was unauthorisedly absent and the action to be taken in his case will be decided by the competent authority on the basis of his explanation. Imposition of any of the penalties prescribed in the CCS (CCA) Rules, 1965, may be considered if the explanation is not considered satisfactory.

In case a Government Servant is absent unauthorisedly and does not report for duty of his own accord the competent authority may order him to rejoin duty and if even then he fails to rejoin duty, a serious view will be taken, which may result in punitive action against him.

In case disciplinary proceedings are instituted against a Government servant while he is on unauthorised absence and he is later allowed to join duty, the question as to how the period of unauthorised absence should be treated will be decided by the competent authority on conclusion of disciplinary proceedings.

In this connection reference is also invited to the proviso to FR. 17(1) under which a competent authority may deal with periods of absence without leave properly sanctioned. Such consequences as break in service and loss of pay and allowances may result from the application of the proviso to FR 17 (I), which leads as follows :

Provided that an officer who is absent from duty without any authority shall not be entitled to any pay and allowance during the period of such absence.

Remittance of subsistence allowance

41. Subsistence allowance of a non-gazetted official can be remitted by service money orders.

Eligibility to appear in Departmental Examinations during suspension.

42. An official under suspension or facing disciplinary proceedings may be admitted to a departmental examination if he satisfies all the other conditions prescribed for admission to such examination. The question of his promotion should, however, be decided taking into account the instructions issued from time to time about the promotion of an official under suspension or against whom disciplinary proceedings are pending.

Disciplinary Authorities

43. The President may impose any of the penalties specified in Rule 11 of the Central Civil Services (Classification, Control and Appeal) Rules, 1965 on any person who is a member of Central Service or holds a post in connection with the affairs of the Union. In addition, the authorities competent to impose penalties on members of Group ‘B’, ‘C’ and ‘D’ Services are those mentioned in the schedules to the Central Civil Services (Classification, Control and Appeal) Rules, 1965, which have reproduced in Schedule 1-A of this Manual. This is subject to the general condition that no major penalty, namely, those specified in items (v) to (ix) of Rule 11 of the Central Civil Services (Classification, Control and Appeal) Rules, 1965 shall be

imposed by any authority lower than the appointing authority as defined by Rule 2(a) of the said

Rules.

NOTE : Under the provision of sub-rule (2) of Rule 12 of the Central Civil Services (Classification, Control and Appeal) Rules, 1965 the prescribed appointing authorities are competent to impose all the statutory penalties. In the schedule to these rules while powers of appointment in respect of certain Group ‘C’ and ‘D’ cadres have been delegated to non-gazetted officers like Inspectors of Post Offices, Head Record Officer etc., they have not, however, been delegated with the powers to impose any of the major penalties. By virtue of this limitation of their powers in the schedule in this respect these appointing authorities are precluded from exercising the powers of imposing a major penalty.

44. Central Civil Service (Classification, Control and Appeal) Rules are not applicable inter alia to persons who are subject to discharge from service on less than one month’s notice and also to such of the industrial workers as are governed by the certified standing orders. The following cadres have also been specifically excluded from the operation of these rules vide S.R.O.-609 dated 28 February, 1957 :-

(i)

Extra-departmental Agents.

(ii)

Monthly rated staff paid from contingencies other than those brought or regular establishment;

(iii) Monthly rated work-charged and other employees not on regular establishment;

(iv)

Daily rated staff paid from contingencies;

(v)

Daily rated workmen paid by the day, week; months etc.;

(vi)

All hot whether and monsoon establishment.

1. A penalty can be imposed only by the prescribed punishing authority, an appellate authority or any other authority higher than the appropriate punishing authority cannot exercise any concurrent original disciplinary jurisdication. In no circumstances should an authority higher than the punishment authority issue any direction in regard to the penalty to be imposed. Neither should a punishing authority obtain the guidance or consent of any superior authority in this respect. Nothing in this rule shall affect the authority of the President to impose any of the penalties on any Government servant.

2. An ex-state employee ceased to have all connection with the former state immediately on his absorption in this Postal Department. The rank of the appointing authority in respect of such an employee will, therefore, be that of the authority which was competent to appoint him or actually appointed him in the grade at the time he was absorbed in the Postal Department.

3. A Group ‘A’ Sr. Superintendent of Post Offices and R.M.S. should be deemed to be competent to impose major penalties on an official who was initially appointed by a Senior Time Scale Officer of the I.P.S Group ‘A’, the Jr. & Sr. Time scale of the service having been merged.

4. An officer appointed to perform the current duties of an appointment can exercises administrative or financial powers vested in the full-fledge incumbent of the post but he cannot exercise statutory powers, whether those powers are derived direct from an Act of Parliament or Rules, Regulations and By-Laws made under various articles of the Constitution.

1. Disciplinary authority in respect of an official is to be determined with reference to his posting at the relevant stages of the disciplinary case and not with reference to his posting and status at the time of commission of the offence. The appellate authority in respect of an official is, however, to be determined with reference to the authority which imposed the penalty appealed

2. against and subsequent transfer of the official to separate office will not be a material consideration for the purpose.
5. The authority who conducts the preliminary enquiry into a case of misconduct etc. of a Government servant will not be debarred from functioning as a disciplinary authority in the same case provided it has not openly given out its findings about the guilt of the accused official.

Ad-hoc Disciplinary authority

51. Where the prescribed appointing or disciplinary authority is unable to function as the disciplinary authority in respect of an official on account of his being personally concerned with the charges or being a material witness in support of the charges, the matter should be reported to the Postal Dte. with full details for appointment of an ad-hoc disciplinary authority by the President.

Disciplinary Proceedings

52. The time at which an act was committed or the capacity in which it was committed is not material for deciding whether or not the Central Civil Service (Classification, Control & Appeal) Rules are applicable to an employee. It would, therefore, be quite in order to initiate disciplinary proceedings against a Government servant for some misconduct which is alleged to have been committed at a time when he was not a Government servant, e.g. when he was an Extra-Departmental Agent.

Common Proceedings

53. In case where two or more Govt. servants are involved in the case, the departmental proceedings should, as far as possible, be conducted by the same authority (who will be the higher among them) so that the evidence and the defence statements submitted by the different officials may be examined together. This is possible under Rule 18 of the Central Civil Services (Classification, Control and Appeal) Rules, 1965. Even though the official may be in different grades and are working under the jurisdication of different disciplinary authorities, as soon as a case occurs in which two or more Govt. servants are concerned and the disciplinary authorities in respect of them are different, and the President’s Sanction is necessary under rule 18 of CCS (CCA) Rules 1965. The following particulars should be furnished to the Directorate for obtaining President’s sanction for a joint proceedings :-

(i)

Names of Government servants;

(ii)

Substantive and officiating appointments held by them;

(iii) Allegations against each Govt. servants;

(iv)

Normal disciplinary authority in respect of each Govt. servant (separately for major and minor penalties);

(v)

The authority which should be nominated as the disciplinary authority for the purpose of common proceedings;

(vi)

Whether the procedure prescribed in Rules 14 or 16 of Central Civil Services (Classification, Control and Appeal) Rules, 1965 is to be followed.

1. In other cases the higher competent authority will make the necessary orders. A joint proceeding against Government servants working in the same office who have made complaint against each other should be avoided.

2. When disciplinary proceedings are initiated on the complaint of a private party, there should not normally be any necessity to indicate the name of the Complainant unless he is a material witness in the case. When, however, proceedings are initiated on the basis of the evidence collected after making investigation into the complaint, there should not be any necessity to indicate the name of the complainant or the fact that the investigation were started as a result of the particular complaint.

3. Departmental proceedings should be instituted at the earliest possible stage and it is necessary that while conducting the preliminary departmental investigation into the lapses on the part of the various officials, oral and documentary evidence necessary for departmental action should be collected. So far as the primary offenders are concerned it may not be necessary to wait till the completion of investigation into all the irregularities. As soon as sufficient evidence is collected in respect of a few clear cases of misappropriation, disciplinary proceedings should be initiated.

Disciplinary Proceedings for criminal offences

1. There is no bar to include all charges of violation of departmental rules as well as criminal offences which can be taken up departmentally e.g. misappropriation of Government money, defalcation, and theft of departmental materials etc. But there are criminal offences such as bribery and corruption, murder offences under the Excise Act, etc. which cannot be taken up departmentally. In the case of departmental proceedings, reference to the various clauses of the Indian Penal Code should be avoided. The proceedings should be based on the failure to observe departmental rules and regulations. For instance, in the case of theft of a registered or insured articles, the charge against an employee may not be theft of that articles but failure to account for the articles entrusted to him.

2. In cases of burglary, theft, highway robbery, fire etc. the primary offender is usually an outsider but in some cases collusion of a departmental official may also be suspected. In such cases, sufficient evidence to make the conduct of the official doubtful is available, disciplinary proceedings against him should be drawn up and exemplary punishment imposed. While dealing with such cases, subtle niceties need not be allowed to overshadow the broad facts. While it should be sent hat natural justice is done and that no innocent person is punished, the moral convictions of the disciplinary authorities should not be eclipsed at least by pettifogging arguments.

3. When an employee is reported to, or considered by his immediate superior to be incompetent, or disqualified from any cause of his duties, the latter must take measures to satisfy himself of the case, and take necessary action if he is competent to deal with him or bring the matter to the notice of the competent authority for such action as the latter may deem fit. The report should contain a specific statement of the facts on which the opinion is based.

4. While dealing with the case of an employee deemed incompetent, his immediate superior must afford to him an opportunity to offer an explanation, and his explanation, or a statement to the effect that having been called upon, he has failed to give one, must be submitted to the competent authority with the report where he himself is not competent to deal with the case.

NOTE : An employee charged with incompetence may, if necessary, be made to undergo a written examination in the subjects with which he should be acquainted for the proper discharge of his duties. In the case of a Postal Sorting Assistant or a Sorting Assistant he may further be subjected to a practical test in sorting by means of dummy cards, being required to sort a given number of cards, in a given time in the presence of the officer making the enquiry. The rules regarding examination to test the ability of a telegraphist in signalling will be found in the Postal Volume IV.

61. Under order of the Government of India no employee is, under any circumstances whatever, to be retained in active employment when he is physically or mentally unfit for the proper discharge of his duty. When a Government servant is in bad health and unable to perform his duties in a satisfactory manner, it is his business to apply for and obtain leave. If he does not go on leave, and neglects his duty, the excuse, if put forward, that he was in bad health, will not be accepted. In appropriate cases, the employee may be sent for medical examination for adjusting his fitness to continue in service in accordance with the provisions of the Central Civil Services (Medical examination) Rules, 1957 reproduced in F.Rs. & S.Rs. Vol. II.

Absence without permission

1. Absence of officials from duty without proper permission or when on duty in office, they have left the office without proper permission or while in the office, they refused to perform the duties assigned to them is subversive of discipline. In cases of such absence from work, the leave sanctioning authority may order that the days on which work is not performed be treated as dies non, i.e. they will neither count as service nor be construed as break in service. This will be without prejudice to any other action that the competent authorities might take against the persons resorting to such practices.

2. Whenever an official continues to remain absent from duty, overstays leave without permission and his movements are not known or he fails to reply to official communications, the disciplinary authority may initiate action under Rule 14 of the CCS (CCA) Rules, 1965. In all such cases, the competent authority should, by a registered A.D. letter addressed to the official at his last known address, issue a chargesheet in the form prescribed for the purpose and call upon the official to submit a written statement of defence within a reasonable period to be specified by that authority. If the letter is received undelivered or if the letter having been delivered, the official does not submit a written statement of defence on or before the specified date or at a subsequent stage does not appear in person before the Enquiry Officer, or otherwise fails or refuses to comply with the provisions of CCS (CCA) Rules, the enquiring authority may hold an ex parte enquiry. The notices of all hearings should be served on the accused or communicated to him unless the first notice says that the enquiry will continue from day to day. In ex parte proceedings, the entire gamut of the enquiry has to be gone through. The notices to witnesses should be sent, the documentary evidences should be produced and marked, the Presenting Officer should examine the prosecution witnesses and the enquiring authority may put such questions to the witnesses as it think to be fit. The enquiring authority should record the reasons why he is proceeding ex parte and what steps he had taken to ask the accused official to take part in the enquiry and avail of all the opportunities available under the provisions of Rule 14 of the CCS (CCA) Rules. In such a case, the details of what has transpired in his absence, including depositions, should be furnished to the accused officer. During the course of enquiry, the accused is free to put in appearance and participate in the enquiry. If the accused appears in the enquiry when some business has already been transacted, it is not necessary to transact the same business again unless the accused official is able to give justification to the satisfaction of the Enquiry Officer for not participating in the enquiry earlier. The competent authority may, thereafter, proceed to pass the final orders dismissing or removing the official from service after following the prescribed procedure.

1. The procedure outlined above can be observed in the case of a Government servant whether permanent or temporary remaining absent without authority etc. Such a government servant should not be placed under suspension but when an official who is under suspension

2. disappears and cannot be contacted at his last known address, the suspension orders should be lifted and the proceedings in the manner stated above initiated for his removal in absentia.
3. In the case of a temporary govt. servant remaining absent in excess of the limits laid down in the Rule 32 (2) (a) of the CCS (Leave) Rules. 1972, disciplinary proceedings under Rule 14 of CCS (CCA) Rules should be initiated and the case processed in the usual manner.

Avoiding of transfers

66. As far as possible, after the irregularities on the part of an official have been detected and disciplinary proceedings against him are contemplated he should not be transferred out of the jurisdiction of the disciplinary authority who is to conduct the departmental proceedings even though it may sometimes be found desirable to transfer the official to an outstation within the jurisdiction of the same disciplinary authority. If an official in the selection grade in a different division is also considered to be responsible for lapses etc. which would justify departmental action, the question of his transfer to the division where the fraud or loss has occurred and where all the records etc. would be available for inspection, should be examined and where necessary, the circle office addressed for necessary action.

Action against supervisory officers

1. The laxity on the part of the supervisory officials should be viewed as seriously as the negligence on the part of the operative staff. Sometimes, the laxity on the part of the supervisory officials may have to be viewed more seriously as there may be extenuating circumstances like the pressure of crowd waiting at the counter, insufficiency of light etc. in the case of an operative staff. A supervisory official who works in the comparative seclusion of the inner sanctuary of an office cannot complain of such difficulties. The failure on the part of supervisory official to go round the office and exercise a personal watch over the operative staff should also be given due consideration in cases of frauds etc.

2. In a case of loss caused to the Government, disciplinary proceedings need not be kept pending on the ground that the exact amount of loss caused to Government after taking into account the payments made and recoveries effected as a result of imposition of fines etc. on the principal offender is not generally available until after conclusion of court proceedings. In such cases, the disciplinary authorities should proceed on the basis of the total amount of fraud or loss. If recoveries from other sources become possible subsequently, the orders of punishment already passed should be reviewed.

Verification of facts

69. It is necessary and desirable that disciplinary authorities before initiating action against employee verify facts from the original records.

Issue of chargesheet in Hindi

1. It should as far as possible be ensured that the delinquent official understands fully the charges he is called upon to explain. Since Hindi has become official language of the Union and use of English language continues, the chargesheet may be served in English or Hindi. It is for the delinquent to get the same translated into some other language for his own benefit.

2. Disciplinary proceedings against an official should be kept pending if he is on leave on medical grounds and it has been so recommended by the authorized medical practitioner. In

such case, the accused officer should also be allowed reasonable time for the submission of his defence.

Inspection of documents

1. An accused officer should make a request for inspection of the relevant documents before the stage of the formal enquiries. Any such request made thereafter can be refused. However, if the accused official makes a request before he files a written statement during the enquiries for inspection of statements of witnesses recorded in the course of a preliminary enquiry conducted by the department or investigations made by police, it should be acceded to provided these witnesses have been examined during the enquiries.

2. Rule 14, of the CCS (CCA) Rules, 1965 does not provide for supply of copies of documents. Therefore, it should not ordinarily be necessary to supply copies of documents to the accused officer. It would be sufficient if an accused official is allowed to inspect the relevant documents. It should not also, normally be necessary to grant permission to the accused officer to take photostat copies of certain documents. However, if the documents of which Photostat copies are sought for, are vitally relevant to the case e.g. where the proof of the charge depends upon the proof of the hand-writing of document, the authenticity of which is disputed, the disciplinary authority should itself consider the question of making a Photostat copies thereof to supply the same to the accused official.

3. The right of access to official records by an accused official for submission of his defence is not unlimited and it is open to the disciplinary authority to deny such access if, in its opinion, such records are not relevant to the case or it is not desirable in the public interest to allow such access. The power to refuse access to official records should, however, be sparingly exercised. In a case where it is decided to refuse access to a particular document, reasons for refusal should be cogent and substantial and should invariably be recorded in writing.

4. Reports submitted to Government or other competent authority including disciplinary authority by an officer appointed to hold a preliminary enquiry, to ascertain facts or by the police after investigations are usually confidential and intended only to satisfy the competent authority whether regular departmental enquiry or any other action is called for. Ordinarily, a reference to what is contained in this report should not be made in the statement of allegations. It is not accordingly necessary to give access to the accused official to these reports.

5. The statements recorded during the preliminary enquiries of such witnesses as are proposed to be examined during the formal enquiries, should be allowed to be inspected by the accused officer. It is not obligatory to allow inspection of statement of other witnesses.

6. Rule 16 of the CCS (CCA) Rules, 1965 does not make it incumbent on the part of the disciplinary authority that it should give the accused official an opportunity to inspect the relevant records provided no formal enquiry is considered necessary by the disciplinary authority. If, however, an accused officer in such a case makes a request for permitting him to inspect the relevant records to enable him to submit his defence, the disciplinary authority may grant the necessary permission.

Entitlement of T.A. and D.A. for attending Departmental enquiry

78. An official on duty or leave or under suspension is entitled to T.A. as for journey on tour, without any allowance for halt on journeys or at the outstation, for the journeys undertaken by him to the station where the official records are made available. The T.A. will be allowed from the headquarters of the Government servant or from any other place where the suspended officer

has been permitted on his own request to reside but not exceeding what would be admissible had the journey been undertaken from the headquarters of the Government servant. The grant of T.A. will be subject to the following conditions:

(i)

the enquiry officer certifies that the official records to be consulted are relevant and essential for the preparation of the defence statement;

(ii)

The competent authority certifies that the original records could not be sent to the headquarters station of the Government servant or the bulk of the documents ruled out the possibility of copies being made out, and sent; and

(iii) the Head of office under whose administrative control the Government servant is, certifies that the journey was performed with his approval.

If the officer is on duty or on leave, the periods spent in transit to and fro and the minimum period of stay required at the place where official records are made available for inspection, should be treated as duty or leave, as the case may be. If he is under suspension, the transit period will be regulated in accordance with the orders passed by the competent authority under F.R.54(1).

Nomination of Assisting Government servant to the delinquent

88. (1) Under Rule 14 (8) of the CCS(CCA) Rules, 1965, a Government servant may take the assistance of any other Government servant to present the case on his behalf. No discretion in this regard vests on the disciplinary authority. However, if for any compelling reasons it is not practicable for the controlling authority of the Assisting Government servant to relieve him without undue delay without serious detriment to the public interest to present the case of the delinquent official he should inform the Enquiry Officer about it with reasons for being communicated to the accused official and the Government servant nominated to assist the accused well in time. In that case the accused official could choose any other Govt. servant to assist him in the presentation of his case before the Enquiry Officer.

NOTE : Even though it is not necessary for the accused official to obtain the permission of any authority for seeking the assistance of any other Government servant, it is necessary for the latter to obtain the permission of his controlling authority to absent himself from office in order to assist the former during the enquiry. To avoid delay in the grant of such permission, the Enquiry Officer should take the initiative in the matter of informing the controlling authority the name and other particulars of the Govt. servant who has been chosen by the accused official to present his case. The Presenting Officer if any should also intimate to the controlling authority of the assisting Govt. servant about the date, time and venue of the enquiry. The Enquiry Officer should in any case ensure that an intimation in this regard has been sent.

(2)

Government have decided that Government servants involved in disciplinary proceedings may also take the assistance of retired Government servants subject to the following conditions :

(i)

The retired Government servant concerned should have retired from service under the Central Government.

(ii)

If the retired Government servant is also a legal practitioner, the restriction on engaging a legal practitioner by a delinquent Government servant to present the case on his behalf, contained in Rule 14(8) of the CCS (CCA) Rules, 1965 would apply.

(iii)For the purpose of T.A. and other expenses, the retired Government servant concerned will be deemed to belong to the grade of Government servant to which he belonged immediately before his retirement. The expenditure on account of traveling and other expenses will be borne by the Department or office to which the delinquent Government servant belongs.

Production of documents

89. In a disciplinary case, 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 misbehaviour together with a list of documents by which and a list of witnesses by whom, the articles of charges are proposed to be sustained;

(b)

a copy of the written statement of defence, if any, submitted by the Government servant. If any such 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 the CCS (CCA) Rules, 1965;

(d)

evidence proving the delivery of the documents referred to in sub-rule 3 ibid to the Government servant;

(e)

a copy of the order appointing the Presenting Officer and also a copy of the Memo, intimating that the Government servant will take the assistance of a particular Government servant for presenting his case.

90. With a view to avoiding the possibility of tampering with a document required for inspection by an accused officer, the following precautions should be taken :-

(i)

the accused officer should be allowed inspection of records/ documents etc. only in the presence of a responsible officer; and

(ii)

the Enquiry Officer should take sufficient precautions to ensure that the records/documents and other papers are not tampered with while the documents are under his custody or during the course of actual enquiry. For this purpose, he should not leave the enquiry room during the course of the enquiry and if at all he has to leave for sometime, he should make appropriate arrangements for the safe custody of the documents/ records.

Appearing of Govt. servants as witnesses

91. (a) A Government servant cannot refuse to appear as a witness in any enquiry against another Government servant or against an employee of a Municipal Committee or other local bodies. In case he fails to do so, it can be construed as a sufficient reason for initiating disciplinary proceedings against him.

91. (b) The Govt. of India enacted the Department Enquiries (Enforcement of Attendance of Witness and Production of Documents) Act, 1972 (reproduced as annexure XV) to enable the enquiry authority to:-

(i)

summon and enforce the attendance of any witness and examine him on oath;

(ii)

required the discovery and production of any document or other material which is producible as evidence;

(iii) requisition any public record from any court of office.

This power can be exercised by the enquiring authority only when an allegation of lack of integrity is being enquired into against a Government servant provided the enquiring authority is authorized to exercise this power by the Central Govt. or by any other authority to whom this power has been delegated. The competent authority will be required to issue a notification in the Gazette of India in the form prescribed for this purpose. Every process issued by an authorized enquiring authority for the attendance of any witness or for the production of any document shall be served and executed through the District Judge within the local limits of whose jurisdiction the witness or other person, on whom the process is to be served or executed, voluntarily resides or carries on business or personally works for gain, and for the purpose of taking any action for the disobedience of any such process, every such process shall be deemed to be a process issued by the District Judge. The form prescribed for the issue of a notification authorizing the enquiring authority in this regard is reproduced in Appendix XVI and the form prescribed for the summons to witness is reproduced as Appendix XVII. The form for making a request to the District Judge for serving of the summons on a witness is reproduced as Appendix XVIII.

91. (c) The authorities named below have been authorized to exercise the powers conferred on the Central Government by Sub-Section (1) of Section (4) of the Departmental Enquiries (Enforcement of Attendance of Witness and Production of Documents) Act, 1972 in relating to the Government servant in General Central Service Grade “C” or Grade “D” against whom a departmental enquiry may be held, and working under the concerned authority.

1. Secretary, Postal Board.

2. Postmaster General

3. Director, Postal Life Insurance.

91. (d) The enquiring authority should note that as provided in the Code of Civil Procedure, every summon issued by it shall

(a)

be in duplicate

(b)

be signed by the officer constituting such authority

(c)

be sealed with the seal of such officer or bear a stamp bearing his name and designation

(d)

specify the date on, and the time and place at which the specified person summoned is required to attend and also whether his attendance is required for the purpose of giving evidence or to discover and produce a document or material, or for both the purposes, and

(e)

be endorsed and signed by such authority by post to the District Judge within the local limit of whose jurisdiction the specified person, on whom such summons are to be serviced, actually and voluntarily resides or carries on business or personally works for gain for service. To enable the District Judge to take cognizance of the summons, a copy of notification issued under Section 4 of the act authorizing the inquiring authority to exercise the powers specified in Section 5 of the Act may also be enclosed.

91.(e) The attendance of witness, and production of documents before a departmental enquiry will continue to be secured in the usual manner. Where, in the case of a departmental enquiry, the inquiring authority is satisfied that it is necessary to summon a person as a witness or to call for a document from him and that the attendance of such a person as a witness or production of such document may not otherwise be secured, it may, after recording the reasons for doing so, make a reference to the competent authority, to, where there is no competent authority, to the Postal Board seeking authorization under Section 4 of the Departmental Enquiries (Enforcement of Attendance of Witness & Production of Documents) Act, 1972 to exercise the power specified in Section 5 in relation to such person. The power to authorize an enquiring authority to exercise the power specified in Section 5 of the Act ibid may be exercised by the Central Government/the competent authority suo moto also if it is of the “opinion that for the purposes of any departmental enquiry it is necessary so to do”.

92. Statement of witnesses recorded during the departmental enquiries, should normally be got signed by the witnesses concerned, the accused officer and the Enquiry Officer so that the validity of the documents is not questioned by any one at a later date.

Supply of Copies of statement of witnesses to accused

1. Copies of oral statement of witness recorded by the Enquiry Officer should normally be supplied to the delinquent officer before calling him to make his own statement if a specific request to this effect is made by the delinquent officer before recording of oral statement starts.

2. In an accused officer fails to turn up at the enquiry or refused to participate in the enquiry, a copy of the various pieces of oral or documentary evidence let in during the enquiry should be supplied to the accused officer along with the show cause notice.

Entitlement of TA to witnesses

95. (a) Every person whether he is a Central or State Govt. servant or not, who is called to give evidence in departmental enquiry by either the Government or the Government servant against whom the enquiry is being held, shall be entitled to payment of traveling and other expenses as in Appendix XII.

95.(b) The Government servant who is chosen by an accused official to present his case during the enquiry is entitled to T.A. in accordance with the Govt. of India’s instructions below SR 190 for journeys in connection with the enquiry for the purpose of inspection of documents also.

Procedure for consultation of Govt. Examiner of questioned documents

1. The procedure to be followed for obtaining the opinion of the Government Examiner of Questioned Documents is laid in the rules reproduced in Appendix XIII.

2. Deleted

3. Deleted

Communication of punishment order

99. Ordinary, the officer who has recorded his findings in a disciplinary case should, as far as possible, communicate the orders under his own signature. In exceptional cases in which this has not been possible, the successor has to communicate the decision as taken by his predecessor without modification or alteration in any manner.

Imposition of minor penalties after enquiry

1. Proceedings initiated under Rule 14 of Central Civil Services (Classification, Control and Appeal) Rules, 1965, cannot be closed by imposing one of the minor penalties after the consideration of the defence submitted by the accused officer. It is obligatory to hold a formal enquiry before coming to a decision about the quantum of penalty.

2. For considering the gravity of the lapses on the part of an officer, it is desirable that punishing authorities take into account extenuating circumstances such as shortage of forms, bags, staff, accommodation etc.

Date of effect of penalty

102. The penalty of withholding of increment takes effect from the date of increment accruing to the officer after the issue of the punishment orders. It cannot affect the increment which was due prior to the issue of the punishment orders even though it may not have actually been drawn due to the officer being on leave or other administrative reasons.

Reduction to the lower post or grade

1. Under the provisions of the Central Civil Services (Classification, Control and Appeal) Rules, 1965, there is no objection to an officer being reduced as a measure of penalty to a post lower than that in which he was initially recruited. However, in doing so, the disciplinary authority should examine whether the reduction will have such an adverse effect as might make it impossible for the punished officer to perform his duties with any degree of efficiency.

2. An order imposing the penalty of reduction to a lower service, grade or post or to a lower time scale should invariably specify :-

(i) The period of reduction, unless the clear intention is that the reduction should be permanent or for an indefinite period. In such a case, the order should be passed in the following manner :-

“A is reduced to the lower post/grade/ service of X until until he is found fit by the competent authority to be restored to the higher post/grade/ service of Y”.

OR

“A is reduced to the lower post/grade/ service of X until he is found fit, after a period of ___ years from the date of this orders, to be restored to the higher post of Y”.

(ii) whether the period of reduction is specified, whether, on expiry of the period the Government servant is to be promoted automatically to the post from which he was reduced; and

(iii) whether on such promotion, a Government servant will regain his original seniority in the higher service, grade or post or higher time scale which had been assigned to him prior to the imposition of the penalty.

In cases where the reduction is for a specified period and is not to operate to postpone future increment, the seniority of the Government servant on re-promotion may, unless terms of the orders of punishment provide otherwise, be fixed at what it would have been but for his reduction. Where, however, the reduction is for specified period and is to operate to postpone future increment, the seniority of the Government servant on re-promotion may, unless the terms of the order of punishment provide otherwise, be fixed by giving credit for the period of service, rendered by him in the higher service, grade or post or higher time scale. In cases where the order of punishment does not specifically mention the points referred to in the previous paragraph, the Government servant on whom the penalty of reduction for a specified period is imposed, will on completion of such period, be promoted automatically and his seniority determined in the following manner:-

(a)

if the period of reduction is to operate to postpone future increment, the seniority of the Government servant should be determined, on re-promotion, by giving credit for the period of service rendered by him in the higher grade etc. prior to his reduction;

(b)

if the period of reduction does not operate to postpone future increments, the Government servant, on re-promotion, will regain his seniority as it existed before his reduction.

105. While imposing the penalty of reduction to a lower stage in a time scale, the disciplinary authority should invariably specify that stage in terms of rupees to which the Government servant is reduced so that there may not be any controversy about his entitlement to increment during the period recution.

The penalty of reduction to the lower stage in the time scale cannot be ordered as a permanent measure. It is obligatory to indicate the specified period for which the penalty should remain operative and also whether on restoration, the penalty will have cumulative effect on future increments as required under F.R.29.

Imposition of the penalty of recovery

1. In the case of proceedings relating to recovery of pecuniary losses caused to the Government by negligence, or breach of orders of a Government servant, the penalty of recovery can be imposed only when it is established that the Government servant was responsible for a

2. particular act or acts of negligence or breach of orders or rules and that negligence or breach caused the loss.
1. In a case of loss caused to the Government, the competent disciplinary authority should correctly assess in a realistic manner the contributory negligence on the part of an officer and while determining any omission or lapses on the part of an officer, the bearing of such lapses on the loss considered and the extenuating circumstances in which the duties were performed by the officer shall be given due weight.

2. The maximum amount which may be recovered from a delinquent officer on account of the loss caused to the Department through his negligence should be 1/3^rd of his pay should be taken into account. In addition to the penalty of recovery, technically there is o bar to impose any other statutory penalty if the circumstances of the case justify it. The punishing authority should, however, bear in mind that when more than one penalty is imposed, one of which is recovery of pay of the whole or a part of the loss caused to Government, the net cumulative effect on the Government servant should not be of such severity so as to make impossible for him to bear the strain.

3. In the case of recovery of loss imposed on a Government servant as a measure of penalty, the recovery from pay should be effected in the normal course. If during the course of recovery, the official retires from service and a balance is still outstanding for recovery, the amount so outstanding cannot be adjusted against the gratuity without following the procedure laid down in Art. 351-A C.S.Rs. In case where a Government servant is due to retire shortly and the amount of loss caused by a Government servant cannot be recovered in full because of his impending retirement, the final punishment order should not be passed and the case referred to the Dte. for initiation of action under Article 351-A of C.S.Rs. along with the recorded of disciplinary proceedings.

4. Recovery of part or the whole of a loss caused to the Government ordered from the pension of a Government servant should not ordinarily be made at a rate exceeding 1/3^rd of the gross pension ordinarily sanctioned including any amount which may have been commuted.

5. The amount of recovery of loss ordered as 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 Government is less than that originally calculated. If, however, the loss is subsequently found to be nil, the case has to be reviewed by the competent authority for imposing an appropriate penalty. That authority will not, however, be competent to impose a penalty higher than that of recovery.

Punishment on conviction

112.Punishment orders can be straight away passed by the competent disciplinary authority on the basis of conviction of an official on a criminal charge while in service. In case the official had been convicted before he joined Government service, it would be necessary to afford him adequate opportunity of defence.

113.A conviction under section 39(e) of the Army Act, 1950 should be treated as a conviction on a criminal charge for the purpose of action under Rule 19 of the Central Civil Service (Classification, Control and Appeal) Rules, 1965.

114.Binding down of Government servant for good behaviour under Section 110 or taking security under Section 107 of the Criminal Procedure Code does not amount to conviction on a criminal charge for the purpose of Rule 19(i) of the Central Civil Service (Classification, Control and Appeal) Rules, 1965.

115.An official convicted on a criminal charge but released under the Probation of Offender’s Act, 1958 can be punished under Rules 19(i) of the CCS (CCA) Rules, 1965.

116.On a case where a Government servant has been convicted in a court of law for an offence which is such as to render his further retention in public service prima-facie undesirable, action to dismiss, remove or compulsorily retire him from service shall not pend before the period for filing an appeal has elapsed, or, if an appeal has been filed, before the appeal has been decided in the first Court of law. In other cases also, i.e. where these extreme penalties are not warranted, the disciplinary authority shall issue the punishment order immediately on receipt of a copy of the judgement. Accordingly, if the UPSC is required to be consulted in regard to the quantum of penalty to be imposed on a government servant in such a case, the advice should be sought for immediately.

117.If on appeal, the conviction is set aside and the Government servant is acquitted, the punishment orders based on the conviction which no longer stands become liable to be set aside. As copy of the judgement of the higher Court should be immediately obtained and examined with a view to deciding whether :-

(i)

the acquittal should challenged in a still higher court; or

(ii)

despite the acquittal, the facts and circumstances of the case are such as to call for a departmental enquiry against the government servant on the basis of the allegations on which he was previously convicted.

If it is decided to take the matter still to a higher court, action to institute proper proceeding should be taken with the least possible delay and the punishment order should not be set aside during the pendency of such proceedings. If on the other hand, it is decided that a departmental enquiry should be held, a formal order should be made :-

(a)

setting aside the punishment order; and

(b)

ordering such departmental enquiry.

Such an order should also state that under rule 10(4) of the Central Civil Services (Classification, Control and Appeal) Rules, 1965, the Government servant is deemed to be under suspension with effect from the date of dismissal, removal or compulsory retirement.

In a case where neither of the courses mentioned above is followed, a formal order should be made setting aside the previous order of dismissal or removal or compulsory retirement. The period between the date of dismissal and the date on which he resumed duty should be dealt with under F.R. 54. But in doing so, he should be deemed to be entitled to full pay and allowances from the date of acquittal, and the period counted as duty for all purposes and from the date of dismissal to the date of acquittal, he should not be allowed pay and allowance less than what would have been admissible to him had he been under suspension.

Action on dismissal from Military Service

118. Dismissal from military service of a person holding a lien on a permanent civil post will not automatically constitute dismissal from the civil appointment. On his dismissal from the military service, the officer will stand reverted to his civil department from the date of dismissed and the competent authority should then consider the question of initiating disciplinary proceedings against him. The question whether the officer should not be placed under suspension simultaneously should be considered by that authority.

Dismissal

119. The following general principles should be observed with regard to dismissal of public servants:

(1)

It should be remembered that a distinction exists between the removal or discharge, and the dismissal of a public servant. Removal from office for such a cause as unfitness for the duties of the office need not be usually entail any further consequences. It ought not to bar re-appointment to another office for the duties of which the removed employee may be suited, and it should not be accompanied by any subsidiary orders which would operate as such a bar or otherwise prejudice the employee in question. Removal should be the penalty in all cases where it is not thought necessary to bar future re-employment under Government.

(2)

In cases of dismissal, on the other hand, the effect of the order should ordinarily be to preclude the dismissed employee from being re-employed. As a precaution against the inadvertent re-employment of employees who may have been dismissed, it should be ascertained whether an applicant for a post had been in Government service before, and his previous employer referred to if the circumstances connected with his discharge are not clear. The applicant should be required to produce a copy of his character book or other record of service, and any one who succeeds in obtaining employment by the concealment of his antecedents would obviously merit dismissal on the true facts being discovered.

(3)

The dismissal of public servants should be notified in the Gazette only in the following cases:-

(i)

when it is necessary to notify the public of the removal from service of an officer, whether because his appointment was previously gazetted or from any other cause, and

(ii)

when it is specially desired to exclude from reemployment in the service of Government a public servant who has been dismissed for a heinous offence (such as fraud or falsification of accounts). Ordinary cases of dismissal of non-gazetted employees need not be notified in the Government gazette but should be notified in departmental circulars.

(4)

The reason for the dismissal of a public servant should not be stated in the notification regarding his dismissal even in cases in which a conviction has been obtained in a criminal Court. It will be sufficient to announce in the case of any employee, whose removal has to be notified in accordance with the principal laid down in clause (3), that the Government has dispensed with his services, except in those cases in which the cause of dismissal constitutes a disqualification under the terms of the Law regulating the tenure of a particular appointment, and it is for this reason necessary to couple with the announcement of the dismissal a statement of the grounds upon which it has been ordered.

Removal on Reduction of Establishment

121.Great care should be exercised with regard to removing an employee from the service of Government on the ground that his appointment is abolished on reduction of establishment. No Government servant should be discharged for such a reason until the reduction of establishment entailing the abolition of his post has been finally determined and has been actually ordered by a competent Authority. The fact that prospective changes are under consideration, and likely to be adopted, which will involve a reduction of establishment, should not be used to justify the removal of an employee from his appointment.

Appeal and Review

122. An appeal is one which is preferred to the appropriate appellate authority against any order of the type specified in Rule 23 of the CCS (CCA) Rules, 1965, reproduced as Schedule 1-A of this Manual. No appeal shall be entertained unless it is submitted with a period of 45 days from the date on which a copy of the orders appealed against is delivered to the appellant :

Provided that the appellate authority may entertain an appeal after the expiry of the said period if it is satisfied that the appellant had sufficient cause for not preferring the appeal in time.

Note : An authority which made the order appealed against can withhold an appeal not submitted within the prescribed limit if no cause is shown for the delay. If, however, some cause is shown for the delay, it cannot withhold the appeal only on the ground of delay and has to forward it to the appellate authority, as the discretion of being satisfied with the grounds for non-submission of appeal in time and entertaining the belated appeal vests in the appellate authority only.

122-A. An appeal of an official should as far as possible be self-contained but it is not obligatory nor is it necessary that copies of all the relevant documents should be supplied by the appellant. Under the provisions of Rule 26 of the Central Civil Services (Classification, Control and Appeal) Rules, 1965, the appellant shall present the appeal to the appellate authority, a copy being provided to the punishing authority who will send all the relevant documents in original along with the appeal to the appellate authority. Along with these original documents the following documents should also be forwarded to the appellate authority :

(a)

Confidential records and service book of the appellant;

(b)

If the appeal or any of the documents accompanying it is in any regional language, an English translation of the document should be appended.

122-B. (1) Any appeal or a copy thereof which is sent direct to the Director-General or to any subordinate authority, instead of through the proper channel will be filed, no notice of any kind being taken of it.

(2) In one class of case only can be exception be made to this rule. It occasionally happens that an aggrieved official complaints that he can get no reply at all to an appeal submitted in the proper manner. In such a case a remainder should be sent to the proper authority. If no reply is still forthcoming, after a reasonable time has been allowed for it, this fact may be reported direct to a higher authority, a copy being sent invariably through the official channel. If such a case as this comes to the notice of the Director-General or the Head of a Circle, or any other authority directly subordinate to the Director-General, his attention will be directed to the alleged failure of the proper authority to deal with the case and to ensuring that regular system is worked properly rather than to the merits of the case itself.

1. An appeal preferred by an official can be withdrawn by him before it is actually disposed of by the appellate authority. In the event of withdrawal of the appeal, the appellate authority will not be debarred from reviewing the disciplinary case under its review powers.

2. Under its review powers, the appellate authority is competent to review a disciplinary case only after the specified period for submission of an appeal is over but within the prescribed time limit.

3. The appellate authority either on review or in consideration of an appeal can enhance the penalty imposed on an officer but a fresh show-cause-notice should be served on the accused officer before passing such an order.

De-novo proceedings

1. When on appeal, the appellate authority sets aside the punishment orders and remits the case for de-novo trial, the original proceedings containing the chargesheet are to be deemed to be quashed unless the stage from which the re-trial should be conducted is specified in the order. It would be opened to the disciplinary authority to frame any other charge in addition to or in substitution of the original chargesheet subject to the conduction that it is based on facts of the case as initially disclosed for taking departmental action against the Government servant.

2. The President or the Postal Board is competent to remit a case to the disciplinary authority under Rule 29 of the Central Civil Service (Classification, Control and Appeal) Rules, 1965, for revising the penalty imposed on an employee, if such a revision is necessitated under some peculiar circumstances as for example, in a case where the penalty of recovery is ordered but subsequently it is found that no loss has been sustained by the Department.

3. Consultation with the U.P.S.C. is not necessary when the President sets aside disciplinary proceedings for non-compliance of Article 311 of the Constitution and remands the case back to the appropriate authority for proper disposal in accordance with the rules.

4. An appellate order replaces the punishment order, accordingly, if an appellate order is set aside for procedural defects, the punishment order will also simultaneously stand quashed. In such a case, it should therefore, be necessary to initiate de-novo proceedings against the concerned officer.

Review by disciplinary authority not permissible

1. It is not open to the punishing authority to cancel or revise its own orders. In case the orders require any revision or cancellation, the matter should be reported to the appellate or to the competent reviewing authority. If however, the order is inoperative, e.g. with-holding of increment of an official who was reached the maximum of his scale of pay, it can be revised by the same punishing authority. It would also be within the competence of the punishing authority to cancel punishment orders passed on an official as a result of his conviction in a court of law when the conviction is set aside on appeal by the appellate authority. It cannot, however, itself set aside its own orders even when it discovers any procedural irregularities.

2. The direction of a higher authority to the competent disciplinary authority for placing an official under suspension pending investigation into alleged mis-conduct does not amount to any direction in the matter of initiation or finalization of disciplinary proceedings against that official. Accordingly, such higher authority will not be debarred from acting as an appellate authority if it is the prescribed appellate authority.

Proceedings after retirement

136. Disciplinary proceedings initiated while an officer was in service should be deemed to be proceedings under Art.351-A of C.S.R. after his retirement should be continued and concluded under the provision of that rule. In such a case, the function of the disciplinary authority is only to reach a finding on the charges and to submit a report recording its findings to the Govt. It is then for the Govt. to consider the findings and take a final decision under Article 351-A of

C.S.R. In case Govt. decide to take action under the said rule in the light of the finds of the disciplinary authority, the Govt. will serve the person concerned with a show-cause notice specifying the action proposed to be taken under Article 351-A of C.S.Rs. and the person concerned will be required to submit his reply to the show-cause notice within such time as may be specified by the Govt. The Govt. will consider the reply and consult the Union Public Service Commission. If as a result of such consideration in consultation with the Commission, it is decided to pass an order under Article 351-A of CSRs., necessary orders will be issued in the name of the President. This procedure will also apply to a case where the President functions as the Disciplinary Authority.

137. Disciplinary proceedings can be initiated against a retired officer in the manner provided in Art.351-A of C.S.R. for the purpose of withholding or withdrawing a pension or any part of it either permanently or for a specified period and also for ordering recovery from pension and or

D.C.R. gratuity of the whole or a part of any pecuniary loss sustained by the Government on account of the negligence of the retired officer. Such orders can also be passed under that rule and in the manner provided therein, if the pensioner is found guilty of grave mis-conduct or negligence during the period of his service, including service rendered upon re-employment after retirement. The standard forms prescribed are reproduced as Appendix XI-A & XI-B.

138. Whether any departmental or judicial proceedings is initiated under Art.351-A C.S.R. or where a departmental proceeding is continued under that rule, the retired officer should be granted a provisional pension in accordance with the provision of Art.351-B, C.S.R.

Filling up of post rendered vacant by punishment of the incumbent.

139.Under the provisions of the administrative instructions below FR.29-A, a permanent post vacated by a Government servant reduced to a lower service grade or post or to a lower time scale, should not be filled substantively, until the expiry of a period of one year from the date of such reduction. Where on the expiry of the period of one year, the permanent post is filled and the original incumbent of the post is reinstated thereafter, he should be accommodated against any post which may be substantively vacant in the grade to which his previous substantive post belonged. If there is no such vacant post, he should be accommodated against a supernumerary post which should be created in this grade with proper sanction and with the stipulation that it would be terminated on the occurrence of the first substantive vacancy in that grade.

140.Whenever necessary, a supernumerary post can be created in the lower service/grade/time-scale etc. to provide a lien to a Government servant who has been reduced by the competent authority, in case of non-availability of a permanent post in that service/grade/time-scale etc. The higher post vacated by him should not, however, be filled substantively or otherwise, so long as it is necessary to provide the reduced officer with a lien on a supernumerary post in the lower service/grade/time-scale etc.

141.Absence of an employee from duty for more than 5 years at a stretch having been restrained from performing his duties under Government orders, as for example, in a case of removal or dismissal should not be treated as absence for the purpose of F.R. 68.

142.An appropriation of undisbursed pay or leave salary in respect of an official dismissed, removed or compulsorily retired from service for adjustment against departmental losses without observing the usual formalities for imposing the penalty of recovery is not admissible.

143.Extra-ordinary leave without medical certificate availed of by an employee results in postponement of his increment by the period of such leave. If, however, extra-ordinary leave is availed of during the currency of the period of withholding of increment with cumulative effect, it will not result in further postponement of the date of increment by the period of such leave.

144.When the substantive pay of an official whose increment in the higher grade has been withheld as a measure of penalty, is more than the officiating pay, he may be allowed, during the currency of the penalty, his substantive pay as permissible by the note under F.R. 31.

Punishment Register

145.All officers including non-gazetted supervisory officers having disciplinary powers must keep punishment registers in form App. 32 containing particulars of punishments imposed by them and also by other authorities on employees under their respective control. The register should show the names, designations and pay of the employees punished, the nature of their offences, and the penalties imposed, as for example, dismissal, reduction to a lower post etc. the punishment against each employee should be entered together, one after another when more than one punishment is imposed on each employee.

146.(1) Particulars of all suspension should be entered in the punishment register separately from the entries of punishments under a manuscript heading “Suspension”, the date of suspension being shown in the column headed “Punishment awarded”. All pending cases of suspension should be re-entered in red ink and the new cases occurring in any month entered next in black ink. As soon as a case is disposed of, the manner of disposal should be shown against the entry for that month and in the succeeding month it should be omitted.

(2)Warning is not a statutory penalty but since a warning issued as a result of disciplinary proceedings can be reviewed by the appellate authority, it should also be included in the punishment register.

(3)A copy of the register in form App. 32(a) showing particulars of the punishments inflicted in the previous month and all pending cases of suspension should be forwarded on the 10^th of each month to the immediate superior authority or to the appropriate appellate authority, if it is not the immediate superior authority or to the appropriate appellate authority, if it is not the immediate superior authority. In the latter case, a copy of the punishment register should also be sent to the immediate superior authority for information.

(4)The appellate authority to whom the punishment register is sent should, on receipt, review it without delay and if it considers that the original order of the appropriate punishing authority requires revision either on the score of severity of the reverse or for any other reason, it should immediately initiate action under Rule 29 of the CCS (CCA ) Rules, 1965. In case, however, more than six months have elapsed from the date of the order to be reviewed, the question of recommending a review by the P&T Board should be taken up through the respective Heads of Circles and Administrative Offices.

147.Postmasters or other officers who are responsible for ensuring the implementation of punishment orders relating to withholding of increment, reduction of pay etc. issued by the Divisional Officer/Circle Office should be required to send an acknowledgement on receipt of the punishment orders to the Divisional Officer/Circle Office. They should also be required to confirm that appropriate entries have been made regarding the punishment in the relevant records and registers.

148.A government servant who undertakes journeys during suspension for appearing in the Court of Law as accused person and is later acquitted by the court and re-instated in service or would have been re-instated in service but for death or he having attained the age of compulsory retirement or being allowed to retire voluntarily, the traveling expenses incurred by him in connection with such journeys may be reimbursed provided the legal expenses incurred by him in defending such proceedings are reimbursed to him in full or in part under Art. 32 (3) (d) of the Constitution.

Forwarding of Petitions to Directorate

149. All connected records of disciplinary and appellate proceedings in original along with CR file, service book and copies of judgement etc. should be sent to the Directorate while forwarding petitions against major penalties to the Directorate. The following information should also be furnished in such cases :

(i)

Designation of the authority which actually appointed the official concerned;

(ii)

status of that authority along with scale of pay of the post which he held.

1. Petitions in respect of disciplinary matters addressed to the Government viz. to Secretary, Deputy Minister, Minister of Prime Minister as distinct from those addressed to the President need not be entertained and may be withheld by the lower authorities. Petitions addressed to the President should be forwarded to the Directorate and cannot be withheld by any lower authority.

2. Rule 35 of the Central Civil Service (Classification, Control & Appeal) Rules, 1965 lays down that if any doubt arises regarding the interpretation of any provision of these rules, the matter should be referred to the Directorate for a ruling. This rule is not, however, permit an employee to seek clarification and interpretation of these rules from the President.

3. No employee of the Department is authorized to leave his station of posting without the specific permission of his immediate superior.

1. During his term of duty, no employee may leave his duty or office without permission of his immediate superior.

2. Note : Heads of offices may where possible grant permission to the Muslim employees who observe a fast during the month of Ramzan to leave office at 4 P.M. by altering as far as can conveniently be done, their hours of duty in administrative offices as well as in post, telegraph and R.M.S. Offices.
4. The records of disciplinary and appellate proceedings should be retained for a period of 25 years.

5. The forms provided for use at different stages of disciplinary cases are reproduced as Appendix at the end of this Chapter.

Promotion or confirmation during suspension or during pendency of enquiries

156. (1) An officer under suspension or whose conduct is under investigation should not be considered for promotion in short term vacancies till the termination of suspension or conclusion of the disciplinary proceedings.

(2)If an officer within the zone of selection for promotion to the higher grade or of confirmation is under suspension or if his conduct is under investigation, his suitability for promotion or confirmation should be assessed at the relevant time by the Departmental Promotion Committee or other authority as the case may be, and the findings reached whether, if the officer had not been under suspension or his conduct had not been under investigation, he would have been recommended/selected for promotion or confirmation. Where a select list is prepared, his position in the select list should also be recorded. The findings in this connection should be kept in a sealed envelope superscribed “findings regarding merit and suitability for promotion/confirmation in service/grade/post in respect of Shri ________________”, and “not to be opened till after the termination of the suspension of/disciplinary proceedings against Shri ________________”. The proceedings of the Committee etc. need only contain the note “the findings are contained in the attached envelope”. The authority competent to fill the vacancy should be separately advised (i) to fill the vacancy only in an officiating capacity, where the findings as to the suitability of the officer are for his promotion; and (ii) to reserve a permanent vacancy, where such findings are for his confirmation.

(3)The vacancy that could have gone to the officer but for his suspension or the departmental proceedings against him should be filled only on an officiating basis by the next person in the approved list. If the officer concerned is completely exonerated and it is held that the suspension was wholly unjustified, he should be promoted thereafter to the post filled on an officiating basis, the arrangement made previously being reversed. Where, however, the post which could have gone to the officer but for his suspension or the departmental proceedings against him ceased to exist before conclusion of the departmental proceedings, he can be promoted only to the first vacancy that may arise in future and if the officer concerned is found fit for promotion at that time.

(4)On such promotion, the seniority of the officer should be fixed in accordance with his position in the select list.

(5)On promotion the pay of such a government servant should be fixed by allowing the intervening period during which the suspended officer could not be promoted due to his suspension or due to the pendency of disciplinary proceedings to be counted for increments in the higher grade but no arrears should be admissible.

(6)Where a minimum limit is prescribed for promotion to the next higher grade, the period during which any officer junior to the suspended officer concerned was promoted to the higher grade should be reckoned towards the minimum period of service referred to above for the purpose of determining his eligibility for promotion to the higher grade.

If the officer concerned is not completely exonerated in the disciplinary proceedings, or if the suspension is not found to be wholly unjustified, his case should be reviewed by the Departmental Promotion Committee etc. for deciding his suitability for promotion or confirmation taking into consideration the orders passed in the disciplinary case.

Promotion of an officer whose increments have been withheld or who has been reduced to a lower stage in time scale.

157.An officer whose increments have been withheld or who has been reduced to a lower stage in the time scale, cannot, on that account, be considered to be ineligible for promotion to a higher grade, as the specific penalty of withholding of promotion has not been imposed on him. The suitability of such an officer for promotion should, therefore, be assessed by the competent authority as and when occasions arise for such assessment. On assessing his suitability, the competent authority will take into account the circumstances leading to the imposition of the penalty and decide whether, in the light of the general service record of the officer and the fact of imposition of the penalty, he should be considered as suitable for promotion. Even where the competent authority may consider, that, in spite of the penalty, the officer is suitable for promotion, effect should not be given to such a finding and the officer should not be promoted during the currency of the penalty.

A person who has been punished with stoppage of increment should not be considered for local promotion during the currency of the punishment which will include the period from the date of passing the order to the date on which his next increment which is to be postponed falls due.

A person whose pay has been reduced to a lower stage should not be considered for promotion till the expiry of the period of punishment.

Resignation

158 (1). When a Government servant tenders resignation, the appointing authority in respect of the service or post in question is the authority competent to accept the resignation. The general rule is that resignation from service should be accepted, except in the circumstances indicated below:-

(a)

Where the officer concerned is engaged on work of importance and it would take time to make alternative arrangements for filling the post, the resignation should not be accepted straightaway but only when alternative arrangements for filling the post have been made.

(b)

When a Government servant who is under suspension, or whose conduct is under investigation, or against whom there are departmental claims, submits his resignation, the competent authority should examine, with reference to the merits of the disciplinary case pending against the Government servant, whether it would be in the public interest to accept the resignation. Normally resignations from such officers should not be accepted. Exceptions to this rule would be where there are no departmental claims and the alleged offence does not involve moral turpitude or the quantum of evidence against the accused officer is not strong enough to justify the assumption that if the departmental proceedings were continued, the officer would be removed or dismissed from service, or where the departmental proceedings are likely to be so protracted that it would be cheaper to the public exchequer to accept the resignation.

(2)The competent authority should decide the date with effect from which the resignation should become effective. In cases covered by (1)(a) above, the date should be that with effect form which alternative arrangements can be made for filling the post. Where an officer is on leave, the competent authority should accept the resignation with effect from the earliest possible date, after taking necessary action under rules, and cancel the unexpired portion of leave, if any.

159.An authority receiving an application from an employee asking for permission to resign should at once adjust all departmental claims outstanding against the applicant, and his resignation should not be accepted until his accounts fully adjusted. Pending acceptance of his resignation the applicant should be employed on such duty as he can perform without any charge of public property, payments to him from a treasury or a post office, if any, being stopped at the same time. On the accounts being fully adjusted, the competent authority will intimate the acceptance of the resignation and the date from which the resignation should become effective.

160.Any official, who having sent in his resignation, quits his post before receiving intimation of acceptance will be dealt with in accordance with the provisions contained in Rule 65 and legal proceedings will be taken against him by the Head of the Office or the Circle, as the case may be, in which he was last serving, if the Department has legal claims exceeding his undisbursed pay or allowances. Resignation from an employee, who is on leave and who fails to completely adjust his accounts should not be accepted and in case he quit his post on the expiry of his leave originally granted, action should be taken against him in accordance with the provisions of Rule

65.

161.A resignation becomes effective when it is accepted and the officer is relieved of his duties. Where a resignation has not become effective and the officer wishes to withdraw it, it is open to the authority which accepted the resignation whether to permit the officer to withdraw the resignation or to refuse the request for such withdrawal. Where, however, a resignation has become effective and the officer is no longer in Government service, the request for withdrawal of resignation should not be accepted, except with the sanction of the government of India.

162.Permission to avail of casual or/other leave should be taken in advance unless there are compelling reasons of medical or other urgent nature. An applicant for leave is not allowed to avail himself of it or to quit his office or his station until the leave is sanctioned and he has formally made over charge to the officer appointed to relieve him. In cases where the absence of an official is due to compelling reasons, he should send immediate intimation to the head of his office by the quickest possible means and if the intimation has to be posted, it must be posted the same day. He should also satisfy the head of the office as to the necessity of not taking permission to absent himself from office in advance. In cases of severe illness where leave is required for medical reasons and the official is not able to attend to his duties, he should send the medical certificate in accordance with the procedure laid down in Rule 229 of the S.Rs. of the P&T Compilation of the F.Rs. and S.Rs. along with the first intimation or later on during the course of that day. The medical certificate should also definitely mention that date from which the applicant is unwell and unable to attend to his duties. Failing the production of such a certificate no pay can be granted to the applicant and he will be liable to be granted leave without pay. Owing to the necessity for carrying on the work and injustice to the staff of the office on whom the extra work due to unforeseen absences must fall, it is obligatory on every member of the staff to report his non-attendance at once. In the case of an official on traffic or maintenance duties the report should be made at least prior to the commencement of the term of duty for which he is due and as much earlier as possible.

The Head of an office may permit an official to absent himself in anticipation of the sanction after making such provisional arrangement for the discharge of the applicant’s duties as may be necessary. A report of the case should, where necessary, be immediately forwarded to the officer who is authorized to sanction the leave.

Attachment of pay by Courts of Law

163.Notices of orders attaching the pay and allowances of the officers of the Department specified in column (1) of the schedule given below will be received from Civil courts by the officers specified in Column (2) of the Schedule,

The Schedule

Sl. Officers whose salaries and/ Officers to whom notices shall be sent No. or allowances are attached

1. All gazetted officers. The Pay and Accounts Officer who normally disburses the salary and allowances of the concerned Gazetted Officers.

2. All non-gazetted Officers. The Head of Office in which the non-gazetted Officer is for time being employed.

164.The Head of the Circle or other authority specified in Rule 173 receiving a prohibitory order either direct from the court should in the case of all employees other than the non-gazetted officials employed in his office whose pay is drawn in the Establishment pay bill and in respect of whom he is the disbursing officer, forward one copy of the order to the disbursing officer responsible for the payment of the pay and allowances of the judgement – debtor, with a forwarding letter, which should contain the following details relating to the attachment :

(1)

Name and designation of the official whose salary has been attached;

(2)

Total amount to be recovered;

(3)

Amount of monthly installment;

(4)

Civil suit No., and

(5)

Name of plaintiff.

In the case of a judgement-debtor for whom a confidential record or character sheet is maintained, a copy of this letter should be sent to the supervising officer responsible for the maintenance of his confidential record or character-sheet in order to enable the officer to note the attachment in the confidential record or character-sheet.

The duplicate copy of the prohibitory order duly acknowledged should in each case be returned to the court concerned.

NOTE 1: The expression “disbursing officer” means :

In the case of the non-gazetted officers whose pay is drawn in Establishment pay bills, (a) a Head of the Circle RDPS in respect of the officials employed in his office

(b) a Head Postmaster in respect of officials of the Post office; (c) a head record clerk in respect of officials of the Railway Mail Service,

NOTE 2: Although rule 48 of Order XXI, Civil Procedure Code, imposes an obligation upon the disbursing officer to remit to the court concerned the amount deducted under its prohibitory order from the pay of a Government servant, it does not necessarily follow that the remittance is to be made at Government expense. Accordingly the proper procedure in such a case is to remit to the court the amount realized under the attachment order less the remittance charges. The disbursing officer is not, however, entitled to deduct from the salary any thing in excess of the amount specified in the attachment order. The debtor will receive credit only for the net amount received by the court after the remittance charges have been deducted and not for the whole amount deducted from the pay.

NOTE 3: In the case of an attachment order received against any of the officers mentioned in clauses (a) (b) of Article 249 of the Posts and Telegraphs Initial Account Code, Volume I, the amount of the pay and allowances due to the officer should be drawn by the disbursing officer by means of a cheque drawn on the treasury in his own favour and payment made to the officer concerned in cash after deducting the amount mentioned in the prohibitory order.

165.The Head of the Circle or other specified authority should maintain a register in which all attachment orders received by him should be entered and through which the recoveries should be watched. The register should show, in respect of each order, the name and designation of the judgment-debtor, the name of the court which issued the attachment order and also the following particulars :-

(1)

No. and date of the court’s order.

(2)

No. of suit.

(3)

Name of plaintiff.]

(4)

Amount of attachment order.

(5)

Initials of the Head of the Circle, etc.

(6)

Amount recovered each month.

(7)

Date of recovery.

(8)

Initials of the Head of the Circle, etc.

(9)

No. and date of advice of remittance to court.

(10)

Date of payment to court.

(11)

Initials of the Head of the Circle, etc.

Columns (1) to (5) only should be filled up in respect of attachment orders received against employees other than those non-gazetted officials employed in the office of the Head of the Circle, whose pay is drawn in the Establishment pay bill at the time the attachment orders are forwarded to the disbursing officers concerned, the remaining columns except column 8 (which need not be filled up in such cases) being filled up on receipt of the monthly statements of recoveries referred to in rule 169.

166.On receipt of an order attaching the pay or allowances of an employee, the disbursing officer should enter it in a register through which the recoveries should be watched. The register should show, in respect of each order, the particulars mentioned in the preceding rule except that in place of the initials of the Head of the Circle, those of the disbursing officer should be entered.

167.If the employee whose pay has been attached is employed in a subordinate office or a Rai9lway Mail Service section attached to it, the disbursing officer should at once furnish the sub-postmaster or the record clerk concerned, as the case may be with an extract from the attachment register together with instructions to make the necessary recoveries and to remit the amounts recovered direct to the court concerned until the entire debt is liquidated. He should also instruct the sub-postmaster or record clerk to furnish him every month with the information necessary to fill in particulars in columns (6), (7), (9) and (10) in the register as soon as each recovery has been made, and also with the court’s receipt when received.

168.In the event of an employee, whose pay is under attachment, being transferred to the account jurisdiction of another disbursing officer, an extract from the attachment register showing the balance of the claim remaining unrecovered should be sent at once to the latter officer attached to the last pay certificate of the transferred employee, and an intimation of this action should be sent to the Head of the Circle. The disbursing officer receiving the extract should then make the necessary entries in the attachment register maintained in his office and cause further recoveries to be made regularly until the entire outstanding has been liquidated. If an attachment order against an employee is received after he has been transferred to the account jurisdiction of another disbursing officer, it should be forwarded at once for necessary action to the latter officer, this fact being intimated simultaneously to the Head of the Circle.

169.Every disbursing officer concerned should submit to the Head of the Circle, so as to reach him not later than the 20^th of each month, a monthly statement in form PA.32 showing all recoveries made during the preceding month. On receipt of this statement the particular regarding the recoveries should be entered in the register maintained by the Head of the Circle.

170.Amounts recovered from the pay of judgement-debtors and paid into the courts concerned should not be brought into the accounts, but should only be recorded in acquittance rolls or pay bills in the case of gazetted officers and non-gazetted officers who prepare their own pay bills. Receipts granted by courts for sums paid to them should be carefully filed with the attachment register.

EXCEPTION – If the judgment-debtor does not sign the acquittance roll and willfully allows his pay to remain un-disbursed of if, when the judgment-debtor is a gazetted or quasi-gazetted officer, he does not prepare his pay bill land draw his pay regularly in order to evade payment on account of the attachment order issued by a Court of Law, the disbursing officer or, in the case of gazetted and quasi-gazetted officers, the Head of the Circle will be a liberty to draw the pay of the judgment debtor in satisfaction of the attachment order subject to the restrictions in rule 64 and remit the amount to the court concerned. The amount of the pay drawn should be charged to accounts, the particulars of the attachment order being cited in the acquittance roll or the pay bill, as the case may be, as an authority for the charge and the court’s receipt for the amount should be filed with the attachment register.

171.If an order of attachment against an employee is received before a previous order of attachment against the same employee has been fully complied with, the former order should be returned to the court by which it was issued with a statement showing :-

(1)

Particulars of the existing attachment,

(2)

Particulars of the amounts withheld and paid into the court concerned up to date, and

(3)

Amount remaining unrecovered.

When such action is taken by a disbursing officer, an intimation should be sent to the Head of the Circle.

NOTE 1 : The Head of the Circle is responsible for compliance with attachment orders issued against all employees employed in the Circle and should take steps to ensure such orders being promptly and regularly carried out by the officials concerned.

NOTE 2 : The disbursing officers are personally responsible for the prompt and complete recovery of the amounts of attachment orders. Any amount not recovered by these officials willfully or through neglect will be realized from them if recovery from the judgment-debtor cannot be effected.

172.The extent to which the emoluments of a Government servant are exempt from attachment for debt is laid down in Section 60 (1) of the Code of Civil Procedure, 1908, as amended by the Code of Civil Procedure (Second Amendment) Act, 1937 and further modified by the Government of India (Adaptation of India Laws) Order, 1937 and the Government of India (Adaptation of India Laws) Supplementary Order 1937. The following is an extract of the relevant provision of the Section :

(1)The following property is liable to attachment in execution of a decree.

Provided that the following particulars shall not be liable to such attachment namely :

(i) salary to the extent of the first four hundred rupees and two third the remainder; in execution of any decree other than a decree for maintenance.

Provided that where such salary is the salary of a servant of railway company or local authority, and the whole or any part of the portion of such salary liable to attachment has been under attachment, whether continuously or intermittently for a total period of twenty-four months, such portion shall be exempt from attachment until the expiry of a further period of twelve months and, where such attachment has been made in execution of one and the same decree, shall be finally exempt from attachment in execution of that decree;

(a)

One third of the salary in execution of any decree for maintenance.

(1)

any allowance forming part of the emoluments of any servant of the Government or any servant of a railway company or local authority which the appropriate Government may by notification in the Official Gazette declare to be exempt from attachment, and any subsistence grant or allowance made to any such servant while under suspension;

EXPLANATION 2. – In clause (i), salary means the total monthly emoluments, excluding any allowance declared exempt from attachment under the provisions of clause (1), derived by a person fromk his employment whether on duty or on leave.

EXPLANATION 3. – In clause (1),”appropriate Government” means :-

(i)

as respects any person in the service of Central Government*** the Central Government;

(ii)

as respects any other servant of the Government*** the State Government.

1. The maximum amount attachable by a Civil Court is calculated on the amount earned and not on what remains after satisfying any debts due to Government on account of advances taken under rule.

2. Subscriptions to funds recognized by Government, installments in re-payment of advances from the General Provident Fund and recoveries of income-tax, deductions for which appear in the pay bills should be excluded from the aggregate amount for the purpose of attachment by a Civil Court.

(a)

Rule 34 of the Rules for the Administration of Justice and Police should be followed in the Khasi and Jaintia Hills;

(b)

Rule 62 of the Assam Financial Rules should be followed in the Naga Hills and the Lushai Hills; and

(c)

Rule 6 of the rules for the administration of Chittagong Hill Tracts should be followed in the Chittagong Hill Tracts.

NOTE 5 : The following allowances payable to any public officer in the service of the Central Government shall be exempt from attachment by order for a court namely :-

(1)

All kinds of traveling allowances.

(2)

All kinds of conveyance allowances.

(3)

All allowances granted for meeting the cost of –

(a)

uniforms, and

(b)

rations.

(4)

All allowances granted as compensation for higher cost of living in localities considered by Government to be expensive localities including hill stations.

(5)

All house-rent allowances.

(6)

All allowances granted to provide relief against the increase in the cost of living.

(7)

A foreign allowance or in the case of heads of diplomatic Missions frais de representation assigned to officers serving posts abroad.

(8)

Children’s Education Allowance allowed under the office Memorandum No.10 (1)-EST (Spl)/60 of the Govt. of India in the Ministry of Finance dated

30.6.62 as amended from time to time.

(9)

All amounts paid by way of reimbursement of medical expenses.

173.The procedure prescribed in rules 163 and 164 does not apply to orders issued by Presidency Small Cause Courts and Civil Courts of Indian States attaching the pay or allowances of Government servants. Orders issued by these courts must be complied with by the officers to whom they are addressed, provided that in the case orders from State credits, the officers concerned are within the State.

NOTE : The official concerned should promptly report to the Head of the Circle the receipt of every attachment order issued by Presidency Small Cause Courts and Civil Courts of Indian States, Attachment orders received direct from other courts should be returned at once for transmission through the proper authority.

Confidential record of work and conduct of officers of the Department

174(1). A continuous record of the work and conduct and character of all whole time Government servants of the Department, except those whose pay and allowances are treated as contingent charge will be maintained confidentially in the following forms :-

(b)Non Gazetted Supervisory Staff (including those in Divisional Office/Office of the Head of Circle/Office of RDPs) in the HSG, LSG, Inspector, Asstt. Supdts., JAOs, Accountants, etc. in DO/ RMS. APP-11

(c)Other Non Gazetted staff employed in other offices including Divisional Offices APP-9

Special forms have been prescribed for writing the reports on Medical Officers, Labour Officers and some other categories of officers.

(2)The authorities which are required to write confidential reports in respect of the various categories of officers in the Department and countersign or review them are indicated in Rule Nos.175, 179, and 180 of this Manual. In respect of most of the gazetted cadres, countersigning authorities have been prescribed but in consideration of certain practical difficulties, it has not been found feasible in some cases to prescribe the counter signature of reports in respect of non-gazetted employed in the Divisional and Sub Divisional offices.

(3)The Annual Reports should be recorded within one month of the expiry of the report period and delay in this regard on the part of the reporting officer should be adversely commented upon. If the officer to be reported upon delays submission of self appraisal, this should be adversely commented upon by reporting officer.

(4)Excepting a few categories of officers, confidential reports on most of the officers employed in the Postal Department are to be written for each financial year. In respect of each of these officers, a report should (in the first week of April of each year) be written in the appropriate form by the prescribed reporting officer giving a brief opinion regarding the general work and conduct of the officer concerned. When the reporting officer or the officer to be reported upon, is transferred or deputed elsewhere for a period of more than three months, the reporting officer should write a report indicating the period covered by it. The reporting officer should have at least three months experience of the work and conduct of the officer reported upon before writing or attempting to write an assessment of the work of an officer. A report must, however, be written at the end of the year. If the period of observation happens to be less than three months, this fact only need to indicate in the report. When an officer is transferred, he should to write all the reports before relinquishing the charge. In any case, if this is not possible, the adverse remarks should be communicated only by his successor, provided the report is not required to be submitted to the next higher authority for countersignature. Wherever a separate countersigning authority is prescribed, the report should be submitted to that authority for communicating the adverse remarks.

(4)A confidential report should give full particulars of the official reporting upon such as his designation and the office in which he works. Below the signature of the reporting and countersigning officers, either their names and designations should be written in capital letters or their rubber stamps should be affixed. C.R. files should be maintained in a book form, the reports being placed one after the other in chronological order and pages being serially numbered from top downwards. Relevant entries in the index of a C.R. file should be filled in immediately after a report is written up.

(5)C.R. files should be handled like confidential documents. The officer concerned should ensure that no room is given for complaints about and leakage of information. These files will kept in the personal custody of the officers required to maintain them viz., either the reporting or the countersigning authority, if any, unless some special arrangements have been made for their maintenance centrally with one particular officer. The officer responsible for maintaining the

C.R. files should hand them to his successor in the office when he is transferred. Whenever, it is necessary to send them by post, they must be closed in a confidential cover and registered. Whenever an officer is transferred for more than three months, the file containing the confidential reports on him should be forwarded direct to the officer by whom it has to be maintained.

(6)C.R. file should not contain any extraneous paper other than punishment and appellate orders and letters communicating the adverse remarks.

(7)Merit as reflected in the confidential reports is generally recognized as the main criterion for deciding the cases of promotion to higher grades. It is, therefore, very important both in the interest of efficiency of the service and also of the officers that the reports are written with the greatest possible care so that the work conduct, character, and capabilities of the officers reported upon can be accurately judged from the recorded opinion. Officers recording remarks must realize the importance of these entries as their own competency will be judged partly from the confidential remarks they record about officers working under them. With a view to enabling them to make correct over-all assessment of the work and conduct of their subordinates, the reporting officers are required to maintain memorandum of services in respect of each officer employed under them. All instances of good and bad work coming to the notice of the reporting officer should be promptly noted in the memo. of services. Impression formed by the officer at the time of visits, inspections, interview etc. should also be included in that memorandum. This memorandum should not be reduced to a black book by recording instances of only adverse nature. Instances of good work should also be liberally recorded. The memoranda of service should, invariably, be consulted at the time of writing of annual reports. In case, the reporting officer is not the immediate superior of the officer to be reported upon, the immediate superior should also maintain a memo. of services which should be consulted by the reporting officer at the time of writing the report. The memo. of services in respect of an officer should be a complete and continuous record of his service and accordingly, it should not be destroyed after the annual report has been written. The entries in the memo. of services should be based on facts and documentary evidence. The memo. of services making transfer, promotion or writing special reports. For writing the annual report, only those entries in the memo. which pertain to the year of the report should be taken into account. The entries in the memo. of services need not necessarily be communicated. As the memo. of services is the sole basis for writing the annual reports, the reporting officer at the time of submitting reports to the countersigning authorities, if any, should make a specific mention in the forwarding letters that memoranda of services have been maintained and consulted. With a view to checking up that these memoranda are being properly and regularly maintained, the countersigning authorities may call for them and check them up. The negligence on the part of the reporting officers in this regard should be duly noticed.

(8)Confidential reports should, as a rule, give general appreciation of the character, conduct and qualities of an officer reported upon and a reference to a specific incident should be made, if at all, only by way of illustration to support adverse comments of a general nature, as for example, inefficiency, delay, lack of initiative, judgment etc. specific incidents on the basis of which penalties have been awarded in the course of departmental proceedings must, however, be indicated. An entry relating to a penalty should be recorded in the report for the year in which the punishment order is issued. In this entry, an indication may, however, be given about the period to which the incidents leading to the disciplinary case relate. Warning even though not a statutory penalty should be mentioned in the report is issued as a result of disciplinary proceedings. If the reporting officer feels that although a specific incident is not important enough to call for disciplinary proceedings, it is important enough to be specifically mentioned in the confidential report, he should, before making such an entry, satisfy himself that his own conclusion has been arrived at only after a reasonable opportunity has been given to the official reported upon to present his case relating to that incident. The authority issuing a warning should not normally be one lower than the reporting officer. Further, once investigation are started into specific allegations, the case should not be closed by the issue of a warning without the knowledge of the competent disciplinary authority. Unless so ordered by any higher authority it would be in the discretion of the reporting officer either to record or not to record such a warning.

(9)The general principles which are required to be observed by the reporting offices for writing annual reports are indicated below:

(i)

Remarks like “Doubtful character,” “complaints received about his taking illegal gratification” are not permissible. Entries should be based on established facts and not on mere suspicion.

(ii)

No employee should be adversely affected by prejudicial reports recorded without fullest consideration. At the same time, none should be rewarded by excessively flattering reports which are not based on facts. With a view to checking up such possibilities, the following procedure is prescribed:

(a)

The memo. of services should invariably be consulted at the time of writing the annual report though the report itself should necessarily be based on the employee’s performance during the year as a whole;

(b)

where an adverse remarks is recorded in respect of an official having consistently good record, some details regarding the same should invariably be given;

(c)

the report should give a clear opinion on the main points like character, integrity, industry, etc.

(d)

there should be no hesitation on the part of the reporting officers to record adverse remarks in justified cases;

(e)

reporting officers should not be in a hurry to write all the reports on one day.

(10)

It is the duty of a reporting officer not only to make an objective assessment of the work and qualities of his subordinate but also to give at all times the necessary guidance and assistance to correct his faults and deficiencies. While recording adverse remarks, the reporting officer should indicate the efforts made by him to get those defects removed. He should also provide necessary training wherever possible. The annual report should be based on such watchfulness and periodical inspections. Apart from comments on general qualities, such as integrity, intelligence, industry, conduct, attitude to superiors and subordinates’ relation with fellow employees, work aptitude, etc. of the officer reported upon, the report should also contain a summing up in general terms of his good and bad qualities.

(11)

Apart from the remarks in regard to work and conduct, in appropriate cases, suitable entries may also be made on the following points :

(i)

the fact that an officer has attended an approved course of study or training;

(ii)

the report received from the head of such institution or its substance;

(iii) comments on the quality of the report submitted by an officer on return from deputation or training abroad and whether he has made good use of his period of study or training;

(iv)

outstanding performances in the field of sports, athletics and art;

(v)

suggestions which have been accepted and considered useful for achieving economy and high standard of efficiency in administration;

(vi)

whether there is any physical defect, such as bad eye sight;

(12)

Adverse remarks whether they relate to remediable or irremediable defects should be immediately communicated to the officer concerned by the countersigning authority when one is prescribed and by the reporting officer in other cases. Only such of the adverse entries as are accepted by the countersigning authority, if any, need be communicated. The countersigning authority should, therefore, normally, indicate whether it agrees or disagrees with the remarks of the reporting officer. It should also record additional remarks wherever necessary, if the report is too brief, cryptic or vague. Along with the adverse entry, the substance of the entire report including what may have been stated in praise of the officer should also be communicated. The improvements made in respect of the defects mentioned in the earlier report should also be communicated to the officer in a suitable form. A copy of the letter communicating the adverse remarks duly acknowledged by the official concerned should be kept in the C.R. file and the fact

of communication of the entries should be recorded in the report itself by the authority communicating them.

NOTE 1 : (1) Great attention should be paid to the manner and method of communication of adverse remarks in order to ensure that the advice given and warning or censure administered whether orally or in writing shall, having regard to the temperament of the officer concerned, be most beneficial to him. The memo. forwarding the adverse remarks to the officer reported should be couched in such a language that it does not produce a sense of resentment in the officer reported upon and that it makes it clear to him that the intention of communicating these defects to him is that he should try to improve himself in respect of those defects.

(2)

All adverse remarks in the confidential reports of Govt. servants, both on performance as well as on basic qualities and potentials should be communicated alongwith a mention of good points, within one month of recording. The communication should be in writing and a record to that effect should be kept in the C.R. dosier of the Govt. Servants concerned.

(3)

Remarks about the physical defects of the officers noted in the confidential reports need not be communicated. The grading of officers being done on the basis of the general remarks in the report should not also be communicated, even if it is a adverse.

(4)

Remarks like “Not yet fit” or “Requires more experience for promotion” are adverse and should be communicated.

For obvious reasons these remarks need, however, be recorded in the reports on only those officers who have rendered the prescribed service limit for the purpose of promotion to the higher grade.

(5)

Adverse remarks which are not communicated may normally be ignored. If, however, it is proposed to take them into account, the officer concerned must be given full particulars to explain his position in the first instance.

(6)

While communicating the adverse remarks, the identity of the officer making such remarks should not be disclosed. In an appropriate case, the authority dealing with the representation may, at his discretion, allow the identity to be communicated.

13 (i). Representation against adverse remarks should be made through proper channel within six weeks of the date of communication. However, the competent authority may, in its discretion, entertain representations made beyond this time if there is satisfactory explanation for the delay. All such representations against adverse entries should be decided expeditiously by the competent authority.

(ii) Representation against adverse remarks will lie to the authority immediately superior to the countersigning authority, if any or to the reporting officer. If the immediate superior authority has already reviewed the confidential report in question and has also expressed his view either agreeing or disagreeing with the adverse remarks recorded and accepted by the countersigning authority, the representation should, in that event lie to the next higher authority.

(iii) The following procedure should be adopted in dealing with representations from the employees against the adverse remarks communicated to them :-

(a)

Only representations against adverse remarks (including reference to ‘warning’ or communication of the displeasure of the Government or ‘reprimands’ which are recorded on the confidential report of the govt. Servant) should be allowed within one month of their communication. While communicating the adverse remarks to the govt. Servants concerned, this time limit should be brought to his notice.

(b)

All representations against adverse remarks should be decided expeditiously by the competent authority and in any case, within three months from the date of submission of the representation. Adverse remarks should not be deemed as operative, if any representation filed within the prescribed limit is pending. If no representation is made within the prescribed time, or once this has been finally disposed of there would be no further bar to take notice of the adverse entries.

(c)

representations against adverse remarks should be examined by the competent authority in consultation, if necessary with the reporting officer and countersigning authority, if any;

(d)

if it is found that the remarks were justified and that the representation is frivolous, a note may be made in the confidential report of the petitioner that he did not take the correction in good spirit;

(e)

if the competent authority feels that there is no sufficient ground for interference, the representation should be rejected and the petitioner informed accordingly;

(f)

if, however, it feels that the remarks should be toned down, it should make the necessary entry separately with proper attestation at the appropriate place of the report; the correction should not be made in the earlier entries themselves;

(g)

in the rare event of the competent authority coming to the conclusion that the adverse remarks was inspired by malice or was entirely incorrect or unfounded, and therefore deserves expunction, it should order accordingly. Before, however, taking such an action, it should bring it to the notice of the Head of the Circle or Telephone District or other Administrative Office if it does not occupy that position and obtain his concurrence.

(h)

No memorial or appeal against the rejection of the representation should be allowed six months after such rejection.

(14)

When a representation against adverse remarks is wholly or partially upheld, the particulars of the orders based thereon should be recorded in the report itself. If it is decided to tone down the remarks, the competent authority may make the necessary entries at the appropriate place, of the report under proper attestation, but the past entries should not be corrected. If the remarks are ordered to be expunged, they should be effectively obliterated both in the confidential report as well as in the copy of the letter communicating those remarks. A copy of the order based on such a representation should not be kept in the C.R. File. Where a penalty is set aside on an appeal or review, the copy of the punishment order should be removed from the C.R. File as well as the adverse remarks recorded on the basis of the penalty expunged. In a case where the penalty is modified by the appellate or reviewing authority, the entry in the confidential report originally made on the basis of the penalty awarded should also be immediately modified accordingly.

(15)

Government generally, as a matter of policy, discourage the practice of granting letters of appreciation or notes of commendation to Government servants and placing them in their C.R. Files. Appreciation of work done should more appropriately be recorded in the confidential report rather than in such letters of appreciation which do not vive a complete prospective the employee’s good and bad points. The following procedure is, however, prescribed in this regard :-

(i)

letters of appreciation issued by the Government or a Secretary or Head of the Department in respect of any outstandingly good work done should be kept along with the memo. of the services of the official concerned.

(ii)

letters of appreciation issued by special bodies or commissions or committees or paragraphs of appreciation by name included in their reports, should also be kept with the memo. of services and

(iii) letter of appreciation from an individual non-official or official other than a Secretary or Head of Department may be kept in the C.R. file if it is confined to appreciation of service rendered beyond the normal call of duty and if the head of the Department so directs.

(16)

C.R. file of an employee who is no longer in service should not be given to him. There is, however, no objection to giving him an objective testimonial based on his work and conduct.

(17)

Confidential reports on employees should in no case be forwarded to private bodies. Gist of reports may be supplied to public or semi-autonomous bodies controlled by the Government. In the interest of public service, complete C.R. files also can be shown to them under the orders of the Heads of Departments or the P&T Board in the case of gazetted officers.

(18)

The file containing the confidential reports on an employee should be retained for a period of 5 years after the resignation/discharge or retirement from service. In case of death, it should be retained for a period of 2 years after the death.

175. The officer indicated in Column 2 of the sub-joined table should, in the first week of April of each year, submit for review and counter-signature to the authorities mentioned in Column 3, confidential reports on the work and conduct of the officers of the classes mentioned in column 1 thereof or of any other officers in respect of whom annual reports are specially called for by the Head of the Circle or any other appropriate authority provided they worked under them during the year. (When the authority mentioned in Columns 2-3 is the same; the report is not required to be reviewed and countersigned).

TABLE PERTAINING TO GAZETTED OFFICERS

MAJOR CIRCLES

Director (IFA)

Senior Supdt. of Post Offices Presidency

(13) Supdt. Sorting Senior Supdt. Director Dy. Supdt. P.Os/RMS Senior Supdt. Director Note – The reports will be written on the form used by the Postal/Civil Wing for such reports. Items relating to technical work or abilities of the officers will be obtained from the concerned Executive Engineers and incorporated in the CRs by the Reporting Officers on the basis of entries made by the Executive Engineers in the memo of services of the concerned Assistant Engineers.

MINOR CIRCLES

(1)

Director Postal Services D.G. D.G. 1-A Chief Accounts Officer (IFA) D.P.S. Members (Finance)

(14)

A.Os in Circle Offices. Dy. Director Director

(15)

Medical Officer D.P.S. Member (P) Postal Board

Note – The report of Asstt. Director PLI will be written in consultation with Director PLI in the Directorate. T & D Circle

(3)

Senior Time Scale Officers of Group Director Additional Chief Engineer ‘A’ Services

(4)

Junior Time Scale Officers of Group Divisional Engineer Director ‘A’ Services and Officers of Group Telegraphs ‘B’ Services

Note – The reports will be written on the form used by the Postal Civil Wing for such Items relating to technical work or abilities of the Officer will be obtained from the concerned Executive Engineers and incorporated in the CRs by the Reporting Officers on the basis of entries made by the Executive Engineers in the memo. Of services of the concerned Assistant Engineers.

1 2 3

POSTAL LIFE INSURANCE ORGANISATION

(1)

Dy. Director Postal Life Insurance Director Postal Life Member, Postal Board Insurance

(2)

Class II Officers in the Office of the Dy. D.P.L.I. D.P.L.I. Directorate Dy. D.P.L.I.

MAIL MOTOR ORGANISATION

(1)

Managers D.P.S. P.M.G.

(2)

Manager in Delhi Mail Motor D.P.S. Member (PO) POSTAL TRAINING CENTRES

(1)

Principal Director, (Training) D.D.G. (PE) Directorate (Postal) Board

Note:- While writing the Confidential Reports, the Reporting Officer should take into consideration the remarks, if any, received by him from the Head of Circles and Telephone Districts regarding the performance of the officers concerned. However, the D.P.S. Delhi, the D.P.T., JK and District Manager, Telephone Ahmedabad, Bangalore, Hyderabad and Poona need not send their comments on the performance of the Supdtg. Engineers and Senior Architects working in their jurisdiction.

1. The Head of Circle or Administrative Office directly under the Director General will, by the end of April each year, send to the Directorate confidential reports on the work and conduct of all Gazetted Officers who work under him during the year.

2. NOTE : officers who have officiated ruing the year for at least six months in any of the appointments specified in rules 175 and 176 should also be reported on.
1. Confidential Reports of Group ‘A’ Officers will be submitted to Member concerned of Postal Board while the Confidential Reports of Junior Administrative Grade Officers will be submitted to the Secretary (C) and of the officers of Senior Administrative grade to the Government of India each year. The Confidential Reports on Group ‘B’ Gazetted Officers will be filled in the Directorate.

Special instructions regarding confidential reports on gazetted officers

178. (1) It is not necessary that the Inspecting Officer should write the confidential report on a Divisional Officer. It should be written by the appropriate officer of the Circle Office, but he should take into account the result of the inspection for that purpose. For writing the reports on the Suptds. And Senior Suptds. Of R.M.S.Divisions, the reports about the technical work done by them should be obtained from the Regional Directors and they should be given due consideration in making the final assessment. Similarly for writing the reports on Assistant Directors, PLI, the remarks of the DPLI of the Directorate should be obtained in the first instance.

(2)

Confidential reports on Group ‘B’ officers should be written in duplicate, one for the Circle Office and the other for the Directorate.

(3)

Confidential reports on Gazetted Officers should be forwarded to the Directorate only after taking action for the communication of adverse remarks by the countersigning authorities.

179. Confidential records in for App-9 will be maintained in respect of all non-gazetted group ‘B’ and group ‘C’ employees working in offices of the Heads of Circles and in other Administrative Offices directly subordinate to the Director General. Confidential records in for App-II will be maintained in respect of all non-gazetted Group ‘C’ supervisory employees working in Postal Offices including Divisional Offices/Office of Head Of Circle Office of DPS. The officers who are required to maintain the confidential records, and the classes of officials in respect of whom they are to be maintained are shown in the sub-joined table. Subject to the Classification given in the table, the Head of Circle or Head of an Admn. Office, as the case may be, will decide in the case of each office which officer will maintain the confidential records and for whom. These reports will be countersigned by the officers mentioned in column 5 of the table. In respect of certain categories prescribed, the reviewing authorities shown in column 6 of the table while on inspection will scrutinise the confidential records thoroughly with a view to ensuring that not only all instructions on the maintenance of confidential records have been observed but also no apparent incorrect assessment has been made by the reporting officers. They should sign at the bottom of the reports in token of having scrutinised them and clearly indicate that they have done so in their capacity as reviewing officers. They will not, however, be considered as the countersigning authorities and accordingly, will not be debarred from dealing with representations from these officials for expunction of adverse remarks recorded in their confidential reports. In other cases where no countersigning or reviewing authorities have been prescribed, the inspecting officers who are immediately superior to the reporting officers while on inspection should as usual inter-alia ensure that :

(a)

Memos. Of services are being properly maintained and they are being consulted for writing of reports.

(b)

the adverse remarks recorded in the reports have been duly communicated to the officials concerned and a note to that effect has been recorded on the reports themselves; and

(c)

there are no extraneous papers (other than the duplicate copies of the letters) communicating the adverse remarks and the punishment and appellate orders filed in the Confidential Records.

The Inspecting Officers should make a note in the order book to the effect that the confidential records have been examined.

TABLE PERTAINING TO NON-GAZETTED STAFF

Sl. Classes of Officials Offices where the Reporting Reviewing Inspecting authority No. Officials are Officer authority

1 2 3 4 5 6

Director of Postal Services.

A.P.M.G. or Asstt. Director, Postal Services or Director Postal Services Incharge of

R.L.O.

(a) Head of Office or in immediate superior gazetted officer.

(b)Accounts Officer

(a)

A.O.

(b)

Accounts Officer

The Confidential Report of their employees are kept by the Accountant General (Postal)

(a)

Immediate Superior

(b)

Sr. Electrical Engineer,

Asstt. Postmaster General or ADPS or DPS in charge of

R.L.O.

Accounts Officer ICO (SB)

NOTE :- The Divisional Supdt. controlling the Head Post Office will add his comments on the conduct and discipline of the official after the report is recorded by the A.O. ICT, (SB), before it is countersigned by the Director of Postal Services.

12. (b) Ministerial staff of Internal check Accounts Director of Internal Check Organisation Officer Postal Organisation. (ICO (SB) Services.

12. (c) Ministerial staff of Pairing Unit Accounts Director of

Pairing Uits Officer Postal ICO (SB) Services.

* In respect of the staff working in SBCOs in Gazetted Head Offices, the Senior Supdt. of Post Offices who carries out the verification of account of the HOs will write the Confidential Reports. As far as the GPOs and Presidency Post Offices directly under the control of the Circle Office, PMG will nominate the Senior Supdt. of Post Offices who carries out the verification of the accounts as responsible for writing the Confidential Reports of the Officials concerned.

1. (a) All categories of Central Stamp A.D.G. C.M.S. Postal

2. Staff Counselling (M.S.) Directorate. Machine Unit of Postal Postal Mail Directorate. Motor Service Delhi.
1. Ministerial Staff in a Foreign Post Director or

2. foreign Post. Offices Dy. Director or Supdt.
1. Time scale Postal (a) In (a) Assistants acting as Presidency Post Presidency Sub-postmaster and Offices Postmaster other ministerial including Delhi including staff in Post Offices GPO Postmaster and RMS. in the grade

of Presidency Postmaster or any gazetted officer subordinate to him.

(b)(i)In First (b)(i)Gazett Class Head Post ed Offices. Postmasters

(ii)In Town Sub (ii) Sr.

180. “Character-sheets in form App.10 will be maintained in respect of Group ‘D’ staff. The report on a Group ‘D’ official should be written by the Head of the Office or any other official not below the Lower Selection Grade under whom he is directly working.”

Granting of Certificates

1. Certificates of good service or laudatory letter letters to employees who are or have been serving in the Department should not ordinarily be given. In really special cases such certificates may be given to employees who have earned them by specially good work, but copies of the certificates together with the reasons for granting them should be recorded in the office of the officer by whom they are granted. These certificates may be entered at the end of the recipient’s service book only with the consent of the Director-General.

2. When any employee leaves the Departments a certificate in the following form may be

given to him by the officer to whom he was directly subordinate i.e. any Gazetted Officer in independent charge of a Circle, Division or Office, as the case may be :-

Certified that Mr…………………………………was employed in this Department as a …………………………………………….from …………………to ……………………that he leaves and that his conduct has been …………………

His personal description is as follows:-

1. Height …………….

2. Personal marks for identification……………………

………………………..(Designation) ………………………..(Signature)

183. No action should be taken on anonymous and pseudonymous complaints against Government servants.

Complaints from and against departmental officials

184. Every complaint by or against any employee in the Department must be received and enquired into by his superior officer, unless the complainant shall have been previously found guilty of making groundless or vexatious charges.

Irregular additions in income

1. No employee in the Department may, in any circumstances, have a personal pecuniary interest directly or indirectly in the construction of departmental building, or performance of any departmental work, or in the manufacture, supply or sale of materials.

2. As the practice of allowing employees to receive fees and commissions would be detrimental to the public service, no one in the service, of Govt. is allowed to receive fees or commissions, except under the circumstances mentioned in rules 46 to 48 of the Fundamental Rules and rules 11 and 12 of the supplementary Rules. Every employee in the service is bound to report to his departmental superior every infringement of this rule which may come to his knowledge.

1. No employee may act as an arbitrator in any case which is likely to come before him in any shape by virtue of any executive post which he may be holding.

2. An employee called upon by a Court of Law to act on a Commission to give evidence on technical matters may comply with the request, provided that case is not of such a nature as will be likely to come before him in the course of his official duties and may accept such fees as are fixed by the court.
3. The receipt, or acceptance of an officer, or the attempt to obtain, any consideration beyond the legal remuneration by any employee in the Department, is punishable under Section 161 of the Indian Penal Code.

4. The testing of lightning conductor and granting of certificates of efficiency in respect of the same must never be undertaken by any member of the department without the Director General’s prior sanction which will not ordinarily be given.

Employment of sons and relations of Govt. Servants in private Firms

190. Whenever any son/daughter or any dependent of a Group ‘A’ Officer in Postal Department wishes to accept an employment with a private fir with which the officer has official dealings or with any other important firm having official dealings with the Government (through proper channel) by the officer concerned and Government’s permission should be obtained to such employment. Where, however, the acceptance of such employment could not await Government’s prior permission or the matter is otherwise considered urgent, a report should be made to Government and the employment accepted provisionally subject to Government’s permission.

Whenever a proposal arises for the award of a contract or exercise or patronage in favour of any firm in which a son/daughter or a dependent of an officer concerned, is employed this fact should be declared by the officer concerned and he should thereafter desist from dealing with the case himself. In such circumstances, a recommendation should be made that the case should be decided by an other officer of equivalent or superior standing.

Bidding at a sale or auction

191. No employee of the Department having any duties to perform in connection with any sale or auction of Government property, shall either directly or indirectly, bid for, acquire or attempt to acquire any interest in the property sold.

192.Deleted

Money transactions with subordinates and contractor

193. Private money transactions between officials of the Department, and specially between superiors and inferiors are strictly forbidden. No officer or other person holding a responsible charge is permitted to borrow money from any person who is or may be placed under his orders or to request persons so placed to subscribe for any object in which he is interested. No member of the Department is permitted to borrow or receive money from any contractor or dealer with whom the Department has, or may have, dealings. When any such transaction on the part of an official comes to the knowledge of his superior officer, the latter should report the case to the Head of the Circle, who will exercise his discretion in disposing of the matter.

Insolvency and habitual indebtedness

1. The rules regarding insolvency and habitual indebtedness of Government servants are laid down in Rule 17 of the Central Civil Services (Conduct) Rules, 1964.

2. A Government servant shall so manage his private affairs as to avoid habitual indebtedness or insolvency. A Govt. servant who becomes the subject of a legal proceedings for insolvency shall forthwith report the full facts to the Government.

3. The report referred to in Rule 195 should be submitted by the Government servant to his immediate superior who should forward it through the normal channels to the authority competent to remove or dismiss him from service. Except where such an authority requires guidance or clarification from a higher authority it shall consider the report and pass appropriate orders on it. If any penalty is to be imposed on the Government servant the procedure prescribed in the Civil Services(Classification, Control and Appeal) Rules will have to be followed.

4. Cases where one-half of the remainder of salary after the first one hundred rupees of a Government servant is consistently being attached for debt, or has been continuously under attachment for more than two years, or is attached for a sum which under ordinary circumstances, it will require more than two years to repay, have been declared by the government of India to constitute such a state of indebtedness as to render it undesirable that the debtor should be retained in public service In such cases it is the duty of the head of the office or the authority immediately superior to the official concerned to obtain a full schedule of the latter’s debts and to draw up a report dealing specially with the following points:-

(1)

What proportion the debts bear to pay and to what extent they detract from the debtor’s efficiency as a public servant.

(2)

whether the debtor’s position is irretrievable, and

(3)

whether it is desirable to retain him in the particular post he occupies or in any position under Government.

198. The proceedings referred to in rules 195 and 197 should be submitted for orders of the appropriate punishing authority through the usual official channel. In case the authority immediately superior to the insolvent or indebted officers is himself the appropriate punishing authority, the proceedings should be disposed of by him.

Issue of orders

199. No orders that are in any way likely to lead to dispute must ever be issued verbally; they should always be in writing.

Publication of misleading information

1. Whenever any employee of the Department makes misleading or untrue statements relating to the Department by publication in a newspaper, in a public speech or in any other manner, he should at once be called upon by the officer under whom he is serving for an explanation. The case should then be reported to the Head of the Circle, etc. who should order a thorough investigation. A full report should be submitted to the Director General.

2. No employee may publish, without the previous sanction of superior authority, any documents, papers, or information, of which he may have become possessed in his official capacity. This rule applies equally to documents which are printed well as to those which are in manuscript.

Attending committees, etc.

1. No departmental employee is to attend any station or the committee without reporting the fact and sending a copy of the proceedings to the Head of the Circle or Administrative office or the Director General, as the case may be.

2. It must be thoroughly understood that is the duty of the employee, when at a station where he can receive instructions on any point necessary for the practical execution of his professional duties, to seek that instruction himself.

Responsibility

204. Where owing to the negligence of a departmental employee or its agent including an extradepartmental agent, or through the omission on his part to observe any rule as provided in the different volumes of the Postal Manual, or other books like the Post Office Guide, the Department, either by reason of the enquiry being impeded or frustrated, directly or indirectly or for any other reason is put to a loss of Government money or property, or where the department loses money by embezzlement or fraud of any of its employee, etc. any member of the staff or any agent who by his negligence, default or disregard of the rules, has caused the loss or has contributed to its occurrence, either by reason of the enquiry being impeded or frustrated directly or indirectly or for any other reason, may be required to make good the loss either in whole or I part as the competent authority may decide provided that there is a clear finding that (i) the departmental employee/E.D. Agent is held responsible for a particular act or acts of negligence and/or breach of orders or rules caused the loss or contributed to its occurrence by reason of enquiry being impeded or frustrated directly or indirectly or for any other reason. Detailed instructions for regulating the enforcement of such responsibility are given in rule 204-A.

NOTE : The Public Accountants Default Act (Xii OF 1850) provides an additional safeguard in the case of such employees of the Department as are “public accountants” within the meaning of that Act, Section 3 and 4 of which are reproduced below:-

"3. For the purpose of section 1 and 2 of this Act, the expression “public accountant” means any person who as Official Assignee or Trustee, or as Sarbarahkar is entrusted with the receipt, custody or control of any money or sureties for money or the management of any lands belonging to any other person or persons, and for the purposes of section 4 and 5 of this Act the expression shall also include any person who, by reason of any office held by him in service of the Central Government or the Government of a Part A state is entrusted with the receipt, custody or control of any moneys or securities for money, or the management of any land belonging to such Government.

4. The person or persons at the head of the office to which any public accountant belongs may proceed against any such public Accountant and his securities, for any loss or defalcation in his accounts, as if the amount thereof were an arrear of land-revenue due to Government”.

Under Section 4 of the Act, the loss caused by the defalcation of a public accountant is therefore recoverable from his and his sureties as an arrear of land-revenue.

204.- A. Instructions for regulating the enforcement of responsibility or losses.

1. The cardinal principle governing the assessment of responsibility is that every public officer should exert the same vigilance in respect of public expenditure and public funds generally as a person or ordinary prudence would exercise in respect of the expenditure and the custody of his own money. While, therefore, the competent authority may, in special cases, condone an officer’s honest errors of judgement involving financial loss, if the officer can show that he has acted in good faith and done his best upto the limits of his ability and experience, personal liability must be strictly enforced against all officers who are dishonest, careless or negligence in the duties entrusted to them.

2. It is of the greatest importance to avoid delay in the investigation of any loss due to fraud, negligence, financial irregularity, etc. Should the administrative authority required the assistance of the Accountant-General in pursuing the investigation, he may call on that officer for all vouchers and other documents that may be relevant to the investigation, and if the investigation is complex and he needs the assistance of an expert audit officer to unravel it, he should apply forthwith for that assistance to Government which will then negotiate which the Accountant-General for the services of an investigating staff thereafter the administrative authority and the audit authority will be personally responsible, within their respective spheres, for the expeditious conduct of the enquiry.

3. In cases where loss is due to delinquencies of subordinate officials and where it appears that this has been facilitated by laxity of supervision on the part of a superior officer, the latter should also be called strictly to account and his personal liability in the matter carefully assessed.

4. The question of enforcing pecuniary liability should always be considered as well as the question of other forms of disciplinary action. In deciding the degree of an officer’s pecuniary liability, it will be necessary to look not only to the circumstances of the case but also to the financial circumstances of the officers, since it should be recognised that the penalty should not be such as to impair his future efficiency.

In particular, if the loss has occurred through fraud, every endeavour should be made to recover the whole amount lost from the guilty persons, and if laxity of supervision has facilitated the fraud, the supervising officer at fault may properly be penalised either directly be requiring him to make good in money a sufficient proportion of the loss, or indirectly by reduction or stoppage of his increments of pay.

It should always be considered whether the value of Government property or equipment lost, damaged or destroyed by the carelessness of Individuals entrusted with their care (e.g. a policeman’s rifle, a touring officer’s tent a factory motor lorry; an engineer’s instruments) should not be recovered in full upto the limit of the Government servants capacity to pay.

1. Steps should be taken to ensure, as far as possible that a disciplinary case against a Government servant in which he has been charged for any loss or irregularity is finalised before his superannuation. In case, however, it cannot be finalised before that date, he should be allowed to retire in the normal manner and the proceedings initiated against him completed in the manner prescribed under Article 351-A C.S.R.

2. The fact that Government Servants who were guilty of frauds or irregularities have been demobilised or have retired and have thus escaped punishment should not be made a justification for absolving those who are also guilty but who still remain in service.

APPENDIX I

Standard Form of Chargesheet

(Rule 14 of the CCS (CCA)Rules,1965

No.

Government of India Ministry/Department of____________ Dated &___________

MEMORANDUM

The @ President/undersigned proposes to hold an inquiry against Shri ___________________ under Rule 14 of the Central Civil Services (Classification, Control & Appeal) Rules, 1965. The substance of the imputations of mis-conduct or mis-behaviour in respect of which the inquiry is proposed to be held is set out out in the enclosed statement or articles of charge (Annexure I). A statement of the imputations of mis-conduct or mis-behaviour in support of each article of charge is enclosed (Annexure II). A list of documents by which, and a list of witnesses by whom the articles of charge are proposed to be sustained are also enclosed (Annexure III) & (Annexure IV).

1. Shri_____________________is directed to submit within 10 days of the receipt of this Memorandum a written statement of his defence and also to state whether he desires to be heard in person.

2. He is informed that an inquiry will be held only in respect of those articles of charge as are not admitted. He should, therefore specifically admit or deny each article of charge.

3. Shri_____________________is further informed that if he does not submit his written statement of defence on or before the due date specified in para 2 above, or not appear in person before the inquiring authority or otherwise fails or refuses in comply with the provisions of Rule 14 of the C.C.S.(C.C.& A.) Rules 1965 or the orders/directions issued in pursuance of the said Rule, the inquiring authority may hold the inquiry against him exparte.

4. Attention of Shri_____________________is invited to Rule 20 of the Central Civil Services (Conduct) Rules, 1964 under which no Government servant shall bring or attempt to bring any political outside influence to bear upon any superior authority to further his interests in respect of matters pertaining to his service under the Government. If any representation is received on his behalf from another person in respect of matters pertaining to his service under the Government. If any

representation is received on his behalf from another person in respect of any matter dealt with in these proceedings, it will be presumed that Shri___________is aware of such a representation and that has been made at his instance and action will be taken against him for violation of Rule 20 of the CCS (Conduct) Rules,1964.

1. The receipt of this Memorandum may be acknowledged.

2. *(By order and in the name of the President.)

( ) Name and designation of Competent Authority (The officer in the appropriate Ministry/Department authorized under Article 77 (2) of the Constitution to authenticate on behalf of the President, or the disciplinary authority, as the case may be.)

To Shri______________________________

Standard Form of order relating to appointment of inquiry Officer/Board of Inquiry (Rule 14 (2)

of CCS (CC&A) Rules, 1965.

Whereas an inquiry under Rule 14 of the Central Civil Services (Classification, Control & Appeal) Rules, 1965, is being held against_______________________(Name and designation of the Government servant.)

AND WHREAS the President/the undersigned considers that a Board of Inquiry/ an Inquiry Officer should be appointed to inquire into the charges framed against him.

NOW, therefore the President/the undersigned in exercise of the powers conferred by sub-rule

(2) of the said rule, hereby appoints a Board of Inquiry consists of :

1. Here enter names and designation

2. of Member of the Board of Inquiry

Shri _______________________ (name and designation of the Inquiry Officer) as Inquiry Officer to inquire into the charges framed against the said Shri ______________________

*(By order and in the name of the President.) signature

( ) Name and designation of Competent Authority