CORPORATE TRAINING INSTITUTE SPDCL TIRUPATHI PRESENTATION ON

CONDUCT, DISCIPLINE & APPEAL REGULATIONS

By K.S.Srinivas Joint Secretary APTRANSCO
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Objective of Conduct, Discipline and Appeal Regulations

Lays down the code of conduct

of conduct for the employees Specifies the penalties in case of violation of the code Provides for hearing of the delinquent before arriving
at the conclusion of guilt or otherwise

Prescribes the authorities who can initiate disciplinary action and impose punishment Provides for appeal to a higher authority
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General rules of discipline

All employees are expected : To perform their duties impartially. To maintain absolute integrity. To maintain devotion to duty. To act in his best judgement. To perform the task assigned to him within the time set for the purpose with the quality of performance expected of him. Not to adopt dilatory tactics or willfully cause delays in disposal of the work assigned to him in his official dealings with the public or otherwise. 3

General rules of discipline

Not to act in a discourteous manner in the performance of his duties. Maintain discipline and act in a disciplined way towards superiors as well as subordinates. Extend full cooperation to their superiors in carrying out official functions and to enlist cooperation from subordinates in the same manner.
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General rules of discipline

The employee is expected to maintain a reasonable and decent standard of conduct and not bring discredit to his service by his misdeeds. SPDCL could demand certain standard of conduct from the employees not only while performing their official duties but in their private life as well. Unmannerly attitude, insubordination, lack of decorum, laziness, corrupt habits, shirking of responsibility etc., are termed as unbecoming of 5 a SPDCL employee.

Misconduct
Misconduct is something more than mere negligence. It is the intentional doing of something when the doer knows to be wrong or which he does recklessly, not caring what the result may be. (Rasabathi Bewa Vs. Union of India, AIR 1961 Ori.113) Grossly improper or unbecoming conduct in public life may also be come misconduct and may render an official liable to disciplinary action thereof. (Gulam Mohiuddin Vs. State of W.B., AIR 1964 Cal.503) 6

Unbecoming Conduct
Public Servant neglecting wife and children constitutes unbecoming conduct.
(B.S.Kumar Vs. Union of India 2001(2) SLJ CAT Jaipur 323)

Drinking in public place constitutes misconduct.

(Gulam Mohiuddin Vs. State of W.B., AIR 1964 Cal.503)

False declaration of parentage or caste.

(Bharat Ram Vs. Union of India AIR 1967 Pat.347)

Employee assaults another employee in the same office.

(Khaja Khan Vs. P.M.G.Andhra 1975 SLJ(SN)3;1975(5)SLR512)

False allegation of demand of bribe is unbecoming conduct.

(Union of India Vs. Shri Baboo Singh 1993(5) SLR (Raj) 179)
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Corruption
Corruption includes all improper and selfish exercise of power and influence attached to a public office. Possesion of disproportionate assets.
(G.R.Mankar Vs. Union of India, Civil Appeal NO.160 of 1963 S.C.)

Moral Turpitude
The term Moral Turpitude has generally been taken to mean to be a conduct contrary to justice, honesty, modesty or good morals and contrary to what a man owes to a fellowman or to society in general. (Durga Singh Vs. Sate of Punjab, AIR 1957 Punj.97)

Moral Turpitude
Moral turpitude is a reprehensible act contrary to the notions of right and customary rule or code of conduct. Tests to determine moral turpitude: i) Whether the act leading to a conviction was such as could shock the moral conscience of society in general. ii) Whether the motive which led to the act was a base one. iii) Whether on account of the act having been committed the perpetrator could be considered to be a depraved character or a person who was to be looked down by the Society.
(State of Punjab Vs Amrik Singh, 1990(2)SLR P&H349) 10

Misconduct
(A) Conduct Regulations impose restrictions on the activities of the employee: 1. Joining Associations. 2. To make representations direct to the Ministers, MLAs, MPs etc. 3. Entertainment in his honour. 4. Enjoy hospitality. 5. Connection with press. 6. Criticism of the policies or actions of the management.
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Misconduct
7. Evidence before the Committees. 8. Politics & Elections. 9. Vindication of Acts and Character. 10.Bringing political pressure for furtherance of interests. 11. Participation in radio broadcast. 12. Participating in strikes. 13. Unauthorized absence. 14. Negligence.
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Misconduct
15. Demonstrations. 16. Theft or Fraud. 17. Habitual late attendance.
18. 19. 20. 21. 22. 23. Non-Maintenance of decency & Decorum. Chitchatting or loitering. Smoking. Willful damage to the property. Holding meetings. Gambling.
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Misconduct
24. 25. 26. 27. Sleeping while on duty. Spreading rumours. Criminal offence. Leaving the country without permission. 28. Unauthorized use of vehicles. 29. Writing anonymous or pseudonymous letters. 30. Giving false information.
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Misconduct
31. Leaving ones post without handing over charge. 32. Failure to exercise powers delegated. 33. Failure to exercise efficient control. 34. Acquisition or disposal of movable or immovable property. 35. Insubordination or disobedience.
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Misconduct
(B) Conduct Regulations impose restrictions on the monetary transactions of the employee:

1. 2. 3. 4.

Gifts and other felicitations. Subscriptions. Money lending or borrowing. Refusal to receive pay.
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Misconduct
(C) Conduct Regulations impose restrictions on the private life of the employee: 1. 2. 3. 4. Drinking. Bigamy. Giving or taking or demanding dowry. Private Trade or business. Communication of official documents or information. 5. Violation of Rules and Regulations. 6. Insolvency.
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Misconduct
(D) Conduct Regulations impose restrictions in relation to the members of his family: 1. Not to deal in his official capacity with matters concerning himself, his relatives or dependetns. 2. Permitting them to accept gifts.

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Supreme Court on Discipline

If an employee breaches discipline that results in his dismissal, the labour court or an industrial tribunal cannot take a contrary view and reduce the punishment. The Supreme Court has ruled this in the case of dismissal of an employee of Madhya Pradesh Electricity Board (MPEB) who had assaulted an office with a tension screw resulting in severe bleeding and a fractured nose.
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Adverse Criticism
It has been held by the Kerala High Court that ventilation of grievances through an article in a newspaper and request for higher pay scales cannot amount to adverse criticism of Government policy. (Joseph Vs. Superintendent of Post Offices, 1971 (1) TLR 438 (Ker.)
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Absence from Duty

1. Leaving the office premises without permission and does so repeatedly. 2. Habitual absenteeism. 3. Habit of attending office at his convenience and then behaving in arrogant fashion. Removal from service was not to be harsh
(C.T.Kumbhar Vs. The Chairman, Agriculture Product Market Committee & others. 1989 LLR 166)

Dismissal of an employee found guilty of habitual absence is justified

(K.I.Varkey Vs. FACT Ktd. 1993 LLR - Kerala High Court) 21

Action for doing personal work

Doing personal or private work in the working hours will amount to a misconduct arising from an act being subversive of discipline and the employee can be dismissed from service. (Textile Mills, Baroda Vs. Their workmen, 1952 II LLJ 225)

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Assault on a superior officer

Threats with abuses and even attempted assaults on a superior officer or insulting, attacking by any other means is a grave offence and constitutes a serious misconduct, punishable by dismissal. Entering into the room of the manager, caught hold of his collar, manhandled him constitutes misconduct and his dismissal from service was justified .
(West Bangal Potteries Vs. Their workmen 1952-I LLJ 44 IT) (Ram Asrey and others Vs. Labour Court II Kanpur 1991 (1) LLN 487; 1990 LLR 330 (Allahabad High Court)
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Fraud
The Punjab & Haryana High Court has held that a bus conductor guilty of collecting fare from passengers and pocketing even Rs.9.70 will be liable to be dismissed since it will amount to serious misconduct. (State of Punjab Vs. Harjinder Singh 1993 LLR 52 (P&H High Court)

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Sleeping during duty hours

Violation of elementary principles of discipline amounts to serious misconduct. Sleeping on duty by a watchman is absolutely irresponsible and unpardonable. Sleeping while on duty by a watchman amounts to non-performance of duty. - On the above counts, dismissal from service was upheld by the Bombay High Court. (Bharat Petroleum Corporation Ltd., Vs. B.Prasad and others 1995 LLR 172)
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Teasing Women employees on duty

Serious action can be taken if an employee indulges in such activities as teasing and cutting indecent jokes or making indecent remarks towards any woman employee. In one case, where an employee was dismissed from service for the above offence, the dismissal was held to be justified. (1957 ICR 1290; 1957 Vol.II LLJ 586)
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Mind your language, it may cost your job

Use of abusive language in office by an employee or workman against his boss or superior without provocation could be a ground could be a ground for dismissal from service. The language used by the workman is filthy. Use of such abusive language against a superior officer, that too not once but twice, in the presence of subordinates is a serious misconduct. It is held that the language used by the workman is such that it can not be tolerated by any civilised society. The punishment of dismissal of an employee is not disproportionate to the misconduct alleged (Mahindra and Mahindra Ltd. Vs. Its workman Supreme Court in its judgement dated 24-2-2005) 27

Possession of Properties
Regulation-5 of Conduct Regulations: No APTRANSCO/DISCOM employee shall, except after previous intimation to APTRANSCO/DISCOM, acquire or dispose of, or permit any member of his family to acquire or dispose of, any immovable property by exchange, purchase, sale, gift or otherwise either by himself or through others. Any such transaction conducted otherwise than through a regular or reputed dealer shall be with the previous sanction of APTRANSCO/DISCOM. For getting previous sanction, the application should be submitted at least 30 days before the proposed date of the transaction. The employee shall submit the request to APTRANSCO/DISCOM seeking prior permission duly obtaining acknowledgement of having made such a request and if no permission is received within one month, he/ she may go ahead 28 with the transaction.

Possession of Properties
APTRANSCO/DISCOM employee who enters into any transaction concerning any movable property exceeding rupees One lakh in value, whether by way of purchase, sale or otherwise, shall forthwith report such transaction to APTRANSCO/ DISCOM. Any such transaction conducted otherwise than through a regular reputed dealer shall be with the previous sanction of APTRANSCO/DISCOM. 29

Possession of Properties
Every APTRANSCO/DISCOM Employee, other than member APTRANSCO/DISCOM General Service, shall on first appointment to APTRANSCO/DISCOM Service submit to APTRANSCO/DISCOM a statement of all immovable property/ properties irrespective of its value and movable property/properties whose value exceeds Rs.1,00,000/- owned, acquired or inherited by him or held by him on lease or mortgage either in his own name or in the name of any member of his family, in the forms prescribed in Annexure-I and II separately.
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Possession of Properties
The employee shall also submit to APTRANSCO/DISCOM before 15 January of each year, through the proper channel, a declaration in the forms given in the Annexure-I and II of all immovable/ movable property/ properties owned, acquired or inherited by him/her or held by him/her on lease or mortgage, either in his/her own name or in the name of any member of his/her family. If in any year, a APTRANSCO/DISCOM employee has not acquired or disposed of any immovable or movable property or any interest therein, he/she shall submit declaration to that effect. 31

Penalties
Regulation-5 of D&A Regulations: Minor Penalties: Fine (to be imposed only in the case of employees of Class-IV service) Censure Withholding of increment(s) without cum.effect Withholding of increment(s) with cum.effect Withholding of promotion Recovery from pay 32

Penalties
Regulation-5 of D&A Regulations: Major Penalties: Reduction to a - lower rank in seniority - lower stage in a time-scale - lower post - lower time-scale Compulsory retirement Removal Dismissal Note:- Before inflicting major penalties by the competent authority, concurrence of the Disciplinary Committee is required to be taken. 33

Effect of Removal / Dismissal from service

Regulation-5 (Explanation-2) of D&A Regulations: Removal of an employee from the service of the Company shall not disqualify him for future employment under the company. Dismissal of an employee from the service of the Company shall disqualify him for future employment under the Company.
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Sources of complaints / petitions

1. Complaints (written/signed; including anonymous/ pseudonymous) - Conduct Preliminary Enquiry 2. Media Reports - Conduct Preliminary Enquiry 3. Vigilance reports of the department 4. Complaints to the Vigilance Commissioner, ACB, Enforcement Department etc. 5. Inspection / surprise inspection reports 6. Stock / stores verification reports 7. Irregularities pointed out by internal audit and external audit parties 8. Scrutiny of annual property returns filed by the employees For 3 to 8 whether the case warrants minor or major penalty is to be decided. In case of minor penalty, issue charge memo. In case of major penalty, appoint an E.O.35

Disciplinary Proceedings Various Stages

I. Origin for initiating action: Sources of complaints / petitions etc. II. Preliminary Enquiry (If the Disciplinary Authority feels it necessary) III. Explanation of the delinquent officer will be called for by the competent disciplinary authority. IV. On receipt of the explanation from the accused officer, the Disciplinary Authority can do the following:36

Disciplinary Proceedings Various Stages

A B C
Appointment

D
ACB (Trap cases)

E
ACB (Disprop ortionate Assets)

F
Criminal cases

G
Unauthorised absence

Drop Calling for the Explanation case of the delinquent.

1. Receipt of Explanation from the delinquent 2. Decision of the disc. authority on the punishment or otherwise. 3. Issue SCN for minor penalty.

E.O.(if major penlty is contemplated

1. Suspension 2. Appointment of EO 3. EO will issue charge sheet 4. Expln. from D.O. 5. Oral Enq. by E.O.

1. Suspension of the emp. 2. Disc.authorty will issue sanction order to prosecute the emp. in ACB court 3. Reinstatement of emp. on the advice from Govt.

1. Receipt 1. Suspen- 1. For more of ACB sion by than 1 year, report following EO will be through the procappointed Govt dure 2. Issue of 2. Action 2.dismissal charge sheet will be if convi- 3. if wheretaken cted by abouts of based court absentee not on the 3.If acquiknown, news ACB tted, can paper notifireport go to cation will be 37 A/ B / C issued

Disciplinary Proceedings Various Stages

A
Drop the case
4. Issue of final

C
Appointment E.O.(if major penalty is contemplated

D
ACB (Trap cases)

G
Unauthorised absence

ACB Criminal (Dispropor cases tionate Assets)

6. EO will supply records on the request of D.O. 7. Submission of further statements by DO if orders necessary 8. Submission of ER to the Disciplinary Authority by EO 9. On receipt of ER, the Disciplinary Authority can issue SCN for major penalty or can

4 Judgment of ACB court 5. Further action will be taken on receipt of judgment

go to A or B.

directing him to approach the EO 4. If no response to (3) EO will conduct Enq. Exparte and submit ER 5. Issue of SCN invoking Reg.28(4) of SRs part-I 38

Disciplinary action in respect of employees of State/Central Govt. or outside Bodies

Regulation-9(a) of D&A Regulations: In respect of any employee who is on deputation to Transco/Discom, no punishment shall be imposed on him without concurrence of the authority who lent his services to the Transco/Discom. If any major penalty is considered to be imposed on the foreign employee, the competent authority shall complete the departmental enquiry and revert the employee concerned to the department and forward the record of enquiry for such action as considered necessary. 39

Disciplinary action against Transco/Discom employee who is on foreign service

Regulation-9(b) of D&A Regulations: No punishment shall be imposed on the employee by the foreign employer without the concurrence of the Company. If any major penalty is considered to be imposed on the Transco/Discom employee, the foreign employer shall complete the departmental enquiry and revert the employee concerned to the department and forward the record of enquiry for such action as considered necessary.
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Suspension of an employee when he is on deputation

Regulation-9(c) of D&A Regulation: The foreign employer can place the employee under suspension. The same should be reported forthwith to the lending authority the circumstances leading to the suspension.

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Suspension (Reg.11of D&A Regns)

Reg.11(a): A member of a class of service may be placed under suspension from service, where:(i) A disciplinary proceeding against him is contemplated or is pending, or (ii) A complaint against him of any criminal offence is under investigation or trial, or (b) An employee shall be deemed to have placed under suspension by order of the authority competent to place him under suspension w.e.f. the date of his detention, if he is detained in custody whether on criminal charge or otherwise for a period exceeding 48 hours.
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Suspension
The object of placing an officer under suspension is generally to facilitate easy collection of evidence from witness who may hesitate to depose against an officer so long as he is in office, or to prevent an officer from tampering with witnesses or records. The other circumstances in which a disciplinary authority may consider it appropriate to place an employee under suspension are : (These are only intended for guidance and shall not be taken as mandatory)
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Guiding principles for suspension

Cases where continuance in office of the employee will prejudice the investigation, trial or any enquiry (e.g. apprehended tampering with witness or documents) Where the continuance in office of the employee is likely to seriously subvert discipline in the office in which he is working Where there is a public scandal such as corruption Serious negligence and dereliction of duty resulting in considerable loss
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Guiding principles for suspension

Where the preliminary enquiry has revealed that a prima facie case is made out which would justify his prosecution or where the departmental proceedings are likely to end in his conviction/dismissal/removal/compulsory retirement from service Any offence or conduct involving moral turpitude Corruption, misappropriation of money, ACB trap, possession of disproportionate assets, misuse of official power for personal gain Refusal or deliberate failure to carry out written orders of superior officers
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Guiding principles for suspension

In cases other than those mentioned above, the disciplinary authority will consider and decide the desirability of placing the accused officer under suspension A reference to the report/recommendation made by the higher authority, ACB, Vigilance Commissioner should be avoided in the orders of suspension issued by the competent authority
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Date of effect an order of suspension

The order of suspension takes effect from the date of its service on the employee, if he is on duty at HQs or on tour. Takes effect from the date of normal handing over the stores, cash etc., if the employee is holding the charge of stores, cash etc. Takes effect from the date of its despatch from the office of the authority, which it passes, if the employee is on leave or absent from duty without permission or availing joining time.
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Suspension
An order of suspension

Cannot operate retrospectively except in the

case of deemed suspension Remains in force until it is revoked Can be revoked by the authority which issued the order or by a superior authority Serve the suspension order to the delinquent by registered post to the address if he is on leave or absent from duty

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Suspension
An employee on leave can be suspended Unexpired portion of leave will be cancelled No need to recall him from leave for this purpose An employee under suspension is not entitled to leave Suspended employee cannot leave Headquarters without permission Prescribed proforma should be suitably adapted to the facts and circumstances of each case An order of suspension is appealable
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Suspension of employees involved in trap cases of the ACB

Officers involved in trap cases shall be suspended immediately upon receipt of preliminary report from the ACB - irrespective of the fact whether the officer is involved directly or indirectly in act of bribe; and - irrespective of the fact whether the phenolphthalein test yielded positive result or not. (Memo.No.19179/Ser.C/2003, G.A.(Ser.C) Dept. dt.18-12-03
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Suspension of employees involved Disproportionate Assets cases

Based on the preliminary report and recommendations of the ACB for suspension of employees, orders of suspension shall be issued promptly. Based on the recommendations of the ACB, properties against whom disproportionate assets cases are initiated, should be permitted to be attached under relevant sections of Criminal Law. (Memo.No.19179/Ser.C/2003, G.A.(Ser.C) Dept. dt.18-12-03) 51

Death while under suspension

Regulation-56(4) of SRs Part-I If a Transco/Discom employee under suspension dies before the disciplinary proceedings are concluded, the period between the date of suspension and the date of death shall be treated as duty for all purposes and his family shall be paid the full pay and allowances for that period to which he would have been entitled had he not been suspended, subject to adjustment of subsistence allowance already paid to him.
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Superannuation during suspension

If an employee of the Company under suspension attains the age of superannuation, he will be retired without prejudice to the disciplinary action pending against him. (G.O.Ms.No.64 Fin.&Plg., dt.1-3-1979)

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Death of Retired Officers in Disc.Proceedings

In the case of retired officers facing criminal prosecution and departmental proceedings, it was ordered that the criminal action and disciplinary action abates. But the loss or misappropriated amounts can be recovered from the terminal benefits of the deceased retired officer. (G.O.Rt.No.1097 Fin.&Plg., dt.22-6-2000)
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Judiciary Decisions on Suspensions

The order of suspension would be passed after taking into consideration : the gravity of the misconduct sought to be enquired into; the nature of evidence placed before the disciplinary authority; application of mind (State of Orissa Vs Bimal Kumar Mohanty 1994 (2) SLR 384SC)
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Judiciary Decisions on Suspensions

The power of suspension or to extend the period of suspension has to be exercised with circumspection, care and after application of mind. Although suspension of an employee does not violate any of his legal right, it should not be forgotten that the suspended employee is subjected to social ridicule, condemnation and humiliation; he is looked down by colleagues, friends, Kith and Kin and he lives a life of tarnished image, infamy and agony. A proper judgement exercised would prevent unnecessary harassment and humiliation of suspension. (P.Linga Murthy Vs.GOAP 1998(6) SLR 349 - AP High Court)
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Subsistence Allowance
An employee under suspension shall be entitled for subsistence allowance as per Reg.56 of Service Regulations Part-I. During the first 3 months period of suspension, the subsistence will be paid at a rate of 50% of pay of the employee. After 3 months, a review will be made by the competent authority - the subsistence allowance will be increased by a suitable amount, not exceeding 50% of the subsistence allowance admissible during the period
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Subsistence Allowance
of first three months if in the opinion of competent authority, the period of suspension has not been prolonged for reasons to be recorded in writing not directly attributable to the employee. - the amount of subsistence allowance may be reduced by a suitable amount, not exceeding 50% of the subsistence allowance admissible during the period of the first three months, if in the opinion of the competent authority, the period of suspension has been prolonged for reasons to be recorded in writing, directly attributed to the employee.
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Subsistence Allowance
No payment of subsistence allowance shall be made unless the employee furnished a certificate and the authority is satisfied that the employee is not engaged in any other employment, business, profession or vocation. Payment of subsistence allowance should not be stopped on the ground of non-receipt of orders of extension of suspension from the reviewing authority.
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Standard Form of Certificate to be furnished by the Suspended Employee

I, .. (name of the employee) having been placed under suspension by Memo.No dt while holding the post of do hereby certify that I have not been employed in any business and I am staying at the Headquarters.
Name of the employee Address:

Signature

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Deductions from the subsistence allowance. Regulation-56 (2) Note-3 of SRs Part-I
Compulsory deductions: - Income Tax - House Rent & other allied charges i.e., electricity, water, furniture etc. - Repayment of loans and advances taken from the Corporation.

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Deductions from the subsistence allowance. Regulation-56 (2) Note-3 of SRs Part-I
Optional deductions: - Premia due on Postal Life Assurance Policies. - Amounts due to Co-operative Stores and Co-operative Credit Societies. - Refunds of advances taken from GPF.
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Deductions from the subsistence allowance. Regulation-56 (2) Note-3 of SRs Part-I
Deductions shall not be made

Subscription to a General Provident Fund. Amounts due on Court Attachments. Recovery of loss to Corporation for which an employee is responsible.

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Initiation of Disciplinary Proceedings

On receipt of the preliminary enquiry report, the Disciplinary Authority has to decide whether to initiate disciplinary action against the employee where there is material to do so or drop further action if it is found that there is no prima facie material to initiate disciplinary proceedings. If he finds that the material is good enough to initiate disciplinary action, he should decide whether such action has to be taken for imposition of a minor penalty or a major penalty.
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Initiation of Disciplinary Proceedings

If the facts disclose a criminal offence, he has to decide a) whether he would take disciplinary action in the first instance; or b) whether he would take action for the prosecution of the employee in the first instance; or c) whether he would initiate simultaneous disciplinary action along with criminal proceedings. The discretion in this regard vests entirely with the Disciplinary Authority.
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Procedure for imposing Minor Penalty

Not necessary to conduct an departmental enquiry. If the competent authority considers it necessary to arrive at the truth of the allegation, he may hold such enquiry. The accused officer has no right to demand for holding departmental enquiry. A Memo. should be prepared which should contain (i) Full details about the misconduct, viz., place, date & time, particulars of the irregularity etc.
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Procedure for imposing Minor Penalty

(ii) Regulation number of the conduct regulations (iii) Reasonable time to give a reply to the misconduct imputed against him, usually a weeks time (iv) Proposal to take action against him and asking him to show cause why disciplinary action should not taken against him. Prepare the above Memo. in duplicate and obtain the accused officers dated acknowledgement. Reply submitted by the employee should be examined whether it is satisfactory or not.
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Procedure for imposing Minor Penalty

If the reply is not satisfactory, issue Show Cause Notice indicating provisional punishment and serve on the employee with a direction to submit reply by giving a reasonable time. If the reply is not satisfactory, the reasons should be recorded in writing and the same should be be incorporated in the order imposing the penalty. If no reply is received, it should be assumed that the employee has not reply to offer. Prepare an order imposing an appropriate minor penalty and serve on the employee.
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Procedure for imposing Minor Penalty

This order should be a speaking order and it should contain - the misconduct - reply - conclusion of the disciplinary authority Prepare this order in duplicate and serve on the employee. Get the dated acknowledgement of the employee on the duplicate copy. Time limit of 3 months for appeal will be reckoned from the date of serving the above order.
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Procedure for imposing Major Penalty

Departmental enquiry should be conducted by the by appointing an Enquiry Officer. E.O. has to be appointed by the authority competent to impose the major penalty against the delinquent officer or by a higher authority. On receipt of the ER, the Disciplinary Authority can take action as follows:(i) He may remit the case to the EO for further enquiry and report (ii) He may disagree with the findings of the EO and arrive at his own findings on the charge, if the evidence on record is sufficient for the purpose
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Procedure for imposing Major Penalty

(iii) The Disciplinary Authority will have to arrive at a provisional conclusion in regard to the penalty to be imposed and issue a SCN and give the charged employee an opportunity to make a representation on the penalty proposed. (iv) After receipt of the reply from the delinquent officer, the disciplinary authority will come to the final conclusion in respect of the penalty to be imposed and final orders will be issued after getting concurrence of the Committee.
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Procedure for imposing Major Penalty

(v) Minor penalty may be imposed, even through the disciplinary proceedings are for imposition of a major penalty. (vi) The penalty imposed should be commensurate with the gravity of the charge established. (vii) The final orders should be a speaking order. (viii) The disciplinary authority will have to apply his mind and arrive at his own decision on the quantum of penalty imposed.

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Functions of Disciplinary Committee

(Memo.No.DP/DM.V/200-N1/90-3, dt.21-9-90)
Reg.10(2)(a) of D&A Regns. prescribed a procedure to obtain concurrence of the committee before a major penalty is imposed on a delinquent employee. This procedure is adopted to satisfy the judiciary requirements so as to ensure that the competent authority did not exercise the powers vested excessively, arbitrarily and also to ensure dispensation of justice in awarding major penalties in a just manner and commensurate to the guilt established. 73

Functions of Disciplinary Committee

The committee is constituted with a view to see whether the major punishment proposed to be imposed by the competent authority on the delinquent employee commensurate with the gravity of the guilt established or not. If the competent authority erred in his judgement and has not judged the issue properly, the dictum that innocent should not be punished and the guilty should not be left out will not be met. The committee may give concurrence to a higher penalty or lesser penalty than the one proposed by the D.A.
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Functions of Disciplinary Committee

The intention is that the judgment coming out from the committee consisting of more than one member shall devoid of personal bias or personal aberrations and expected to be rational / balanced. Therefore, the role of the committee is not just to give concurrence to whatever proposal the DA has sent, but to give concurrence to a punishment commensurate with the charges held proved against the employee. The recommendations of the Disciplinary Committee are binding on the Disciplinary Authority.
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Whether Disciplinary Committee recommend higher punishment than the punishment proposed by the Disciplinary Authority?
Yes. The Disc.Committee can recommend higher punishment than the punishment proposed by the Disciplinary Authority. Case Law: Punishment proposed by the DA : Reduction in rank by six places Punishment recommended by DC : Removal from service. Revised SCN issued for removal from service. For inflicting the punishment of removal from service, the concurrence of DC for the second time is not necessary. 1. W.P.No.91 of 1977 in High Court of A.P. 2. W.P.No.5091 of 1982 in High Court of A.P.
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Whether Dies-Non constitutes break in service?

No. The period of Dies-Non will not constitute break in service. The period of Dies-Non will not count for any purpose. (Memo.No.DP/DM(Ser.I)/6367-H3/86-1, dt.25-1-89)
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Principles of Natural Justice

The two basic principles of natural justice are: 1) No one shall be a judge in his own case. 2) No one shall be condemned unheared.

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Principles of Natural Justice

Supreme Court held that the rules of natural justice require that: 1) Charged employee should be given notice of the charges he is called upon to explain and the allegations on which those are based. 2) Evidence should be taken in the presence of the charged employee.
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Principles of Natural Justice

3) He should be given opportunity to crossexamine the prosecution witnesses. 4) He should have the opportunity of adducing all relevant evidence on which he relies. 5) No material should be relied on against him without giving him an opportunity of explaining such material.
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Preliminary Enquiry
Whenever a Disciplinary Authority receives information or complaint about misconduct committed by an employee, he may initiate disciplinary action against the employee, if the allegations warrant taking of such action. It is open to the Disciplinary Authority to straightway initiate disciplinary action, if the information or the complaint discloses prima facie material to issue a SCN/Memo.calling for explanation.
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Preliminary Enquiry
Otherwise, he may make discreet, confidential enquiries himself or direct another officer to conduct a preliminary enquiry and submit a report to him for the purpose of taking further action in the matter. This action of the competent authority collecting material is called Preliminary Enquiry. Preliminary enquiry is a fact finding enquiry. Preliminary enquiry is not a precondition for taking departmental action. There is no prescribed procedure for conducting preliminary enquiry.
82

Preliminary Enquiry
The object of preliminary enquiry is to ascertain the truth or otherwise of the allegations contained in the information or complaint, to collect necessary material in support of the allegation and thereafter to decide whether there is justification for embarking upon a full-fledged departmental enquiry. It may be held exparte behind the back of the employee. It is merely for the satisfaction of the disciplinary authority. Principles of natural justice are not applicable to preliminary enquiry.
83

Preliminary Enquiry
It is not necessary to obtain the explanation of the accused unless it is considered necessary for any purpose. The delinquent employee has no right to be heard at that stage. During the preliminary enquiry, necessary evidence, oral and documentary should be collected. The material secured during the preliminary enquiry can not form the basis for arriving aat a finding on the charge or imposition of a penalty. It enables the competent authority to take a decision whether to drop action or proceed to take action.
84

Framing of a charge
The departmental enquiry starts with a charge sheet. A charge is prima facie proven essence of the allegation setting out nature of accusation. The language of the charge must be clear precise, unambiguous and free from vagueness. The particulars of misconduct such as date, time, place, persons or things involved should be reflected in the charge. A full and clear statement of the allegations in support of each charge i.e., facts in evidence in support of charge should be set forth.
85

Framing of a charge
Charge should not contain expression of opinion as to the guilt of the employee as it would mean that the disciplinary authority has a prejudiced mind and prejudged the issue. The word that should be used at the commencement of the Articles of charge to mean that they are not conclusions but only charges or allegations. Charge should mention the nature of misconduct/misbehaviour. Charge should mention the conduct regulation violated.
86

Framing of a charge contd

The statement of imputations should not refer to the preliminary enquiry report. A reference of the advice vigilance department should be avoided either in the charge or in the statement of imputations. The charge and the statement of facts or imputations, accompanying the charge sheet form part of a single document, on the basis of which proceedings are started against the charged officer. The charge should not indicate the penalty proposed to be imposed.
87

Framing of a charge contd

If the charged officer feels that any charge is lacking in sufficient details, he can rise the issue before the EO and insist on further details and request for giving him the relevant particulars. The charge may be amended during the course of enquiry, if necessary, but sufficient opportunity has to be given to the charged officer to meet the amended charge. A charge may be withdrawn if there is any flaw or for any other reason and a fresh charge may be framed and issued.
88

Framing of a charge contd

The charge sheet should conclude with (i) You are required herewith to put in any written statement you may desire to submit in your defence by .. (the date to be specified) (ii) Please fill in the questionnaire enclosed (Form-I) and resubmit it. (iii) In case you fail to put in your written statement by the above date, the undersigned may proceed with the enquiry on the basis that you have no defence to offer.

89

General Principles Governing Deptl.Enquiries

Summary of broad guidelines given by High Courts and Supreme Court to the Authority holding departmental enquiry 1. The authority should act honestly and impartially. 2. The authority holding the enquiry should have no bias against the officer proceeded nor should have any interest in the subject matter of the enquiry.
90

General Principles Governing Deptl.Enquiries (Summary of Supreme Court guidelines contd)

3. The authority should inform the charged officer about the accusation against him in as clear and specific terms as practicable. 4. The authority should examine the witnesses, if any, in support of the charge in the presence of the delinquent and allow him to cross-examine the witnesses
91

General Principles Governing Deptl.Enquiries (Summary of Supreme Court guidelines contd)

5. The authority should place all the documents sought to be relied upon to prove the charge at the outset and given an opportunity to the charged officer to impeach the value or validity of such documents. 6. The authority should afford adequate opportunity to the officer to state his defence and examine witnesses and also to produce documentary evidence to disprove the charge. 92

General Principles Governing Deptl.Enquiries (Summary of Supreme Court guidelines contd)

7. Material evidence either oral or documentary which is not produced during enquiry should not be relied upon to prove the charge. 8. The authority should not be influenced by any extraneous considerations, in arriving at the decision regarding the guilt of the accused officer.
93

General Principles Governing Deptl.Enquiries As per Discipline & Appeal Regulations: Any officer in Class-I or Class-II and superior in rank to the accused officer shall only be appointed as Enquiry Officer. Any other officer such as retired Magistrates/Judges can also be appointed as Enquiry Officers. Disciplinary authority himself can hold enquiry.
94

General Principles Governing Deptl.Enquiries

Enquiry Officer can not act as Disciplinary Authority on promotion.
(Ram Kamal Das Vs. Union of India, 1989 (6) SLR 501)

95

Various Stages of the Enquiry

1. Appointment of E.O. by the D.A. 2. Issuing of charge sheet by the D.A. along with Form-I. 3. Submission of defence statement by the Charged Officer along with filled in Form-I 4. Enquiry Proceedings 5. Inspection of relevant documents. 6. Evidence on behalf of the D.A. shall be adduced. a) Presentation of Prosecution Witnesses and the depositions. b) Cross-examination by the Charged Officer. c) Re-examination of Prosecution Witnesses by the 96 Enquiry Officer.

Various Stages of the Enquiry

7. Examination of witnesses for the defence by the Charged Officer. (a) C.O. may examine himself as witness on his own behalf. (b) Deposition of defence witnesses. (c) Cross-examination of the defence witnesses by the E.O., if considered necessary. 8. Examination of the C.O. by the E.O. on the circumstances appearing against him in the evidence and record his replies. 9. Submission of further written statements. 10. Finalisation and submission of E.R. to the D.A. 97

Disciplinary Proceedings at a Glance

Disciplinary Authority
Enquiry Officer Memorandum of charges (Charge Sheet) Enquiry Officer Prosecution Witnesses and records Enquiry Report Imposition of Penalty Appeal / Review
98

Charged Officer Defence Witnesses

Complaint Preliminary Enquiry [To find out whether there is any truth in the allegation(s)] No Truth (Lodge the petition Petition) Issue Charge Memo. in case of minor penalty Reply if satisfactory (Drop) if not satisfactory, issue SCN for minor penalty.

Truth (Decide it warrants major/minor penalty)

Appoint EO in case of major penalty

Charge sheet
Reply Oral enquiry Submission of ER to the DA Issue SCN

Issue Final Orders (either confirming the provisional punishment indicated in the SCN or award lesser punishment)

Drop the case if all the charges not proved

99

Reply Issue Final orders awarding Major Penalty or Minor Penalty

General Principles Governing Deptl.Enquiries

Dropping of Enquiry - The Disciplinary Authority can change his earlier view to hold a deptl. proceedings and decide to drop the same. - No inference of mala fides can be made merely because of such a change in view unless there are further materials.
(Basistha Narian Vs.I.T.Commissioner, 1968 SLR Pat.422)
100

General Principles Governing Deptl.Enquiries

No ground to order De Novo Enquiry
- The petitioner was dealt with in disciplinary case and the E.O. submitted a report indicating that all the charges framed were held not proved. The D.A. ordered a different E.O. to conduct the enquiry afresh. The High Court held that there is no provision to order de novo enquiry in to the same charges. Even if the E.O. has given benefit of doubt, there is no ground to order de novo enquiry. - (Karnail Singh Vs. State of Punjab, 1992 (1) SLR P&H 376) 101

General Principles Governing Deptl.Enquiries De Novo enquiry where order set aside for procedural lapse. - Where the court set aside the dismissal order on the ground that there was procedural irregularity in the conduct of the proceedings as a person who was biased against the delinquent official was appointed as Enquiry Officer, under such circumstances it was held that it was competent for the State to hold a de novo enquiry into the charge. (Mahadeva Narasappa Vs. State of Karnataka, 1982(1) SLR 656)
102

General Principles Governing Deptl.Enquiries

De Novo enquiry distinguished from further enquiry.

- In de novo enquiry, whatever was recorded at the earlier enquiry would not form part of enquiry file which is likely to prejudice the delinquent officer facing the charge. - In further enquiry, whatever omission was there in the enquiry which can be supplied as per rules, can be supplied by adducing further evidence.
(Supreme Court in K.R.Deb Vs. Collector of Central Excise, Shillong 1971) (C.Bettappa Vs. Union of India, 2004(3) SLJ CAT 287)
103

General Principles Governing Deptl.Enquiries

Though the employee was acquitted by the criminal court, no bar to the employer to proceed with deptl. Proceedings.

(Amar Singh Vs. National Seeds Corporation Ltd. 2002(5) SLR DEL.527) (Nagarjuna Grameena Bank Vs. Mandulla Beerappa, 2003(2) SLR A.P. 515)
104

General Principles Governing Deptl.Enquiries

No deptl. action can be taken, where acquittal is on the basis of entire evidence.
- Honourable acquittal on a consideration of the
entire evidence should be taken as full exoneration and no disciplinary action can be taken by the competent authority on the same facts. (Bhagwat Charan Vs. State of U.P. 1973(2) SLR 238)
105

General Principles Governing Deptl.Enquiries

Simultaneous prosecution and departmental action summary of decisions by Supreme Court: i) Deptl. Proceedings and proceedings in a criminal case can proceed simultaneously as there is no bar in their being conducted simultaneously, though separately. ii) If the deptl. Proceedings and the criminal case are based on identical and similar set of facts and the charge in the criminal case against the delinquent employee is of a grave nature which involves complicated questions of law and fact, it would be desirable to stay the deptl. Proceedings till the conclusion of the criminal case.
106

General Principles Governing Deptl.Enquiries

iii) Whether the nature of charge in a criminal case is grave and whether complicated questions of fact and law are involved in that case, will depend upon the nature of offence, the nature of the case launched against the employee on the basis of evidence and material collected against him during investigation or as reflected in the charge sheet. iv) The factors mentioned at (ii) and (iii) above can not be considered in isolation to stay the deptl. proceedings but due regard has to be given to the fact that the deptl. proceedings can not be unduly delayed.
107

General Principles Governing Deptl.Enquiries

v) If the criminal case does not proceed or its disposal is being unduly delayed, the departmental proceedings, even if they were stayed on account of the pendency of the criminal case, can be resumed and proceeded with so as to conclude them at as early date, so that if the employee is found not guilty his honour may be vindicated and in case he is found guilty, the administration may get rid of him at the earliest.
(State Bank of India Vs. R.B.Sharma; 2005(1) SLJ SC35.

108

Engagement of lawyer/agent
Regulation 10(2)(b) of D&A Regulations: No lawyer / agent shall appear either on behalf of the Transco/Discom or on behalf of the person charged before the EO except under special circumstances to be recorded in writing by the EO. The EO can permit the engagement of lawyer provided that when a request is made by the person charged on the plea that he is not acquainted with the language in which the enquiry is conducted.
109

Functions and Powers of Enquiry Officer

E.O. is to be appointed by the authority competent to impose the major penalties. EO can not proceed with the enquiry when there is a specific order of stay issued by the Court. EO is a delegate of the disciplinary authority. EO can not delegate power of conducting enquiry. A witness can not be an EO. EO should stay the proceedings where bias is alleged against him and await orders of competent authority.
110

Functions and Powers of Enquiry Officer

The EO must be strictly impartial. Normally the venue should be a place where it is convenient to all the parties to the enquiry. The EO should provide all facilities to the accused to inspect the documents listed in the charge and also the list of statements of witnesses. EO should arrange for production of documents required by the charged employee for his defence. He can reject the request to summon documents considered not relevant to the enquiry and in such a case he should record reasons for rejecting the request.
111

Functions and Powers of Enquiry Officer

EO can reject the request to call any witnesses cited by the delinquent, if their examination is considered irrelevant or vexatious or causes harassment or embarrassment. Depositions of witnesses may be recorded in a narrative form. - The questions and answers may be recorded verbatim. - The statement should be read over to the deponent and corrections if nay made in the presence of the both sides.
112

Functions and Powers of Enquiry Officer

- At the head of each statement recorded by the E.O., the name, fathers name (or husbands name), occupation, age and address of the witness should be entered. In the case of official witness, his name, rank and designation should be written - At the end, the EO should record the following:Read over to the witness in the presence of the charged officer and admitted by him as correct. - The signatures of the delinquent officer and the witness (as the case may be) should be obtained on each page of the statement and the EO should also sign on each page.
113

Functions and Powers of Enquiry Officer

During the examination of a witness, the EO should see that the witness understands the question before answering. If the witness gives evidence in a language other than English, it shall be correctly translated into English and recorded. If the witness deposes in a language other than English and the deposition is recorded in English, the deposition should be translated in the language in which it is made and read over to the witness and a certificate recorded as follows:Translated and read over to the witness in ____ (mention the language) and admitted by him to be correct. 114

Functions and Powers of Enquiry Officer

Leading questions i.e., questions suggesting answers to the witness should not be allowed in examination or re-examination. EO may put such questions as he deems fit to witnesses for obtaining clarification on any point. Charged officer can examine himself as a witness on his own behalf in which case he can be subjected to cross-examination on behalf of the Disciplinary Authority.
115

Functions and Powers of Enquiry Officer

The charged officer can not be examined or cross examined by the E.O. to elicit truth in support of the articles of charge when the charged officer does not prefer to examine himself or examine any witness. Combined statements of two or more witnesses should not be recorded. Separate statement should be recorded of each witness. No other witness or outsider shall be allowed during the examination of each witness.
116

Functions and Powers of Enquiry Officer

EO should examine the charged employee on the circumstances appearing against him in the evidence on record to enable him to explain them. EO can not cross-examine the charged employee or put incriminating questions. If the EO is succeeded by another EO, the successor shall proceed with the enquiry from the stage at which it was left by the predecessor unless he considers it necessary to recall and re-examine any of the witnesses already examined. EO should not take any extraneous material or material not brought on record in the enquiry into consideration.
117

Functions and Powers of Enquiry Officer

EO should not make any reference to the advice of any legal or other officer or act on such advice. Copies of depositions recorded at the enquiry may be given to the charged officer, if he requests for the same. EO should discuss and assess the evidence, oral and documentary on record and give reasons for the findings arrived at by him. Findings on the charges should be based entirely on the evidence adduced during the enquiry.
118

Functions and Powers of Enquiry Officer

EO should give his findings on each charge.

EO can not recommend penalty.

The presence of the charged officer is essential throughout the enquiry. His presence at the enquiry is co-terminus with the presence of the E.O. After sending the E.R. to the D.A., the E.O. becomes functus officio and can not make any change in his report.
119

Enquiry Report
(i) (ii) (iii) (iv) The report of EO should indicate:The statement of charges. Summary of the prosecution evidence. Summary of the defence evidence. Points urged by the accused officer in his defence. (v) Findings on the charges. The findings on each charge should be recorded separately. A full final summing up should be given at the end, covering all the charges.
120

Action on the Enquiry Report

On receipt of the ER, the Disciplinary Authority can take action as follows:DA may, for reasons to be recorded in writing, remit the case to the EO for further enquiry and report. DA may disagree with the findings of the EO and arrive at his own findings on the charge, if the evidence on record is sufficient for this purpose. In such a case, the delinquent officer should be provided another opportunity to defend his case. The DA shall issue a SCN to the delinquent who shall be required to submit his written reply. DA shall consider the reply, if any, before 121 proceeding further.

Action on the Enquiry Report

DA may impose a minor penalty, even though the disciplinary proceedings are for imposition of a major penalty. The penalty imposed should commensurate with the gravity of the charge established. The DA should pass a speaking order. He should record reasons where he differs with the findings of the EO. The recommendations of the Vigilance Commission/ACB etc., are not binding on the DA. The DA will have to apply his mind and arrive at his own decision, on findings and quantum of penalty.
122

Ex Parte Enquiry
The EO can conduct the enquiry ex parte when The charged employee after receipt of the charge sheet does not submit his written statement of defence; or Refuses to attend the enquiry; or Remains absent; or Fails or refuses to comply with the provisions. The proof of the charge depends only on undisputed and undeniable documents. The findings may be given based on the materials on record.
123

Common Proceedings
When two or more employees are involved in any case - The authority competent to impose the penalty of dismissal from service on all of them may pass an order for a common proceedings against all of them. If the authorities to impose such penalty are different, then the order for taking disciplinary action in a common proceedings may be made by the highest of such authorities.
124

Action against Retired Employees

If the disciplinary proceedings are instituted while the employee was in service shall be continued even after his retirement. The disciplinary proceedings can be instituted even after retirement in respect of any event which took place not more than 4 years before such institution. The DA has the right to - withhold pension or gratuity or both - withdraw pension or part thereof permanently or for a specified period - order recovery from pension of the whole or part of any pecuniary loss caused by the employee. 125

Final Orders
The final order containing the decision of the authority competent to impose the penalty should be a self-contained order. The order should set out briefly the relevant facts, findings and decision thereon.

126

SALIENT FEATURES OF SPEAKING ORDER

1. Decision is supported by reasons. 2. The explanation of the charged official/employee is considered on each item of charge 3. The Competent Authority has applied his mind while making his recommendations, and/or passing the order 4. The Competent Authority has taken into account only relevant matters and not been actuated by any extraneous considerations.
127

Review of orders in disciplinary cases

Regulation-20: Any orders issued by an authority imposing any penalties specified in reg.-5 can not be reviewed, revised or altered by that same authority for any reason whatsoever.
128

Competency of authorities superior to disciplinary authority

Regulation7(c) of D&A Regulations: Higher authority to Disciplinary authority can reopen the case finalised by the D.A. (either imposed penalty or exonerated) within a period of one year from the date of orders of lower authority and issue orders on the same case. The order of such higher authority shall supersede the order passed by the lower authority. If the higher authority wants to reopen the case after one year, the reopening authority should obtain the permission of the next higher authority 129 to the reopening authority.

Appellate Authority to either reject or accept the Appeal; Cannot impose higher penalty under Reg. 7(c) of APSEB D&A Regns.
The appellate authority imposed higher punishment after more than two years after the date of the order of the D.A. The Appellate Authority could do so within a period of one year from the date of the D.A. but with the permission of the Board after one year, as per Reg.-7(c) of D&A Regs. Appellate authority enhancing the penalty of stoppage of 4 increments with cumulative effect to dismissal can not be sustained.
(D.Subhash Chandra 1995(8)SLR AP 672) Boase Babu Vs. APSEB
130

Regulation-13: Every employee shall be entitled to appeal to the appellate authority - if any of the Penalties in Reg.-5 are imposed on him. - Reducing or withholding the maximum pension - Placing him under suspension under Reg.-11 Regulation-18: The appeal should be considered if it is filed within three months from the date on which a copy of the final orders is served on the employee. The appellate authority may entertain the appeal after the expiry of the said period, if it is satisfied that the appellant had sufficient cause for not preferring the 131 appeal in time.

Appeal

Powers of revision/review
Regulation-14 (A) The appellate authority may SUOMOTU or an application call for the records relating to any order passed or proceedings recorded by a subordinate authority, examine its legality, regularity or propriety and pass such orders as deems fit confirming, setting aside, modifying or revising the order or proceedings, if he is satisfied that the order passed is :(a) Due to inadvertence; or (b) On account of false representation of facts before the concerned authority; or (c) Without hearing the party affected.
132

Appellate Authority
Regulation-15 of D&A Regulations: The appellate authority is under obligation to consider (i) Whether the procedure has been complied with and if not whether such non-compliance has resulted in violation of any constitutional provision or in the failure of justice; (ii) Whether findings are warranted by the evidence on record; (iii) Whether there is sufficient ground for taking action ; and
133

Appellate Authority
(iv) Whether the penalty is adequate, inadequate or severe. (v) The appellate authority can confirm, enhance, reduce or set aside the penalty or remit the case with any direction he deems fit. (vi) While enhancing the penalty, the appellant should be given opportunity to make a representation against such enhancement (vii) In case of enhancement to a major penalty, an enquiry should be conducted if not already held.
134

Special procedure in certain cases

Regulation-10(5) of D&A Regulations: The procedure prescribed for imposition of a minor or major penalty does not apply: (i) Where it is proposed to impose a penalty on the ground of conduct which has led to his conviction on a criminal charge; or (ii) Where the competent authority is satisfied that for reasons to be recorded in writing, it is not reasonably practicable to hold an enquiry or give such opportunity; or (iii) Where the CMD is satisfied that in the interest of the security of the State it is not expedient to hold enquiry or give such opportunity. 135

THANK YOU
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