Findings of the Disciplinary Authority (Paragraph 1)

1. The report of the Inquiring Authority is intended to assist the disciplinary authority in coming to a conclusion about the guilt of the Government servant. Its findings are not binding on the disciplinar authority who can disagree with them and come to its own conclusion on the basis of its own assessment of the evidence forming part of the record of the enquiry.

2. On receipt of the report and the record of the enquiry the disciplinary authority, if it is different from inquiring authority, will forward a copy of the inquiry report to the Government servant concerned, giving him an opportunity to make any representation or submission with the following endorsement:-

"The report of the Inquiry Officer is enclosed. The disciplinary Authority will take a suitable decision after considering the report. If you wish to make any representation or submission, you may do so in writing to the Disciplinary Authority within 15 days of receipt of this letter."

3. On receipt of his reply, or if no reply is received within the time allowed, the disciplinary authority will examine the report and record of the inquiry, including the points raised by the concerned Government servant carefully and dispassionately and after satisfying itself that the Government servant has been given a reasonable opportunity to defend himself, will record its findings in respect of each article of charge saying whether, in its opinion, it stands proved or not.

   1.4. If the disciplinary authority disagrees with the findings of the Inquiring Authority on any article of charge, it will, while recording its own findings, also record reasons for its disagreement.

If the disciplinary authority considers that a clear finding is not possible or that there is any defect in the enquiry, e.g., the Inquiring Authority had taken into consideration certain factors without giving the delinquent officer an opportunity to defend himself in that regard, the disciplinary authority may, for reasons to be recorded by it in writing, remit the case to the Inquiring Authority for further inquiry and report. The Inquiring Authority will, thereupon, proceed to hold the further inquiry according to the provisions of Rule 14 of the CCA Rules, as far as may be.

1. If the disciplinary authority comes to the conclusion that the inquiry was not made in conformity with principles of natural justice, it can also remit the case for further enquiry on all or some of the charges.

2. The discretion in this regard should be exercised by the disciplinary authority for adequate reasons to be recorded in writing. A further enquiry may be ordered, for example, when there are grave lacunae or procedural defects vitiating the first enquiry and not because the first enquiry had gone in favour of the delinquent officer. In latter type of cases, the disciplinary authority can, if it is satisfied on the evidence on record, disagree with the findings of the Inquiring Authority.

3. In this context the following observations of the Rajasthan High Court in Dwarka Chand Vs. State of Rajasthan (AIR 1959, Raj. 38) are relevant:-

   "If we were to hold that a second departmental enquiry could be ordered after the previous one has resulted in the exoneration of a public servant the danger of harassment to the public servant,would in our opinion, be immense. If it were possible to ignore the result of an earlier departmental enquiry, then there will be nothing to prevent a superior officer, if he were so minded, to order a second or a third or a fourth or even a fifth departmental enquiry after the earlier ones had resulted in the exoneration of a public servant."

Having regard to its own findings on the articles of charge, if the disciplinary authority is of the opinion that the articles of charge have not been proved and that the Government servant should be exonerated, it will make an order to that effect and communicate it to the Government servant together with a copy of the report of the Inquiring authority if it has not been given to him earlier), its own findings on it and brief reasons for disagreement, if any, with the findings of the Inquiring Authority.

1. If the disciplinary authority is of the opinion that any of the minor penalties should be imposed on the Government servant, it is not necessary to give any further show cause notice to the Government servant in such cases in the interest of natural justice or otherwise.

2. If the disciplinary proceedings had been instituted by a higher authority competent to impose a major penalty and on receipt of the report of the Inquiring Authority, it appears that a minor penalty will meet the ends of justice, the final order imposing a minor penalty should be passed by the same higher disciplinary authority which had initiated the proceedings and not by the lower disciplinary authority though he may be competent to impose a minor penalty.

3. If the Government servant is one whose services had been borrowed by one Department from another Department or from a State Government or an authority subordinate thereto or a local or other authority, the disciplinary authority will make an order imposing a minor penalty after consultation with the lending authority. In the event of a difference of opinion between the borrowing authority and the lending authority, the services of the Government servant will be replaced at the disposal of the lending authority.

4. In a case in which it is necessary to consult the Union Public Service Commission, the disciplinary authority will forward the record of the enquiry to the Union Public Service Commission for its advice and will take the advice of that Commission into consideration before making an order imposing a minor penalty. (See Chapter XVI).

1. If the disciplinary proceedings were instituted by an authority competent to impose any of the minor penalties but not competent to impose a major penalty and if such authority is of the opinion that any of the major penalties should be imposed on the Government servant, it will forward the record of the enquiry to the authority competent to impose a major penalty who will take further action.

2. If the disciplinary authority to which the records are so forwarded is of the opinion that a further examination of any witness is necessary in the interest of justice, if may recall the witness and examine, cross-examine and re-examine the witness and may then take action for the imposition of such penalty as it may deem fit.

In cases in which it is necessary to consult the UPSC, the record of the enquiry, together with relevant documents will be forwarded by the disciplinary authority to the Commission for

1. It is in the public interest as well as in the interest of the employees that disciplinary proceedings should be dealt with expeditiously. At the same time, the disciplinary authorities must apply their mind to all relevant facts which are brought out in the enquiry before forming an opinion about the imposition of a penalty, if any, on the Government servant. In cases which do not require consultation with the Central Vigilance Commission or the UPSC, it should normally be possible for the disciplinary authority to take a final decision on the enquiry report within a period of 3 months at the most. In cases where the disciplinary authority feels that it is not possible to adhere to this time limit, a report may be submitted by him to the next higher authority indicating the additional period within which the case is likely to be disposed of and the reasons for the same. In cases where consultation with the UPSC and the CVC is required, every effort should be made to ensure that such cases are disposed of as quickly as possible.

2. After considering the advice of the UPSC, where the UPSC is consulted, the disciplinary authority will decide whether the Government servant should be exonerated or whether a penalty should be imposed upon him and will make an order accordingly. In para 11.2 of Chapter X it has been indicated that the disciplinary authority could after receiving the enquiry report in cases initiated under Rule 14 impose a minor penalty also.

3. In every case in which the charge of acceptance from any person of any gratification, other than legal remuneration, as a motive or reward for doing or forbearing to do any official act is established, the penalty of removal or dismissal should be imposed. The disciplinary authority may, however, impose any other punishment in any exceptional case and for special reasons to be recorded in writing.

4. In determining the quantum of punishment, the disciplinary authority should take into account only that material which the Government servant had the opportunity to rebut. The object is to ensure that no material of which the Government servant was not given prior notice and which he was not given adequate opportunity of rebutting or defending himself against should be taken into account for deciding the extent of punishment to be awarded.

5. The order should be signed by the disciplinary authority competent to impose the penalty. In a case in which the competent authority is the President, the order should be signed by an officer authorised to authenticate order issued in the name of the President under Article 77(2) of the constitution.

6. The Central Vigilance Commission tenders its advice in confidence and its advice is a privileged communication. No reference to the advice tendered by the Commission should, therefore, be made in any formal order.

7. It may happen that a charged public servant may go to a court of law either during the currency of the disciplinary proceedings or on their completion, pleading inter alia that a copy of the advice tendered by the Central Vigilance Commission to the disciplinary authority had not been made available to him and, therefore, the rules of natural justice were violated. In such cases, the Commission should be consulted and it would advice the disciplinary authority in regard to the drafting of the affidavit in opposition mainly with reference to the matters dealt with in the course of hearing before the Commissioner for Departmental Inquiries, about procedural aspects of departmental inquiries or advice tendered by it on the report of the Commissioner for Departmental Inquiries. The Supreme Court in CA No.1277 of 1975- Sunil Kumar Banerji Vs. State of West Bengal and others have held inter alia that the disciplinary authority could consult the Vigilance Commission and that it was not necessary for the disciplinary authority to furnish the charged officer with a copy of the Commission's advice. This may also be kept in view for contesting cases of the type mentioned in the previous paragraph.

1. The order made by the disciplinary authority will be communicated to the Government servant together with:-

   1. a copy of the report of the Inquiring Authority, if not supplied already;

   2. a statement of findings of the disciplinary authority on the inquiring authority's report together with brief reasons for its disagreement, if any, with the findings of the Inquiring Authority, if not supplied already;

   3. a copy of the advice, if any, given by the UPSC and where the disciplinary authority has not accepted the advice of the UPSC a brief statement of the reasons for such non-acceptance.

2. A copy of the order will also be sent to :-

   1. the Central Vigilance Commission in cases in which the Commission had given advice;

   2. the UPSC in cases in which they had been consulted;

   3. to the Head of Department or office where the Government servant is employed for the time being unless the disciplinary authority itself is the Head of the Department or office; and

   4. The SPE in cases mentioned in para.

In respect of a Government servant whose services have been borrowed by one department from another from a State Government or an authority subordinate thereto or a local or other authority if in the light of the findings in the disciplinary proceedings conducted against him the borrowing authority at whose instance the proceedings were instituted is of the opinion that any of the major penalties should be imposed on the Government servant it will replace the services of such Government servant at the disposal of the lending authority and transmit to it the proceedings of the enquiry for such action as it may deem necessary. The lending authority may, if it is also the disciplinary authority, pass such orders thereon as it may deem necessary, or if it is not the disciplinary authority submit the case to disciplinary authority which will pass such order as on the case as it may deem necessary. The disciplinary authority may make an order on the basis of record of the enquiry transmitted to it by the borrowing authority or after holding such further enquiry, as it may deem necessary.

In all cases where disciplinary action was initiated on the basis of a report received from the SPE the following documents should be made available to the SPE soon after a final decision has been taken by the disciplinary authority:-

1. a copy of the report of the inquiring authority and a statement of the findings of the disciplinary authority together with brief reasons for its disagreement, if any, with the findings of the Inquiry Authority.

2. a copy of the advice, if any, given by the UPSC and where the disciplinary authority has not accepted the advice of the Commission, a brief statement of the reasons for such non-acceptance; and

3. orders passed by the disciplinary authority.

1. An order of punishment withholding a Government servant's promotion should clearly state the period for which the promotion is withheld. The order will debar him from being considered for promotion during that period, whatever be his seniority, merit or ability.

2. Promotion could be withheld permanently. The imposition of a punishment of a permanent nature should, however, be avoided as far as possible as it is destructive of incentive for good work and improvement.

The penalty of recovery of pecuniary loss caused to Government from the pay of a Government servant should be imposed only when it has been established that the Government servant was directly responsible for a particular act or acts of negligence or breach of orders or rules which caused the loss. When ordering such recovery the disciplinary authority should clearly state as to how exactly the negligence was responsible for the loss. The order should also specify the number and amount of installments in which recovery to be made. The amount of the installment should be commensurate with the capacity of the Government servant to pay.

When ordering the withholding of an increment the disciplinary authority should give the period for which increment is withheld and whether the withholding will have the effect of postponing future increments.

Reduction to a lower state in the time scale of pay can be ordered for a specified period only. In compliance with the requirements of Rule 11(v) of the CCA Rules and FR 29(i), when ordering a penalty of reduction to a lower stage in the time scale of pay, the disciplinary authority will indicate:-

1. the date from which the order will take effect;

2. the stage in the time scale of pay in terms of rupees to which the pay of the Government servant is to be reduced;

3. the period, in terms of year and moths, for which the penalty will be operative;

4. Whether the Government servant will earn increments of pay during the period of such reduction; and

5. Whether on the expiry of such period, the reduction will or will not have the effect of postponing the future increments of his pay.

1. The penalty of reduction to a lower time scale of pay, grade, post or service may be imposed by disciplinary authority for a specified period or for an unspecified period.

2. The order will give:

   1. the lower time scale of pay, grade, post or service and stage of pay in the said lower time scale to which the Government servant is reduced;

   2. the date from which the order will take effect;

   3. where the penalty is imposed for a specified period, the period, in terms of years and months, for which the penalty will be operative;

   4. if the penalty is imposed for an unspecified period directions regarding conditions of restoration to the grade or posts or service from which the Government servant was reduced and his seniority and pay on such restoration to that grade, post or service.

3. If the order does not specify any period and simultaneously there is an order declaring the Government servant permanently unfit for promotion, the question of his promotion will not arise. In other cases where the order does not specify any period, the Government servant should be deemed to be reduced for an indefinite period, i.e. till such date as on the basis of his performance subsequent to the order of reduction, he may be considered fit for promotion.

An officer whose increments have been withheld or who has been reduced to a lower stage in the time-scale cannot be considered, on that account, 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. In 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, however, 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.

While normally there will be no need to impose two statutory penalties at a time, the penalty of recovery from his pay of the whole or part of any pecuniary loss caused by him to the Government by negligence or by breach of order could be imposed along with any other penalty.

The Supreme Court of India in the case of Nayadar Singh Vs. Union of India [1989(1) SLJ 1] has held that one cannot be reduced in rank to a post lower than one to which he was actually recruited.