F.No.43020/14/2021-Estt.A-III
Government of India
Ministry of Personnel, Public Grievance and Pensions
Department of Personnel & Training
Establishment A-III

North Block, New Delhi – 110001
Dated the 3th November, 2021

OFFICE MEMORANDUM

Subject: Aid to processing of departmental proceedings under the CCS (CCA) Rules, 1965- Simplification regarding.

It has been observed that the Disciplinary Authorities, while processing the disciplinary cases under the Central Civil Services (Classification, Control and Appeal) Rules, 1965, sometimes fail to appreciate the vital procedural requirements/timelines provided under the said Rules, albeit unintentionally, which are required to be mandatorily followed to ensure justice and bringing the cases to logical conclusions. Non-conformity to the requirements as per the established rules also leads to intervention by the Courts on the ground of denial of proper opportunity to the Charged Officers for defending themselves appropriately and, consequently, setting aside of disciplinary proceedings. The Charged Officers also tend to take advantage of these procedural flaws in processing of disciplinary cases at various stages of their examination e.g. sharing of documents, approval of Article of Charge by the DA, sharing of UPSC advice and General Examination of the CO, to quote the few. These procedural lapses have also been noticed in various cases referred to this Department for advice.

2. In this regard, an attempt has been made to indicate the various steps involved in the disciplinary cases in a simple form through the enclosed Flow Chart, for better understanding of Rules in their application by the DAs. It is felt that this exercise will facilitate the Administrative Ministries/Departments to deal with the disciplinary cases effectively. It is, however, clarified that the detailed provisions under relevant Rules and instructions issued thereunder may be duly followed in its application and, in case of any ambiguity or conflict of the indicative flow Chart with any of the existing Rules/ Instructions, the extant Rules and Instructions will prevail.

(Umesh Kumar Bhtia)
Deputy Secretary to the Government of India

To
All Secretaries to Ministries/ Department
(As per Standard List)

Steps for holding the Major Penalty proceeding

Important Notes

❖ Bias petition of CO [OM No. 39/40/70-Estt.(A) dated 9.11.1972]
Whenever an application is moved by a Government servant against whom disciplinary proceedings are initiated under CCS (CCA) Rules, 1965 against the Inquiry Authority on ground of bias, the proceeding should be stayed and the application referred alongwith the relevant material, to the appropriate authority for considering the application and passing of appropriate order thereon.
❖ Ex parte inquiry [Rule 14 (20) of the CCS (CCA) Rules, 1965].
Ex-parte inquiry can be resorted to only when the following conditions are satisfied:
a) Articles of charge should have been delivered
b) The charged officer had failed to submit the written statement of defence on or before the specified date or
c) Does not appear in person before the Inquiring Authority or
d) Fails or refuses to comply with the provisions of the CCS(CCA) Rules.
❖ Daily Order Sheet:
Daily Order Sheet is the record of the progress of the case handled by the IA during a day. It is prepared and maintained by the IA. It needs to be appreciated that Daily Order Sheet will be the most authentic record for ascertaining as to what happened in the course of inquiry because it is signed by all present.
❖ Abbreviations used in the flow chart.
a) DA – Disciplinary Authority
b) IA – Inquiring Authority is a Inquiry officer appointed by DA to inquire into the charges.
c) GS – Government Servant against whom disciplinary proceedings are initiated
d) PO – Presenting Officer

Steps for holding the Minor Penalty proceeding under Rule 16

Decision of the DA to take action
When the Disciplinary Authority (DA) decides to hold minor penalty proceeding.

[Charge Sheet – Minor Penalty]
Inform the Government servant in writing of the proposal to take action against him along with the imputations of misconduct or misbehavior on which it is proposed to be taken and give him reasonable opportunity of making such representation as he may wish to against the proposal [Rule 16(1)(a)]

DA considers the representation of GS and decides not to hold any inquiry, for reasons recorded in writing.

In Case no consultation with UPSC required, DA can impose any minor penalty.

DA forwards the representation of GS, along with his comments to UPSC for advice wherever consultation necessary.
DA shall forward or cause to be forwarded a copy of the advice of the UPSC to GS who shall be required to submit, if he so desires, his written representation within 15 days time. [Rule 16(1)(d)]

DA can impose penalty from clause (i) to (iv) of the Rule 11 [Minor Penalties]

Steps for holding the Minor Penalty proceeding under Rule 16

Holding a detailed inquiry in the manner laid down in sub-rules (3) to (24) of Rule 14 in the following circumstances:
a) in every case in which the Disciplinary Authority is of the opinion that such inquiry is necessary or
b)If in case it is proposed, after considering the representation, if any, made by the GS, to withhold
increments of pay and such withholding of increments is likely to affect adversely the amount of pension
payable to the Government servant or to withhold increments of pay for a period exceeding three years
[Rule 16(1)(b) and Rule 16(1-A)]

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