GOVERNMENT OF ANDHRA PRADESH
GENERAL ADMINISTRATION (SERVICES-C) DEPARTMENT
Circular Memo. No. 13673/Ser. C/2002-2. Dated: 05-07-2002.
Sub: Public Services - Disciplinary cases against Government Employees - Procedural aspects - Comprehensive Check list for use of the Disciplinary and Inquiry Authorities - Communicated.
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Instructions have been issued from time to time on various procedural aspects in dealing with disciplinary cases against Government Employees. For better understanding clarifications / instructions are issued on step-by-step procedure to be followed from the stage of initiation of disciplinary proceedings till its conclusion. Instances have come to the notice that there are procedural infirmities in dealing with the disciplinary cases, resulting in legal tangle. Adoption of the checklist by the Disciplinary Authorities and the Enquiry Officer would help then commence and conclude disciplinary proceedings strictly in accordance with the provisions of these Rules and Instructions, avoiding errors and illegalities likely to be challenged before the Appellate Authority or the Tribunal. It is keenly felt to remedy the situation with the above objective in view, a checklist has been designed.
2. The check list is divided into two parts namely Part-I, dealing with service particulars and Part-II dealing with stages of disciplinary case has been evolved and communicated here with for guidance of the Disciplinary Authority and Enquiry Officers where major penalty proceedings have been initiated.
3. The Departments of Secretariat, the Heads of Departments and the District Collectors are requested to follow the Check List in dealing with disciplinary cases and also bring to the notice of all other concerned Authorities.
4. The receipt of the Memo may be acknowledged.
CHECK LIST FOR DISCIPLINARY CASES
PART - I - SERVICE PARTICULARS
| 1. | Name of the Charged Officer
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| 2. | Status (A Gazetted Officer/ N.G.O. / P.S. Undertaking Employee or Other Category) Service to which he belongs: The Rules applicable:
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| 3. | Whether Permanent or Temporary or Contract Employee
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| 4. | Post Held
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| a) Designation
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| b) Scale of Pay with Stages, Efficiency Bar etc.,
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| c) Pay drawn
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| d) Date from which present pay is drawn
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| e) Date of next increment
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| i) in the post held substantively
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| ii) in the post in which officiating at present
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| 5. | Post next below which the officer would have held but for his appointment to the present post (specify name of the Post and Scale of Pay)
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| 6. | Post if any in which the service of the Officer has been regularized
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| 7. | Date of Birth
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| 8. | Date of Joining Government Service
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| 9. | Due date of Retirement
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| 10. | a) Actual date of Retirement, if retired already
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| b) Amount of Monthly Pension admissible
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| c) Amount of Monthly Pension sanctioned
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| d) Amount of Gratuity; admissible / sanctioned
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| e) Whether Pensionary Benefits are withheld pending finalization of withheld pending finalization of disciplinary case / Criminal case, if so, whether Provisional Pension is sanctioned? (Required only in cases of recovery or withholding from Pensionary Benefits)
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| 11. | a) Appointing Authority in respect of the post held at present or the Authority which actually appointed the person if that Authority is higher
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| b) Authority competent to impose the penalty in respect of post held now
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| c) Appellate Authority at present
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PART - II: DETAILS OF CASE
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| 1. | Indicate advice of V.C. in the first stage
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| 2. | Whether common or individual inquiry?
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| 3. | In case of common disciplinary Proceedings, indicate order of Competent Authority under Rule 24 of the C.C.A. Rules in the format VII, of G.O. Ms.No.82, G.A. (Ser.C) Dept., Dated:01-03-1996.
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| 4. | Whether definite charges have been framed as per Rules applicable to the Officer with the statement of imputations along with enclosures viz., list of witnesses, list of documents etc., in terms Government Memo. No. 290/Ser. C/94-C/94-2 G.A.D. Dated: 01 -06- 1994 and G.O. Ms. No. 82, G.A. (Ser. C), Dated: 01 -03-1996 (References of V.C. I A.C.B. should not be quoted in charge memo)
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| 5. | Record of delivering charge sheet to the Charged Officer whether available and date of service:
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| 6. | Whether reply of the Charged Officer if any received. If not reasons
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| 7. | Whether it is decided to impose a minor penalty if so, details thereon
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| 8. | In case of decision to conduct major penalty proceedings the Inquiry Authority
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| a) suggested by Vigilance Commission
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| b) appointed by Department
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| 9. | Date of appointment of Inquiry Authority in terms of format IV prescribed in G.O. Ms. No. 82, G.A. (Ser. C) Dept., Dated: 01-03-1996 [in case of Dept. I.O., the 1.0. should be an Officer of higher rank to that of Charged Officer(s)]
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| 10. | Whether any Presenting Officer was appointed as per sub rule 5 (c) of Rule 20 keeping in view the instructions in Memo. No. 22/Ser. C/93, G.A. (Ser. C) Dept. Dated: 01-05-1993 and in the format of G.O. Ms. No. 82, G.A. (Ser. C) Dept., Dated: 01-03-1996. [Presenting Officer should be of higher rank to that of Charged Officers)]
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| 11. | (i) Whether the I.O. has maintained a daily order sheet indicating progress of oral inquiry?
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| (ii) Whether depositions of prosecution / defence witnesses recorded?
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| (iii) Whether statement of defence of Charged Officer(s) obtained.
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| (iv) Whether copies of relevant documents supplied to Charged Officer?
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| (v) Whether exhibits are marked as
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| a) Prosecution
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| b) Defence
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| (vi) Whether Presenting Officer submitted any written brief?
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| (vii) Whether a copy of the same if any was supplied to Charged Officer?
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| (viii) Whether written brief submitted by Charged Officer?
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| 12. | Was the inquiry exparte? If so, was it in accordance with G.O. Ms. No. 194, G.A. (Ser. C) Dept., Dated: 15-03-1990 Whether the Departmental Proceedings could be delivered in person or leave address? If not, whether the same is published in the A.P. Gazette / Dist. Gazette, as the case may be?
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| 13. | Is the I.Os report available and as per sub rule 23 of Rule 20.
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| 14. | Whether the report of the 1.0. contains the following as required under sub rule 23 of Rule 20 of C.C A. Rules
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| (i) An introductory para, indicating appointment of I.O. and the dates of hearing
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| (ii) Charges that were framed
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| (iii) Brief statement of the case of Disciplinary Authority in respect of the charges enquired into
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| (iv) Brief statement of facts and documents admitted
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| (v) Brief statement of the explanation of the Government Servant
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| (vi) Assessment of evidence in respect of each point
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| (vii) Finding on each charge (the Enquiry Officer to ensure that recommendation is made about the quantum of punishment)
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| 15. | Whether the Inquiry Officer sent the following along with the Enquiry Report
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| (i) list of documents produced by the Presenting Officer
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| (ii) list of documents produced by the Government Servant
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| (iii) list of prosecution witnesses
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| (iv) list of defence witnesses
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| (v) deposition of witnesses in the order in which they were examined
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| (vi) Written Statement of defence
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| (vii) Application if any, filed during the course of inquiry, and orders passed thereon, as also orders passed on oral requests made during the inquiry
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| 16. | (i) Whether the further action on the inquiry report is as per Rule 21 of the C.C.A. Rules?
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| (ii) (a) Whether the Disciplinary Authority after going through the Inquiry Report agrees with the findings:
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| (b) If any error is noticed whether the point in which it erred is recorded and did the Disciplinary Authority ask the same Inquiry Officer to conduct further enquiry? (There is no provision for de -novo enquiry or to conduct fresh enquiry)
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| (iii) Whether Disciplinary Authority exercised its mind in arriving at the findings on the charges and independently arrived at the nature and quantum of punishment?
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| (iv) Whether the Andhra Pradesh Vigilance Commission is consulted as per the Scheme of Vigilance Commission?
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| 17. | (i) Whether the report of the Inquiry Officer communicated to the Charged Officer?
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| (ii) In case of disagreement with the findings of the Inquiry Authority whether grounds for the same communicated to the Charged Officer along with the Inquiry Report
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| (iii) Whether representation of the Charged Officer on the findings of the Inquiry Officer received?
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| (iv) Para-wise comments of the Disciplinary Authority on the representation of the Charged Officer, if any
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| (v) Whether Disciplinary Authority has considered the merits of the case and come to the conclusion that a formal penalty is called for
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| (vi) Whether the Andhra Pradesh Vigilance Commission consulted as per the Scheme of the Vigilance commission and advice tendered
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| (vii) Whether orders in the circulation to C.M. obtained in case the Andhra Pradesh Vigilance Commissioner's recommendations were not agreed to
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| (viii) Whether Andhra Pradesh Public Service Commission need be consulted and if so, whether it was consulted and advice of the A.P.P.S.C. thereon
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| (ix) Whether the final orders issued agree with the recommendation of A.P.P.S.C.
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| (x) If not whether orders in circulation obtained in consultation with Andhra Pradesh Vigilance Commission
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| 18. | Awarding penalties
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| (a) Whether the instructions issued in U.O. Note No. 28552/Ser. Cl 97-1, G.A. (Ser. C) Dept., Dated: 07-5-1997, are kept in view while issuing orders
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| (b) Whether the instructions issued in U.O. Note No. 1713/Ser. C/66-1, Dated: 01- 07-1966, have been following or not regarding punishme1,, awarded
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| (c) Whether the instructions vide Memo. No. 1436/Ser. C/80-2, Dated: 07-02-1981 have been followed while imposing penalty of stoppage of Annual Grade Increments with cumulative effect
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| (d) Whether the order of penalty and other papers communicated to the delinquent as per Rule 23
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B. PENALTY UNDER THE A.P. REVISED PENSION RULES, 1980:
(Where it is proposed to withhold or withdraw pension otherwise admissible to the Officer as a result of disciplinary proceedings instituted / deemed to continue in respect of an Officer who has retired from service)
| a. | Whether order was issued in the prescribed proforma to the effect that disciplinary proceedings should be instituted / continued under the Revised Pension Rules vide Memo. No. 17757-A/216/Pen. P 94, Dated: 24-05- I 994 of finance (Pen. 1) Department
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| b. | Whether the charge is within the limitation of 4 years as per Rule 9 (2) (b)(ii) of R.P.Rs.
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| c. | Whether Show Cause Notice issued to the Officer indicating precisely the quantum of cut proposed to be made in his pension and the period for which it shall be operative (As per Note under Rule 9 (2) of R.P.Rs.)
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| d. | Reply of the Officer to the aforesaid notice
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| e. | Comments on factual or procedural points raised by the Officer in his reply
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| f. | Whether A.P.P.S.C. was consulted on the penalty?
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C. IN CASE OF DISCIPLINARY INQUIRY BY TRIBUNAL FOR DISCIPLINARY PROCEEDINGS:
In case of T.D.P. inquiry date of furnishing of records to T.D.P. Whether orders are issued in the prescribed format in terms of U.O. Note No. 58414/Ser. C/2000-3, Dated: 07-02-2001 [Refer topic-B for further course of action under A.P.C.S. (DPT) Rules]
| 1. | a) Date of order placing the C.O(s) on their defence before Tribunal for Disciplinary Proceedings
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| b) Date of receipt of report from T.D.P
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| 2. | Ref. No.
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| 3. | Findings of the T.D.P.
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| 4. | Whether Tribunal proved the charges and in case of exoneration whether it is stated that the C.Os are fully exonerated (if no specific recommendation is made it should be construed that the C.O(s) are not fully exonerated as per Rule 6 (2)(a) of A.P.C.S. (D.P.T.) Rules.
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| 5. | Whether findings of the T.D.P. are agreed to. If not
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| (i) whether further inquiry by T.D.P. is sought under Rule 6 (2)(c) of A.P.C.S. (D.P.T.) Rules.
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| (ii) whether it is proposed to disagree with the findings of the T.D.P.
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| 6. | Whether Vigilance Commission is consulted as per instructions issued in G.O. Ms. No. 514, G.A. (Ser. C) Department Dated: 15-10-1994, if so advice of V.C
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| 7. | Whether enquiry report of the T.D.P. is communicated to C.O. calling for his representation, if any (within one month)
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| (i) agreeing with the findings
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| (ii) Disagreeing with findings duly communicating the points of disagreement together with a brief statement of the grounds therefore along with enquiry report
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| 8. | Whether any representation of the Delinquent Officer received, if so his contentions
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| 9. | Whether any representation of the Delinquent Officer received, if so his contentions
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| 10. | Provisional decision of the Government on penalty to be imposed
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| 11. | Advice of the Commission on the quantum of penalty to be imposed
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| 12. | Whether Department issued orders as advised above (If the C.O. is retired after the case is entrusted to T.D.P. a show cause notice may be issued as per note to Rule 9 (2) of R.P. Rs .1980, before imposing Penalty
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| 13. | If not whether orders in circulation to C.M. are obtained for deviation
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| 14. | Final orders issued by the Government with Ref. No. and Date
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D. DISCIPLINARY ACTION FOR PENALTY IN PURSUANCE OF CONVICTION IN COURT UNDER RULE 25 (i) OF C.C.A. RULES:
(Mere suspension of sentence no bar to levy of penalty under Rule 25 (i) of C.C.A. Rules)
| 1. | Name of the Court which convicted: the Accused Officer (s) with C.C. No. / Date of judgment
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| 2. | Date of receipt of copy of judgment
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| 3. | Sentence
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| 4. | Nature offence held proved viz., misappropriation, corruption, acceptance of illegal gratification, forgery; possession of disproportionate assets, causing wilful loss to Government for pecuniary gain of private persons
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| 5. | Penalty Proposed (Penalty of dismissal from service in terms of orders issued in U.O. Note No. 1700/SC. D/92-4, GA. (SC. D) Dept., Dated: 09-03-1994, proviso to Rule 9 of C.C.A. Rules and G.O. Ms. No. 2, G.A. (Ser. C) Dept., Dated: 04-01-1999, to be imposed ordinarily in the above cases)
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| 6. | If a lesser punishment is proposed, reasons therefore
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| 7. | Whether properties of Accused Officer was attached and forfeited under Crl. Law Amendment Ordinance, in the disproportionate / misappropriation etc., cases. Action taken thereon.
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| 8. | ln case of acquittal whether Competent Authority has examined the judgment whether there are grounds for appeal
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| 9. | Whether appealed?
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| 10. | Whether proposed to initiate departmental Action in case of acquittal on benefit of doubt / technical grounds
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| 11. | Provisional decision of the Disciplinary Authority
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| 12. | Whether A.P.V.C. is consulted in the Matter
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| 13. | Advice of the V.C. in the case
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| 14. | Whether orders are proposed as advised by Andhra Pradesh Vigilance Commission
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| 15. | If not, whether orders in circulation to C.M. have been obtained
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| 16. | Final orders of the Government in the disciplinary action consequent on conviction of Accused Officer (s) and penalty imposed on delinquent (s) | : |
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Note: In case of penalty other than pension cut in pursuance of conviction, Department need not consult the A.P.P.S.C.
