Steps for holding the Major Penalty proceeding 1

When the Approval of Charge sheet:

DA has to approve the charge sheet [Rule 14(3)] [Charge Sheet]
Disciplinary DA shall deliver a copy of the articles of charge,
Authority Signature on the charge sheet:
a) If the President is the DA – An officer the statement of the imputations of
(DA) decides misconduct or misbehaviour and a list of
to hold authorized under Article 77(2) of the
Constitution to authenticate the order on documents and witnesses by which each article
major or charges is proposed to be sustained. [Rule
penalty behalf of President.
b) In cases where the DA other than the 14(4)(a)]
proceeding.
[Rule 14(2)] President – DA itself to sign the charge sheet.

[Written Statement of Defence (WSD)]

DA records its findings and On receipt of article of charge, the Govt Servant (GS)
If all the articles of shall submit his WSD within a period of 15 days,
shall act in manner laid
charges have been extendable for a period of 15 days at a time by the
down in Rule 15
[Rule 14(5)(a)] admitted DA but shall not exceed 45 days from the date of
receipt of article of charge. [Rule 14(4)(b)]

If the charges have not

Either does not admit the charge
Drop the charges been admitted by GS and
DA accepted the reply. or does not submit the WSD.

DA may itself inquire into any

[Defence Assistant] GS shall appear before the IA article of charge or appoint an
GS may take the assistance of within 10 days as specified by the
any other Govt. Servant or Legal Inquiring Authority (IA) and
IA or within such further time, not Presenting Officer (PO) [Rule
Petitioner (Only if Presenting
Officer a Legal Petitioner) or exceeding 10 days, as the IA may 14(5)(c)]
allowed by the DA. [Rule 14(8)] allow. [Rule 14(7)]
Continued from pre-page 2
The IA shall adjourn the case to a later date, not
exceeding 30 days, after recording an order that the GS
[Proceedings before the IA] if the GS fails to may :-
IA shall ask GS whether he is appear within the (i) inspect the document (s) within 5 days of the
guilty or has any defence to make. specified time or order , extendable to not more than 5 days by the
If he pleads guilty to any of the refused or omits to IA, attached with the Charge-Sheet ;
articles of charge, the IA shall plead, IA Shall (ii) submit a list of witnesses to be examined on
record the plea, sign the record & require the PO to behalf of GS ; and
obtain the signature of GS produce the (iii) give a notice within 10 days of the order or
thereon. Thereafter, the IA to evidence by which within such further time not exceeding 10 days as
return a finding of guilt in respect he proses to prove the IA may allow, for discovery or production of
of admitted charge(s). [Rule 14(9) the articles of any documents which are in possession of the
& 14(10)] charge. Government but not mentioned in the charge
sheet. [Rule 14(11)]

[Requisition of Documents ]
Request of GS for production of document shall be
Production of documents
forwarded to concerned authority in whose
custody the documents are kept. IA may, however,
Authority, having the custody of requisitioned documents,
refuse, for the reasons to be recorded in writing, to
may inform the IA that production of document(s) would
requisition documents if in its opinion such
be against public interest or security of State.
documents not relevant to the case.
IA shall thereafter communicate this to GS and withdraw
Authority shall produce the documents by the due
the requisition made by it for production of document (s).
date or issue a non-availability certificate before the
[ Proviso to Rule 14(13)]
IA within 1 month [Rule 14(12) & 14(13)]
Continued from pre-page 3
[New Evidence]
❖Before closing the case on behalf of DA, PO may be
Enquiry Stage (DA’s Case) allowed to produce new evidence or itself call for new [Enquiry stage
On the date fixed for evidence or recall and re-examine any witness. In all (GS’s Case)]
inquiry, listed documents such eventualities, the GS shall be entitled to have a After the case is
to be produced by PO; copy of list of new evidence. closed on behalf
witnesses to be examined ❖IA to adjourn the inquiry for three clear days, of DA, GS shall
by PO, may be crossed excluding the day of adjournment and day of hearing. be required to
examined by GS/ Defence ❖IA to give an opportunity to GS for inspection of such state his
Assistant. PO shall be new documents and to allow GS to produce new defence, orally
entitled to re-examine the evidence if necessary in the interests of justice. or in writing
witnesses. [Rule 14(14)] [Rule 14(15) [Rule 14(16)

[General Examination] ]Enquiry

[PO and CO brief] The IA may, after the [Enquiry stage (GS’s stage (GS’s
Where IA decides to take Government servant closes his Case)] Case)]
written brief, PO may first case, and shall, if the The witness The GS may
submit its written brief Government servant has not produced by the GS examine
and a copy thereof must examined himself, generally shall then be himself in
be made available to the question GS on the examined, cross- his own
GS. Thereafter, GS may circumstances appearing against examined by PO and behalf if he
file its written brief. him in the evidence to enable GS re-examined by GS so prefers.
[Rule 14(19) and OM No. to explain any circumstances [Rule 14(17) [Rule 14(17)
11012/18/77-Estt.(A) appearing in the evidence
dated 2.09.1978 ] against him.
[Rule 14(18)
 Continued from pre-page 4
DA shall forward a copy
IA shall conclude the
[Submission of [Action on Inquiry of the final IR together
inquiry within 6
Report by IA] Report (IR)] with its own tentative
months, which can be
After conclusion of DA, after reasons reasons for
extended by DA for
the proceedings, IA to to be recorded, disagreement, if any, to
six months at a time,
prepare the Report, may remit the the GS, for submission of
for reasons to be
which shall be case to the IA for written
recorded by DA or
forwarded to DA. further inquiry. representation/submissio
the authority
n, if any, within 15 days.
authorized by it.
[Rule 14(23)] [Rule 15(1)] [Rule 15(2)]
[Rule 14(24)]

DA can impose penalty [Sharing of UPSC [UPSC consultation, Wherever

from clause (i) to (ix) advice with CO] necessary ]
of the Rule 11. DA shall forward to UPSC
Not necessary for DA UPSC advice has to be (i) IA Report + disagreement, if any
to afford opportunity forwarded to GS, who (ii) DA’s comments on the GS’s
to GS of making shall be required to representation + disagreement note, if
representation on submit, if he so desires, any, and all case records of the inquiry
penalty proposed to his reply within 15 days. proceedings.
be imposed. [Rule 15(3)]
[Rule 15(3)]
[Rule 15(6)]
Continued from pre-page 5
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 6
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.

DA forwards the representation of GS, along with his comments to

In Case no consultation UPSC for advice wherever consultation necessary.
with UPSC required, DA
can impose any minor DA shall forward or cause to be forwarded a copy of the advice of the
penalty. 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]