Rule 19. PENALITIES
The following penalties may, for good and sufficient reasons and as hereinafter provided,
be imposed on an employee namely:
Minor Penalties
(a) Censure
(b) Withholding /barring of promotion.
(c) With holding of increments of pay with or without cumulative effect.
(d) Recovery from pay or such other amount as may be due to him of the
whole or part of any pecuniary loss caused to the Corporation by negligence or breach of
orders.
Major Penalties:
(e) Reduction to a lower grade or post or to a lower stage in a time
scale of pay for a specified period with further directions as to whether or not the
employee shall earn increment of pay during the period of such reduction and whether on
the expiry of such period, the reduction will or will not have the effect of postponing
the further increment of his pay.
(f) Removal from service which shall not be a disqualification of future
employment.
(g) Dismissal.
Explanation:
The following shall not amount to a penalty within the meaning of this rule:
(i) Stoppage of an employee at the efficiency bar in a time scale, on
the ground of his unfitness to cross the bar.
(ii) Non-promotion, whether in an officiating capacity or otherwise, of
an employee to a higher post for which he may be eligible for consideration but for which
he is found unsuitable after consideration of his case.
(iii) Reversion to a lower grade or post of an employee officiating in a
higher grade or post on the ground that he is considered, after trial, to be unsuitable
for such higher grade or post or on administrative grounds unconnected with his conduct.
(iv) Reversion to his previous grade or post of an employee appointed on
probation to another grade or post during at the end of the period of probation in
accordance with the term of his appointment.
(v) Termination of Services.
(a) Of an employee appointed on probation during or at the end of the
period of probation, in accordance with the terms of his appointment.
(b) Of an employee appointed in a temporary capacity on the expiration
of the period for which he was appointed or earlier in accordance with the terms of his
appointment.
(c) Of an employee appointed under a contract or agreement in accordance
with the terms of such contract or agreement, and
(d) Of an employee on reduction of establishment.
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Rule 20. PROCEDURE FOR IMPOSING MAJOR PENALITIES
(1) No order imposing any of the major penalties specified in clauses
(e) , (f) and (g) of Rule 19 shall be made except after an enquiry is held in accordance
with this rule.
(2) Whenever the competent authority is of the opinion that there are
grounds for inquiring into the truth of any imputation of misconducts or misbehaviour
against an employee, it may itself inquire into or appoint any person or persons
hereinafter called the inquiring authority to inquire into the truth thereof.
(3) Where it is proposed to hold an enquiry, the competent authority
shall frame definite charges on the basis of the allegations against the employee. The
charges together with a statement of the allegations on which they are based and a list of
documents by which, and a list of witnesses by whom, the articles of charges are proposed
to be sustained, shall be communicated in writing to the employee, who shall be required
to submit within such time as may be specified by the competent authority (not exceeding 3
days), a written statement whether he admits or denies any or all of the articles of
charge.
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Explanation:
It will not be necessary to show the document listed with the charge-sheet or any other
documents to the employee at this stage .
(4) On receipt of the written statement of the employee or if no such
statement is received within the time specified, an enquiry may be held by the inquiring
authority constituted under sub clause (2).
Provided that it may not be necessary to hold an enquiry in respect of the charges
admitted by the employee in his written statement. The inquiring authority shall, however,
record its findings on each such charge.
(5) The competent authority is entitled to appoint a Presenting Officer
to present the Management’s case before the inquiring authority. The Presenting
Officer so appointed shall be an employee of the Corporation.
(6) The employee may take the assistance of another employee of the
Corporation.
(7) On the date fixed by the inquiring authority the employee shall
appear before the inquiring authority at the time, place and date specified in the notice.
The inquiring authority shall ask the employee whether he pleads guilty or has any defence
to make and if he pleads guilty to any of the articles of charge, the inquiry authority
shall record the plea, sign the record and obtain the signature of the employee concerned
thereon. The inquiring authority shall return a finding of guilt in respect of those
articles of charge to which the employee concerned pleads guilty.
(8) If the employee does not plead guilty, the inquiring authority shall
adjourn the case to a later date not exceeding thirty days, after recording an order that
the employee may, for the purpose of preparing his defence:
(i) inspect the document listed with the charge-sheet.
(ii) submit a list of additional documents that he wants to examine and
(iii) be supplied copies of the statements of witnesses, if any, listed
in the charge-sheet.
Note: Relevancy of the additional documents referred to in sub-clause 8 (ii) above will
have to be given by the employee concerned and the inquiring authority shall call for
production of the documents if he is satisfied about their relevance to the charges under
enquiry.
(9) The inquiring authority shall ask the authority in whose custody or
possession the documents are kept, for the production of the documents on such date as may
be specified.
(10) The authority, in whose custody or possession the requisitioned
documents are, shall arrange to produce the same before the inquiring authority on the
date, place and time specified in the requisition notice.
Provided that the authority having the custody or possession of the requisitioned
documents may claim privilege if the production of such documents will be against public
interest or the interest of the Corporation. In that event, it shall inform the inquiring
authority accordingly.
(11) On the date fixed for the enquiry, the oral and documentary
evidence by which the articles of charge are proposed to be proved shall be produced by or
on behalf of the inquiring authority. The witnesses shall be examined by or on behalf of
the Presenting officer and may be cross-examined by or on behalf of the employee. The
Presenting Officer shall be entitled to re-examine the witnesses on any points on which
they have been cross-examined, but not on a new matter, without the leave of the inquiring
authority. The inquiring authority may also put such questions to the witnesses as it
thinks fit.
(12) Before the close of the prosecution case, the inquiring authority
may, in its discretion, allow the Presenting Officer to produce evidence not included in
the charge sheet or may itself call for new evidence or recall or re-examine any witness.
In such a case the employee shall be given an opportunity to inspect the documentary
evidence before it is taken on record, or to cross-examine a witness, who has been so
summoned.
(13) When the case of the prosecution before the inquiring authority is
closed, the employee may be required to state his defence is made orally, it shall be
recorded and the employee shall be required to sign the record. In either case, a copy of
the statement of defence shall be given to the Presenting Officer, if any , appointed.
(14) The evidence on behalf of the employee shall then be produced. The
employee may examine himself in his own behalf if he so prefers. The witnesses produced by
the employee shall then be examined and shall be liable to cross-examination,
re-examination and examination by the inquiring authority according to the provision
applicable to the witnesses for the inquiring authority.
(15) The inquiring authority may, after the employee closes his case,
and shall, if the employee has not examined himself, generally question him on the
circumstances appearing against him in the evidence for the purpose of enabling the
employee to explain any circumstances appearing in the evidence against him.
(16) The inquiring authority may, after completion of the production of
evidence, hear the Presenting Officer, if any, appointed, and the employee, or permit them
to file written briefs of their respective cases, if they so desire.
(17) If the employee does not submit the written statement of defence
referred to in sub-rule (3) on or before the date specified for the purpose or does not
appear in person, or through the assisting employee or otherwise fails or refuses to
comply with any of the provisions of these rules, the inquiring authority may hold the
enquiry ‘Exparte’.
(18) Whenever the inquiring authority after having heard and recorded
the whole or any part of evidence in any enquiry ceases to exercise jurisdiction therein,
and is succeeded by another inquiring authority which has, and which exercises such
jurisdiction, the inquiring authority so succeeding may act on the evidence so recorded by
its predecessor or partly recorded by its predecessor and partly recorded by itself
provided that if the succeeding inquiring authority is of the witnesses whose evidence has
already been recorded is necessary in the interest of justice it may recall , examine,
cross-examine and re-examine any such witnesses as herein before provided.
(19) (i) After the conclusion of the enquiry, a report shall be prepared
and it shall contain:
(a) a gist of the articles of charge and the statement of the
imputations of misconduct or misbehavior.
(b) a gist of the defence of the employee in respect of each article of
charge.
(c) an assessment of the evidence in respect of each article of charge.
(d) the findings on each article of charge and the reasons thereof.
Explanation: If in the opinion of the inquiring authority the proceedings of the enquiry
establish any article of charge different from the original articles of the charge, it may
record its findings on such article of charge.
Provided that the findings on such article of charge shall not be recorded unless the
employee has either admitted the facts on which such article of charge is based or has had
a reasonable opportunity of defending himself against such article of charge.
(ii) The inquiring authority shall forward to the competent authority
the records of enquiry which shall include
(a) the report of the enquiry prepared by it under sub-clause (i) above.
(b) The written statement of defence, if any, submitted by the employee
referred to in sub-rule (13),
(c) The oral and documentary evidence produced in the course of the
enquiry.
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Rules 26. OFFICERS ON DEPUTATION FROM THE CENTRAL GOVERNMENT OR THE
STATE GOVERNMENT, ETC.
(I) Where an order of suspension is made or disciplinary proceeding is
taken against an employee who is on deputation to the Corporate from the Central or State
Government or another Public Under taking or a local authority, the authority lending his
services (hereinafter referred to as the “Lending Authority”) shall forthwith be
informed of the circumstances leading to the order of his suspension or the commencement
of the disciplinary proceeding as the case may be.
(ii) In the light of the findings in the disciplinary proceeding, take
against the employee.
(a) If the Competent Authority is of the opinion that any of the minor
penalties should be imposed on him, it may pass such orders on the case as it deems
necessary after consultation with the lending authority, provided that in the event of a
difference of opinion between the competent and the lending authorities the services of
the employee shall be placed at the disposal of the lending authority.
(b) If the competent authority is of the opinion that any of the major
penalties should be imposed on him, it should replace his services at the disposal of the
lending authority and transmit to it the proceedings of the enquiry for such action as it
deems necessary.
(iii) If the employee submits an appeal against an order imposing a
minor penalty on him under sub-rule (ii) (a), it will be disposed of after consultation
with the lending authority provided that if there is a difference of opinion between the
Appellate Authority and the Lending Authority, the services of the employee shall be
placed at the disposal of the leading authority and the proceedings of the case shall be
transmitted to that authority for such action as it deems necessary.
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