DoPT: Revised Procedure for consultation with UPSC in connection with the departmental proceedings against Govt. Servants – O.M. dated 28.12.2018

DoPT: Revised Procedure for consultation with UPSC in connection with the departmental proceedings against Govt. Servants – O.M. dated 28.12.2018

No. 39011/08/2016-Estt(B)
Government of India
Ministry of Personnel, Public Grievances and Pensions
Department of Personnel & Training
North Block, New Delhi
Date: 28th December, 2018
OFFICE MEMORANDUM



Subject :- Departmental proceedings against Government Servants — Procedure for consultation with the Union Public Service Commission – reg.

The undersigned is directed to refer to this Department’s OM No. 39011/12/2009-Estt(B) dated 10.05.2010 on the subject mentioned above vide which a Proforma/Checklist was forwarded to all Ministries/Departments for referring disciplinary cases to Union Public Service Commission (UPSC) in terms of Article 320(3) (c) of the Constitution of India read with Regulation 5 of the UPSC (Exemption from Consultation) Regulations, 1958 (as amended from time to time)

2. The Proforma / Checklist has been revised in consultation with UPSC so as to ensure that there are no shortcomings while sending the requisite information/ documents to the Commission. It is also expected that the complete reference is received in the Commission at least three months prior to the retirement of the charged officer in case of minor penalty proceedings and at least six months prior to retirement in case of major penalty proceedings in order to get advice of the Commission and the implementation thereof. Wherever the time is less than three months/ six months from the retirement of the Government servant, cogent reasons justifying late submission of case to UPSC are also required to be indicated.

3. The modified Proforma/Checklist for forwarding disciplinary cases to the UPSC is enclosed for guidance/ compliance by all concerned

End: As above

(Pramod Kumar Jaiswal)
Under Secretary to the Government of India
No.39011/08/2016

PROFORMA/ CHECK LIST FOR FORWARDING DISCIPLINARY CASES TO
THE UNION PUBLIC SERVICE COMMISSION

PART I : SERVICE AND RELATED PARTICULARS 

1.Name of charged officer and the service on which borne
2. (i) Whether temporary/permanent/contract service

(ii) If confirmed, date of confirmation
*3. Post held substantively, if in permanent service

a) Designation

b) Pay Level in the pay matrix (indicating pay index, etc.)

c) Pay drawn

d) Date from which pay shown against (c) drawn

e) Date of increment
4. Post held at present

a) Designation

b) Pay Level in the pay matrix pay index, etc.)

c) Pay drawn

d) Date from which pay shown against (c) drawn

e) Date of next increment
5. 5. The next lower post (along with pay level in the pay
matrix), the officer would have held but for his
appointment to the present post he is holding
6. Date of Birth
7. Date of joining Govt. Service
8. Due date of retirement or actual date of retirement, if
already retired
9. (a) Amount of monthly pension admissible/sanctioned

(b) (i) Amount of gratuity admissible (in respect of
disciplinary proceedings initiated during service)

(ii) Amount of gratuity withheld (for disciplinary
proceedings after retirement)
*Not to be filled in the case of All India Service officers
10. (a) Appointing authority in respect of the post held at
present, or the authority which actually appointed the
person, if that authority is higher.

(b) Authority competent to impose the penalty in respect of
the post held at present.

(c) Appellate authority in respect of the post held at
present.
11. Whether an oral inquiry, if required under the rules, has
been held
12. Name and designation of Inquiry officer appointed, if any.
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PART II : DETAILS OF CASE RECORDS

(All the records are required to be arranged and cross-referenced, as
indexed below and page numbers of the file/folders to be indicated against
each item.)

Item * Reference/comments

(A) ORIGINAL CASES

Where the Central Government or the State Government is the Disciplinary
Authority and an order of penalty is to be passed for the first time)

(a)
Complaint, if any, received by the Authorities
(b)
(i) Report of the preliminary enquiry, if any, held in the
matter leading to the institution of formal disciplinary
proceedings againt the C.O. (together with Depositions
recorded)
(ii) Order, of suspension/ revocation of suspension, if
any,
(c)
Order, if any of the competent authority for joint/common
proceedings where two or more Govt. servants are involved.
(d)
i) Charge sheet together with the statement of imputations
along with enclosures.

ii) Records of delivery of charge sheet to the charged
officer

iii) Whether the Charge sheet issued as per the Rules
* Please indicate references in terms of page numbers, file
numbers, folders, etc. Do not leave any column blank. If a
document is not enclosed, indicate reasons.
(e)
Reply of the Charged Officer
(f)
A note from the Disciplinary Authority explaining the
factual or procedural points, if any, raised in the Charged
Officer’s reply in minor penalty cases where no enquiry has
been held.
(g)
Order of the Disiplinary Authority appointing the Inquiry
Officer
(h)
Order of the Disciplinary Authority appointing the
Presenting Officer
(i)
Daily Order Sheets maintained by the Inquiry Officer,
indicating the progress of oral inquiry
(j)
Correspondence of the Inquiry Officer, if any, with the
Disciplinary Authority or the Charged Officer
(k)
i) Depositions – oral statements, recorded from prosecution
witnesses and defence witnesses

ii) Statement of defence of the Charged Officer

iii) General examination of the charged officer

iv) Whether copies of relevant documents have been supplied
to the Charged Officer

v) Exhibits (in original/ legible copies duly
authenticated)

a) Prosecution

b) Defence
(l)
i) Written brief, if any, submitted by the Presenting
Officer

ii) Whether a copy of brief of Presenting Officer supplied
to the Charged Officer
(m)
Written brief, if any, submitted by the Charged Officer.
(n)
Inquiry Officer’s report
(o)
i) Whether Inquiry Officer’s report provided to the charged
officer.

ii) Whether disagreement of the Disciplinary Authority, if
any, on the report of the Inquiry Officer, communicated to
the Charged Officer.

iii) Representation of the Charged Officer on the findings
of the Inquiry Officer.

iv) Para-wise comments of the Disciplinary Authority on the
representation of the Charged Officer, if any.
(p)
Whether the Disciplinary Authority has considered the
merits of the case and come to the conclusion that a formal
penalty is called for
(q)
In cases of minor penalty, following information may also
be provided:

i) Whether the case is being submitted at least 90 days
prior to the date of retirement.

ii) If not, the reasons for late submission of the case may
be indicated.
(r)
In cases of major penalty, following information may also
be provided:

i) Whether the case is being submitted at least 180 days
prior to the date of retirement.

ii) If not, the reasons for late submission of the case may
be indiated.
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(B) CONVICTION CASES

(Whether any penalty is to be imposed on a Government servant on the ground
of conduct which has led to his conviction on a criminal charge)

a)
Complaint/ F.I.R.
b)
Investigation Report
c)
Judgement of the Court
d)
Show Cause Notice issued to the Government servant

(The Show Cause Notice should tentatively propose
imposition of the penalty of highest grade, i.e., dismissal
from service which shall ordinarily be a disqualification
for future employment under the Government/ withholding of
hundred percent of pension and gratuity in full on
permanent basis, as the case may be)
e)
Record of the delivery of the Show Cause Notice
f)
Representation of the Government servant on the Show Cause
Notice
g)
Comments of DA on the representation of Government servant
h)
Whether the disciplinary authority has considered the
merits of the case and come to the conclusion that a formal
penalty is called for on the ground of conduct which has
led to the conviction of the Government servant on a
criminal charge.

(C) APPEAL CASES

(Whether the order of penalty has been passed by a subordinate authority
and an appeal lies to the President)

(In these cases all the documents listed in (A) should also be sent)

a)
Order passed by the Disciplinary Authority together with a
note, if any, containing the conclusion arrived at by him
in respect of each charged
b)
Appeal of the officer concerned
c)
Whether appeal has been addressed to the competent
authority
d)
Comments of the Disciplinary Authority on the Appeal
including clarification on procedural points, if any,
raised by the Appellant.

(D) REVISION/REVIEW CASES


i) Whether Appeal addressed to the President of India or to
some Subordinate authority.
(Whether the Appellate Authority is subordinate to the
President and a modification of the appellate order is
sought by way of Revision/Review or where the President has
passed the original order)

(In these cases, all the documents listed in (A) and (C)
should also be sent)
ii) Whether the approval of the Competent Authority
obtained before referring the Case for Commission’s advice.
a)
Appellate Authority’s order/ President’s order
b)
Petition/Memorial submitted by the officer
c)
Note indicating the Reviewing Authority’s findings on the
charges, detailing the reasons warranting modification of
the penalty already imposed and the extent of such
modification.
d)
Additional comments on the procedural or factual points, if
any, raised in petition.
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(E) PENSION CASES

(Whether the President progress 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)

(In these cases all the documents listed in (A) should also be sent)

a)
Order of the President*, if any, that the disciplinary
proceedings should be instituted under the relevant pension
rules.
b)
Show cause notice issued to the officer indicating to be
made in his pension and the period for which it shall be
operative.
c)
Reply of the officer to the aforesaid notice.
d)
Comments on factual or procedural points raised by the
officer in his reply.
e)
Approval of the President to the effect that the pensioner
is found guilty of grave misconduct or negligence
warranting withholding/ withdrawing of pension and/ or
gratuity or recovery from a pension or gratuity.
*Central Govt. in the case of All India Service Officers.

(F) GENERAL
 

a)
Miscellaneous documents regarding evidence such as the
exhibits, statements, etc. referred to in (A) to (E) and
extracts of relevant Rules, Codes, Manuals, Acts,
Judgements etc.
b)
Information/position of disciplinary proceedings instituted
against other co-accused officers.
c)
Information/ position of action instituted against persons/
officials (other than Government servants) involved in the
case, if any
d)
Whether complete and up-to-date Confidential Roll of the
officer has been enclosed.
e)
Details of other disciplinary case(s) instituted against
the Government servant and the penalty imposed, if any.
f)
Present status of pending court cases, if any, along with
the next date of hearing.

*Signature ……………………………………………
Name (in Block letters) of the Officer
signing this statement ………………………………..
Designation …………………………………………..
Telephone No. ………………………………………..
Date: ………………………………………………….
departmental-proceedings-against-govt-servants-dopt-om-dt-28-12-2018

[http://documents.doptcirculars.nic.in/D2/D02est/Proforma%20Checklist%20for%20forwarding%20cases%20to%20UPSCVc6BD.PDF]

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