Disciplinary Section

8/13/2019 Disciplinary Section

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1he Disciplinary cell shall be headed by Director !+ersonnel" with 43 !+2(" as his advisor. 1he&ell shall constitute members of %2( section, +2( section and two members of 1echnicalections not below the rank of enior 3anager.

Contract of Appointent:5asically the appointment letter issued to an employee governs his employment with theorganiation. ence, while taking a disciplinary action against any employee for an act ofmisconduct committed by him, the management has to keep in mind the terms and conditionsstipulated in the offer of appointment given to the concerned employee, over and above whichonly the other rules and regulations will become applicable to the employee concerned.

!rocedure:

1he instigation of Disciplinary process will commence at unit level, the &orresponding D( asmentioned in certified standing orders and &D( rules will instigate the process as the case maybe. e may seek the help of Disciplinary cell in the process. 1he copy of the case file will bemaintained at disciplinary cell at corporate. (ny action arising out of vigilance en*uiry shallinvariably be sent to disciplinary cell for record keeping. 1he disciplinary cell shall maintain thecase file which shall contain the complete history of any vigilance en*uiry being undertaken

pending or any disciplinary action taken against the employee.

It will mandatory for the concerned D( to send a copy of any action taken in this regard to thedisciplinary cell at corporate intimating any action whatsoever taken. tep wise flow chart andguidelines for disciplinary procedure for the guidance of D( and (ppellate (uthority is placed at

(nnexure-I.

ince there is lot of complexity involved in disciplinary proceedings, high proportion and

fre*uency of the affected employees seeking judicial intervention, high percentage of the cases

being subjected to judicial scrutiny and there is huge volume of case law on the subject which


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Preliminary Investigation 35-40

8. Action on Investigation Report 41

9. Consultation it! Central "igilance

Commission 4#-5$

10. %uspension 5&-&1

11. 'inor Penalty Procee(ings -&5

1#. )ra*ting an( Issue o* C!arge

%!eet

&$-8&13. Appointment o* In+uiring

Aut!ority an( Presenting ,**icer 88-

91

14. unctions o* In+uiry ,**icer 9#-

100

15. Role an( unctions o* t!ePresenting ,**icer 101-110

1$. )e*ence Assistant 111-113

1&. Con(uct o* In+uiry 114-1#3

18. rie* o* t!e Presenting ,**icer

1#4-13119. /valuation o* /vi(ence 13#-138

#0. /-Parte In+uiry 139-143


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CO"STIT#TIO"A$ !RO%ISIO"S R&$ATI"' TO DISIC!$I"AR( !ROC&&DI"'S

6.+art 7I8 of the &onstitution relates to 9ervices Under the Union and the tates/, wherein,

(rticles :;


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@lead evidence in defence, etc.


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)ISCO"D#CT

3isconduct means improper conduct or wrongful behaviour. owever, while we are dealing

with employees in an organisation, the term misconduct has to be seen with reference to therules and regulations applicable to the various categories of employees working in the

organisation.

6.; In order to decide whether a particular act of misconduct or not, we have to keep in mind,

the following three documents

!a" &onduct, Discipline 2 (ppeal =ules

!b" ervice =ules

!c" &ontractF(greement of (ppointment or (ppointment letter.

6.6 Conduct* Discipline + Appeal Rules + Certified Standin, Orders

1hese rules shall apply to all employees of the &ompany including those on deputationFcontract

service except those

i" in casual employment or paid from contingencies

ii" governed by the tanding Grders of the &ompany under Industrial Hmployment !tanding

Grders" (ct, 6


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>.> ince any disciplinary action may go hay-way if the complaint is not proper, every

complainant should bear in mind the following

!a" Do not rely on memory. =educe to writing whatever has happened, immediately.

!b" ubmit your complaint in the shape of report of misconduct without any delay to superiors.

!c" (void dictating the complaint to somebody else.

!d" (void type-writing the complaint, if possible. It is advisable to send it in hand writing.

!e" Do not add your impressions or guesses but narrate the actual facts.

!f" 1ake written statements of all whoever has any facts relating to the complaint or witnessed

the incident.

>.: 1he =eport of misconduct should invariably give the following details

!a" #ull name of the person who committed the act of misconduct$

!b" Designation$

!c" +unch &ard )o.FHmployee )o.$

!d" ectionFDeptt.F=egion$

!e" hift or =elay in which the employee was working$

!f" Date and time of incident$

!g" +lace of occurrence$

!h" Details of misconduct$


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FLOW-CHART OF DISCIPLINARY PROCEEDINGS

Stage-1

Stage-2

Stage-3

Stage 4

Written complaint(Report of misconduct)

Preliminary Inquiry

If there is noprima facie case,

drop the case

Suspension pendingEnquiry, if necessary

Order for paymentof subsistence Allowance

If the situation does notWarrant his immediate

Suspension, theemployee will be onduty and we get onto the next stage

Framing charge-sheetunder CDA Rules


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Stage-7

Stage 8

Stage 9

Serving Enquiry noticeDirectService

Regd. PostUPC

NoticeBoards

NewsPapers

Major Penalty

Proceed with enquiryor

AwardPunishment

Minor Penalty

No further enquiry

AwardPunishment/Caution

Memo

Appointment of EnquiryOfficer & Presenting Officer

Enquiry proceedings

If the employee doesnot report for enquiry,Exparte enquiry

E h


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1(4H-6>

1(4H-6:

1(4H-6

1(4H-6B

1(4H-6C

1(4H-6J

#inal how-cause notice before

punishment if provided under rules

tudy the reply given by employeesto final chow-cause notice

4ive clarification, if any, asked for in

reply to final show-cause notice

+unishments Grder

(ppeal by the accused employee

=eply to appeal after review and

final punishment order


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!R&$I)I"AR( &"1#IR(

:.6 (s soon as a complaint is received, we should see whether it is worth dealing with in an

elaborate manner by charge-sheeting the employee and conducting a domestic en*uiry or

not. 1his is determined by the gravity of the misconduct committed by the employee.

:.> Ehen an act of misconduct has been committed and the disciplinary authority receives a

complaint, he should conduct a preliminary en*uiry either himself or get it done by another

Gfficer !Gfficer other than the one who has made the complaint or who is a witness to the

incident". +reliminary en*uiry is done with a view to decide whether there is ade*uate

material for proceeding with a domestic en*uiry. Domestic en*uiry starts the moment a

charge-sheet is issued and preliminary en*uiry ends with the issue of chargesheet.

In all cases, preliminary en*uiry is not essential. If the matter is obvious enough, the

domestic en*uiry can start with the issue of charge-sheet.

:.: 1he following are the differences between domestic en*uiry and preliminary en*uiry.

a" +reliminary en*uiry is not an essential step while domestic en*uiry is a must for taking

disciplinary action for major penalty cases.

b" Domestic en*uiry aims at determining whether charges are established or not while

preliminary en*uiry is conducted for finding out whether a prima-facie case has been made

out.

c" &onclusions of preliminary en*uiry lead to framing of charge-sheet while the report of

domestic en*uiry forms the basis for awarding punishment.

d" +reliminary en*uiry is not subject to any rules while conduct of domestic en*uiry is

subject to principles of natural justice


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2.3 CHAR'&4SH&&T

B.6 If on the basis of preliminary en*uiry or otherwise, the disciplinary authority is satisfiedthat a prima-facie case exists and decides to take disciplinary action against the employeeconcerned, the first thing to be done is to issue a charge-sheet to delin*uent employee.

B.> &harge-sheet is a memorandum of charges or allegations levelled against the employeewhich are acts of misconduct as per the &onduct, Discipline and (ppeal =ules.

5.3 C6ec74$ist for preparation of C6ar,e4S6eet

Ehile framing a &harge-sheet, the following items may be kept in mind so that nothingrelevant would be missing from the &harge -sheet

a" Date of charge sheet.

b" &orrect )ame and &ard )o.FHmployee )o. of delin*uent employee.

c" pecify date of incident.

d" Description of incident.

e" =eproduce the language in verbatim if there are words of abuse, defamation or

threat.

f" 4ive reference of relevant rules as &onduct, Discipline and (ppeal =ules.

g" pecify within how much time and to whom the reply should be submitted.

h" &heck the authority competent to issue the &harge-heet !ee &onduct, Discipline

and (ppeal =ules or Delegation of +owers, as the case may be".


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d" (void loose usage of words such as 9abitual/ and 9Eilful/ in the &harge-sheet. Do not

use such *ualifying words unless the charges are really so.

e" If the charge is of abusing or threatening, reproduce the exact words used in the &harge-

sheet.

f" (void using abbreviations such as Ketc.L and also phrases such as Ksuch other thingsL.

g" If the previous record of the employee is referred to, then sufficient particulars of the

previous record should be given in the &harge-sheet.

8.- Tie for reply to C6ar,e4s6eet

( reasonable period of time should be given to the employee to submit his reply to the

&harge-heet. 1ime as stipulated in the &onduct, Discipline 2 (ppeal =ules, but not less

than ? hours from the receipt of the &harge-sheet by the employee should be allowed for

submission of his reply. If the &harge-sheeted employee re*uests for extension of time,

such re*uest!s" may be considered on its own merits.

8./ 96o si,ns t6e C6ar,e4S6eet

Unless it is delegated otherwise, Disciplinary (uthority is the &ompetent (uthority to sign

&harge-sheet. #rom the (nnexure, it may be seen that for major penalties, the Disciplinary

(uthorities are different from those for minor penalties. (t the stage of issuing the &harge-

heet it may always not be very clear whether the offence is such that a major penalty may

be imposed ultimately or the decision would be only in favour of a minor penalty. Hxcept for

very simple cases where beyond doubt the offence may lead to imposition of only a minorpenalty, it will be desirable to have the &harge-sheet issued under the signature of

Disciplinary (uthorities empowered to impose major penalty.


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If the employee concerned asks for the &harge-sheet being made out in the language which he

knows, the same should be done.

- If the employee either refuses to accept or give acknowledgement of the &hargesheet or is notpresent within the organiation due to suspension or any other reason, the &harge-sheet

should be sent to his last known and recorded address !both local as well as permanent" by

=egistered +ost with acknowledgments due.

- If the employee concerned refuses to accept the registered letter carrying the &harge-sheet

and there is an endorsement by the +ostal (uthorities to that effect on the envelope, the same

may be treated as ade*uate service. 1he returned postal envelope in that case should be

retained, without opening, in record.

- In case of absence or refusal of the employee to take the &harge-sheet or refusal to give

acknowledgement of its receipt, a copy of the same should also be displayed on )otice 5oard.

- If all efforts to serve the &harge-sheet on the employee fail, the &harge-sheet may be

published in some localFregional newspaper with a wide circulation.

.3 S#S!&"SIO"

.- 96at is Suspension;

uspension from duty means keeping an employee away from work-place temporarily for

reasons of discipline. uspension does not mean removal from service. If a person is

suspended, he continues to be in service, but is in a state, as it were of suspended animation.

./ 96en to Suspend;


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.0 Status of Suspended &ployee

!a" During the period of suspension, the suspended employee shall not enter the work-premises

without the permission of the disciplinary authority or any other authority competent to do so.

!b" 1he suspended employee shall not leave the station without the written permission of thecompetent authority.

!c" 1he employee suspended pending en*uiry shall be paid subsistence allowance as

admissible to him under &D( =ules, which will increaseFdecrease depending upon the merits of

the case if the period of suspension gets prolonged.

!d" )o leave shall be granted to a suspended employee during the period of suspension.

!e" 1he suspended employee will not be paid subsistence allowance if he is engaged in any

other employment, business, profession or vocation.

!f" If it is decided after the conclusion of en*uiry not to remove the suspended employee from

service, he will be simply allotted the job treating the period of suspension as on duty or leave

as decided by the disciplinary authority.

!g" If an employee suspended pending en*uiry submits resignation, it is normally not accepted

unless it is in the company interest.

?. Subsistence Allowance

ubsistence allowance is the payment made to an employee who is kept under suspension

pending en*uiryFcourt/s order only, as per &D( =ules, as under

a" ubsistence (llowance is payable at the rate of B;M of his basic pay. In addition, Dearness

(ll d i ibl h b i t (ll d th & t


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d" If the suspended employee is found guilty of the misconduct alleged against him or some

other misconduct brought out in the course of the en*uiry and punishment is awarded, he shall

be entitled to such proportion of pay and allowances, only as the competent authority may

prescribe.

e" If the suspended employee is found not guilty of the misconduct, he shall be paid thedifference between the subsistence allowance already paid and the emoluments consisting of

pay and allowances which he would have received if he had not been suspended.

9.0 DOMESTIC ENQUIRY


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d" Defence Assistant of t6e Accused &ployee If the accused employee wishes another

employee of his choice to assist him at the en*uiry in the conduct of his defence, it should be

allowed, if a re*uest is made for a non-employee union office-bearer, he may be allowed if

there is a provision to that effect under the &onduct, Discipline and (ppeal =ules.

e" Interpreter : 1he presence of an interpreter, from amongst the employees, would bedesirable in case the accused employee is not familiar with the language in which the en*uiry isconducted.

f" )ana,eent 9itnesses 1hese are the persons who appear in the en*uiry to give theirstatements in support of the charges levelled against the charge-sheeted employee.

g" C6ar,e4s6eeted &ployee>s 9itnesses 1hese are the persons who appear in theen*uiry to give their statements in defence of the charge-sheeted employee.


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b" (t the conclusion of the statement given by each witness in support of the charges, the

same should be read over and explained to the charge-sheeted employee in the language

understood by him and he must be given a chance to cross-examine the witness. (n

endorsement to this effect should be made at the bottom of the statement. 1he Hn*uiry Gfficer

may, as well as, put certain *uestions to the witness to elicit certain detailsFclarifications from

him but the Hn*uiry Gfficer should not cross-examine the witnesses by putting leading

*uestions or making suggestions. If the Hn*uiry Gfficer puts certain *uestions to the witnesses

after the cross examination of the said witnesses by the employee is over, the latter may again

be given a chance to cross-examine on the basis of the supplementary statement given by the

witness. imilar facility may as well be afforded to the +resenting Gfficer, after the Hn*uiry

Gfficer asks some *uestions to a defence witness.

c" (fter the examination and cross-examination of all the witnesses in support of the charge are

completed, the charge-sheeted employee should be asked to adduce his defence. e may offer

himself to be examined as a witness and also produce witnesses in his defence. 1he charge-

sheeted employee may, if he so likes, submit his defence statement in writing, which should be

accepted by the Hn*uiry Gfficer as part of the proceedings. 1he burden of bringing the defence

witnesses before the Hn*uiry Gfficer is on the charge-sheeted employee. 5ut if the charge

sheeted employee re*uests for time to adduce his defence such re*uest should duly andliberally be considered by the Hn*uiry Gfficer. If the employee refuses to examine any witness

the same should be recorded by the Hn*uiry Gfficer. (fter the examination of the defence

witness is over, the employee should be asked whether he desires to make any further

statement. (ny statement which he may make should be taken down and *uestions may be put

to him and asking him to clarify any particular point or circumstance. It is advisable for the

Hn*uiry Gfficer to put the following *uestion to the charge-sheeted employee before concluding

the en*uiry - Kave you anything further to stateLO and record his answer thereto.


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employee should not be disproportionate to the seriousness of the misconduct established, and

should be one which any other reasonable employer, under similar circumstances would have

awarded.


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9aste portion starts 6ere

R&!ORT OF )ISCO"D#CT

6.6 &omplaint is the starting point of any disciplinary action. #or taking disciplinaryaction against any employee for having committed an act of misconduct, themanagement should invariably get a specific written complaint. &omplaint isnothing but a clear, se*uential narration of the facts of incidence of indisciplineby the complainant, in the shape of a report to his superior.

6.> ince any disciplinary action may go hay-way if the complaint is not proper, everycomplainant should bear in mind the following

!a" Don't rely on memory. =educe to writing whatever has happenedimmediately.

!b" ubmit your complaint in the shape of report of misconduct without anydelay to superiors.

!c" (void dictating the complaint to somebody else.

!d" (void type-writing the complaint, if possible. It is advisable to send it inhand-writing.

!e" Don't add your impressions or guesses but narrate the actual facts.

!f" 1ake written statements of all whoever has any facts relating to thecomplaint or witnessed the incident.

6 : 1he =eport of misconduct should invariably give the following details


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1(4H-66

1(4H-6>

1(4H-6:

1(4H-6

1(4H-6B

If the charge(s) are proved, check the

past record and if any conciliation or

adjudication proceedings are going

on, check Industrial Disputes Act

provision, check hether protected

#inal $ho%cause notice &efore

punish'ent if provided under rules

$tudy the reply given &y e'ployees

to final cho%cause notice

ive clarification, if any, asked for in

reply to final sho%cause notice

+unishments Grder


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!R&$I)I"AR( &"1#IR(

6. (s soon as a complaint is received, we should see whether it is worth dealingwithin an elaborate manner by charge-sheeting the employee and conducting adomestic en*uiry or not. 1his is determined by the gravity of the misconduct

committed by the employee.

6.B Ehen an act of misconduct has been committed and the disciplinary authorityreceives a complaint, he should conduct a preliminary en*uiry either himself or get itdone by another Gfficer !Gfficer other than the one who has made the . complaintor who is a witness to the incident". +reliminary en*uiry is done with a view todecide whether there is ade*uate material for proceeding with a domesticen*uiry. Domestic en*uiry starts the moment a charge-sheet is issued andpreliminary en*uiry ends with the issue of charge- sheet. In all cases, preliminaryen*uiry is not essential. If the matter is obvious enough, the domestic en*uiry canstart with the issue of charge- sheet.

1he following are the differences between domestic en*uiry and preliminaryen*uiry.

!a" +reliminary en*uiry is not an essential step while domestic en*uiry is a mustfor taking disciplinary action.

!b" Domestic en*uiry aims at determining whether charges are established or not

while preliminary en*uiry is conducted for finding out whether a prima-facie

case has been made out.

!c" &onclusions of preliminary en*uiry lead to framing of charge-sheet while the

report of domestic en*uiry forms the basis for awarding punishment.

!d" +reliminary en*uiry is not subject to any rules while conduct of domesticen*uiry is subject to principles of natural justice.

!RI"CI!$&S OF "AT#RA$ #STIC&


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CHAR'& SH&&T

6.? If on the basis of preliminary en*uiry or otherwise, the disciplinary authority is satisfied that aprima- facie case exists and decides to take disciplinary action against the employee concerned,the first thing to be done is to issue a charge-sheet to delin*uent employee.

6.< &harge-sheet is a memorandum of charges or allegations levelled against the employee whichare acts of misconduct as per the tanding Grders or the &onduct, Discipline and (ppeal =ules,as the case may be.

>.; &heck-%ist for preparation of &harge-heet

Ehile framing a &harge-sheet, the following items may be kept in mind so that nothingrelevant would be missing from the &harge-sheet

a. Date of &harge-sheet

b. &orrect )ame and Hmployee )o. of del in*uent employee

c. pecify date of incident

d. Description of incident

e. =eproduce the language in ver ba tim if there$ are words of abuses, defamation or threat

f. 4ive reference of relevant rules such as tanding Grders or &onduct, Discipline and (ppeal=ules, as the case may be

g. pecify wi thin how much t ime and to whom the reply should be submitted.

h. &heck the authority competent to issue the &harge-sheet !ee &onduct, Discipline and (ppeal =ules or Delegation of +owers, as the case may be"

i Decide whether the employee is to be kept under suspension or not


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!f" (void using abbreviations such as RetcR and also phrases such as Rsuch other

thingsR.

!g" If the previous record of the employee is referred to, then sufficient particulars of

the previous record should be given in the &harge-sheet.

>.6 Tie for reply to C6ar,e4s6eet: ( reasonable period of time should be given to the employee to submit his reply to the

&harge-sheet. 1ime as stipulated in the tanding Grders or &onduct, Discipline 2 (ppeal

=ules, as the case may be, but not less than ? hours from the receipt of the &harge-

sheet by the employee should be allowed for submission of his reply. If the &harge-

sheeted employee re*uests for extension of time, such re*uest!s" may be considered on

its own merits.

>.> 96o si,ns t6e C6ar,e4s6eet

Unless it is delegated otherwise, Discipl inary (uthority is t he &ompetent (uthority to

sign &harge- sheet. !ee (nnexure '( 2 5 as the case may be'".

#rom the (nnexure, it may be seen that for major penalties, the Disciplinary (uthorities

are different from those for minor penalties. (t the stage of issuing the &harge-sheet it

may always not be very clear whether the offence is such that a major penalty may be

imposed ultimately or the decision would be only in favour of a minor penalty. Hxcept forvery simple cases where beyond doubt the offence may lead to imposition of only a minor

penalty, it will be desirable to have the &harge-sheet issued under the signature of

Disciplinary (uthorities empowered to impose major penalty.

/.0 Service of C6ar,e4s6eet

erving the &harge-sheet on the delin*uent employee plays a very important role in

disciplinary proceedings. ence, all efforts should be made by the employer to see thatthe &harge-sheet is served on the delin*uent employee.

- 1he &harge-sheet may be handed over to the employee and his signature or thumb-


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In case of absence or refusal of the employee to take the &harge-sheet or refusal to giveacknowledgement of its receipt, a copy of the same should also be displayed on )otice5oard. If all efforts to serve the &harge-sheet on the employee fail, the &harge- sheetmay be published in some localFregional newspaper with a wide circulation.

>. Ehile preparing a &harge-sheet, the guidelines suggested in the format in the (nnexure

may be followed.

S#S!&"SIO"

>.B 96at is Suspension :

uspension from duty means keeping an employee away from work-place temporarily forreasons of discipline. uspension does not mean removal from service. If a person issuspended, he continues to be in service, but is in a stage, as it were, of suspendedanimation.

>.C 96en to Suspend :

1he suspension of an employee from duty often arises under the following three different

types of situations

!a" Suspension !endin, Doestic &n=uiry :

If an employee has committed such serious acts of misconduct such as assault,sabotage etc. and his presence inside the work promises poses threat to the safety of themen and material, he may be kept under suspension immediately pending investigations.1his is called uspension +ending Domestic Hn*uiry. (t this stage this suspensioncannot be called a punishment. It is desirable to issue the order of suspension along with&harge- sheet but if it is not possible, the &harge-sheet must follow within J days of issueof suspension order .


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Status of Suspended &ployee:

!a" During the period of suspension, the suspended employee shall not enter thework-premises without the permission of the disciplinary authority or any otherauthority competent to do so.

!b" 1he suspended employee shall not leave the station without the written

permission of the competent authority.

!c" 1he employee suspended pending en*uiry shall be paid subsistence

allowance as admissible to him under &D( =ules or tanding Grders, as the

case may be, which will increaseF decrease depending upon the merits of the

case if the period of suspension gets prolonged.

!d" )o leave shall be granted to a suspended employee during the period of

suspension.

!e" 1he suspended employee will not be paid subsistence allowance if he isengaged in any other employment, business, profession or vocation.

!f" If it is decided after the conclusion of en*uiry not to remove the

suspended employee from service, he will be simply allotted the jobtreating the period of suspension as on duty or leave as decided by the

disciplinary authority.

!g" If an employee suspended pending en*uiry submits resignation, it is

normally not accepted unless it is in the company's interest.

>.J Subsistence Allowance:

ubsistence allowance is the payment made to an employee who is kept undersuspension pending en*uiryF court's order only, as under

Hmployees governed by &.D.( =ules Hmployee governed by tanding Grders


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c. Due to reasons not directly attributable to theemployee, subsistence allowance is payableat the rate of JBM of his basic pay andallowances thereon.

Due to reasons attributable to the employer,

subsistence allowance is payable at the rate of

:Fth of his basic wages S Dearness (llowance.

d. Due to reasons directly attributable to the

employee, subsistence allowance is payable

at the rate of >BM of his basic pay and

allowances thereon.

Due to reasons attributable to the employee,subsistence allowance is payable at the rate of6Fth of his basic wages S Dearness (llowance.

1he payment of above subsistence allowance will be subject to a written declaration by

the employee concerned that he is not engaged in other employment or business or

profession or vocation as well as his observance of the instructionsF advice contained inthe order of suspension issued to him.

!d" If the suspended employee is found guilty of the misconduct alleged against him or some

other mis-conduct brought out in the course of the en*uiry and punishment is awarded, he

shall not be entitled to any remuneration for the period of suspension pending en*uiry

other than the subsistence allowance already paid to him, if he is governed by the tanding

Grders. In case of an employee governed by the &onduct, Discipline2 (ppeal =ules, he

shall be entitled to such proportion of pay and allowances only as the competent authoritymay prescribe.

!e" If the suspended employee is found not guilty of the misconduct, he shall be paid the


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representative$ allow both the parties to submit to him the relevant documents in

support of their contentions$ allow both the parties to examine their witnesses as

well as cross-examine the other's witnesses$ allow both the parties to submit

arguments and counter arguments in respect of the charges and evidence

adduced in the en*uiry$ and finally submit his en*uiry' report to the disciplinary

authority.

!b" !resentin, Officer +resenting Gfficer is the officer appointed to present the

case of the management before the Hn*uiry Gfficer relating to the charges levelled

against the accused employee. 1he +resenting Gfficer will produce in the

en*uiry, all the relevant documents relating to charges levelled against the

employee and also examine the witnesses of the &ompany as well as cross-

examine the witnesses of the &harge-sheeted employee. In other words, he plays

the role of the +rosecutor. In cases where felt appropriate complainant may be

also appointed as +resenting Gfficer.

!c" C6ar,e4s6eeted &ployee: It is necessary that the en*uiry should be held in

the presence of the accused. If, however, the employee failed to report for the

en*uiry at the appointed place, date 2 time, the Hn*uiry Gfficer may proceed

with the en*uiry ex-parte provided the &harge-sheet or the en*uiry notice

included a provision to that effect.

Defence (ssistance of the (ccused Hmployee If the accused employee wishesanother employee of his choice to assist him at the en*uiry in the conduct of hisDefence, it should be allowed, if a re*uest is made for a non-employee unionoffice-bearer, he may be allowed if there is a provision to that effect under thetanding Grders or &onduct, Discipline and (ppeal =ules.

(e) Interpreter: 1he presence of an interpreter, from amongst theemployees, would be desirable in case the accused employee is not familiar with

the language in which the en*uiry is conducted.

!f" )ana,eent 9itnesses 1hese are the persons who appear in theen*uiry to give their statements in support of the charges levelled against the &harge-


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:.6 Docuents to be forwarded to &n=uiry Officer:

1he disciplinary authority shall forward to the Hn*uiry Gfficer

!a" ( copy of the &harge-sheet$

!b" ( copy of the reply if submitted by the &harge-sheeted employee$

!c" %ist of witnesses, if available$N

N!d" %ist of documents to be produced in en*uiry, if available

!e" &opy of order appointing the +resenting Gfficer.

!N)ot mandatory at this stage"

!rocedure of Doestic &n=uiry:

!a" (t the commencement of the en*uiry the charges should be read out andexplained to the charge-sheeted employee and he should be asked whether he

pleads guilty to the charges or not. If the employee admits his guilt it will be open to

the Hn*uiry officer to examine the employee himself even in the first instance, so

as to enable him to offer any explanation for his conduct, or to place before the

Hn*uiry Gfficer any circumstances which may go to mitigate the gravity of the

offense. If after the examination of the employee, the +resenting officer chooses to

examine any witness, the employee must be given a reasonable opportunity to

cross-examine those witnesses and also to adduce any other evidence that he maychoose including his own further statement. If, on the other hand, the employee

denies the charge, the burden of proving the truth of the charge and the

allegations w i l l be on the management and the witnesses for establishing the


35/73

employee re*uests for time to adduce his defence such re*uest should duly and

liberally be considered by the Hn*uiry Gfficer. If the employee refuses to

examine any witness the same should be recorded by the Hn*uiry Gfficer. (fter

the examination of the defence witness is over, the employee should be

asked whether he desires to make any further statement. (ny statement which he

may make should be taken down and *uestions may be put to him and asking him

to clarify any particular point or circumstance. It is advisable for the Hn*uiry Gfficerto put the following *uestion to the charge sheeted employee before concluding

the en*uiry-Rave you anything further to stateRO-and record his answer thereto.

Recordin, of t6e !roceedin,s

+roceedings of the en*uiry must be recorded elaborately. 1he statement of the witness andsubse*uent examinationFcross-examination should be recorded. 1he statement should be recorded

in a narrative form. owever, on crucial and vital points the actual *uestion put and answer givenmay, if necessary, be recorded. 5ut as far as practicable *uestion-answer form of recordingshould be avoided.

:.> $eadin, 1uestions:%eading *uestions i.e. *uestions suggesting the desired answer and suggestions positive ornegative, should be disallowed except in cross-examination. ome examples of leading *uestionsare given below

6 7 is charge-sheeted for assaulting P in the latter's office at 6;.:; a.m on 6.6.6


36/73

to put his signature at the end and on each page and so also the employee be asked to

sign on each page and at the end. 1he co-employee, if any of the !above referred"

person refuses to sign as re*uired, the same should be recorded by the Hn*uiry Gfficer

and attested by any witness present.

:.B &@4parte &n=uiry:

Ehen the en*uiry is fixed at a particular time, place and date and the charge- sheeted

employee does not turn up and seeks a postponement on genuine grounds, the same

may be granted. If the charge-sheeted employee makes further attempts for adjournment

and the Hn*uiry Gfficer is convinced that it is being done with a view to deliberately delay

the proceedings, the Hn*uiry Gfficer may proceed with the en*uiry ex-parte. Hvery

adjourned proceedings of the ex-parte en*uiry should be duly notified to the charge-

sheeted employee. If he presents himself and desires to participate he should be allowed to do

so. In no case the Hn*uiry Gfficer should proceed ex-parte on the first date of en*uiry.Gne ex-parte hearing does not preclude giving notice for subse*uent hearings. Ehere an

ex-parte en*uiry is held it should not be presumed that the misconduct as mentioned in the

&harge-sheet, stands proved. 1he Hn*uiry Gfficer still should hold the en*uiry and the

+resenting Gfficer prove the charge against the &harge- sheeted employee and adduce

ade*uate evidence to that effect. If the +resenting Gfficer fails to prove the charge, the

Hn*uiry Gfficer should give his findings, accordingly holding the delin*uent not guilty.

!artly Heard &n=uiry:

If an Hn*uiry Gfficer, after having heard and recorded the whole or any part of the evidence in any

en*uiry, ceases to function as Hn*uiry Gfficer for any reason and a new Gfficer is

appointed as Hn*uiry Gfficer for conducting the en*uiry, the new en*uiry officer may

proceed with the en*uiry from the stage left over by the predecessor and act on the

evidence already recorded by his predecessor.

:.C oint &n=uiry:

Ehere two or more persons are chargesheeted in connection with the same incident ortransaction, the authority competent to take disciplinary action for all of them may direct aj i t i t b h ld i t th If th th iti t t t i th lt


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(fter the conclusion of the recording of evidence, the Hn*uiry Gfficer should prepare and

submit his report. 1he Hn*uiry Gfficer should record clearly and precisely his findings and

indicate the reasons for arriving at such findings in respect of each charge. 1he findings

must be based on the evidence on record. e should not import his personal knowledge

or any material which is not on record. 1he oral evidence and the documents and record

marked as exhibits at he en*uiry should alone form the basis for arriving at the findings in

respect of each charge. 1he Hn*uiry Gfficer need not write a very long or elaborate report,but he must discuss the evidence and state his reasons for accepting or rejecting the

same. Hven in a case where the Hn*uiry Gfficer himself is the ultimate disciplinary

authority, he must state his reasons for finding the employee concerned guilty or

otherwise of the charges levelled against him.

1he Hn*uiry Gfficer should clearly bear in mind that his task is to hold an en*uiry into the

charges and to record, in respect of each charge, whether it is established or not. e should not

recommend any punishment to be imposed on the charge-sheeted employee. #acts or documentswhich have been adduced or produced as evidence before the committee in the presence of the

charge-sheeted employee only, should be taken into consideration while recording the findings

unless the proceedings are ex-parte.

i" (fter conclusion of the en*uiry, a report shall be prepared by the Hn*uiry Gfficer and it shall

contain

!a" the articles of charges and the statement of the allegations of misconduct ormisbehavior$

!b" 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 therefor.

ii" 1he Hn*uiry Gfficer where he is not himself the disciplinary authority, shall forward to the

disciplinary authority the records of en*uiry which shall include


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1he disciplinary authority has to finally decide the matter. e may accept the findings of the

Hn*uiry Gfficer and decide the penalty or otherwise. Ehile so deciding he has to take into

consideration the gravity of the misconduct and the past records of the &harge-sheeted

employee and any other extenuating andFor aggravating circumstances that may exist. If

he agrees with the findings, he should take a decision regarding the penalty to be

imposed. If, on the other hand, he does not agree with the findings he should record the

reasons for differing with the findings of the Hn*uiry Gfficer records his own findings of guilt,he should afford another opportunity to the &harge-sheeted employee to show cause

against the findings of guilt and take into consideration the causes, if any, shown before

awarding any penalty. 1he *uantum of penalty imposed on the &harge-sheeted employee

should not be disproportionate to the seriousness of the misconduct established, and

should be one which any other reasonable employer, under similar circumstances would

have awarded.

.6 C6ec7 $ist for Disciplinary Aut6ority:

1he disciplinary authority before passing final orders should check up if the following aspects

have been taken care of

(a) Ehether definite and specific charges were framed$

!b" Ehether the &harge-sheet was properly served

!c" Ehether the &harge-sheeted employee was given sufficient time to submit hisexplanation, as re*uired under the rules. Ehether the explanation, if any, submittedwas duly considered$

!d" Ehether the person charged was allowed to cross examine the witness produced insupport of charges, to give evidence in person and to call witness on his behalf$

!e" Ehether the findings are based on evidence on record, and whether the penalty is

proportionate to the gravity of the offence established.

!f" 1he disciplinary authority should also look into the past records of the employee ant ti d ti i t if hil d idi th lt t b


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.> &ployee on Deputation fro t6e Central 'ovt. or t6e State 'overnent etc.:

Ehere an order of suspension is made or disciplinary proceedings is taken against anemployee, who is on deputation to the &ompany from the &entral or a tate 4overnment, oranother public undertaking, or a local authority, the authority lending his services !hereinafterreferred to as the Rlending authorityR" shall forthwith be informed of the circumstances

leading to the order of his suspension, or the commencement of the disciplinary proceedings,as the case may be.

.: In the light of the findings in the disciplinary proceeding taken against the employee

!a" If the disciplinary authority is of the opinion that any of the minor penalties should beimposed on him, it may pass such orders on the case as it deems necessary afterconsultation with the %ending (uthority$ provided that in the event of a difference of

opinion between the disciplinary authority and the %ending (uthority, the services of theemployee shall be placed at the disposal of the %ending (uthority.

!b" If the disciplinary authority is of the opinion that any of the major penalties should beimposed on him, it should place his services at the disposal of the %ending (uthority andtransmit to it the proceedings of the en*uiry for such action as it deems necessary.

. If the employee submits an appeal against an order imposing a minor penalty on him under

sub-rule !a" it will be disposed of after consultation with the %ending (uthority$ provided that ifthere is a difference of opinion between the (ppellate (uthority and the %ending (uthority, theservices of the employee shall be placed at the disposal of the %ending (uthority andthe proceedings of the case shall be transmitted to that authority for such action as it deemsnecessary.

!&"A$TI&S

.B Gn the basis of the conclusions arrived at in the domestic en*uiry, if it is found that the charges

levelled against the employee are not proved, he may be exonerated and a letter to that

effect may be issued. If one of the charges or all the charges are proved, then the

appropriate penalty may be imposed on the employee by referring to the penalties provided


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vi" =eversion to the previous class, grade or post of an employee, appointed on

probation or another class, grade or post, during or at the end of the period of

probation, in accordance with the terms of the appointment or probation$

vii" 1ermination of service$

- Gf an employee appointed on probation during or at the end of the periodof probation, in accordance wi th the, terms of his appointment

- Gf an employee appointed in a temporary capacity otherwise than undera contract or agreement, on the expiry of the period for which he wasappointed earlier in accordance with the terms of his appointment$

- Gf an employee appointed under a contract or agreement, in accordance

with the terms of such contract or agreement$ and

- Gf an employee on reduction of establishment.

.C !enalties and t6eir Iposition:

1he penalty proposed should normally be commensurate with the gravity of the

'misconduct'. 1hough it is the management's discretion to award a lesser penalty than

stipulated under the rules, major penalty for a minor misconduct cannot be awarded. 1hemanagement has the discretion to decide the appropriate penalty for a particular

misconduct, subject to the obvious *ualification that the penalty should not be unduly

excessive. 1he penalty must be imposed for good and sufficient reason.

.J 9arnin,:

Earning may be oral or in writing. Ehen it is in writing it forms a part of one's record of service

and reflects on the conduct and efficiency of the employee. It can also be used in

awarding severe punishment in future in case of habitual repetition of the same offence.

Issue of warning does not affect wages of the employee nor does it have any bearing on


41/73

uspension may be ordered as a punishment. It is different from suspension pending

en*uiry. uspension as a penalty can be inflicted on an employee after the completion of

the formalities of the disciplinary proceedings. uspension letter may be issued.

.6;. 9it66oldin, of Increents:

Hmployees in time-scale of pay get annual increment in normal course, subject to passing ofthe efficiency bar or test, if any, prescribed. Eithholding of increment of an employee

ei ther on account of his work being found unsatisfactory or for failure to pass the

prescribed testFexamination is different from withholding of increment as a penalty. Ehile the

former is only an administrative action taken by the management against an employee for

his inefficiency, the latter is a result of disciplinary action.

(s a penalty, their increment can be withheld after following the procedure prescribed. (

letter to this effect may be issued.


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B.; Reduction to a $ower 'rade or !ost or Sta,e:

1he expression reduction to a lower grade or post means a transfer from a higher

position to a lower position at a lower rate of salary.

=eduction in rank may be either by way of punishment or it may be on administrative

grounds. Ehen an employee is reverted from a higher post in which he does not hold a lien, it

cannot be considered either a punishment or forfeiture of emoluments.

Ehile ordering the punishment of reduction to a lower grade or post the disciplinaryauthority shall state the period for which it shall be effective and whether on restoration the

period of reduction shall operate to postpone his future increment$ if so, to what extent.

Hvery order passed by a disciplinary authority imposing the penalty of reduction to a

lower stage in a time-scale should indicate

i" the stage in the time scale !in terms of rupees" to which the employee is reduced$and

ii" the date from which it will take effect.

It is a major penalty and the acts of misconduct for which reduction in rankFgrade may be

awarded are almost the same as those for which the penalty of removal or dismissal can

be awarded.

B.> Reoval and Disissal:

1he Dictionary meaning of the word removal means 'to discharge,' 'to get rid of, 'to dismiss'.1he word dismissal means 'to let go', to relieve from duty. In ordinary parlance both thesewords mean the termination of an employee's service. owever, there is a slightdistinction between the two in the sense that the removal from service does not dis*ualify


43/73

of the order of the disciplinary authority !within >6days in case of 3odel tanding Grders"

and the (ppellate (uthority shall dispose of the appeal within :; days !: months when

&onduct, Discipline 2 (ppeal =ules are applicable" of the receipt of the appeal.

B. !rovisions under Conduct* Discipline + Appeal Rules:

B.B (n employee governed by &onduct, Discipline 2 (ppeal =ules may also prefer an appealagainst an order of suspension to the appellate authority as shown in (nnexure-'I'.

B.C 1he appeal shall be addressed to the appellate authority and submitted to the authoritywhose order is appealed against. 1he latter authority shall forward the appeal together with

its comments and the records of the case to the appellate authority within 6B days. 1he

appellate authority shall consider whether the findings are justified or whether the penalty is

excessive or inade*uate and pass appropriate orders within three months of the date of

appeal. 1he appellate authority may pass order confirming, enhancing, reducing or settingaside the penalty or remitting the case to the authority which imposed the penalty or to any

other authority with such direction as it may deem fit in the circumstances of the case

B.J +rovided that if the enhanced penalty which the appellate authority proposes to imposeis a major penalty and an en*uiry as provided under rules has not already been held in the

case, the appellate authority shall direct that such an en*uiry be held in accordance with

the provisions of the rules and thereafter consider the record of the en*uiry and pass

such orders as it may deem proper. If the appellate authority decides to enhance thepunishment but an en*uiry has already been held as provided in rules, the appellate

authority shall give a show cause notice to the employee as to why the enhanced penalty

should not be imposed upon him. 1he appellate authority shall pass final order after

taking into account the representation, if any, submitted by the employee.

B.? Review:

B.< #or employees governed by the tanding Grders, an authority higher than the appellateauthority may review the case after appeal at any time either on its own motion or on the

application of the employee concerned.


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. (nnexure-'D' &harge-sheet

B. (nnexure-'H/ Grder of suspension pending en*uiry

C. (nnexure-'#' Grder of suspension pending &ourt's Grder

J. (nnexure-'4' Grder appointing the Hn*uiry GfficerF &ommittee?. (nnexure-'' Grder appointing the +resenting Gfficer

. (nnexure-'%' +unishment Grder - &ensure

6. (nnexure-'3' +unishment Grder - uspension

6B. (nnexure-')'+unishment Grder - Eithholding toppage of increment+unishment Grder

6C. (nnexure-'G' +unishment Grder - =eduction in rankFpay

6J. (nnexure-'+' +unishment Grder - =emoval Dismissal

).5. 1he proforma given in these (nnexures may be suitably modified, wherever

necessary, to suit the facts and circumstances of a particular case.


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(nnexure-(

ACTS A"D O)ISSIO"S CO"STIT#TI"' )ISCO"D#CT:

( workmen shall comply with the provisions contained in the tanding Grders of the

&ompany in force from time to time.

Eithout prejudice to the general meaning of the term misconduct, the following acts and

omissions shall inter-alia constitute specific acts of misconduct on the part of workmen

>:.6 Insubordination or disobedience or instigation thereof whether alone or in combination

with others of any lawful and reasonable orders of a superior or refusal to accept any

communication served by the 3anagement.

>:.> )on-observance of safety precautions or the rules on the subject or failure to use

safety e*uipment or wear protective clothing supplied to the employees by the

&ompany while on duty.

>:.: 3aking any misstatement or false or untrue statements or suppressing any information

andFor facts etc., regarding his name, age, father/s name, *ualification, previous

service, conduct or any other matter germane to the employment etc., by an employee

in his application for employment or at the time of interview in support of his

candidature for a post or at any time thereafter during the course of his employment

with the &ompany.

>:. abitual late attendance !or late attendance of more than three occasions within one

calendar month" or leaving work or place of work without permission or habitual

absence from duty without leave or without sufficient cause.

>:.B abitual negligence or neglect of duty, malingering or deliberate slowing down of work


46/73

>:.6: moking in prohibited areas.

>:.6 abotage or willful damage to or loss of, &ompany/s goods or property or interference

with any safety devices installed in or about the works premises.

>:.6B Demonstrating, picketing, agitating, detaining or gheraoing any officer or supervisory

staff whether inside or outside the &ompany/s premises.

>:.6C =efusal to be searched by the ecurity +ersonnel or by a person authoried by the

competent authority in accordance with these tanding orders.

>:.6J Eillful failure to inform a 3edical Gfficer of the &ompany of the occurrence in his

house of a notifiable disease vi. &holera, small pox, leprosy, typhoid, mumps,

epidemic, dropsy, measles.

>:.6? Unauthorised communication of official documents or information and disclosure to

any unauthoried person of information relating to the &ompany/s operations and

business.

>:.6< &arrying on money lending or any other private business without the written

permission of the 3anagement and entering into speculation in any investment or

commodity.

>:.>; preading false rumours or giving false information which tends to bring into disrepute

the &ompany or its employees or spreading panic among them.

>:.>6 Eriting of anonymous or pseudonymous letters criticiing superiors of the &ompany,or conduct prejudicial to the interests or reputation of the &ompany.

>:.>> Grganiing, holding, attending or taking part in any meeting shouting slogans,

organiing processions within company premises or its precincts without previous

written permission of the management.

f f


47/73

distributing or exhibiting any newspapers, pamphlets, hand-bills, posters or the like

without the previous written sanction of the 3anagement.

>:.:6 )ot starting work by starting time of duty hours or leaving work before working hours

are over or refusal on the part of a workman to work on a job or a machine which does

not call for any special skill or previous experience and can be done by the workman

without adversely affecting the ervice conditions.

>:.:> &ontinuous absence without permission and without satisfactory cause for more than

J days.

>:.:: (betment or attempt to commit any of the above acts of misconduct.

>:.: #alsificationFdefacement or destruction or unauthoried removal of &ompany records

whether maintained by workman himself or other employee or willfully committingserious mistakes or errors in the maintenance of records or giving incorrect information

for preparing them, or giving wrong testimony when accidents or other matters such as

misconduct etc., are being investigated.

>:.:B =efusal to accept order of transfer from one officeF department FsectionFbranch or shift

to the other provided such transfer does not affect the grade and pay of the workman.

>:.:C %oitering or idling during working hours, either alone or in groups, within theestablishment or staying, after the authoried hour of work, without permission.

>:.:J Hntering into bigamous marriage or marrying any person who has the other spouse

living without prior permission of the management.

>:.:? Disclosure regarding trade secrets and taking photographs of the project and

machinery where it is prohibited.

>:.:< (betment of or attempt to commit, or commission of any act of indiscipline or any act

subversive of discipline or habitual negligence.


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>:.C &arrying any kind of weapons, explosive materials whether licencedF unlicenced in

&ompany/s premises.

>:.J Unauthorised absence from place of duty after reporting for work.

>:.? 4iving or taking dowry.

>:.< +lying vehicles under intoxication.

>:.B; 1aking part in politics and elections.

a" )o workman shall be a member of or be otherwise associated with, anypolitical party or any organiation which takes part in, subscribe in aid of , or assist inother manner , any political movement or activity.

b" If any *uestion arises whether any movement or activity falls within the scope

of this rule, the decision of the management thereon shall be final.c" )o workman shall canvass or otherwise interfere or use his influence in

connection with, or take part, in elections to any legislator or local authority.

)ote 1he above instances of misconduct are only illustrative in nature and not exhaustive.


49/73

(nnexure-5

)isconduct

Eithout prejudice to the generality of the term KmisconductL the following acts of omission and

commission shall be treated as misconduct and will make the concerned employees liable to

disciplinary action

6. 1heft, fraud or dishonesty in connection with the business or property of the &ompany or ofproperty of another person within the premises of the &ompany.

>. 1aking or giving, offering or asking for bribes or any illegal gratification whatsoever orindulging in corrupt practices.

:. +ossession of pecuniary resources or property disproportionate to the known sources ofincome by the employee or on his behalf by another person, which the employee cannotsatisfactorily account for.

. #urnishing false information regarding one/s name, age, father/s name, *ualification etc. forthe purpose of employment or concealing any facts about the previous employment or anyother matter germane to the employment at the time of employment or during the course ofemployment, or giving false evidence at the time of any departmental en*uiry.

B. (cting in any manner prejudicialFdetrimental to the interests of the &orporationF &ompany.

C. abitual indiscipline or willful insubordination or disobedience, whether or not in combinationwith others, of any lawful and reasonable order of higher authority.


50/73

6>. Drunkenness, intoxication or riotous or disorderly or indecent behavior in the premises of the&ompany or outside such premises where behavior is related to or connected with theemployment.

6:. 4ambling within the premises of the establishment.

6. moking within the premises of the establishment where it is prohibited.

6B. &ollection without the permission of the &ompetent (uthority of any money within thepremises of the &ompany except as sanctioned by any law of the land for the time being inforce or rules of the &ompany.

6C. leeping while on duty.

6J. &ommission of any act which amounts to a criminal offence involving moral turpitude.

6?. (bsence from the employee/s appointed place of work without permission or sufficient cause.

6;. &ommission of any act subversive of discipline or of good behaviour.

>6. (betment of or attempt at abetment of any act which amounts to misconduct.

>>. triking work either singly or alongwith others in contravention of any statute, law, rule or


51/73

>J. =efusal to accept any communication including order of transfer from one jobFshift to anotheror from one department or section to the other, provided such transfer shall not affect thegrade and pay of the employee.

>?. #alsification, defacement or destruction of &ompany/s records, impersonation or forgery.

>. (ssaulting or intimidating an employee of the &ompany within the &ompany/s premises oroutside.

::. 3aking representations or sending grievance petitions to the members of the 5oard ofDirectors or the senior 3anagement or 4overnment of India except through proper channel.!1his does not prevent submission of appeals to the prescribed (ppellate (uthorities underthese rules".

:. preading or encouraging casteism, regionalism or communalism.

:B. Deliberately spreading false information or rumours with a view to bringing about disruption ofthe &ompany/s normal work or otherwise to bring disrepute to the &ompany or its


52/73

(ccordingly, every employee who is Incharge of a work place shall take appropriate steps to

prevent sexual harassment of any women at such work place.

)ote 1he above instances of misconduct are only illustrative in nature and not exhaustive and any

obvious improper conduct on the part of any employee will be treated as misconduct.


53/73

(nnexure-&

R&!ORT OF )ISCO"D#CT

1o,

1he Departmental ead F +ersonnel Department, ...............................Department.

I wish to report as under

*+ )ame 2 Hmployee )o. of Delin*uent Hmployee

>. Designation of the Delin*uent Hmployee +osting

+ 1ime and Date of incident

-+ +lace of occurrence

.+ Details of misconduct

/+ )ame!s" 2 ignature of Eitness!es"

0+ Ehether statements recorded and attached PesF)o

Date ignature of =eportingHmployee !&omplainant")ameDesignation


54/73

A""&#R& D

CHAR'& SH&&T

=ef.)o. Date

)ame.........

Hmployee )o.

Designation

ection...........

Department...

Ehereas it has been reported that you have committed the following act!s" or omission which

constitute!s" misconduct in accordance with tanding GrdersF&onduct, Discipline 2 (ppeal =ulesN

i) i" ! #ull narration of the accounts of misconduct

i) ii" In detail with particular reference

ii) iii"

to date, time place etc."

>. Pou are, therefore, charged with having committed the following act!s" of misconducti) i" !3ention only relevant portion from the clausesii) ii" applicable to misconduct and refer to number andiii) iii" sub-clause of the tanding GrderF&D( =ules against each of the charges".

:. Pou are re*uired to submit to the undersigned a written explanationFstatement of defenceNon or before.................................. showing cause as to why should you not be dismissed orotherwise punishedN for committing the above mentioned act!s" of misconduct.

. hould you fail to submit your explanationFstatement of defenceN as directed it will be


55/73

A""&#R& &

ORD&R OF S#S!&"SIO" !&"DI"' &"1#IR(

=ef.)o. Date

)ame..................................................

Hmployee )o......................................

Designation.......................................

ection...........................................

Department........................................

&ertain allegations amounting to serious misconduct under the tanding GrdersF &onduct,

Discipline 2 (ppeal =ulesN have been made against you. #ormal charge-sheet is being issued

separately.

>. ince the allegations made against you are of a serious nature, you are hereby suspended withimmediate effect pending further proceedings and final orders in the matter.

:. During the period of your suspension, you shall not enter the Eorks +remises except with the

permission of the competent authority, nor should you leave the station without the written

permission of the undersigned.

. Pou are re*uired to surrender your tokenFidentification cardN to................. immediately.

B. During the period of your suspension, you will be entitled to draw ubsistence (llowance as

admissible under the rules

ORD&R OF S#S!&"SIO" 9H&R& A" &)!$O(&& IS ACC#S&D


56/73

ORD&R OF S#S!&"SIO" 9H&R& A" &)!$O(&& IS ACC#S&D

A CO#RT OF $A9 FOR A CRI)I"A$ OFF&"C&

=ef.)o. Date

Hmployee )o................................

Designation......................................

ection..............................................

Department.............................

Ehereas it has been reported that action is being taken to prosecute youFyou have been prosecuted

in a &ourt of %aw for an offenceFunder ection!s"............... of the Indian +anel &ode which isFare of

serious nature involving moral turpitudeF corruption.N

>. Pou are, therefore, placed under suspension with immediate effect until disposal of the &riminal

trial contemplatedFpending against you in accordance with =ule....................of the tanding

GrdersF&onduct, Discipline 2 (ppeal =ulesN

: During the period of your suspension, you shall not enter the Eorks +remises except with

the permission of the competent authority, nor should you leave the station without the

written permission of the undersigned.

Pou are re*uired to surrender your tokenFidentification cardN to................. immediately.

B. During the period of your suspension, you will be entitled to draw ubsistence (llowance asadmissible under the rules.

C. +lease acknowledge receipt of this order on the duplicate copy enclosed.

ignature of the Disciplinary (uthority

)ame


57/73

A""&#R& '

ORD&R A!!OI"TI"' TH& &"1#IR( OFFIC&RBCO))ITT&&

=ef.)o. Date

OFFIC& ORD&R

Ehereas certain allegations constituting misconduct have been madeagainst!name"......................................... designation....................... ectionFDeptt................. on whichbasis the &harge-sheet was issued to him vide letter )o..................... dated............... and whereas

the above workmanFemployeeN has denied the allegation!s" and the charge!s"Fhas partly admittedthe allegation!s" and the charge!s" necessitating further en*uiryFhis explain-nation is not otherwiseconsidered satisfactoryFhis explanation has not been receivedN

N>. 1he undersigned, therefore, appoints........................ as Hn*uiry Gfficer to en*uire into theallegations and submit findings to the undersigned within............... days for consideration.

N> 1he undersigned, therefore, appoints an Hn*uiry &ommittee consisting of the followingmembers

i".............................................., &hairman.

ii".............................................., 3ember.

iii"............................................., &onvener.

to en*uire into the allegations and submit findings to the undersigned with................. days for

consideration.

:.hri........................ !name of delin*uent employee" is directed to appear before the said Hn*uiry


58/73

A""&#R& H

ORD&R A!!OI"TI"' TH& !R&S&"TI"' OFFIC&R

=ef. )o. Date

OFFIC& ORD&R

Ehereas charge-sheet )o......................................dated...........................was issued

to.... hri....................................!name"......................designation.....................ectionF

Deptt...............

>. Ehereas an Hn*uiry GfficerF&ommitteeN was appointedFconstituted to en*uire into the

allegations against the above named employee vide )o............................................ dated...........

:. 1he undersigned, therefore, appoints hri...................................................... !name" ,

Designation.............................. ectionFDeptt................................ as the +resenting Gfficer to

present the case and adduce evidence in support thereof, before the said Hn*uiry Gfficer

&ommittee on behalf of the undersigned.


)ame

Designation

Copy to:

6. hri........................!+resenting Gfficer".

>. Hn*uiry GfficerF3embers of the Hn*uiry &ommittee.


59/73

A""&#R& I

"OTIC& OF &"1#IR(

R&'IST&R&D ABD #.!.C.

=ef. )o. Date

)ame.................................................

Hmployee )o......................................

Designation........................................

ection...............................................

Department.......................................

Sub: &n=uiry !roceedin,s

In the matter of charge-sheet )o............................................dated............................ issued to you,it is hereby informed that the undersignedFthe Hn*uiry &ommitteeNconstituted vide Gffice Grder)o.................................................................... dated....................... .....................will hold en*uiryin...............................................................................!+lace" in the said matter on............................................................. !date" and at............................................ !time".

>. Pou are advised to appear at the above mentioned en*uiry and produce all your witnesses andevidence in support of your defence.

:. (t the en*uiry, the management evidence and witnesses will be examined first. Pou will be given

full opportunity to examine the evidence and cross-examine the management witnesses on

which the charges are based Pou will then be given the opportunity to produce defence

&opy to


60/73

&opy to

6......................................!+resenting Gfficer"

>.....................................!3embers of the Hn*uiry &ommitteeN"

:....................................!ecurity Gfficer"

....................................!Disciplinary authority"

NGmit whichever is not applicable.


61/73

Anne@ure4

&O"&RATIO" $&TT&R

=ef.)o Date

)ame.............

Hmployee )o.

Designation...

ection..........

Department..

6. +lease refer to the letter of charge )o...................... dated............. issued to you and thesubse*uent en*uiry into the allegations mentioned therein.

>. Pou are, hereby, exonerated of the charges levelled against you vide above mentioned letterdated..............

N:. Pour suspension order dated............... in the above case is hereby revoked$ and you are advisedto report for your duties forthwith, but not later than.......................

N. ubject to !:" above, the period of your suspension will be treated as on duty and you will be

paid the difference between the subsistence allowance already paid to you and the emoluments

consisting of pay and allowances which you would have received had you not been suspended.


)ame


62/73

A""&#R&

9AR"I"' $&TT&R

=ef.)o

Date

)ame.............

Hmployee )o

Designation...

ection.........

Department..

(s a result of the departmental en*uiry held in your presenceFex-parte,N you are found guilty

jointlyN and severallyN of the charge!s" levelled against you .!If all the charges are not proved,

mentioned only those charges which are proved as per the charge sheet dated....................N".

In the circumstances, the undersigned would have been fully justified to take a serious view in the

matter and inflict upon you severe punishment. owever, in consideration of the fact that your past

record is satisfactoryFyou have admitted your guilt and re*uested for pardonFwith a view to offer you

a fair chance to improve your conductN, I have decided to let you off with a written warning this time.

It is hoped that you will appreciate it and improve your conduct in future. owever,you should

note that in future, if you are found guilty of this or similar misconducts the 3anagement will not

hesitate to take a very serious-view, if justified by the facts and circumstances of the case.


!#"ISH)&"T ORD&R4C&"S#R&


63/73

!#"ISH)&"T ORD&R C&"S#R&

=ef.)o Date

)ame.............

Hmployee )o

Designation...

ection.........

Department..

(s a result of the departmental en*uiry held in your presenceFex-parte,N you are found guilty ofthe charge!s" levelled against you !if all the charges are not proved, mentioned only thosecharges which are proved as per the &harge-sheet dated...............".

In the circumstances, the undersigned would have been fully justified to take a serious view in

the matter and inflict upon you severe punishment. owever, in consideration of the fact that

your past record is satisfactoryFyou have admitted your guilt and re*uested for pardonNFwith a

view to offer you a fair chance to improve your conductN, you are hereby &ensured.


)ame

Designation

Copy to

6. &oncerned =eporting Gfficer e is re*uested to hand over this letter to the above namedemployee after obtaining his dated signatureFleft handthumb impression on the duplicate copy enclosed 2 return


64/73

A""&#R& J)>

!#"ISH)&"T ORD&R4S#S!&"SIO"

=ef.)oDate

)ame.............

Hmployee )o

Designation...

ection.........

Department..

#urther to the &harge-sheet )o..............................dated.............issued to you andreceipt of your explanation dated.............an en*uiry was held into the charge!s" levelledagainst you.

>. 1he undersigned finds from the proceedings of the en*uiry that reasonable opportunity

was provided to you for conducting your defence at the en*uiry by cross-examining

management witnesses and producing your defence.

:. 1he undersigned has carefully gone through the records of the en*uiry, the connected

papers, documents and findings of the Hn*uiry GfficerF&ommitteeN and based on the

findings at the en*uiry, it is found that the following charge!s" levelled against you hasF

have been sufficiently provedFestablishedN


65/73

>. +ay 2 (ccounts ection

:. &oncerned +ersonnelDeptt.FDisciplinary &ell

. &oncerned #ile

NGmit which is not applicable.


66/73

A""&#R& "

!#"ISH&)&"T ORD&R K STO!!I"' OF I"CR&)&"T

=ef.)o Date

)ame.............

Hmployee )o

Designation...

ection.........

Department..

#urther to the &harge-sheet )o..............................dated.............issued to you andreceipt of your explanation dated.............an en*uiry was held into .the charge!s"levelled against you.



management witnesses and producing your defence.

:. 1he undersigned has carefully gone through the records of the en*uiry, the connected


findings at the en*uiry, it is found that the following charge!s" levelled against you hasF

have been sufficiently provedFestablishedN.

.N )ot only your previous record is not goodFunsatisfactoryN and there are no extenuating


67/73

A""&#R&O

!#"ISH)&"T ORD&R4R&D#CTIO" I" !A(BRA"

=ef.)o. Date

)ame...........

Hmployee )o

Designation..

ection.......... Department.#urther to the &harge-sheet )o..............................dated.............issued to you and

receipt of your explanation dated.............an en*uiry was held into the charge!s" levelledagainst you.



management witnesses and producing your defence.:. 1he undersigned has carefully gone through the records of the en*uiry, the connected


fi di t th i it i f d th t th f ll i h ! " l ll d i t h F


68/73


)ame

Designation

Copy to

6 &oncerned =eporting Gfficer e is re*uested to hand over this letter to the above

named employee after obtaining his dated signatureFleft

hand thumb impression on the duplicate copy enclosed 2

return the same to the undersigned for record.

>. +ay 2 (ccounts ection

:. &oncerned +ersonnel Deptt.FDisciplinary &ell

. &oncerned #ile



69/73

A""&#R& !

!#"ISH)&"T ORD&R4R&)O%A$BDIS)ISSA$

=ef.)oDate

)ame.............

Hmployee )o.

Designation...

ection..........

Department..

6. #urther to the &harge-sheet )o.............................. dated............. issued to you andreceipt of your explanation dated............. an en*uiry was held into the charge!s"levelled against you.

>. I find from the proceedings of the en*uiry that reasonable opportunity was provided to

you for conducting your defence at the en*uiry by way of examination of the documentsF

materials produced by the prosecution side andFor cross-examination of prosecution

witnesses and production of your own documentsF materials and examination of your

own witnesses including yourself.

:. I have very carefully gone through the records of the en*uiry, the connected papers,documents and findings of the Hn*uiry GfficerF&ommitteeN and fully agree with the

findings that on the evidence at the en*uiry, the following charge!s" levelled against you

hasFhave been established beyond doubt


70/73

Copy to:

6. &oncerned =eporting Gfficer - e is re*uested to hand over this letter to the above

named employee after obtaining his dated

signatureFleft hand thumb impression on theduplicate copy enclosed 2 return the same to the

undersigned for record.

>. +ay 2 (ccounts ection,

. &oncerned +ersonnel Deptt.FDisciplinary &ell

B. &oncerned #ile

). 5 1his order is not to be made by an authority lower than the appointing authority of the

employee concerned, notwithstanding the fact that the appointing authority might have

subse*uently delegated the power of appointment of employees of the categoryFrank to

which the employee belongs, to such lower authority.



71/73


72/73

)odified Dele,ation of !owers under THDCI$ CDA Rules!Hmployees in HxecutiveFupervisory &ategories"

(nnexure-(

l.)o.

cale of +ay N2

%evel

3inor +enalties#or penalties specified in

=ule >C !a", !b", !c", !d", 2 !e"

3ajor +enalties

#or penalties specified in

=ule >C !f", 2 !g"

#or penalties specified in

=ule >C !h", !i" 2 !j"Disciplinary (uthority

(ppellate (uthority Disciplinary (uthority

(ppellate (uthority Disciplinary (uthority

(ppellate (uthority

6 >;B;;- >CB;;!H-< to H-?"

&3D HxecutiveF(uthoritynext higher to theone which imposedthe penalty

&3D HxecutiveF(uthoritynext higher to theone which imposedthe penalty

(ppointing (uthority

HxecutiveF(uthority nexthigher to theone whichimposed thepenalty

> 6BC;; to

6JB;!H-J( to H-J"

#unctional

Directors

&3D #unctional

Directors

&3D (ppointing

(uthority

-do-

: 6JB;;->>:;; to6?B;;->:. #or 4roup cases, the Disciplinary (uthority shall be as for the highest ranking officer.6. )ormally the powers of imposing penalty conferred under &onduct, Discipline and (ppeal =ules shall be exercised by the

Disciplinary (uthority as indicated in &ol!" above. If the penalty considered by the Disciplinary (uthority happens to becompulsory =etirement, =emoval, Dismissal, then in that case, the case will be re*uired to be put up by the Disciplinary

(uthority to the (ppointing (uthority for consideration.>. In case of introduction of election 4rade in non-undersigned upervisory category, the delegation of powers under &D(

=ules shall be the same as applicable to Hmployees in H-6 grade.

THDC I"DIA $I)IT&D


73/73

(++GI)1I)4F DI&I+%I)(=PF(++H%%(1H ()D =H8IHEI)4 (U1G=I1P, U)DH= 1()DI)4 G=DH=

(nnexure-5

l.

)o

&ategory ofHmployees

(ppointing (uthority

Disciplinary (uthority (ppellate (uthority

=eviewing (uthority

#or 3inor

+enalties

#or 3ajor

+enalties

under =ule

>.>

W!excluding

penalty of

Dismissal

under =ule

>.>!c"X

#or 3ajor

+enalty of

Dismissal

under =ule

>.>!&"

6. Eorkmen in the

grade of E-: 2

below

D43F(43 Dy.3anager 3anager D43F(43 (43F43 43FHD

>. Eorkmen in the

grade of E- to E-

J

D43F(43 3anager r.3anager D43F(43 (43F43 43FHD

Eorkmen in the

grade of E-? to E-66

D43F(43 3anager 3FD43 D43F(43 (43F43 43FHD

)G1H

i". In the DepartmentFDivision, where the designation as shown in this scheduled do not exist, Gfficer in the sameFe*uivalent scale

shall exercise the powers.

ii". Ehere Gfficers of the level indicated in this scheduled are not available, Gfficer in the higher scale!s" shall exercise the power.

Documents

Disciplinary Section