Procedure for imposing major penalties

Source : THE ALL INDIA SERVICES (DISCIPLINE AND APPEAL) RULES, 1969

Procedure for imposing major penalties.—

8(1) No order imposing any of the major penalties specified in rule 6 shall be

made except after an inquiry is held as far as may be, in the manner

provided in this rule and rule 10 or provided by the Public Servants

(Inquiries) Act 1850 (37 of 1850) where such inquiry is held under that Act.

8(2) Whenever the disciplinary authority is of the opinion that there are grounds

for inquiring into the truth of any imputation of misconduct or misbehaviour

against a member of the Service, it may appoint under this rule or under the

provisions of the Public Servants (Inquiries) Act 185044, as the case may be,

an authority to inquire into the truth thereof.

45Provided that where there is a complaint of sexual harassment within the

meaning of rule 3 of the All India Services (Prevention of Sexual Harassment)

Regulations, 1998, the Complaints Committee established in each Ministry or

Department or Office for inquiring into such complaints, shall be deemed to be

the inquiring authority appointed by the disciplinary authority for the purpose of

these rules and the Complaints Committee shall hold, if separate procedure

has not been made for the Complaints Committee for holding the inquiry

into the complaints of sexual harassment, the inquiry as far as

practicable, in accordance with the procedure laid down in these rules.

43 Substituted vide DOP&T Notification No. 13/1/71-AIS-III dated 11.01.1972

44 Circulated vide DOP&T letter No. 2506/80/AIS-III dated 05.08.1980

45 Inserted vide DOP&T Notification No. 11018/4/2012-AIS-III dt. 10.06.2014 (GSR No.408(E) dt. 18.06.2014)

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8(3) Where a Board is appointed as the inquiring authority it shall consist of not

less than two senior officers provided that at least one member of such a

Board shall be an officer of the Service to which the member of the Service

belongs.

8(4) Where it is proposed to hold an inquiry against a member of the Service

under this rule and or rule 10, the disciplinary authority shall draw up or

caused to be drawn up—

(i) the substance of the imputations of misconduct or misbehaviour into

definite and distinct articles of charge;

(ii) a statement of the imputations of misconduct or misbehaviour in

support of each article of charge, which shall contain—

(a) a statement of all relevant facts including any admission or

confession made by the member of the Service;

(b) a list of documents by which, and a list of witness by whom the

articles of charge are proposed to be sustained.

468(5)(a) The disciplinary authority shall deliver or cause to be delivered to the

member of the Service a copy of the articles of charge, the statement of

the imputations of misconduct or misbehaviour and a list of documents

and witnesses by which each article of charge is proposed to be

sustained.

(b) On receipt of the articles of charge the member of Service shall be

required to submit his written statement of defence, if he so desires, and

also state whether he desires to be heard in person, within a period of

thirty days, which may be further extended for a period not exceeding

thirty days by recording reasons in writing by the disciplinary authority or

any other authority authorised by the disciplinary authority on his behalf:

Provided that under no circumstances, the extension of time for filing

written statement of defence shall exceed ninety days from the date of

receipt of articles of charge.

8(6) (a) On receipt of the written statement of defence the disciplinary authority

may appoint, under sub-rule (2), an inquiring authority for the purpose

of inquiring into such of the articles of charge as are not admitted and

where all the articles of charge have been admitted by the member of

the Service in his written statement of defence, the disciplinary

authority shall record its finding on each charge and shall act in the

manner laid down in rule 9.

(b) If no written statement of defence is submitted by the member of the

Service, the disciplinary authority may, if it considers it necessary to do

so, appoint under sub-rule (2), an inquiring authority for the purpose.

46 Substituted vide Notification No. 11018/01/2016-AIS-III, dt. 20.01.2017 (GSR No. 59(E) dt. 20.01.2017)

279

holding an inquiry into such charge it may by an order, appoint a

Government servant or a legal practitioner, to be known as the

“Presenting Officer” to present on its behalf the case in support of the

articles of charge.

8(7) The disciplinary authority shall forward to the inquiring authority—

(i) a copy of the articles of charge and the statement of imputations of

misconduct or misbehaviour;

(ii) a copy of the written statement of defence if any submitted by the

member of the Service;

(iii) a copy of the 47[statements] of witness, if any, referred to in sub-rule (4)

(iv) evidence proving the delivery of the documents referred to in sub-rule 4

to the member of the Service; and

(v) a copy of the order appointing the “Presenting Officer”.

8(8) The member of the Service shall be required to appear in person before the

inquiring authority at any time prescribed after the expiry of ten working days

from the date of receipt of the articles of charge and statement of

imputations of misconduct or misbehaviour, or within such further time, not

exceeding ten days, as the inquiring authority may allow.

8(9) (a) The member of the Service may take the assistance of any other

Government servant to present the case on his behalf but may not

engage a legal practitioner for the purpose unless the Presenting

Officer appointed by the disciplinary authority is a legal practitioner, or,

the disciplinary authority, having regard to the circumstances of the

case, so permits.

48 8(9) (b) A member of the Service may also take the assistance of a retired

Government servant to present the case on his behalf, subject to such

conditions as may be specified by the President from time to time by

general or special order in this behalf.

49NOTE: The member of the Service shall not take the assistance of any other

Government servant who has two or more pending disciplinary cases on

hand in which he has to give assistance.

8(10) If the member of the Service who has not admitted any of the articles of

charge in his written statement of defence or has not submitted any written

statement of defence appears before the inquiring authority, such authority

shall ask him whether he is guilty or has any defence to make and if he

pleads guilty to any of the article of charge, the inquiring authority shall

record the plea, sign the record and obtain the signature of the member of

the Service thereon.

8(11) The inquiring authority shall return a finding of guilt in respect of [those]

articles of charge to which the member of the Service pleads guilty.

47 Substituted DP&AR Notification No. 6/9/72-AIS-III dt. 5.7.1975 (GSR No. 872 dt. 19.7.1975)

48 Inserted vide DP&AR Notification No. 6/9/72-AIS-III dt. 5.7.1975 (GSR No. 872 dt. 19.7.1975)

49 Inserted vide DP&AR Notification No. 11018/12/76-AIS-III dt. 12.7.1977 (GSR No. 983 dt. 30.7.1977)

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8(12) The inquiring authority shall, if the member of the Service fails to appear

within the specified time or refuses or omits to plead, require the Presenting

Officer to produce the evidence by which he proposes to prove the articles

of charge and shall adjourn the case to a later date, not exceeding thirty

days, after recording an order that the member of the Service may, for the

purpose of preparing his defence:

(i) inspect, within five days of the order or, within such further time not

exceeding five days as the inquiring authority may allow, the document

specified in the list referred to in sub-rule (4);

(ii) submit a list of witness to be examined on his behalf;

NOTE : If the member of the Service applies orally or in writing for the supply of

copies of the statement of witness mentioned in the list referred to in subrule (4), the inquiring authority shall furnish him with such copies as early

as possible and in any case not later than three days before the

commencement of the examination of the witness on behalf of the

disciplinary authority.

(iii) give a notice within ten days of the order or, within such further time not

exceeding ten days as the inquiring authority may allow, for the

discovery or production of any documents which are in the possession

of Government but not mentioned in the list referred to in sub-rule (4).

NOTE : The member of the Service shall indicate the relevance of the documents

required by him to be discovered or produced by the Government.

8(13) The inquiring authority shall, on receipt of the notice for the discovery or

production of documents, forward the same or copies thereof to the

authority in whose custody or possession the documents are kept with a

requisition for the production of the document by such date as may be

specified in such requisition:

Provided that the inquiring authority may, for reasons to be recorded by it in

writing, refuse to requisition such of the documents as are, in its opinion, not

relevant to the case.

8(14) On receipt of the requisition referred to in sub-rule (13), every authority

having the custody or possession of the requisitioned documents shall

produce the same before the inquiring authority:

Provided that if the authority having the custody or possession of the

requisitioned documents is satisfied, for reasons to be recorded by it in

writing, that the production of all or any of such documents would be against

the public interest or security of the State, it shall inform the inquiring

authority accordingly and the inquiring authority shall, on being so informed,

communicate the information to the member of the Service and withdraw the

requisition made by it for the production or discovery of such documents.

8(15) On the date fixed for the inquiry, the oral and documentary evidence by

which the articles of charge are proposed to be proved shall be produced

by, on behalf of, the disciplinary authority. The witnesses shall be examined

by, or on behalf of, disciplinary authority. The witnesses shall be examined

by, or on behalf of the Presenting Officer and may be cross-examined by, or

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on behalf of, the member of the Service. The Presenting Officer shall be

entitled to

re-examine the witnesses on any point, on which they have been crossexamined, but not on any new matter, without the leave of the inquiring

authority. The inquiring authority may also put such questions to the

witnesses as it thinks fit.

8(16) If it shall appear necessary before the close of the case on behalf of the

disciplinary authority, the inquiring authority may, in its discretion, allow the

Presenting Officer to produce evidence not included in the list given to the

member of the Service or may itself call for new evidence or recall and reexamine any witness and, in such case, the member of the Service shall be

entitled to have, if he demands it, a copy of the list of further evidence

proposed to be produced and an adjournment of the inquiry for three clear

days before the production of such new evidence, exclusive of the day of

adjournment and the day to which the inquiry is adjourned. The inquiring

authority shall give to the member of the Service an opportunity of

inspecting such documents before they are taken on the record. The

inquiring authority may also allow the member of the Service to produce

new evidence, if it is of opinion that the production of such evidence is

necessary in the interests of justice.

NOTE: New evidence shall not be permitted or called for or any witness shall not

be recalled to fill up any gap in the evidence. Such evidence may be

called for only when there is an inherent lacuna or defect in the evidence

which has been produced originally.

8(17) When the case for the disciplinary authority is closed, the member of the

Service shall be required to state his defence, orally or in writing, as he may

prefer. If the defence is made orally, it shall be recorded and the member of

the Service 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.

8(18) The evidence on behalf of the member of the Service shall then be

produced. The member of the Service may examine himself in his own

behalf if he so prefers. The witnesses produced by the member of the

Service shall then be examined and shall be liable to cross-examination, reexamination and examination by the inquiring authority according to the

provisions applicable to the witnesses for the disciplinary authority.

8(19) The inquiring authority may, after the member of the Service closes his

case, and shall, if the member of the Service has not examined himself,

generally question him on the circumstances appearing against him in the

evidence for the purpose of enabling the member of the Service to explain

any circumstances appearing in the evidence against him.

8(20) The inquiring authority may, after the completion of the production of

evidence, hear the Presenting Officer, if any, appointed, and the member of

the Service or permit them to file written briefs of their respective cases, if

they so desire.

8(21) If the member of the Service, to whom a copy of the articles of charge has

been delivered, does not submit the written statement of defence on or

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before the date specified for the purpose or does not appear in person

before the inquiring authority or otherwise fails or refuses to comply with the

provisions of this rule, the inquiring authority may hold the inquiry ex-parte.

8(22) (a) Where a State Government which has caused to be inquired into the

articles of any charge and, having regard to its decision on any of the

findings of any inquiring authority appointed by it is of the opinion that

the penalties specified in clauses (vii) to (ix) of rule 6 should be

imposed on the member of the Service, the State Government shall

forward the records of the inquiry to the Central Government

suggesting imposition of the penalties specified in clauses (vii) to (ix) of

rule 6.

8(22) (b) The Central Government may act on the evidence on the record or

may, if it is of the opinion that further examination of any of the witness

is necessary in the interest of justice, recall the witnesses and examine,

cross-examine and re-examine such witnesses. If the Central

Government do not find justification for imposing one of the penalties

specified in clauses (vii) to (ix) of rule 6 in a case referred to it by a

State Government, then it shall refer it back to the State Government.

8(23) Whenever an inquiring authority, after having heard and recorded the whole

or any part of the evidence in an inquiry, 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 opinion that

further examination of any 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 witness as here in before provided.

8(24) (i) After the conclusion of the inquiry, a report shall be prepared and it

shall contain—

(a) the articles of charge and the statement of imputations of

misconduct or misbehaviour;

(b) the defence of the member of the Service in respect of each

article of charge;

charge; and

(d) the findings on each article of charge and the reasons therefor.

Explanation— If in the opinion of the inquiring authority the proceedings of the

inquiry establish any article of charge different from the original articles of 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

member of the Service 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.

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(ii) The inquiring authority shall forward to the disciplinary authority the

records of inquiry which shall include—

(a) the report prepared by it under clause (i);

(b) the written statement of defence, if any, submitted by the member of

the Service;

inquiry;

(d) written briefs, if any, filed by the Presenting Officer or the member of

the Service or both during the course of the inquiry; and

(e) the orders, if any, made by the disciplinary authority and the inquiring

authority in regard to the inquiry.

508(25)(a) The Inquiring Authority should conclude the inquiry and submit his

report within a period of six months from the date of receipt of order of his

appointment as Inquiring Authority.

(b) Where it is not possible to adhere to the time limit in clause (a), the

Inquiring Authority may record the reasons and seek extension of time from

the disciplinary authority in writing, who may allow an additional time not

exceeding six months for completion of the inquiry.

may be allowed for any good and sufficient reasons to be recorded in

writing by the disciplinary authority or any other authority authorised by the

disciplinary authority on his behalf.

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