FAQs on Disciplinary and Appeal Cases Branch

This document provides frequently asked questions related to disciplinary cases and the role of the Union Public Service Commission in handling such cases.

Question Bank 10 Pages

Union Public Service Commission (Main)

Miscellaneous

Contributed by

Aabha Bansal

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DISCIPLINARY AND APPEAL CASES BRANCH

Q 1 – What is the role of the Commission in disciplinary cases?

Answer - The Union Public Service Commission, a Constitutional Body, is
mandated to carry out a wide range of functions under Article 320 of the
Constitution of India. These functions are advising the Government(s) /
Ministries/ Departments, on the subjects which inter alia, include disciplinary
matters affecting a person serving under the Government of India or the
Government of a State in a civil capacity, including memorials or petitions
relating to such matters.
Q 2 – What are the cases that are exempted from consultation with the
Commission?

Answer - The cases which are exempted from consultation with the
Commission have been listed under Regulation 5 in Union Public Service
Commission (Exemption from Consultation) Regulations, 1958. These
Regulations are available on the website of DoP&T.
Q 3 – How are the disciplinary cases referred to the Commission?

Answer - For expeditious disposal of disciplinary cases in the Commission
and to reduce avoidable delays, a Single Window System (SWS) is functioning
in the Commission. Under this System, a Ministry/Department/State
Government which refers a disciplinary case to the Commission for advice, is
also required to authorize an officer, not below the rank of Under Secretary, to
hand over the case in person, with prior appointment, to the designated officer
in UPSC. The cases so received from the Ministries/Departments/State
Governments are initially scrutinized at the Single Window itself to ensure that
the requisite information/ documents provided are in accordance with the check-
list issued by the DoP&T. Only those cases which are found complete, in
conformity with the check list, are accepted by the Commission for further
examination and advice.
Q 4 – How is an appointment at the Single Window made to bring the
disciplinary cases?
Answer - To facilitate easier access, the Commission has introduced e-
appointment system w.e.f. 20.11.2018. Authorized representatives from
Ministries/ Department/ State Government are required to book prior appointment
online using the link highlighted under Single Window tab on the website of
UPSC (www.upsc.gov.in) and hand over the disciplinary case to the designated
Under Secretary (D&AC), UPSC in Room No.10-A located in the Annexe Building
of the Commission. Prior appointment under the Single Window is fixed with the
concerned Department to ensure undivided attention to the scrutiny of the
records and to minimize the waiting time.
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Q 5 – Is it required that original/ authenticated copies of the case records
are sent to the Commission?

Answer - It is a mandatory requirement that all the case records so received at
the Single Window, are as per the proforma check list issued vide DoP&T’s OM
No.39011/08/2016-Estt.(B) dated 28.12.2018, are legible and are either in
original or duly authenticated copies.

Q 6 – If the case records are in any language other than English or Hindi,
does the Commission accept them?

Answer - The Commission accepts authenticated versions of the documents
either in English or in Hindi. The concerned administrative Ministry/
Department/ State Government is required to provide the authenticated
translated version of the case records, in such cases, in which the original
case records are in any other language other than English or Hindi.

Q 7 – Whether the Commission tenders its Advice in case the Relied
upon Documents are missing or are not duly authenticated?

Answer - The Commission considers this as a documentary lapse and such
cases are returned, after pointing out the deficiency at the Single Window
itself.

Q 8 – What should be done in case the Charge Sheet, IO’s Report, etc.
contain a variety of acronyms specific to the Department concerned?

Answer - The Ministry/ Departments/ State Governments should provide to
UPSC the full-form of all the acronyms referred in the case records.

Q 9 – Whether the Commission tenders its Advice in case the information
pertaining to the amount of ‘pension and gratuity (admissible/
provisional/ withheld)’ is not provided in a disciplinary case involving a
retired Government Servant?

Answer - The Ministry/ Department/ State Government is required to provide
information relating to the admissible and provisional Pension along with the
information regarding the gratuity admissible or withheld to the Government
Servant while referring the case to the Commission for Advice.
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Q 10 – In the minor penalty Disciplinary cases, is there any time limit for
accepting the cases before retirement of the Charged Officer?

Answer - The Commission expects to receive minor penalty cases at least
three months before the date of superannuation of the Charged Officer.

Q 11 – In major penalty Disciplinary cases, is there any time limit for
accepting the cases before retirement of the Charged Officer?

Answer - DoP&T’s OM No.39011/08/2016-Estt.(B) dated 28.12.2018 provides
that the complete reference is received in the Commission at least six months
before the retirement of the Charged Officer in order to enable the Commission
to consider and tender Advice timely so that all the required procedures can be
completed before retirement.

Q 12 – What is the procedure for referring the case warranting cut in
pension to the Commission?

Answer - In the Disciplinary proceedings relating to a pensioner, in
accordance with the procedures as outlined under Rule 9 of the CCS(Pension)
Rules, 1972 and other analogous Rules applicable to a pensioner, the
President is required to come to a tentative conclusion that charges proved
against the petitioner constitutes a “grave misconduct/negligence” warranting
imposition of the penalty of withholding of pension.

Q 13 – When the case has been returned from the Single Window after
pointing out any deficiency, is it necessary to again refer the case back
through the Single Window only?

Answer - Yes.

Q 14 – What steps are to be taken by the Administrative Ministry/
Department/ State Government in disciplinary cases which are sub-judice
and there is a direction to finalise the case within a given time frame?

Answer - In cases involving directions of Court/CAT, the Ministries/
Departments/ State Governments must clearly inform the Commission, while
making a reference regarding the present status in the Court/ CAT case, so
that due priority is accorded to such cases. Since the disciplinary proceedings
are quasi-judicial in nature, and the Commission has to consider all the facts,
circumstances and records of the case in detail before tendering its Advice, the
Ministries/ Departments/ State Governments should seek sufficient extension
of time from the respective Hon’ble Court/ CAT to ensure that a minimum of 3-
4 months time is available for UPSC to consider and advise in a disciplinary
case.
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Q 15 – Is it necessary that the Commission should be informed of any
new developments in a disciplinary case which is under reference to the
Commission for Advice?

Answer - Any information having a bearing on the disciplinary case which has
been referred to the Commission should be sent immediately with the related
original/authenticated document and detailed observations/comments of the
concerned Ministry/ Department/ State Government.

Q 16 – Whether the Commission keeps the copy of the case records or
returns the same?

Answer - The case records so received from the Ministries/ Departments/
State Governments are returned to the respective Ministries/ Departments/
State Governments along with the Advice of the Commission. No case records
in original or copies thereof are retained in the Commission.

Q 17 – Can an Officer request under the RTI Act, 2005, for copies of the
case records that were referred by Ministries/ Departments/State
Governments for seeking advice of the Commission in a Disciplinary
case?

Answer - The case records of a Disciplinary case are returned to the Ministries/
Departments/State Governments along with the Advice of the Commission.
Therefore, Commission cannot provide copies of the case records pertaining to
any Disciplinary case.

Q 18 – Can the Disciplinary Authority indicate the quantum of penalty
while referring a Disciplinary case to UPSC?

Answer - DoP&T’s O.M. No. 39034/1/2009-Estt.(B) dated 12.01.2010
provides that the Disciplinary Authorities while referring the disciplinary cases
to the UPSC for advice, should not propose the quantum of penalty.

Q 19 – What are the Minor penalties that can be imposed in disciplinary
proceedings?

Answer - These are as prescribed in the relevant rules eg. Rule 11 of
CCS(CCA) Rules, 1965.

Q 20 – What are the Major penalties that can be imposed in disciplinary
proceedings?

Answer - These are as prescribed in the relevant rules eg. Rule 11 of
CCS(CCA) Rules, 1965.
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Q 21 – Whether a minor penalty can be imposed on a Charged Officer in
a major penalty disciplinary case?

Answer - Any of the penalties under Rule 11 of the CCS(CCA) Rules, 1965
and analogues Rules can be imposed in a major penalty disciplinary
proceeding.

Q 22 – Whether a major penalty can be imposed on a Charged Officer if
the proceedings were initiated under minor penalty provisions?

Answer - No.

Q 23 – Whether ‘Warning’ can be imposed as a penalty?

Answer - The penalties which can be imposed on a delinquent Government
Servant are prescribed in the relevant Rules eg. Rule 11 of the CCS(CCA)
Rules, 1965.

Q 24 – Under what circumstances, is an Inquiry required in a Minor
penalty proceeding?

Answer - In terms of Rule 16(1-A) of CCS(CCA) Rules, 1965, a Disciplinary
Authority may hold an Inquiry under this rule [(manner laid down in sub-rules
(3) to (23) of Rule 14)] only where the Disciplinary Authority is of the opinion
that such Inquiry is necessary for imposition of certain penalties such as
withholding of increments which is likely to affect adversely the amount of
pension payable to the Government Servant or to withhold increments of pay
for period exceeding three years or to withhold increments of pay with
cumulative effect for any period.

Q 25 – Is it required to obtain the 2
nd
Stage Advice of the CVC in cases
where UPSC is to be consulted?

Answer - DoP&T’s O.M. No.372/19/2011-AVD-III(Pt.1) dated 26.09.2011
provides that in those cases where consultation with UPSC is required as per
extant rules/instructions, the second stage consultation with CVC in
disciplinary matters may be dispensed with.

Q 26 – Is it necessary to issue a Show Cause Notice to a pensioner who
has been convicted by a Court of law before imposing a cut in pension?

Answer - Department of Pension & Pensioners’ Welfare’s O.M. No. 38/64/05-
P&PW(A) dated 09.11.2006 provides that in order to meet the Principles of
Natural Justice, it is a pre-requisite to issue a Show Cause Notice, on the basis
of conviction by the Court, to the pensioner, before imposing any cut in his
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pension.

Q 27 – Can a penalty be imposed under Rule 9 of CCS(Pension) Rules,
1972 and other analogous rules, on a retired Government Servant who
has been convicted and sentenced for a criminal offence and has filed an
appeal in the Court against conviction/ sentence?

Answer - Department of Personnel and Training’s O.M. No. 371/23/92-AVD.III
dated 04.03.1994 provides that when a person is convicted by a criminal court,
the same shall remain in force until and unless it is reversed or set aside by a
competent court in appeal. The mere filing of an Appeal and/ or stay of the
execution of the sentence does not take away the effect of conviction.
Therefore, an appeal in the appellate court against conviction/sentence does
not put bar on imposing penalty on a retired government servant unless the
appeal is allowed in the Appellate court and the conviction is set aside.

Q 28 - How much time does the Commission take in tendering its advice?
Answer - The Commission tenders its advice after a thorough, judicious and
independent consideration of all the relevant facts and circumstances of the
case and original/authenticated case records which inter-alia include (i) Charge
Memorandum , (ii) Evidence on records, (iii) Report of the Inquiry Officer , (iv)
Representation of the Charged Officer, (v) Comments of the Disciplinary
Authority, etc. that are made available by the Ministry. In accordance with the
DoP&T’s O.M. N0.39035/01/2011-Estt.(B) dated 10.05.2011, the average time
taken by the Commission in tendering advice in Disciplinary proceedings is about
4 to 6 months and about 3 months when priority is attached due to direction of
court.

Q 29 – When is the copy of Advice to be provided to the Charged Officer
and by whom?

Answer - DoP&T’s O.M. No. 11012/8/2011-Estt.(A) dated 19.11.2014 &
Gazette Notification G.S.R. No. 769(E) dated 31.10.2014 stipulates that on
receipt of the UPSC’s Advice, the Disciplinary Authority shall forward or cause
to be forwarded a copy of the Advice to the Charged Officer who shall be
required to submit, if he so desires, his written representation/ submission to
the Disciplinary Authority within fifteen days.

Q 3 0 – Can an Officer directly approach the Commission for relief in the
Disciplinary Proceedings initiated against him?

Answer - The role of the Commission is to tender its Advice to the President in
accordance with the requirement of consultation as laid down in
Article 320 (3) (c) of the Constitution of India read with Regulation 5 (1) of the
UPSC (Exemption from Consultation) Regulations, 1958. Therefore, an officer
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can not directly approach the Commission seeking any relief in the Disciplinary
Proceedings initiated against him.
Q 31 – Can an Officer submit a representation to the Commission
directly, on the Advice of the UPSC, once a copy of the same is served
upon him by the Administrative Ministry/ Department/ State Government
in a Disciplinary Proceeding?

Answer - No representation lies to the Commission in this regard. The Officer
can submit representations only to the concerned Disciplinary Authority.

Q 32 – Can a Charged Officer meet any functionary in the Commission to
explain his case?

Answer - Since the Disciplinary proceedings are quasi-judicial in nature, the
Officer is required to submit his representation during the course of Disciplinary
proceedings to IO/DA as provided for, under the applicable Disciplinary Rules.
Hence, any interaction between the CO and functionaries of the Commission is
strictly prohibited.

Q 33 – What procedure is to be followed by the Ministries/ Departments
in case of disagreement with the Advice of the Commission?

Answer - The procedure to be followed while disagreeing with the Advice of the
Commission is stated in DoP&T’s O.M. No. 39023/02/2006-Estt.(B) dated
05.12.2006 and re-iterated vide DoP&T’s O.M. No. 39023/02/2006-Estt.(B) dated
02.03.2016.

Q 34 – What procedure is to be followed by the State Governments in
case of disagreement with the Advice of the Commission?

Answer - According to Rule 11 of AIS (D & A) Rules, 1969, whenever there is
any difference of opinion between a State Government and the Commission on
any matter covered under these Rules, such matter shall be referred to the
Central Government for its decision.

Q 35 – What happens when the Ministry/ Department/ State Government
disagrees with the Advice of the Commission?

Answer - Such cases, where the Ministry/ Department/State Government
disagree with the Advice of the Commission, are reflected in the Explanatory
Memorandum along with the Annual Report of the Commission, which is laid
before the Parliament.
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Q 36 – Whether a copy of the final order is to be marked to the
Commission?

Answer - Yes.

Q 37 – What will happen in the eventuality of the death of the Charged
Officer before the imposition of the penalty?

Answer - The procedure regarding closing of disciplinary cases in the event of
death of the Charged official has been notified by DoP&T’s vide its O.M. No.
11012/7/99-Estt.(A) dated 20.10.1999.

Q 38 – When are the Disciplinary Proceedings considered as closed?

Answer - The Disciplinary Proceedings come to a closure with the issue of
the final Order imposing the penalty/ exoneration/ dropping of the Charges by
the Disciplinary Authority.

Q 39 – Can a Government Servant approach the Commission when
he/she comes across any new material or new evidence which could not
be produced or was not available during the course of enquiry, at the
time of passing of the order after consultation with the Commission?

Answer - No.

Q 40 – Does any Appeal lie if the Order is made by the President?

Answer - In terms of Rule 22 of CCS(CCA) Rules, 1965, no Appeal shall lie
against any Order made by the President.

Q 41 –When is the President required to consult the Commission in the
cases of Review, Memorial or Petitions?

Answer - In terms of MHA’s OM No. 18/9/63-Estt(B) dated 4.8.1964, the
Commission is required to be consulted only when the President proposes to
pass an Order overruling or modifying, after consideration of any Petition or
Memorial or otherwise, an Order imposing any of the penalties made by him or
by a subordinate authority or an Order imposing any of the penalties in
exercise of its powers of review and in modification of an Order under which
none of the penalties has been imposed.

Q 42 – Which is the Nodal Ministry for any clarification on
implementation of the penalty advised by the Commission?

Answer - Department of Personnel & Training (DoP&T) is the Nodal Ministry
for seeking any clarification on the implementation of the penalty.
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Q 43 – Which is the Authority to give clarification under CCS(CCA)
Rules, 1965 and AIS(D&A) Rules, 1969?

Answer - The Department of Personnel & Training (DoP&T) is the Nodal
Department with regard to interpretation and administration of CCS(CCA)
Rules, 1965 and AIS(D&A) Rules, 1969.

Q 44 – Can the information regarding status of a Disciplinary case in the
Commission, be sought under RTI Act, 2005?

Answer - As Disciplinary proceedings are quasi-judicial in nature, such
information from the date of receipt of a case in the Commission, till final
rendering of advice by the Commission, cannot be shared under Right to
Information (RTI) Act.

Q 45 – Can the Charged Officer or a third party request for providing a
copy of advice letter issued by UPSC under RTI Act, 2005?

Answer - In accordance with the extant rules, a copy of the Advice Letter is to
be given to the Charged Officer by the Department/Disciplinary Authority to
whom the Advice Letter is forwarded and therefore the concerned authority
under the RTI to provide a copy of the Advice Letter would be the concerned
Department/Disciplinary authority. However, a copy of the Advice Letter can
be given to the applicant (Charged Officer in individual capacity or a third
party) in such cases where final Order has been issued by the concerned
Ministry/Department/Disciplinary Authority, and the relevant file is available
with UPSC, as per the Record Retention Schedule. Advice of the Commission
cannot be disclosed in such cases, where final Order has not been issued by
the concerned Ministry/Department/Disciplinary Authority.

Q 46 – Where can one get the information regarding the total number of
Disciplinary cases received by the Commission for advice and the
number of cases in which the Commission has tendered its advice?

Answer - This information is contained in the Annual Report of the UPSC. Once
the Annual Report is laid before in Parliament, a copy of the same is also
uploaded under the heading “Annual Reports” on the Official Website of UPSC
(www.upsc.gov.in).
Q 47 – Where can one find the data relating to the number of cases in
which the Commission has advised penalties?

Answer - The data relating to the number of cases received and the penalties
advised by the Commission are published in the Annual Report of the
Commission. The Annual Reports of the Commission are available in the
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public domain on the official website of UPSC (www.upsc.gov.in).

Q 48 – Can the Commission give clarification or interpretation in respect
of Disciplinary Rules viz. CCS (CCA) Rules 1965, other Central
Government service related rules in a Disciplinary case under RTI Act,
2005.

Answer - The applicants are advised to approach the concerned nodal
Ministries for any such clarifications. For example in case of CCS (CCA)
Rules, 1965, Ministry of Personnel, Pension and Public Grievances
(Department of Personnel & Training) is the nodal Ministry.

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