PART V

PENALTIES AND DISCIPLINARY AUHTORITIES

11.     Penalties

The following penalties may, for good and sufficient reasons and as hereinafter provided, be imposed on a Government servant, namely :-

Minor Penalties -

(i)           censure;

(ii)                withholding of his promotion;

(iii)       recovery from his pay of the whole or part of any pecuniary loss caused by him to the Government by negligence or breach of orders;

(iii a)   reduction to a lower stage in the time-scale of pay by one stage for a period not exceeding three years, without cumulative effect and not adversely affecting his pension.

(iv)       withholding of increments of pay;

Major Penalties -

(v)         save as provided for in clause (iii) (a), reduction to a lower stage in the time-scale of pay for a specified period, with further directions as to whether or not the Government servant will earn increments of pay during the period of such reduction and whether on the expiry of such period, the reduction will or will not have the effect of postponing the future increments of his pay

(vi)        reduction to  lower time-scale of pay, grade, post or Service for  a period  to be specified in the order of penalty, which  shall be a  bar to the  promotion of the Government servant during such specified period to the time-scale of pay, grade, post or Service from which he was reduced, with direction as to whether or not, on promotion on the expiry of the said specified  period -

(a) the period of reduction to time-scale of pay, grade, post or service shall operate to postpone future increments of his pay, and if so, to what extent; and

(b) the Government servant shall regain his  original seniority in the higher time scale of pay , grade, post or service;

(vii)      compulsory retirement;

(viii)     removal from service which shall not be a disqualification for future employment under the Government;

(ix)        dismissal from service which shall ordinarily be a disqualification for future employment under the Government.

Provided that, in every case in which the charge of possession of assets disproportionate to known-source of income or the charge of acceptance from any person of any gratification, other than legal remuneration, as a motive or reward for doing or forbearing to do any official act is established, the penalty mentioned in clause (viii) or clause (ix) shall be imposed :

Provided further that in any exceptional case and for special reasons recorded in writing, any other penalty may be imposed.

EXPLANATION -  The following shall not amount to a penalty within the meaning of this rule, namely:-

(i)                withholding of increments of a Government servant for his failure to pass any departmental examination in accordance with the rules or orders governing the Service to which he belongs or post which he holds or the terms of his appointment;

(ii)        stoppage of a Government servant at the efficiency bar in the time-scale of pay on the ground of his unfitness to cross the bar;

(iii)       non-promotion of a Government servant, whether in a substantive or officiating capacity, after consideration of his case, to a Service, grade or post for promotion to which he is eligible;

(iv)               reversion of a Government servant officiating in a higher Service, grade or post to a lower Service, grade or post, on the ground that he is considered to be unsuitable for such higher Service, grade or post or on any administrative ground unconnected with his conduct;

(v)       reversion of a Government servant, appointed on probation to any other Service, grade or post, to his permanent Service, grade or post during or at the end of the period of probation in accordance with the terms of his appointment or the rules and orders governing such probation;

(vi)       replacement of the services of a Government servant, whose services had been borrowed from a State Government or any authority under the control of a State Government, at the disposal of the State Government or the authority from which the services of such Government servant had been borrowed;

(vii)     compulsory retirement of a Government servant in accordance with the provisions relating to his superannuation or retirement;

(viii)           termination of the services -

(a)       of a Government servant appointed on probation, during or at the end of the period of his probation, in accordance with the terms of his appointment or the rules and orders governing such probation, or

(b)       of a temporary Government servant in accordance with the provisions of sub-rule (1) of Rule 5 of the Central Civil Services (Temporary Service) Rules, 1965, or

(c)        of a Government servant, employed under an agreement, in accordance with the terms of such agreement.

Government of India’s decisions :

(1)    Distinction between Censure and Warning :-  

An order of “Censure” is a formal and public act intended to convey that the person concerned has been guilty of some blameworthy act or omission for which it has been found necessary to award him a formal punishment, and nothing can amount to a “censure” unless it is intended to be such a formal punishment and imposed for “good and sufficient reason” after following the prescribed procedure.  A record of the punishment so imposed is kept on the officer’s confidential roll and the fact that he has been ‘censured’ will have its bearing on the assessment of his merit or suitability for promotion to higher posts.

There may be occasions, on the other hand, when a superior officer may find it necessary to criticise adversely the work of an officer working under (e.g. point out negligence, carelessness, lack of thoroughness, delay etc.) or he may call for an explanation for some act or omission and taking all circumstance into consideration, it may be felt that, while the matter is not serious enough to justify the imposition of the formal punishment of ‘censure’ it calls for some informal action such as the communication of a written warning, admonition or reprimand, if the circumstances justify it, a mention may also be made of such a warning etc., in the officer’s confidential roll; however, the mere fact that it is so mentioned in the character roll does not convert the warning etc. into “censure”.  Although such comments, remarks, warning etc., also would have the effect of making it apparent or known to the person concerned that he has done something blame-worthy and, to some extent, may also effect the assessment of his merit and suitability for promotion, they do not amount to the imposition of the penalty of ‘Censure’ because it was not intended that any formal punishment should be inflicted.

The fact that a mere informal ‘warning’ cannot be equated to a formal ‘censure’, should not, however, be taken as tantamount to suggestion that a written warning may be freely given without caring whether or not it is really justified.  It is a matter of simple natural justice that written warnings, reprimands, etc. should not be administered or placed on an officer’s confidential record unless the authority doing so is satisfied that there is good and sufficient reason to do so.  Paragraph 6 of the Home Ministry’s Office Memorandum No. 51/5/54-Ests.(A) dated the 27th January, 1955 provides detailed guidance in the matter of recording adverse remarks in confidential reports.  It may be reiterated here that in the discharge of the responsible task of recording the confidential reports, every reporting officer should be conscious of the fact that it is his duty not only to make an objective assessment of his subordinates’ work and qualities, but also to see that he gives to his subordinates at all times the advice, guidance and assistance to correct their faults and deficiencies.  If this part of the reporting officers’ duty has been properly performed there should be no difficulty about recording adverse entries because they would only refer to the defects which have persisted in spite of reporting officer’s efforts to have them corrected.  If after having taken such care the reporting officer finds that for the purpose of truly objective assessment mention should be made of any warning, admonition etc. issued, especially those which have not produced the desired improvement, it is his right and duty to so mention them.  In process of brining the defects to the notice of person concerned, where an explanation is possible an opportunity to do so should be given.  This cannot, however, be equated to formal proceedings required to be taken under Rule 55-A (now rule 16) of Rules, nor the warning given amounts to the imposition of a formal penalty.

[MHA OM No. 39/21/56-Ests.(A) dated the 13th December, 1956].

(1A)    Writing of Confidential Reports " Mention of warnings therein

There may be occasions when a superior officer may find it necessary to criticize adversely the work of an officer working under him or he may call for an explanation for some act of omission or commission and taking all circumstances into consideration, it may be felt that while the matter is not serious enough to justify the imposition of the formal punishment of censure, it calls for some formal action such as the communication of written warning, admonition or reprimand.  Where such a warning/displeasure/reprimand is issued, it should be placed in the personal file of the officer concerned.  At the end of the year (or period of report), the reporting authority, while writing the confidential report of the officer, may decide not to make a reference in the confidential report to the warning/displeasure/reprimand, if in the opinion of that authority, the performance of the officer reported on after the issue of the warning or displeasure or reprimand, as the case may be, has improved and has been found satisfactory.  If, however, the reporting authority comes to the conclusion that despite the warning/displeasure/reprimand, the officer has not improved, it may make appropriate mention of such warning/displeasure/reprimand, as the case may be, in the relevant column in Part-III of the form of Confidential Report relating to assessment by the Reporting Officer, and , in that case, a copy of the warning/displeasure/reprimand referred to in the confidential report should be placed in the CR dossier as an annexure to the confidential report for the relevant period.  The adverse remarks should also be conveyed to the officer and his representation, if any, against the same disposed of in accordance with the procedure laid down in the instructions issued in this regard.

[Deptt. of Personnel & AR OM No. 21011/1/81-Ests.(A) dated the 5th June, 1981].

(1B)    Promotion to a higher Grade or post " Clarifications regarding effect of warnings etc. on promotion.  

At present, administrative devices like warning, letter of caution, reprimand etc. are being used by the various administrative Ministries/Departments for cautioning the Government servants against such minor lapses as negligence, carelessness, lack of thoroughness and delay in disposal of official work with a view to toning up efficiency or  maintaining discipline.  These administrative actions do not, however, constitute any of the penalties specified in rule 11 of the CCS (CCA) Rules, 1965. Doubts have often been raised about the actual effect of such informal administrative actions as warning, letter of caution and reprimand on the promotion of a Government servant. 

 2.         In this connection, the existing provisions regarding the effect of warning etc. as distinguished from Censure on promotion are reiterated and clarified as follows :-

 (i)            There is no objection to the continuance of the practice of issuing oral or written warnings.  However, where a copy of the warning is also kept on the Confidential Report dossier, it will be taken to constitute an adverse entry and the officer so warned will have the right to represent against the same in accordance with the existing instructions relating to communication of adverse remarks and consideration of representations against them.

(ii)          Warnings, letters of caution, reprimands or advisories administered to Government servants do not amount to a penalty and, therefore, will not constitute a bar for consideration of such Government servants for promotion.

(iii)         Where a departmental proceeding has been instituted, and it is considered that a Government servant deserves to be penalized for the offence/misconduct, one of the prescribed penalties may only be awarded and no warning recordable or otherwise, should be issued to the Government servant.

(iv)         The term ‘empanelment’ occurring in para 1 of DOPT’s O.M. No. 11012/11/2007-Estt. (A)  dated 14.12.2007 relating to guidelines on grant of vigilance clearance does not cover cases of promotion.  Cases of promotion of Government servants during the pendency of disciplinary proceedings would be regulated by DOPT’s O.M. No. 22011/4/91-Estt. (A) dated 14.09.1992, O.M. No. 22012/1/99-Estt. (D) dated 25.10.2004 and after imposition of any of the prescribed penalties as per O.M. No. 22034/5/2004-Estt. (D) dated 15.12.2004.

3.      All Ministries/Departments are, therefore, requested to keep in view the above guidelines while dealing with cases of promotion of the Government servants.

[DOPT O.M. No. 11012/6/2008-Estt. (A) dated 7th July, 2008]

(2)    Departmental action for neglect of family by Government servant

Instances of failure of Government servants to look after the proper maintenance of their families have come to Government’s notice.  It has been suggested that a provision may be made in the Central Civil Services (Conduct) Rules, to enable Government to take action against those Government servants who do not look after their families properly.

The question has been examined and it has been decided that it will not be possible to make such a provision in the Conduct Rules as it would entail administrative difficulties in implementing and enforcing it.  However, a Government servant is expected to maintain a reasonable and decent standard of conduct in his private life and not bring discredit to his service by his misdemeanor.  In cases where a Government servant is reported to have acted in a manner unbecoming of a Government servant as, for instance, by neglect of his wife and family, departmental action can be taken against him on that score without invoking any of the Conduct Rules.  In this connection, a reference is invited to Rule 11 of the CCS (CCA) Rules, which specified the nature of penalties that may for good and sufficient reasons, be imposed on a Government servant.  It has been held that neglect by a Government servant of his wife and family in a manner unbecoming of  a Government servant may be regarded as a good and sufficient reason to justify action being taken against him under this rule.

It should, however, be noted that in such cases the party affected has legal right to claim maintenance.  If any legal proceedings in this behalf should be pending in a court of law, it would not be correct for Government to take action against the Government servant on this ground as such action may be construed by the court to amount to contempt.

[MHA OM No. F.25/16/59-Ests. (A) dated the 1st September, 1959].

(3)    Entry of punishments in confidential rolls :-  

It has been decided that if as a result of disciplinary proceedings any of the prescribed punishments (e.g., censure, reduction to a lower post, etc.) is imposed on a Government servant, a record of the same should invariably be kept in his confidential roll. 

[MHA OM No. 38/12/59-Ests.(A) dated the 23rd April, 1960].

(4)      Repromotion of officers reduced in rank as a measure of penalty :-  

If the order of reduction is intended for an indefinite period the order should be framed as follows :-

“A is reduced to the lower post/grade/service of X until he is found fit by the competent authority to be restored to the higher post/grade/service of Y”.

In cases where it is intended that the fitness of the Government servant for re-promotion or restoration to his original position will be considered only after a specified period, the order should be made in the following form :-

“A is reduced to the lower post/grade/Service of X until he is found fit, after a period _________ years from the date of this order, to be restored to the higher post of Y.”

[MHA OM No. 9/30/63-Estt.(D) dated the 7th February, 1964].

(5)        Registering name with Employment Exchange for higher posts not permissible when penalty is in force :-  

The Government had under consideration the question whether a Government servant on whom a penalty has been imposed can be permitted to register his name with the Employment Exchange for a higher post, when the duration of the penalty is not yet over.  It has since been decided that a Government servant on whom the penalty specified in clauses (ii) and (iv) of rule 11 of the CCS (CCA) Rules, 1965 has been imposed should not be allowed to register his name with the Employment Exchange for higher posts during the period the penalty in is force.

[MHA OM No. 14/6/65-Ests.(D) dated the 22nd February, 1965]. 

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