MODEL RULE 14 INQUIRY - CASE SCENARIO
Shri “X” works as Sub Postmaster in a village. Shri. “Y” deposited Rs. 10,000/- in his Savings Account No. 121212 on 01.01.2020. The SPM received the cash, made the deposit entry and impressed the date stamp in the passbook. But he did not bring the deposit amount into post office accounts.
Shri. “Y” attended the post office on 10.01.2020 and asked for withdrawal of Rs. 5,000/-. On that day the regular SPM Shri. “X” was on leave. The SPM on deputation informed the depositor that Rs. 10,000/- deposited on 01.01.2020 was not brought into account. The depositor made complaint to the SPOs regarding suppression of deposit.
The complaint was enquired through by Shri. “Z” who is the ASPOs of the Sub Division. Shri. “Y” has stated in his statement dated 20.01.2020 that he actually deposited Rs. 10,000/- and the balance available in his passbook Rs 12,000/- was correct. Shri. “X” has admitted in his statement dated 20.01.2020 that he did not bring Rs. 10,000/- into account on 01.01.2020 and he took the money for his personal use. Shri. “X” credited Rs. 10,000/- into UCR on 20.01.2020. Shri. “Z” has made detailed report to SPOs along with all connected documents. The SPOs has issued the charge sheet against Shri. “X” on 01.02.2020.
Shri “X” works as Sub Postmaster in a village. Shri. “Y” deposited Rs. 10,000/- in his Savings Account No. 121212 on 01.01.2020. The SPM received the cash, made the deposit entry and impressed the date stamp in the passbook. But he did not bring the deposit amount into post office accounts.
Shri. “Y” attended the post office on 10.01.2020 and asked for withdrawal of Rs. 5,000/-. On that day the regular SPM Shri. “X” was on leave. The SPM on deputation informed the depositor that Rs. 10,000/- deposited on 01.01.2020 was not brought into account. The depositor made complaint to the SPOs regarding suppression of deposit.
The complaint was enquired through by Shri. “Z” who is the ASPOs of the Sub Division. Shri. “Y” has stated in his statement dated 20.01.2020 that he actually deposited Rs. 10,000/- and the balance available in his passbook Rs 12,000/- was correct. Shri. “X” has admitted in his statement dated 20.01.2020 that he did not bring Rs. 10,000/- into account on 01.01.2020 and he took the money for his personal use. Shri. “X” credited Rs. 10,000/- into UCR on 20.01.2020. Shri. “Z” has made detailed report to SPOs along with all connected documents. The SPOs has issued the charge sheet against Shri. “X” on 01.02.2020.
CHARGE SHEET CONTENTS
(a) When an employee is charged with an offence and it is proposed to take disciplinary action against him, every opportunity should be given to him explaining the charges.
(b) A memorandum of charges with four annexures is prepared:
• (i) Statement of articles of charge
• (ii) Statement of imputation of misconduct or misbehaviour in support of the articles charge
• (iii) List of documents by which each articles of charge are proposed to be sustained
• (iv) List of witnesses by whom each articles of charge are proposed to be sustained
The memorandum of charge was delivered to Shri. “X” under Registered/AD.
(a) When an employee is charged with an offence and it is proposed to take disciplinary action against him, every opportunity should be given to him explaining the charges.
(b) A memorandum of charges with four annexures is prepared:
• (i) Statement of articles of charge
• (ii) Statement of imputation of misconduct or misbehaviour in support of the articles charge
• (iii) List of documents by which each articles of charge are proposed to be sustained
• (iv) List of witnesses by whom each articles of charge are proposed to be sustained
The memorandum of charge was delivered to Shri. “X” under Registered/AD.
APPOINTMENT OF INQUIRY OFFICER AND PRESENTING OFFICER
The SPOs nominated an Inquiry Officer (like Judge) to inquire the charges and a Presenting Officer (like Government Lawyer) to prove the charges. Orders appointing IO and PO will be sent to the Charged Official Shri. “X”. The Inquiry Officer should be senior in rank to the Charged Official. Generally departmental Officers/officials are nominated as IO and PO. Retired Officers are also nominated as Inquiry Officers.
The SPOs nominated an Inquiry Officer (like Judge) to inquire the charges and a Presenting Officer (like Government Lawyer) to prove the charges. Orders appointing IO and PO will be sent to the Charged Official Shri. “X”. The Inquiry Officer should be senior in rank to the Charged Official. Generally departmental Officers/officials are nominated as IO and PO. Retired Officers are also nominated as Inquiry Officers.
NOMINATION OF DEFENCE ASSISTANT
At request of the Charged Official (hereinafter CO), “A” was nominated as Defence Assistant (hereinafter DA). The IO will write to the Divisional head of the DA to relieve the official for the purpose of defence. If the Divisional head refuses to relieve, some other DA may be nominated by the CO.
Generally serving employees can function as Defence Assistant not more than 3 cases and retired employees can function not more than 7 cases at a time.
At request of the Charged Official (hereinafter CO), “A” was nominated as Defence Assistant (hereinafter DA). The IO will write to the Divisional head of the DA to relieve the official for the purpose of defence. If the Divisional head refuses to relieve, some other DA may be nominated by the CO.
Generally serving employees can function as Defence Assistant not more than 3 cases and retired employees can function not more than 7 cases at a time.
DOCUMENTS FORWARDED TO INQUIRY OFFICER
(i) A copy of the articles of charge and the statement of imputation of misconduct or misbehaviour
(ii) A copy of the written statement of the defence, if any, submitted by the Government servant
(iii) Evidence proving the delivery of the document to the Government servant
(iv) A copy of the order appointing the 'Presenting Officer'
(i) A copy of the articles of charge and the statement of imputation of misconduct or misbehaviour
(ii) A copy of the written statement of the defence, if any, submitted by the Government servant
(iii) Evidence proving the delivery of the document to the Government servant
(iv) A copy of the order appointing the 'Presenting Officer'
DOCUMENTS FORWARDED TO PRESENTING OFFICER
All original documents listed in annexure III of the articles of charge are sent to the PO.
All original documents listed in annexure III of the articles of charge are sent to the PO.
SUPPLY OF DOCUMENTS TO CHARGED OFFICIAL
The PO will supply xerox copies of all documents listed in the annexure III of the Charge Sheet to the CO.
The PO will supply xerox copies of all documents listed in the annexure III of the Charge Sheet to the CO.
PRELIMINARY INQUIRY PROCESS
The IO will conduct Preliminary Inquiry on the specified place, date and time. The IO will read the contents of the articles of charge in vernacular language and ask the CO whether he admits the charges or not. The IO will record the statement of the CO in the Daily Order Sheet.
There is no role to Presenting Officer and Defence Assistant in the Preliminary Inquiry. If the CO wants any defence documents, he makes the request to the IO. The IO will take action to supply documents requested by the CO.
The IO will conduct Preliminary Inquiry on the specified place, date and time. The IO will read the contents of the articles of charge in vernacular language and ask the CO whether he admits the charges or not. The IO will record the statement of the CO in the Daily Order Sheet.
There is no role to Presenting Officer and Defence Assistant in the Preliminary Inquiry. If the CO wants any defence documents, he makes the request to the IO. The IO will take action to supply documents requested by the CO.
DAILY ORDER SHEET (DOS)
On the close of all days of the inquiry, the IO will prepare DOS in triplicate. Details of the work done on the day of inquiry will be noted in the DOS. Serial numbers will be assigned in all DOS.
IO, PO, CO and DA will sign in all pages in the bottom of the DOS. First copy of DOS is retained by the IO and the second copy is given to the PO under acquittance and the third copy is given to the CO under acquittance.
On the close of all days of the inquiry, the IO will prepare DOS in triplicate. Details of the work done on the day of inquiry will be noted in the DOS. Serial numbers will be assigned in all DOS.
IO, PO, CO and DA will sign in all pages in the bottom of the DOS. First copy of DOS is retained by the IO and the second copy is given to the PO under acquittance and the third copy is given to the CO under acquittance.
MARKING OF DOCUMENTS IN INQUIRY
All documents listed in the charge sheet are available with the PO. These documents are called State Exhibits. When the State Witness (SW1) was examined in the inquiry, the passbook was shown to the SW1. SW1 confirmed that it was his passbook. Then the IO marked the passbook as State Exhibit 1 (S.EX1) and the (S.EX1) was handed over to the IO.
All departmental documents were marked during the examination of State Witness Shri “Z” (SW2). Before the close of the inquiry, all documents were marked and handed over to the IO.
All documents listed in the charge sheet are available with the PO. These documents are called State Exhibits. When the State Witness (SW1) was examined in the inquiry, the passbook was shown to the SW1. SW1 confirmed that it was his passbook. Then the IO marked the passbook as State Exhibit 1 (S.EX1) and the (S.EX1) was handed over to the IO.
All departmental documents were marked during the examination of State Witness Shri “Z” (SW2). Before the close of the inquiry, all documents were marked and handed over to the IO.
DEPOSITION OF WITNESS
During the inquiry, the IO will write statement given by state witness or defence witness in the "Deposition" in triplicate copies. IO, PO, CO, DA and state witness or defence witness will sign in all pages in the bottom of the "Deposition".
First copy of Deposition is retained by the IO. The second copy is given to the PO under acquittance and the third copy is given to the CO under acquittance.
During the inquiry, the IO will write statement given by state witness or defence witness in the "Deposition" in triplicate copies. IO, PO, CO, DA and state witness or defence witness will sign in all pages in the bottom of the "Deposition".
First copy of Deposition is retained by the IO. The second copy is given to the PO under acquittance and the third copy is given to the CO under acquittance.
EXAMINATION OF STATE WITNESS
In the inquiry, the IO and the witness are sitting opposite of the table. The PO sits one side and the CO and DA sit opposite to each other. Shri. "Y", the depositor is the State Witness (SW1).
When the State Witness was examined by the PO, it is called "Examination-in-Chief". When the State Witness was examined by the DA, it is called "Cross examination". When the State Witness was again examined by the PO, it is called "Re-examination".
In the "Re-examination", only the subject discussed in the "Cross-examination" should be discussed. New matter should not be discussed by the PO in the "Re-examination". If the IO wants any clarification with the State Witness, the IO may ask questions. It is called "IO Questions".
In the inquiry, the IO and the witness are sitting opposite of the table. The PO sits one side and the CO and DA sit opposite to each other. Shri. "Y", the depositor is the State Witness (SW1).
When the State Witness was examined by the PO, it is called "Examination-in-Chief". When the State Witness was examined by the DA, it is called "Cross examination". When the State Witness was again examined by the PO, it is called "Re-examination".
In the "Re-examination", only the subject discussed in the "Cross-examination" should be discussed. New matter should not be discussed by the PO in the "Re-examination". If the IO wants any clarification with the State Witness, the IO may ask questions. It is called "IO Questions".
EXAMINATION OF DEFENCE WITNESS
Examination of Defence Witness should be commenced after completion of examination of all State Witnesses. In the present case, the CO asked for one Defence Witness. Shri "A" the President of the village and strong supporter of the SPM.
When the Defence Witness was examined by the DA, it is called "Examination-in-Chief". When the Defence Witness was examined by the PO, it is called "Cross examination". When the Defence Witness was again examined by the DA, it is called "Re-examination".
In the "Re-examination", only the subject discussed in the "Cross-examination" should be discussed. New matter should not be discussed by the DA in the "Re-examination". If the IO wants any clarification with the Defence Witness, the IO may ask "IO Questions".
Examination of Defence Witness should be commenced after completion of examination of all State Witnesses. In the present case, the CO asked for one Defence Witness. Shri "A" the President of the village and strong supporter of the SPM.
When the Defence Witness was examined by the DA, it is called "Examination-in-Chief". When the Defence Witness was examined by the PO, it is called "Cross examination". When the Defence Witness was again examined by the DA, it is called "Re-examination".
In the "Re-examination", only the subject discussed in the "Cross-examination" should be discussed. New matter should not be discussed by the DA in the "Re-examination". If the IO wants any clarification with the Defence Witness, the IO may ask "IO Questions".
LEADING QUESTIONS
Leading question is a question asked to bring out the required answer. For example: "Your name is Mr. Ram. Isn't it?" Answer will be: "No, Sir. My name is Krishnan."
Leading question can be asked only in Cross-Examination. It should not be asked in Examination-in-Chief and Re-examination.
After examination of all witnesses, the IO declares that the inquiry is concluded and he asks the PO to send "PO Brief" early.
Leading question is a question asked to bring out the required answer. For example: "Your name is Mr. Ram. Isn't it?" Answer will be: "No, Sir. My name is Krishnan."
Leading question can be asked only in Cross-Examination. It should not be asked in Examination-in-Chief and Re-examination.
After examination of all witnesses, the IO declares that the inquiry is concluded and he asks the PO to send "PO Brief" early.
PRESENTING OFFICER'S BRIEF (PO BRIEF)
The PO will prepare the PO brief by analyzing the documentary evidences and oral evidences adduced during the inquiry. The PO should state all articles of charge are proved beyond doubt. The PO will send the two copies of PO brief to the IO. The IO will forward one copy of PO brief to the CO.
On receiving the PO brief, the CO will prepare defence brief and send to the IO.
The PO will prepare the PO brief by analyzing the documentary evidences and oral evidences adduced during the inquiry. The PO should state all articles of charge are proved beyond doubt. The PO will send the two copies of PO brief to the IO. The IO will forward one copy of PO brief to the CO.
On receiving the PO brief, the CO will prepare defence brief and send to the IO.
INQUIRY OFFICER REPORT
The following documents are available with the IO:
(1) Memorandum of charges
(2) Original documents and statements
(3) Oral evidences adduced during the inquiry
(4) PO brief
(5) Defence brief
Analysing all facts, the IO will prepare IO report. Suppose the Memorandum of charges contains four articles of charge, the IO may declare three articles are proved beyond doubt and one article is not proved beyond doubt.
The IO Report should contain:
(a) the articles of charge and the statement of imputations of misconduct or misbehavior
(b) the defence of the CO 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 reasons therefor
The IO will forward two copies of IO report and all inquiry documents to the Disciplinary Authority. The Disciplinary Authority will forward one copy of IO report to the CO personally signed in the forwarding letter.
On receiving the IO report, the CO will prepare defence brief with reference to the IO report and forward to the Disciplinary Authority.
The following documents are available with the IO:
(1) Memorandum of charges
(2) Original documents and statements
(3) Oral evidences adduced during the inquiry
(4) PO brief
(5) Defence brief
Analysing all facts, the IO will prepare IO report. Suppose the Memorandum of charges contains four articles of charge, the IO may declare three articles are proved beyond doubt and one article is not proved beyond doubt.
The IO Report should contain:
(a) the articles of charge and the statement of imputations of misconduct or misbehavior
(b) the defence of the CO 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 reasons therefor
The IO will forward two copies of IO report and all inquiry documents to the Disciplinary Authority. The Disciplinary Authority will forward one copy of IO report to the CO personally signed in the forwarding letter.
On receiving the IO report, the CO will prepare defence brief with reference to the IO report and forward to the Disciplinary Authority.
PUNISHMENT ORDER
On analyzing the inquiry records, IO report and Defence brief from the CO, the Disciplinary Authority will pass appropriate punishment order.
On analyzing the inquiry records, IO report and Defence brief from the CO, the Disciplinary Authority will pass appropriate punishment order.
COMPARISON: DEPARTMENTAL EMPLOYEES VS GRAMIN DAK SEVAKS
• Service/Appointment vs Engagement
• Pay and allowance vs Time Related Continuity Allowance (TRCA)
• CCS (CCA) Rules, 1965 & CCS (Conduct) Rules, 1964 vs Gramin Dak Sevaks (Conduct and Engagement) Rules, 2020
• Suspension vs Put off duty
• Subsistence Allowance vs Ex-gratia payment
• Subsistence Allowance: 50% of last pay drawn vs Ex-gratia payment: 25% of TRCA
• Review of subsistence allowance after 90 days vs Review of ex-gratia payment after 90 days
• Review Committee for suspension vs No Review Committee for put off duty
• Non employment certificate required for subsistence allowance vs Not required for ex-gratia payment
• Subsistence allowance during suspension vs No ex-gratia for absconding GDS
• Appeal period: 45 days vs Appeal period: 3 months
• Suspension authority reporting requirements vs Put off duty authority limitations
• CPMG as Revising Authority for departmental employees vs Regional PMG for GDS
• Service/Appointment vs Engagement
• Pay and allowance vs Time Related Continuity Allowance (TRCA)
• CCS (CCA) Rules, 1965 & CCS (Conduct) Rules, 1964 vs Gramin Dak Sevaks (Conduct and Engagement) Rules, 2020
• Suspension vs Put off duty
• Subsistence Allowance vs Ex-gratia payment
• Subsistence Allowance: 50% of last pay drawn vs Ex-gratia payment: 25% of TRCA
• Review of subsistence allowance after 90 days vs Review of ex-gratia payment after 90 days
• Review Committee for suspension vs No Review Committee for put off duty
• Non employment certificate required for subsistence allowance vs Not required for ex-gratia payment
• Subsistence allowance during suspension vs No ex-gratia for absconding GDS
• Appeal period: 45 days vs Appeal period: 3 months
• Suspension authority reporting requirements vs Put off duty authority limitations
• CPMG as Revising Authority for departmental employees vs Regional PMG for GDS
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