Brief on Disciplinary action : UP Rules

Disciplinary action in the Uttar Pradesh (UP) government is governed by the rules and regulations outlined in the Uttar Pradesh Government Servants' (Discipline and Appeal) Rules, 1999, and other relevant statutes. Here's an overview of the rules and procedures for disciplinary action:

Grounds for Disciplinary Action

Disciplinary action can be initiated for various reasons, including:

• Misconduct
• Inefficiency
• Neglect of duty
• Financial irregularities
• Breach of rules or regulations
• Any act prejudicial to the interests of the government

Types of Disciplinary Actions

The types of disciplinary actions that can be taken include:

• Minor Penalties:
  • Censure
  • Withholding of increments or promotion
  • Recovery from pay of the whole or part of any pecuniary loss caused to the government
• Major Penalties:
  • Reduction to a lower rank or post
  • Compulsory retirement
  • Removal from service
  • Dismissal from service

Procedure for Disciplinary Action

1. Preliminary Inquiry:

   • A preliminary inquiry may be conducted to gather facts and determine if there is a prima facie case against the employee.

2. Issue of Charge Sheet:

   • If there is sufficient evidence, a formal charge sheet is issued to the employee outlining the specific charges.
   • The employee is given a specified period to submit a written response to the charges.

3. Appointment of Inquiry Officer:

   • An Inquiry Officer is appointed to conduct a detailed inquiry if the charges are contested.
   • The Inquiry Officer should be impartial and not connected with the case.

4. Conduct of Inquiry:

   • The Inquiry Officer conducts hearings where the employee and the presenting officer (representing the government) can present evidence and witnesses.
   • The employee has the right to cross-examine witnesses and present a defense.

5. Inquiry Report:

   • After the inquiry, the Inquiry Officer submits a report detailing the findings and whether the charges are proved or not.
   • The report is submitted to the Disciplinary Authority.

6. Show Cause Notice:

   • Based on the inquiry report, if the Disciplinary Authority is inclined to impose a penalty, a show cause notice is issued to the employee.
   • The employee is given an opportunity to respond to the proposed penalty.

7. Final Decision:

   • The Disciplinary Authority considers the employee's response and the inquiry report before making a final decision on the penalty.
   • The decision is communicated to the employee in writing.

8. Appeal:

   • The employee has the right to appeal the decision to the Appellate Authority within a specified period.
   • The Appellate Authority reviews the case and can confirm, modify, or set aside the penalty.

Important Points

• Fair Procedure: The principles of natural justice must be followed, ensuring the employee gets a fair hearing and the opportunity to defend themselves.
• Representation: The employee can take assistance from a co-worker or a legal practitioner in complex cases.
• Record Keeping: Proper records of all proceedings, evidence, and decisions must be maintained.

By following these rules and procedures, the UP government ensures that disciplinary actions are carried out fairly, transparently, and justly.

Questions

1. Can the person who does preliminary inquiry and the one who is made the final inquiry officer be same : Uttar Pradesh Government Servants' (Discipline and Appeal) Rules, 1999, do not explicitly prohibit the same person from conducting both inquiries, it is generally avoided to prevent conflicts of interest and ensure a fair process.

2. Is preliminary inquiry necessary, if I have got a complaint and it seems to have substance can I directly start disciplinary proceeding by appointing an inquiry officer : If a complaint is comprehensive and provides sufficient evidence of misconduct, it can be used to frame charges directly.

3. Who will issue the chargesheet : The Disciplinary Authority is the competent authority designated to take disciplinary action against the employee.

4. Who will prepare the chargesheet : The preparation of the charge sheet is typically undertaken by the Disciplinary Authority or by a designated official or committee appointed by the Disciplinary Authority. It should not be IO but yes one who has done preliminary inquiry he can do it .

5. What are the major and minor penalties: Minor Penalties:Censure: A formal expression of disapproval.Withholding of increments or promotion: Temporarily or permanently withholding salary increments or promotion.Recovery from pay: Recovering the whole or part of any pecuniary loss caused to the government.Major Penalties:Reduction to a lower rank or post: Demoting the employee to a lower position.Compulsory retirement: Forcing the employee to retire before the usual age of retirement.Removal from service: Termination of employment, but without disqualification from future government employment.Dismissal from service: Termination of employment with disqualification from future government employment.

6. What offences come under minor and what in major offences for minor and major penalties :Minor Offenses: Minor Breaches of Discipline:Minor procedural lapses, such as filing paperwork late or incomplete documentation.Unpunctuality or minor absenteeism issues without valid reasons.Conduct Issues:Minor acts of insubordination, such as refusal to follow instructions without significant consequences.Minor violations of office decorum or etiquette.Performance Lapses:Failure to meet minor performance targets or standards, not constituting gross negligence or willful misconduct.Major Offenses: Serious Breaches of Discipline:Gross insubordination, such as open defiance of authority or refusal to carry out lawful orders.Serious acts of misconduct that harm the organization's reputation or interests.Financial Irregularities:Misuse or misappropriation of funds or resources.Forgery, embezzlement, or fraudulent activities.Conduct Prejudicial to the Interests of the Organization:Actions that significantly undermine the organization's functioning or reputation.Behaviour that causes serious disruption in the workplace or among colleagues.Criminal Offenses:Any criminal act that violates laws and regulations, whether related to the employee's official duties or not.

7. what can be grounds of suspension and can I suspend someone after preliminary inquiry or directly if there is evidence : Suspension of a government employee can be based on various grounds, including pending disciplinary proceedings, criminal charges, public interest, or serious misconduct such as financial irregularities, gross insubordination, or moral turpitude. If there is clear and substantial evidence of serious misconduct or criminal activity, an employee can be directly suspended without a preliminary inquiry. This is necessary when the employee's presence might hinder the investigation, influence witnesses, or tamper with evidence. Alternatively, a preliminary inquiry can establish a prima facie case, and if it reveals substantive allegations and evidence, suspension can be initiated based on these findings. The procedure involves obtaining approval from the competent authority, issuing a formal suspension order, serving it to the employee, and notifying higher authorities. Post-suspension actions include providing subsistence allowance, conducting a detailed inquiry through an Inquiry Officer, periodically reviewing the necessity of the suspension, and deciding on reinstatement or further disciplinary actions based on the inquiry report

8. Can disciplinary authority himself be IO : NO

9. Can disciplinary authority given minor punishment just on evidence, on preliminary inquiry or without it . Does same goes for major penalties : The Disciplinary Authority can impose minor penalties based on evidence gathered during a preliminary inquiry or even without a formal preliminary inquiry, provided there is sufficient evidence. No the procedure for imposing major penalties is more stringent and formal compared to minor penalties. Major penalties typically require a detailed inquiry and adherence to more rigorous procedural safeguards to ensure fairness and transparency.

10. In court of law what is mainly checked in disciplinary matters : the court examines whether the disciplinary proceedings adhered to principles of natural justice, followed legal and procedural requirements, were based on sufficient and credible evidence, were free from bias or malice, and whether the penalty imposed was reasonable and proportionate to the misconduct proved. The goal is to ensure that the disciplinary process was fair, transparent, and justifiable.