PART - V
Procedure of conducting inquiry

(1) Major Penalty  

No order imposing any of the penalties specified in clause (B) of regulation 9 shall be made except after an inquiry held, as far as may be, in the manner provided in the regulation and regulation 14.

(2) Charge Sheet

Where it is proposed to hold an inquiry against a Board employee under this regulation and regulation 14, the disciplinary authority shall draw up or cause 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 of confession made by the Board employee.

(b) a list of documents by which, and a list of witnesses by whom, the articles of charge are proposed to be sustained.

Communication to employee of charge sheet:

The Disciplinary Authority shall deliver or cause to be delivered to the Board employee

1. a copy of the articles of charge,

2. a statement of the imputations of misconduct or misbehaviour and 

3. a list of documents and witnesses by which each article of charge is proposed to be sustained and shall require the Board employee to submit, within such time as may be specified, a written statement of his defence and to state whether he desires to be heard in person.

(4) Written statement by the employee:

On receipt of the written statement of defence from the employee or if no written statement of defence is submitted by the Board employee, the disciplinary authority may itself inquire into such of the articles of charge as are not admitted in the written statement or if it considers it as necessary to do so, appoint an inquiring authority for the purpose.

(5) Charge admitted by the employee:

Where the articles of charge have been admitted by the Board employee in his written statement of defence, the disciplinary authority shall record its findings on each charge after taking such evidence as it thinks fit and shall act in the manner laid in regulation 14.

(6) Forwarding of documents to the inquiring authority:

The disciplinary authority shall where it is not the inquiring authority. forward to the inquiring authority

1. a copy of the articles of charge and the statement of the imputations of misconduct or misbehaviour

2. a copy of written statement of defence if any submitted by the board employee

3. a copy of the statements of witnesses if any referred to in sub­regulation-2

4. (iv) evidence proving the delivery of the documents referred to in sub-regulation-2 to the Board employee.

(7) Appearance of Board employee before the enquiring authority

1. The Board employee shall appear in person before the enquiring authority on such day and such time within fifteen working days from the date of receipt by him of the articles of charge and the statement of imputations of misconduct or misbehaviour as the inquiring authority may, by a notice in writing, specify in this behalf or within such further time as the enquiring authority may allow

2. If the Board employee 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 enquiring authority such authority shall ask him whether he is guilty or has any defence to make

3. If the Board employee pleads guilty to any of the articles of charge the enquiring authority shall record the plea. sign the record obtain the signature of the Board employee thereon and shall return a finding of guilt in respect of those articles of charge to which the Board employee pleads guilty.

(8) Inspection and discovery of documents:  

The enquiring authority shall, if the Board employee fails to appear within the specified time or refuses or omits to plead. adjourn the case to a later date not exceeding thirty days after making an order that the Board employee may for the purpose of preparing his defence :-

1. inspect, within seven days of the order or within such further time as the enquiring authority may allow the documents specified in sub-regulation-2

2. submit a list of witnesses to be examined on his behalf. If the Board employee applies orally or in writing for the supply of the copies or statement of witnesses mentioned in sub-regulation-2 the enquiring authority shall furnish him with such copies in any case not later than seven days before the commencement of examination of witnesses on behalf of the disciplinary authority

3. give a notice, within ten days of the order or within such further time not exceeding ten days as the enquiring authority may allow for the discovery or production of documents which are in possession of Board but not mentioned in the list referred to in sub-regulation-2

4. the Board employee shall indicate in the notice the relevance of the documents required by him to be discovered or produced by the Board

5. on receipt of notice referred to above, the enquiring authority shall obtain from the concerned authority having the custody or possession of the requisitioned documents unless that authority for reasons to be recorded in writing expresses his inability to produce such documents 

(9) Assistance for presenting the case of Board employee:  

The Board employee may take the assistance of any other Board employee as may be allowed by the enquiring authority in its discretion to present his case before the enquiring authority. 

(10) Examination of witnesses:  

1. On the date fixed for the enquiry, the oral and documentary­evidence by which the articles of charge are proposed to be proved shall be produced by or on behalf of the disciplinary authority by the presenting officer nominated by the disciplinary authority.

2. Examination of witnesses by or on behalf of disciplinary authority: 

The witnesses shall be examined by or on behalf of the disciplinary authority and may be cross-examined by the Board employee. The witnesses may be re-examined by or on behalf of the disciplinary authority on any point on which they have been cross-examined by the Board employee but not on any new matter without the leave of the enquiring authority. The enquiring authority may also put such questions to the witnesses as it thinks fit. If it shall appear necessary before the closure of the case on behalf of the disciplinary authority, the enquiring authority may in its discretion allow evidence not included in the list given to the Board employee or may itself call for new evidence or re-call and re-examine any witnesses. In such case the Board employee shall be given an opportunity of inspecting such documents before they are taken on record and the Board employee may also be allowed to produce new evidence if it is of the opinion that the production of such evidence is necessary in the interest of justice. In any case, the new evidence may be called for only when there is an inherent lacuna or defect in the evidence which has been produced originally.

3. Examination of witnesses on behalf of Board employee: 

1. After the case for the disciplinary authority is closed, the Board employee 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 Board employee shall be required to sign the record.

2. The Board employee may then examine himself on his own behalf if he so prefers. The witnesses produced by him shall then be examined and shall be liable to cross examination, re-examination and examination by the enquiring authority according to the provisions applicable to the witnesses for the disciplinary authority.

3. After the Board employee closes his case and has not examined himself, the enquiring authority may generally question him on the circumstances appearing against him in the evidence for the purpose of enabling the Board employee to explain any circumstances appearing against him in the evidence against him. 

(11) Hearing the case:

After completion of the production of evidence, the enquiring authority may hear the Board employee or permit him to file a written brief if he so desires.

(12) Exparte Order:

If the Board employee to whom a copy of the articles of charge has been delivered does not submit the written statement of defence on or before the date specified for the purpose or does not appear in person before the enquiring authority or otherwise fails or refuses to comply with the provisions of this regulation, the enquiring authority may hold the enquiry exparte.

(13) Disciplinary authority:

1. Where a disciplinary authority competent to impose any of the minor penalties has itself enquired into the articles of any charge and that authority having regard to its own findings or having regard to its decisions on any of the findings of any enquiry authority appointed by it is of the opinion that any of the major penalties should be imposed on the Board employee that authority shall forward the record of the enquiry to such disciplinary authority as is competent to impose any of the major penalties.

2. the disciplinary authority to which the records are so forwarded may act on the evidence on the record or may, if it is of the opinion that further examination of any of the witnesses is necessary in the interests of justice, re-call the witnesses, examine, cross-examine and re-examine the witnesses and may impose on the Board employee such penalty as it may deem fit in accordance with these regulations.

3. whenever any enquiring authority, after having heard and recorded the whole or any part of the evidence in an enquiry ceases to exercise jurisdiction therein and is succeeded by another enquiring authority which has, and which exercises, such jurisdiction, the enquiring 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 enquiring authority is of the opinion that further examination of any of the witnesses whose evidence has already been recorded is necessary in the interests of justice, it may re-call, examine, cross-examine any such witnesses as herein before provided.

(14) Enquiry Report:

(1) After conclusion of the enquiry a report shall be prepared containing :-

(a) the articles of charge and the statement of imputations of misconduct or misbehaviour

(b) the defence of the Board employee 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 the reasons thereof.

(2) The enquiring authority. where it is not itself the disciplinary authority. shall forward to the disciplinary authority the records of enquiry which shall include:-

(a) the report prepared by it under sub-regulation (1)

(b) the written statement of defence. if any, submitted by the Board employee;

(c) the oral and documentary-evidence produced in the course of enquiry;

(d) written brief, if any, filed by the Board employee during the course of the enquiry. and

(c) the orders, if any, made by the disciplinary authority in regard to the enquiry.

13)

(1) Procedure for imposing minor penalties:

Subject to the provisions of sub-regulation 3(a) of regulation 14, no order imposing on a Board employee any of the penalties specified in Regulations 9(A) and 10 shall be made except after

1. informing the Board employee in writing of the proposal to take action against him and of the imputations of misconduct or misbehaviour on which it is proposed to be taken and giving him reasonable opportunity of making such representation as he may wish to make against the proposal

2. holding an enquiry in the manner laid down in regulation 12 in every case in which the Disciplinary Authority is of the opinion that such enquiry is necessary

3. taking the representation, if any, submitted by the Board employee under Clause (i) and the record of enquiry if any, under Clause (ii) into consideration.  

4. recording the finding on each imputation of misconduct or misbehaviour.

(2) Record of proceedings:

The record of the proceedings in such cases shall include

1. a copy of the intimation to the Board employee of the proposal to take action against him a copy of the

2. statement of imputations of misconduct or misbehaviour delivered to him  

3. his representation, if any,  

4. evidence produced during the enquiry, if any,  

5. the findings on each imputations of misconduct or misbehaviour and  

6. the orders on the case together with reasons thereof.

14)    Action on the report of the enquiry officer:

(1) Remission of the case :

The disciplinary authority, if it is not the enquiry authority may for reasons to be recorded in writing, remit the case to the enquiring authority for further enquiry and report and the enquiring authority shall thereupon proceed to hold further enquiry according to the provisions of these regulations as far as may be.

(2) Findings of disciplinary authority :

The disciplinary authority shall, if it disagrees with the findings of the enquiring authority on any article of charge, record its reasons for such disagreement and record its own findings on such charge if the evidence on record is sufficient for the purpose.

(3) Imposition of penalty:

(a) Minor penalty  

If the disciplinary authority having regard to its findings on all or any of the articles of charge is of the opinion that any of the penalties specified in regulation 9(A) and regulation 10 should be imposed on the Board employee it shall. not-withstanding anything contained in regulation 13 make an order imposing such penalty  

    (b) Major penalty 

      If the disciplinary authority having regard to its findings on all or any of the articles of charge and on the basis of the evidence adduced during the enquiry, is of the opinion that any of the penalties specified in regulation 9(B) should be imposed on the Board employee, it shall make an order after furnishing a copy of the report of the enquiring authority to the Board employee and after taking into consideration any representation made by him thereto within a reasonable time not exceeding one month.

15)     Communication to Board employee of the orders of the disciplinary authority:

The order made by the disciplinary authority shall be communicated to the Board employee who shall also be supplied with a copy of the report of the enquiry, if any. held by the disciplinary authority and a copy of its findings on each article of charge or where the disciplinary authority is not the enquiring authority. a copy of the report of the enquiring authority and a statement of findings of the disciplinary authority  together with brief reasons for its disagreement, if any, with the findings of the enquiring authority.

16) Common Proceedings:

(1) Where two or more Board employees are concerned in any case, the Board or any other authority competent to impose penalty for dismissal from service on all such Board employees may make an order directing that disciplinary action against all of them may be taken in common proceedings.

(2) Subject to the other provisions of these regulations, every such order shall specify

(i) the authority which may function as the Disciplinary Authority for the purpose of such common proceedings.

(ii) the penalties specified in Regulation-9 and Regulation-10 where such disciplinary authority shall be competent to impose

(iii) whether the procedure laid down in Regulations 12 and 14 shall be followed in the proceedings.

17) Waiver of procedure in certain cases:

(1) All or any of the provisions of Regulations 12 to 16 may, in exceptional cases and for sufficient reasons to be recorded by the disciplinary authority in writing, be waived where there is a difficulty in observing

fully the requirements of these regulations and those requirements can be waived without causing any injustice to a Board employee charged.

(2) If, in respect of any Board employee charged, a question arises whether it is reasonably practicable to hold such enquiry or give such opportunity as is referred to in Regulations 12 to 16. the decision thereon of the disciplinary authority competent to impose any of the penalties specified in Regulation 9(B) on a Board employee concerned shall be final.

18)     Special procedure in certain cases:

Not withstanding anything contained in Regulations 12 to 16

(i) where any penalty is imposed on a Board employee on the ground of conduct which has led to his conviction on criminal charge or

(ii) where the disciplinary authority is satisfied for reasons to be recorded by it in writing that it is not reasonably practicable to hold enquiry in the manner provided in these regulations or

(iii) where the Board is satisfied that for the security of the state it is not expedient to hold any enquiry in the manner provided in these regulations, the disciplinary authority may consider the circumstances of the case and make such orders thereon as it deems fit.

19)     Board employees lent to or borrowed from other authorities:

Employees lent to Government :-

(1) Where the services of a Board employee are lent to the Government of India or the State Government or the Government of other States (hereinafter referred to as Borrowing Authority) the Borrowing Authority shall have the powers of the appointing authority for the purpose of placing such Board employee under suspension and of the disciplinary authority for the purpose of conducting disciplinary proceedings against him.

Provided that the Borrowing Authority shall forthwith inform the Board of the circumstances leading to the order of suspension of such Board employee or the commencement of the disciplinary proceedings as the case may be.

(2) In the light of the findings in the disciplinary proceedings conducted against the Board employee

(i) if the Borrowing Authority is of the opinion that any of the penalties specified in Regulation 9 (A) or Regulation 10 should be imposed on the Board employee, it may, after consultation with the Board unless in any case it is otherwise provided by specific order of Board make such order on the case as it deems necessary.

Provided that in the event of difference of opinion between the Borrowing Authority and the Board. the services of the Board employee shall be replaced at the disposal of the Board.

(ii) if the Borrowing Authority is of the opinion that any of the penalties specified in clauses (a) to (e), of regulation 9 should be imposed on a Board employee it shall replace his services at the disposal of the Board and transmit to it the proceedings of the enquiry and thereupon the Board may, if it is the disciplinary authority pass such orders thereon as it may deem necessary or if it is not the disciplinary authority submit the case to the disciplinary authority which shall pass such orders on the case as it may deem necessary.

Provided that before passing any such order. the disciplinary authority shall comply with the Provisions of Regulation-14

(3) Employees lent to companies or other organizations:

1. Where the borrowing authority is a company or corporation or organization or local or other authority. such borrowing authority may subject to such specific conditions or limitations, if any, that may be made in the terms of deputation, suspend the Board employee or impose on him any of the penalties specified in Regulations 9(A) & 10 except where the Board is the authority competent to suspend or impose the said penalties. 

Provide that the borrowing authority shall intimate the fact of placing the Board employee under suspension or imposing on him the penalty as the case may be to the Board and in the event of difference of opinion between the borrowing authority and the Board the services of the Board employee shall be replaced at the disposal of Board.

2. If the borrowing authority is of the opinion that any of the penalties specified in Clause (B) of Regulation-9 should be imposed on the board employee, it shall replace his services at the disposal of the Board and transmit to it the proceedings of the enquiry and thereupon the Board may, if it is the disciplinary authority, pass orders thereon as it may deem necessary or if it is not the disciplinary authority, submit the case to the disciplinary authority which shall pass orders on the case it may deem necessary. 

Provide that before passing such order, the disciplinary authority shall comply with the provisions of regulation- 14.

3. Where a Board employee whose services are placed at the disposal of any company, corporation, organization or local or other authority has at any time before his service were so placed, committed any act or omission which renders him liable to any penalty specified in regulation-9 & 10 the authority competent to impose any such penalty on such Board employees shall alone be competent to institute disciplinary proceeding against him and to impose on him such penalty specified in regulation­9 & IO as it thinks fit and the borrowing authority under whom he is serving at the time of institution of disciplinary proceedings shall afford all reasonable facilities to such competent authority instituting and conducting such proceedings. 

(4) Employees borrowed

1. Where an order of suspension is made or disciplinary proceeding is conducted against a Board employee whose services have been borrowed by the Government of India or the State Government or Government of another State or company or a Corporation or Organization of local or other authorities, the Board shall forthwith be informed of the circumstances leading to the order of the suspension of the Board employee or of the commencement of the disciplinary proceeding as the case may be.

2. In the light of the finding in the disciplinary proceeding conducted against the Board employee.

1. If the disciplinary authority is of the opinion that any of the penalties specified in Regulation-9(A) & 10 should be imposed on him it may, subject to provisions of Regulation 3(a) of Regulation-14 and after consultation with the Board, pass such orders on the case as it deem necessary.

Provided that in the event of difference of opinion between the borrowing authority and the Board, the service of the Board employee shall be replaced at the disposal of the Board.

2. If the disciplinary authority is of the opinion that any of the penalties specified in Regulation-9(B) should be imposed on the Board employee, it shall replace the services of such Board employee at the disposal of the Board and transmit to it the proceeding of the enquiry for such action as it may deem necessary.