Content: 10.3 Penalty Processes

Content

10.3 Penalty Processes

10.3.1 Initiation and Closure of Penalty Proceedings

Overview

Item	Description
Purpose	To delineate the penalty processes, including initiation and conduct of proceedings, imposition of penalty, appeal and closure
Reference to guidelines	Not applicable
Prerequisite/s	Decision to initiate penalty proceedings either on recommendation by CTSA or directly by MoRD/SRLM
Time for completion	As per the activity table
Resources	SF 10.3A: Show Cause Notice SF 10.3B: Response to Show Cause Notice SF 10.3C: Personal Hearing Intimation SF 10.3D: Proceedings of Personal Hearing SF 10.3E: Notice of Imposition of Penalty/ Dropping of Penalty Proceedings SF 10.3F: Request for Closure of Penalty Proceedings SF 10.3G: Notice of Closure of Penalty Proceedings SF 10.3H: Appeal against Penalty SF 10.3I: Decision on Appeal against Penalty
Process owners	MoRD for YPS SRLM for APS

Activities

Step no.	Actor	Action	Time for completion	Relevant documents
Initiation of Penalty Proceedings
	MoRD for YPS and SRLM for APS	Issue Show Cause Notice to PIA	No specific timeline (Issue date is P₁)	SF 10.3A: Show Cause Notice
	PIA	Provide written response to Show Cause Notice to MoRD (for YPS) or SRLM (for APS), with copy to CTSA	P₁+25 days	SF 10.3B: Response to Show Cause Notice
	MoRD for YPS and SRLM for APS	Consider written response of PIA Decide whether PIA needs to be given an opportunity for personal hearing (compulsory if major penalty is contemplated; otherwise optional) Issue notice to PIA, if personal hearing is required Inform the PIA if decision is pending	Within 30 days of receipt of response from PIA (if there is delay, then intimate the status of the case at least once in 30 days)	SF 10.3C: Personal Hearing Intimation
	MoRD for YPS and SRLM for APS	Complete the personal hearing proceedings, if initiated Record the personal hearing proceedings and communicate details to the PIA Inform the PIA if decision is pending	Within 30 days of issuing Personal Hearing Intimation (if there is delay, then intimate the status of the case at least once in 30 days)	SF 10.3D: Proceedings of Personal Hearing
Imposition and Implementation of Penalty
	MoRD for YPS and SRLM for APS	Take a decision regarding imposition of penalty and inform the PIA that Penalty proceedings are being dropped or A minor penalty is being imposed or A major penalty is being imposed Inform the PIA if the decision is pending	Within 30 days of receipt of written response from PIA or from date of personal hearing if such an opportunity is given to the PIA (if there is delay, then intimate the status of the case at least once in 30 days)	SF 10.3E: Notice of Imposition of Penalty / Dropping of Penalty Proceedings
	PIA	If MoRD/SRLM decides to drop the penalty proceedings, then no further action is necessary If penalty is imposed Comply with the penalty order Request for closure of penalty proceedings if the PIA decides not to invoke the appeal process or Action as per Appeal process	As specified in Notice of Imposition of Penalty	SF 10.3F: Request for Closure of Penalty Proceedings
	CTSA/ MoRD for YPS and SRLM for APS	If penalty has been imposed, verify whether the PIA has complied with the terms of the penalty order and inform MoRD	Within 5 days of the time prescribed for compliance in the Notice of Imposition of Penalty
	MoRD for YPS and SRLM for APS	Close penalty proceedings and inform the PIA	Within 15 days of confirmation of full compliance with Notice of Imposition of Penalty	SF 10.3G: Notice of Closure of Penalty Proceedings
Appeal
	PIA	Appeal against penalty	Within 20 days of receipt of Notice of Imposition of Penalty	SF 10.3H: Appeal against Penalty
	Appellate Authority	Provide an opportunity to the PIA to present its appeal against the penalty imposed, including opportunity for personal hearing if required Decide whether to Uphold the penalty Modify the penalty Cancel the penalty	Within 30 days of receipt of appeal against penalty if there is no personal hearing or 60 days of receipt of appeal against penalty if opportunity for personal hearing is provided (if there is delay, then intimate the status of the case at least once in 30 days)	SF 10.3C: Personal Hearing Intimation SF 10.3D: Proceedings of Personal Hearing SF 10.3I: Decision on Appeal against Penalty
	PIA	Comply with the decision of the appellate authority Request for closure of penalty proceedings	As specified in the order of the appellate authority	SF 10.3F: Request for Closure of Penalty Proceedings
	CTSA/SRLM	Verify whether the PIA has complied with the order of the appellate authority if penalty is upheld or modified Comply with the terms of the order of the appellate authority if penalty is cancelled or modified
	CTSA/SRLM	Inform the PIA that penalty proceedings are closed		SF 10.3G: Notice of Closure of Penalty Proceedings

10.3.2 Suo Motu Imposition of Penalty

Notwithstanding the process delineated in 10.3.1 above, in exceptional cases (for example, diversion or funds, fraudulent practices, persistent defaults, actions that affect the safety of candidates), the competent authority may decide to impose penalty suo motu on a PIA. In such cases, penalty will be imposed directly on the PIA without issuance of any Alert or Notice. However, the PIA will retain the right to appeal against the penalty, and the appeal process will be followed as described above.

10.3.3 Penalty Orders

An order by the competent authority to impose a penalty (major or minor) on a PIA shall be a speaking order, specifying the details of the penalty imposed, and clearly laying down the reasons for penalty imposition as well as the process of implementation of the penalty.