Example / Draft of a Charge Sheet

example draft of a charge sheet

All the discussion about a Charge Sheet is of a little help to people engaged in framing of a chargesheet is they are not provided with an example or draft of a Charge Sheet.

As such, the following are the examples of Charge Sheets under all the possible categories viz. Minor Non-Vigilance, Minor Vigilance, Major Non Vigilance, and Major Vigilance.

The names, designations, whereabouts and lapses mentioned in the following Charge Sheets are hypothetical.

Example / Draft of a Charge Sheet under Minor Penalty Proceedings, Non Vigilance Category:

TERA MERA BANK

Disciplinary Action Section, Head Office, New Delhi

REF:HO:HRD: DAS:FILE-123

APRIL 17, 2020

SH. AKKAD BAKKAD,

PF – 1234567,

MANAGER,

BRANCH OFFICE, OLD STREET,

NEW DELHI

CHARGE SHEET UNDER REGULATION 8 OF TERA MERA BANK OFFICER EMPLOYEES (DISCIPLINE & APPEAL) REGULATIONS 1999

Enclosed please find imputation of Charges against you as Annexure – I.

You are advised to submit your statement of defence in writing (in duplicate) to the undersigned within the stipulated period of seven days from the date of receipt thereof. In case you wish to refer the relevant records, you are hereby permitted to do so with prior intimation to the concerned branch and Regional Controlling Office.

In case, no reply is received within the stipulated period including the time for reference of relevant records, it will be presumed that you have nothing to say in your defence, admit the charges and matter shall be considered ex-parte in accordance with the provisions of Tera Mera Bank Officer Employees (Discipline & Appeal) Regulations 1999.

Please acknowledge.

 Sd- 

GENERAL MANAGER

DISCIPLINARY AUTHORITY

Copy to:

  1. The Branch Head, Old Street, New Delhi for information please, along with a copy of Charge Sheet (in original) to be served upon the subject. It is requested to convey the date on which the Charge Sheet is served. Please handover the original letter addressed to the subject after receiving his signatures on photocopy of the aforesaid letter and forward the same to our office for our reference and record.
  2. The General Manager, Disciplinary Action Division, Head Office, New Delhi for information along with a copy of Charge Sheet.

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–

TERA MERA BANK

Disciplinary Action Section, Head Office, New Delhi

REF:HO:HRD: DAS:FILE-123

APRIL 17, 2020

CHARGE SHEET

(UNDER NON VIGILANCE CATEGORY)

ANNEXURE – I

STATEMENT OF IMPUTATION OF LAPSES AGAINST SH. AKKAD BAKKAD, PF 1234567, MANAGER, BRANCH OFFICE, OLD STREET, NEW DELHI – FOR LAPSES POINTED OUT IN ANNUAL AUDIT OF BRANCH OFFICE BOMBAY BAZAAR, MUMBAI CITY DATED 30.09.2019

Sh. Akkad Bakkad, while working as Deputy Manager at BO: Bombay Bazaar, Mumbai from 23.02.2017 to 14.12.2019 failed to discharge his duties with utmost devotion and diligence and is alleged to have committed the following lapses/irregularities:

CHARGE – I:

A/C NAMEA/C NO.LIMITDATE OF SANCTION
M/S REEL TRADING CO.CC 1234RS. 35.00 LAKH31.01.2019
  1. He failed to take cognizance of/comment upon the adverse features observed in the Credit Information Reports (CIBIL) of the borrower, Sh. P K Gire, as well as the guarantor, Sh. Hare Lal as the past due indebtedness of Rs.36.00lakh of Borrower in 10 accounts and indebtedness of Rs.26.62lakh in 7 accounts of guarantor with 2 accounts having past due now taken into consideration while sanctioning the above tabulated loan.
  2. He failed to ensure that the particulars of creation of security interest by way of Equitable Mortgage has been entered in CERSAI portal within the stipulated period of 30 days.

Thus, Sh. Akkad Bakkad failed to take all possible steps to protect Bank’s interests and did not discharge his duties with sincerity, utmost devotion and due diligence which constitute misconduct within the meaning of Regulation 12(i) read with regulation 36 of Tera Mera Bank Officer Employees’ (Conduct) Regulations 1999.

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–


Example / Draft of a Charge Sheet under Minor Penalty Proceedings, Vigilance/CVC Category:

TERA MERA BANK

Disciplinary Action Section, Head Office, New Delhi

REF:HO:HRD: DAS:FILE-123

APRIL 17, 2020

SH. AKKAD BAKKAD,

PF – 1234567,

MANAGER,

BRANCH OFFICE, OLD STREET,

NEW DELHI

CHARGE SHEET UNDER REGULATION 8 OF TERA MERA BANK OFFICER EMPLOYEES (DISCIPLINE & APPEAL) REGULATIONS 1999

Enclosed please find imputation of Charges against you as Annexure – I.

You are advised to submit your statement of defence in writing (in duplicate) to the undersigned within the stipulated period of seven days from the date of receipt thereof. In case you wish to refer the relevant records, you are hereby permitted to do so with prior intimation to the concerned branch and Regional Controlling Office.

In case, no reply is received within the stipulated period including the time for reference of relevant records, it will be presumed that you have nothing to say in your defence, admit the charges and matter shall be considered ex-parte in accordance with the provisions of Tera Mera Bank Officer Employees (Discipline & Appeal) Regulations 1999.

Please acknowledge.

 Sd- 

GENERAL MANAGER

DISCIPLINARY AUTHORITY

Copy to:

  1. The Branch Head, Old Street, New Delhi for information please, along with a copy of Charge Sheet (in original) to be served upon the subject. It is requested to convey the date on which the Charge Sheet is served. Please handover the original letter addressed to the subject after receiving his signatures on photocopy of the aforesaid letter and forward the same to our office for our reference and record.
  2. The General Manager, Disciplinary Action Division, Head Office, New Delhi for information along with a copy of Charge Sheet.
  3. The Chief Vigilance Officer, Vigilance Division, Head Office, New Delhi for information along with a copy of Charge Sheet in reference with the First Stage Advice tendered by him vide letter dated 09.04.2020.

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–

TERA MERA BANK

Disciplinary Action Section, Head Office, New Delhi

REF:HO:HRD: DAS:FILE-123

APRIL 17, 2020

CHARGE SHEET

(UNDER VIGILANCE CATEGORY)

ANNEXURE – I

STATEMENT OF IMPUTATION OF LAPSES AGAINST SH. AKKAD BAKKAD, PF 1234567, MANAGER, BRANCH OFFICE, OLD STREET, NEW DELHI – FOR LAPSES POINTED OUT IN ANNUAL AUDIT OF BRANCH OFFICE BOMBAY BAZAAR, MUMBAI CITY DATED 30.09.2019

Sh. Akkad Bakkad, while working as Deputy Manager at BO: Bombay Bazaar, Mumbai from 23.02.2017 to 14.12.2019 failed to discharge his duties with utmost devotion and diligence and is alleged to have committed the following lapses/irregularities:

CHARGE – I:

A/C NAMEA/C NO.LIMITDATE OF SANCTION
M/S REEL TRADING CO.CC 1234RS. 35.00 LAKH31.01.2019
  1. He failed to take cognizance of/comment upon the adverse features observed in the Credit Information Reports (CIBIL) of the borrower, Sh. P K Gire, as well as the guarantor, Sh. Hare Lal as the past due indebtedness of Rs.36.00lakh of Borrower in 10 accounts and indebtedness of Rs.26.62lakh in 7 accounts of guarantor with 2 accounts having past due now taken into consideration while sanctioning the above tabulated loan.
  2. He failed to ensure that the particulars of creation of security interest by way of Equitable Mortgage has been entered in CERSAI portal within the stipulated period of 30 days.

Thus, Sh. Akkad Bakkad failed to take all possible steps to protect Bank’s interests and did not discharge his duties with utmost integrity, sincerity, devotion and due diligence which constitute misconduct within the meaning of Regulation 12(i) read with regulation 36 of Tera Mera Bank Officer Employees’ (Conduct) Regulations 1999.

Sd-   

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–


Example / Draft of a Charge Sheet under Major Penalty Proceedings, Non Vigilance Category:

TERA MERA BANK

Disciplinary Action Section, Head Office, New Delhi

REF:HO:HRD: DAS:FILE-123

APRIL 17, 2020

SH. AKKAD BAKKAD,

PF – 1234567,

MANAGER,

BRANCH OFFICE, OLD STREET,

NEW DELHI

CHARGE SHEET UNDER REGULATION 6 OF TERA MERA BANK OFFICER EMPLOYEES (DISCIPLINE & APPEAL) REGULATIONS 1999

Please find enclosed Article of Charges as Annexure-I, Statement of Imputation of Charges in support of Article of Charges as Annexure-II, List of documents as Annexure-III and List of witnesses as Annexure-IV.

You are advised to submit your statement of defence in writing (in duplicate) to the undersigned within the stipulated period of seven days from the date of receipt thereof. In case you wish to refer the relevant records, you are hereby permitted to do so with prior intimation to the concerned branch and Regional Controlling Office.

In case, no reply is received within the stipulated period including the time for reference of relevant records, it will be presumed that you have nothing to say in your defence, admit the charges and matter shall be considered ex-parte in accordance with the provisions of Tera Mera Bank Officer Employees (Discipline & Appeal) Regulations 1999.

Please acknowledge.

Sd- 

GENERAL MANAGER

DISCIPLINARY AUTHORITY

Copy to:

  1. The Branch Head, Old Street, New Delhi for information please, along with a copy of Charge Sheet (in original) to be served upon the subject. It is requested to convey the date on which the Charge Sheet is served. Please handover the original letter addressed to the subject after receiving his signatures on photocopy of the aforesaid letter and forward the same to our office for our reference and record.
  2. The General Manager, Disciplinary Action Division, Head Office, New Delhi for information along with a copy of Charge Sheet.

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–

TERA MERA BANK

Disciplinary Action Section, Head Office, New Delhi

REF:HO:HRD: DAS:FILE-123

APRIL 17, 2020

CHARGE SHEET

(UNDER NON VIGILANCE CATEGORY)

ANNEXURE – I

STATEMENT OF ARTICLE OF CHARGES AGAINST SH. AKKAD BAKKAD, PF 1234567, MANAGER, BRANCH OFFICE, OLD STREET, NEW DELHI – FOR LAPSES POINTED OUT IN LETTER DATED 30.09.2019 OF BRANCH HEAD, BRANCH OFFICE, BOMBAY BAZAAR, MUMBAI CITY

Sh. Akkad Bakkad, while working as Deputy Manager at BO: Bombay Bazaar, Mumbai from 23.02.2017 to 14.12.2019 failed to discharge his duties with utmost devotion and diligence and is alleged to have committed the following lapses/irregularities:

ARTICLE – I  

He disobeyed the lawful orders of the Branch Head.

ARTICLE – II

He indulged in the act of dereliction of duty.

Thus, he indulged in an act of indiscipline which is unbecoming of an officer employee and constitutes misconduct in terms of Regulation 22(1) & 28(2) read with Regulation 29 of Tera Mera Bank Officer Employees’ (Conduct) Regulations, 1999.

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–

ANNEXURE – II

STATEMENT OF IMPUTATION OF LAPSES AGAINST SH. AKKAD BAKKAD, PF 1234567, MANAGER, BRANCH OFFICE, OLD STREET, NEW DELHI – FOR LAPSES POINTED OUT IN LETTER DATED 30.09.2019 OF BRANCH HEAD, BRANCH OFFICE, BOMBAY BAZAAR, MUMBAI CITY

Sh. Akkad Bakkad, while working as Deputy Manager at BO: Bombay Bazaar, Mumbai from 23.02.2017 to 14.12.2019 failed to discharge his duties with utmost devotion and diligence and is alleged to have committed the following lapses/irregularities:

CHARGE – 1

  1. Sh. Akkad Bakkad, disobeyed the lawful orders of the Branch Head. To quote:

He was advised by the Branch Head on 30.09.2020 to provide the photocopy of payment/transfer/clearing instruments in account no. CC 12345 and CA 67890 of Sh. Spider Man to Sh. Spider Man himself after deduction of requisite charges but he refused to provide the requisite documents on the grounds that the said work has been assigned to Sh.  Gabbar Singh vide Office Order No. 420 dated 9.2.2019. 

CHARGE – 2

  1. He delayed the cash payments to students of Bombay School of Superhero Studies while working on seat no.1 on 29.09.2020 thereby affecting the customer service adversely on the pretext that India Pakistan Ice Hockey Match was being telecast at that time. 

Thus, he indulged in an act of indiscipline which is unbecoming of an officer employee and constitutes misconduct in terms of Regulation 22(1) & 28(2) read with Regulation 29 of Tera Mera Bank Officer Employees’ (Conduct) Regulations, 1999.

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–

ANNEXURE – III

LIST OF DOCUMENTS IN SUPPORT OF CHARGES AGAINST SH. AKKAD BAKKAD, PF 1234567, MANAGER, BRANCH OFFICE, OLD STREET, NEW DELHI – FOR LAPSES POINTED OUT IN LETTER DATED 30.09.2019 OF BRANCH HEAD, BRANCH OFFICE, BOMBAY BAZAAR, MUMBAI CITY

LIST OF DOCUMENTS

  1. Copy of letter dated 30.09.2019 of Branch Head, Branch Office, Bombay Bazaar, Mumbai City.
  2. Copy of Statement dated 30.09.2019 of Sh. Pink Panther, Senior Manager, Branch Office, Bombay Bazaar, Mumbai City.
  3. Copy of letter dated 30.09.2020 vide which explanation of Sh. Akkad Bakkad was sought by the Branch Head.

*****

The list of documents based on which the imputation of charges are to be substantiated is being provided for reference to relevant records. It is only indicative and is for filing of reply to the charge sheet.  This is without prejudice to the right of Presenting Officer, if appointed by the Disciplinary Authority while constituting the departmental enquiry after considering the reply to the charge sheet or otherwise to add or delete any document(s) from this list or to introduce any document(s).

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–

ANNEXURE – IV

LIST OF WITNESSES IN SUPPORT OF CHARGES AGAINST SH. AKKAD BAKKAD, PF 1234567, MANAGER, BRANCH OFFICE, OLD STREET, NEW DELHI – FOR LAPSES POINTED OUT IN LETTER DATED 30.09.2019 OF BRANCH HEAD, BRANCH OFFICE, BOMBAY BAZAAR, MUMBAI CITY

LIST OF WITNESSES

1.           Sh. Pink Panther, Senior Manager, Branch Office, Bombay Bazaar, Mumbai City.

*****

The list of witnesses based on which the imputation of charges are to be substantiated is being provided for reference to relevant records. It is only indicative and is for filing of reply to the charge sheet.  This is without prejudice to the right of Presenting Officer, if appointed by the Disciplinary Authority while constituting the departmental enquiry after considering the reply to the charge sheet or otherwise to add or delete any witness(es) from this list or to introduce any witness(es).

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–


Example / Draft of a Charge Sheet under Major Penalty Proceedings, Vigilance/CVC Category:

TERA MERA BANK

Disciplinary Action Section, Head Office, New Delhi

REF:HO:HRD: DAS:FILE-123

APRIL 17, 2020

SH. AKKAD BAKKAD,

PF – 1234567,

MANAGER,

BRANCH OFFICE, OLD STREET,

NEW DELHI

CHARGE SHEET UNDER REGULATION 6 OF TERA MERA BANK OFFICER EMPLOYEES (DISCIPLINE & APPEAL) REGULATIONS 1999

Please find enclosed Article of Charges as Annexure-I, Statement of Imputation of Charges in support of Article of Charges as Annexure-II, List of documents as Annexure-III and List of witnesses as Annexure-IV.

You are advised to submit your statement of defence in writing (in duplicate) to the undersigned within the stipulated period of seven days from the date of receipt thereof. In case you wish to refer the relevant records, you are hereby permitted to do so with prior intimation to the concerned branch and Regional Controlling Office.

In case, no reply is received within the stipulated period including the time for reference of relevant records, it will be presumed that you have nothing to say in your defence, admit the charges and matter shall be considered ex-parte in accordance with the provisions of Tera Mera Bank Officer Employees (Discipline & Appeal) Regulations 1999.

Please acknowledge.

Sd- 

GENERAL MANAGER

DISCIPLINARY AUTHORITY

Copy to:

  1. The Branch Head, Old Street, New Delhi for information please, along with a copy of Charge Sheet (in original) to be served upon the subject. It is requested to convey the date on which the Charge Sheet is served. Please handover the original letter addressed to the subject after receiving his signatures on photocopy of the aforesaid letter and forward the same to our office for our reference and record.
  2. The General Manager, Disciplinary Action Division, Head Office, New Delhi for information along with a copy of Charge Sheet.
  3. The Chief Vigilance Officer, Vigilance Division, Head Office, New Delhi for information along with a copy of Charge Sheet in reference with the First Stage Advice tendered by him vide letter dated 09.04.2020.

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–

TERA MERA BANK

Disciplinary Action Section, Head Office, New Delhi

REF:HO:HRD: DAS:FILE-123

APRIL 17, 2020

CHARGE SHEET

(UNDER VIGILANCE CATEGORY – CVC CASE)

ANNEXURE – I

STATEMENT OF ARTICLE OF CHARGES AGAINST SH. AKKAD BAKKAD, PF 1234567, MANAGER, BRANCH OFFICE, OLD STREET, NEW DELHI – FOR LAPSES POINTED OUT IN LETTER DATED 30.09.2019 OF BRANCH HEAD, BRANCH OFFICE, BOMBAY BAZAAR, MUMBAI CITY

Sh. Akkad Bakkad, while working as Deputy Manager at BO: Bombay Bazaar, Mumbai from 23.02.2017 to 14.12.2019 failed to discharge his duties with utmost devotion and diligence and is alleged to have committed the following lapses/irregularities:

ARTICLE – I  

He visited abroad in the month of December 2019 without obtaining prior permission from the Competent Authority.

ARTICLE – II

He is alleged to have benefited illicitly as ticket expenses for his aforesaid foreign trip were purportedly paid by one of the borrower of the branch.

Thus, he failed to take all possible steps to protect Bank’s interests and did not discharge his duties with utmost integrity, sincerity, devotion and due diligence which constitute misconduct within the meaning of Regulation 22(ii) read with Regulation 29 of Tera Mera Bank Officer Employees’ (Conduct) Regulations, 1999.

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–

ANNEXURE – II

STATEMENT OF IMPUTATION OF LAPSES AGAINST SH. AKKAD BAKKAD, PF 1234567, MANAGER, BRANCH OFFICE, OLD STREET, NEW DELHI – FOR LAPSES POINTED OUT IN LETTER DATED 30.09.2019 OF BRANCH HEAD, BRANCH OFFICE, BOMBAY BAZAAR, MUMBAI CITY

Sh. Akkad Bakkad, while working as Deputy Manager at BO: Bombay Bazaar, Mumbai from 23.02.2017 to 14.12.2019 failed to discharge his duties with utmost devotion and diligence and is alleged to have committed the following lapses/irregularities:

CHARGE – 1:

  1. He visited London during 11.12.2019 to 22.12.2019 to watch Ice Hockey World Cup without obtaining prior permission from the Competent Authority.

CHARGE – 2:

  1. He is alleged to have benefited illicitly as expenses for his air and World Cup matches tickets for aforesaid foreign trip to London and during during 11.12.2019 to 22.12.2019 to watch Ice Hockey World Cup were purportedly paid by Sh. Captain America, borrower of the branch.  

Thus, he failed to take all possible steps to protect Bank’s interests and did not discharge his duties with utmost integrity, sincerity, devotion and due diligence which constitute misconduct within the meaning of Regulation 22(ii) read with Regulation 29 of Tera Mera Bank Officer Employees’ (Conduct) Regulations, 1999.

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–

ANNEXURE – III

LIST OF DOCUMENTS IN SUPPORT OF CHARGES AGAINST SH. AKKAD BAKKAD, PF 1234567, MANAGER, BRANCH OFFICE, OLD STREET, NEW DELHI – FOR LAPSES POINTED OUT IN LETTER DATED 30.09.2019 OF BRANCH HEAD, BRANCH OFFICE, BOMBAY BAZAAR, MUMBAI CITY

LIST OF DOCUMENTS

  1. Copy of letter dated 30.09.2019 of Branch Head, Branch Office, Bombay Bazaar, Mumbai City.
  2. Copy of Statement dated 30.09.2019 of Sh. Pink Panther, Senior Manager, Branch Office, Bombay Bazaar, Mumbai City.
  3. Copy of letter dated 30.09.2020 vide which explanation of Sh. Akkad Bakkad was sought by the Branch Head.

*****

The list of documents based on which the imputation of charges are to be substantiated is being provided for reference to relevant records. It is only indicative and is for filing of reply to the charge sheet.  This is without prejudice to the right of Presenting Officer, if appointed by the Disciplinary Authority while constituting the departmental enquiry after considering the reply to the charge sheet or otherwise to add or delete any document(s) from this list or to introduce any document(s).

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–

ANNEXURE – IV

LIST OF WITNESSES IN SUPPORT OF CHARGES AGAINST SH. AKKAD BAKKAD, PF 1234567, MANAGER, BRANCH OFFICE, OLD STREET, NEW DELHI – FOR LAPSES POINTED OUT IN LETTER DATED 30.09.2019 OF BRANCH HEAD, BRANCH OFFICE, BOMBAY BAZAAR, MUMBAI CITY

LIST OF WITNESSES

  1. Sh. Pink Panther, Senior Manager, Branch Office, Bombay Bazaar, Mumbai City.

*****

The list of witnesses based on which the imputation of charges are to be substantiated is being provided for reference to relevant records. It is only indicative and is for filing of reply to the charge sheet.  This is without prejudice to the right of Presenting Officer, if appointed by the Disciplinary Authority while constituting the departmental enquiry after considering the reply to the charge sheet or otherwise to add or delete any witness(es) from this list or to introduce any witness(es).

Sd-

GENERAL MANAGER

DISCIPLINARY AUTHORITY

–END OF PAGE–

Sources

https://cvc.gov.in/sites/default/files/vm17ch7/vm17ch7/70.%20CVC%20Circular%20No.%203(v)-99-8%20dated%2005.10.1999.pdf

%d bloggers like this: