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AIRPORTS AUTHORITY OF INDIA

CORPORATE VIGILANCE DEPARTMENT

SPECIAL TRAINING ON
DISCIPLINARY PROCEEDINGS

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A SPECIAL TRAINING ON DISCIPLINARY PROCEEDINGS

S.N Heading
1 Disciplinary Proceedings An Overview
2 Charge Sheet, Articles of Charges, Imputation, documents, Witnesses, Practical hints,
Minor penalty charges.
3 What is Charge Sheet, its essential ingredients and how the charge has to be framed.
4 Inquiry Officer - Aide de Memoire
5 Presenting Officer Task List
6 Role of Disciplinary Authority
7 Role of Disciplinary Authority & Imposition of Punishment : Principles, Procedure &
Role of other Competent Authority.
8 Role of Appellate Authority, Revision & Review.
9 Dos & Donts of Inquiry Proceedings
10 Role and Functions of Presenting Officer
11 Written Brief of the Presenting Officer
12 Function of Inquiry Officer
13 Appreciation of Evidence
14 Evaluation of Evidence
15 Case Law on Disciplinary Proceedings
16 Daily Order Sheets: 1-8, 11 & 15-18
17 Standard Forms
18 Instructions for Mock Inquiry A Role Play
19 Mock Inquiry A Roll Play - I (AC Baruah Case)
20 What vitiates inquiry
21 What to do ? when ......
22 Solution to activities
23 AAI Penalties
24 Mock Inquiry A Roll Play II (Case of Salwood Sleepers)
25 Case Study

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DISCIPLINARY PROCEEDINGS
AN OVERVIEW

1. Human resource is perhaps the most valuable asset of any organisation. It is the human resource
which exploits other resources in the organisation so as to achieve the organisational objectives.
The aim of the Human resource department by what ever name it is known such as Personnel
Department, P&IR, etc, is to get the best out of the human resource of the organisation. For
achievement of this purpose, there are many sub-systems in the Human Resource Department such
as Grievance Handling, Counseling, Performance Appraisal, Career Planning, Training &
Development, etc. Reward and Punishment system is one of the sub-systems under the Human
Resource System. It is essential that every organisation, whether government or semi-government
or private, should have a well established reward and punishment system to ensure that the
people are made to work towards the fulfillment of the organisational goals. While the reward
system will encourage the employees to work better towards the achievement of organisational
goals, punishment system is used to prevent people from working against the organisational goals.

2. Misconduct, or non-conforming behaviour, as it is sometimes called can be tackled in many ways


such as counseling, warning, etc. In extreme cases such as, criminal breach of trust, theft, fraud,
etc. the employer is also at liberty to proceed against the employee, if the misconduct of the latter
falls within the purview of the penal provisions of the law of the land. However such proceedings are
generally conducted by the state agencies, are time consuming and call for a higher degree of
proof. In addition to the above option, the employer also has an option to deal with the erring
employee within the terms of employment. In such an eventuality, the employee may be awarded
any penalty which may vary from the communication of the displeasure to the severance of the
employer-employee relationship i.e. dismissal from service. There was a time when the employer
was virtually free to hire and fire his employees. Over a period of time, this common law notion has
gone. Today an employer can inflict punishment on an employee only after following some statutory
provisions depending upon the nature of the organisation. Briefly, the various statutory provisions
which govern the actions of different types of organisation are as under:

(a) Government : Part XIV of the Constitution relates to the terms of employment in
respect of persons appointe d in connection with the affairs of the State. Any action
against the employees of the Union Government and the State Governments should
conform to these Constitutional provisions, which confer certain protections on the
Government servants. These provisions are applicable only to the employees of the
various Ministries, Departments and Attached and Subordinate Offices. In addition to
the constitutional provisions, there are certain rules which are applicable to the
conduct of the proceedings for taking action against the erring employees. Central
Civil Services (Classification, Control, and Appeal) Rules 1965 covers a vast majority
of the Central Government employees. Besides, there are also several other Rules
which are applicable to various sections of the employees in a number of services.

(b) Semi Governmental Organisations: By this we mean the Public Sector


Undertakings and Autonomous Bodies and Societies controlled by the Government.
Provisions of Part XIV of the Constitution do not apply to the employees of these
Organisations. However, as these organisations can be brought within the definition of
the term State as described in Article 12 of the Constitution, the employees of these
organisation are protected against the violation of their Fundamental Rights by the
orders of their employer. The action of the employer can be challenged by the
employees of these organisations on the grounds of arbitrariness, etc. These
organisations also have their own sets of rules for processing the cases for conducting
the disciplinary proceedings against their employees.

(c) Purely private organisations: These are governed by the various industrial and
labour laws of the country and the approved standing orders applicable for the
establishment.

3. Although the CCS(CCA) Rules 1965 applies only to a limited number of employees in the
Government, essentially these are the codification of the Principles of Natural Justice, which are
required to be followed in any quasi judicial proceedings. Even the Constitutional protections which
are contained in Part XIV of the Constitutions are the codification of the above Principles. Hence, the
procedures which are followed in most of the Government and semi-governmental organisations are
more or less similar. This Handout is based on the CCS(CCA) Rules 1965.

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CONSTITUTIONAL PROVISIONS
RELATING TO DISCIPLINARY PROCEEDINGS

4. Articles 309, 310 and 311 are relevant to disciplinary Proceedings. Article 309 is an enabling
provision which gives power to the legislature to enact laws governing the conditions of service of
the persons appointed in connection with the affairs of the state. Proviso to this Article provides that
pending the enactment of the laws, the President may frame rules for the above purpose. The Laws
as well as the Rules to be framed for the purpose must be subject to the provisions of the
constitution. CCS(CCA) Rules 1965 as well as several other service rules have been framed under
the proviso to Article 309 of the Constitution.

5. Article 310 of the Constitution contains what is known as the Pleasure Doctrine. It provides that
the term of appointment of the Government Servant shall depend upon the pleasure of the
President. The same Article also provides, that the pleasure of the President can be over ridden only
by the express provisions of the Constitution and nothing else. Thus, in case there is any express
provision relating to the tenure of appointment of a Government Servant, the same will prevail;
otherwise, the tenure of appointment will depend upon the pleasure of the President.

6. A restriction on the Pleasure of the President is contained in the immediately following Article viz.
Article 311. The first thing to be noted about Article 311 is that it does not apply to the defence
personnel. The Supreme Court has clarified that even the civilians working in connection with the
defence are not covered by the provisions of Article 311. Article 311 basically grants two protections
to the civilian government servants (other than the defence civilians, of course). The two
protections relate to who and how. The first part of the Article provides that no person shall be
dismissed or removed from service by an authority subordinate to the one by which he was
appointed. Thus, the protection is that, before being sent out of service, a Government servant is
entitled to have his case considered by the authority who is equal in rank to the one who appointed
him to the service. If the penalty of dismissal or removal from service is imposed by an authority
who is lower in rank than the Appointing Authority, the same will be unconstitutional. The following
are some of the practical difficulties which may arise in complying with this provision:

(a) The employee concerned may be holding a post different from the one in which he was
initially recruited and his promotion to the present grade might been made by an
authority other than the one who initially recruited him to service. Who is appointing
authority in respect of such an employee?
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(b) The power for making appointment to a grade keeps on changing. Twenty years ago,
the power of making appointment to a grade was exercised by an officer of a certain
level. Consequent to the decentralisation of powers, the power for making
appointment to the same grade is presently vested in a lower level officer. Is there
any restriction on the exercise of the power of dismissal by the lower level officer ?

(c) A post has been abolished consequent to some re-organisation /re-structuring of


certain departments. The post so abolished was the appointing authority in respect
of a number of levels. Who can exercise the powers of dismissal in such cases?

The answers to these questions are contained in the provisions of the statutory rules which
have been framed under Article 309 and a number of decisions of the Courts.

7. We saw that Article 311 provides two protections to the government servants. The second
protection granted by this Article is available in Clause 2 of the Article and it relates as to how a
Government servant can be dismissed, or removed from service or reduced in rank. It provides that
no one can be dismissed or removed from service or reduced in rank except after an inquiry. The
same article also indicates that the above mentioned inquiry must satisfy the following two
conditions:

(a) The individual concerned must be informed of the charges.

(b) Must be granted a reasonable opportunity of being heard in respect of these charges.

8. The phrase reasonable opportunity has not been defined in the constitution; but the courts have
clarified through a number of decisions that this includes, opportunity to know the charge, know the
evidence led by the Disciplinary Authority in support of the charge, inspection of documents,
leading evidence in defence, etc. Another important question relating to the applicability of Article
311 is, whether the article provides protection to permanent employees only or even the

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temporary employees are entitled for the protection. Although Article 311 does not specifically state
as to whether the provisions are applicable to temporary employees also, the Supreme Court has
clarified that the protection is available under any one of the under mentioned circumstances:

(a) Where there is a right to post


(b) Where there is visitation of evil consequences

9. All permanent employees have a right to post and hence are entitled for this protection. As regards
the temporary employees, even in their case, a reasonable opportunity of defence will have to be
afforded if they are being visited by evil consequences. Thus, if a e t mporary employee is
discharged from service by giving him one month notice, without assigning any reason, the same
may be permissible. If the order of discharge mentions any reasons having a bearing on the
conduct or the competence of the employees, in such cases an inquiry will be necessary. In short,
even probationers will be entitled to the protection of inquiry, if the order of discharge contains a
stigma.

10. Article 311 also provides that under certain circumstances, a government servant may be dismissed
or removed from service or reduced in rank without an inquiry. These are contained in the second
proviso to Article 311. The circumstances under which the protection under Article 311 Clause 2
does not apply are as under:

(a) Where the penalty is being imposed on the ground of conduct which has led to his
conviction on a criminal charge; or.

(b) Where the disciplinary authority is satisfied, for reasons to be recorded, that it is not
reasonably practicable to hold an inquiry in the case; or

(c) Where the President is satisfied that in the interest of the security of the country it is
not expedient to hold the inquiry.

11. There may be circumstances wherein a Government servant may be proceeded against in a criminal
court. The criminal case might have been filed by the employer or the employee might been tried
for an offence he has committed in his private life. The provision mentioned at para 9(a) above,
grants power to the disciplinary authority to impose penalty without conducting inquiry if the
Government servant has been convicted in a criminal case. In this connection, it is relevant to note
that the standard of proof required in a criminal case is proof beyond reasonable doubt whereas in
the departmental proceedings, the standard of proof is preponderance of probability. Thus if an
employee has been held guilty in a criminal case, it would be much more easier to establish the
charge in a departmental proceedings. Conducting a departmental inquiry after the employee has
been held guilty in a criminal case would, therefore, be an exercise in futility. Hence the power
granted by the Second Proviso to Article 311 may be availed and appropriate penalty may imposed
on the employee. It must, however, be noted that this provision only grants a power to the
disciplinary authority to impose the penalty without inquiry when the employee has been convicted
in a criminal case. It is not mandatory for the disciplinary authority to dismiss the employee when
ever he has been convicted in a criminal case. The authority concerned will have to go thorough the
judgement and take a decision depending upon the circumstances of the case.

12. Another occasion when the disciplinary authority may impose penalty on the employee without
conducting any inquiry is when, the disciplinary authority, is satisfied, for reasons to be recorded,
that it is not reasonably practicable to hold an inquiry. There are two conditions for invoking this
provision viz. firstly, the disciplinary authority must be satisfied that it is not reasonably practicable
to hold inquiry in a particular case and secondly, the authority must record the reasons for his
decision. Although the constitution does not require the communication of the reasons in the
penalty order, it has been recommended in the judgements of the Supreme Court that it is
desirable to communicate the reasons in the penalty order. This will obviate the prospects of the
penalised employee contending that the reasons were fabricated after the issue of penalty order.
This provision can be of help during large scale violence, threat to the disciplinary authority or
inquiry authority or the state witnesses, etc. Invoking this provision for mundane purposes such as
avoiding delay, etc. may not be in order. Although the penalty order issued without inquiry may
cause harm to the employee, the courts have held that the clause has been provided for the sake of
a public good. On order to mitigate the harm done to the employee, the Honble Supreme Court in
the case of Union of India Vs Tulsiram Patel (AIR 1985 SC ) has ruled that in all such cases his
departmental appeal must be disposed of after giving him an opportunity of defence.

13. Thirdly, an employee may be dismissed or removed from service or reduced in rank without inquiry
to whenever the President is of the opinion that in the interest of the security of the country it is

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not expedient to hold an Inquiry. In such cases, the decision to dispense with the inquiry is taken at
the level of President and that too only on the ground of the security of the country. This provision
may be useful in cases of espionage charges, etc. Here, the word President has been used in
constitutional sense. The decision does not require personal approval of the President. It would be
sufficient if the decision is taken by the Minister in charge.

14. Although the above mentioned provisions are applicable as such to the employees of the Ministries,
departments and attached and subordinate offices only, yet the same are relevant to the employees
of Public Sector Undertakings and the autonomous bodies as well. This is so, because similar
provisions exist in the service rules relating to a number of PSUs and Autonomous bodies.

15. In addition to Part XIV of the Constitution (Articles 309 to 311), Part III of the Constitution is also
relevant to the matter of disciplinary proceedings. Part III of the Constitution contains the
Fundamental Rights. These are available against the actions of the State. The State is prohibited
from denying the right to equality, etc. As per the current interpretation of Article 14, it strikes at
the root of arbitrariness. Hence an employee affected by the arbitrary action of the State (which
happens to be his employer) can file a writ petition alleging violation of the Right to equality. Article
21 of the Constitution provides right to life and liberty. It states that no one shall be deprived of his
right to life and liberty except in accordance with the procedure established by law. According to the
present interpretation of the Honble Supreme Court, the word life occurring in Article 21 of the
Constitution does not denote mere existence. Life as mentioned in Article 21 relates to a dignified
and meaningful life. Hence, the deprivation of employment may amount to the deprivation of life.
Hence Article 21 indirectly provides that no one can be deprived of his employment except in
accordance with the procedure established by law. Besides, the Honble Supreme Court has also
stated in the case of Maneka Gandhi Vs Union of India (AIR 1978 SC 578 ) that the phrase
procedure established by law mentioned in the above Article refers to a procedure which is just,
reasonable and fair and not any procedure which is arbitrary, whimsical or oppressive. Hence, there
is a requirement for the Governmental and semi-governmental organisations to ensure that the
employees are not deprived of their employment (i.e. life) by an arbitrary procedure. Care must be
taken to ensure that a just, reasonable and fair procedure is followed in the disciplinary
proceedings.

PRELIMINARY INVESTIGATION STAGE

16. Misconduct in employment falls under two distinct categories viz. cases having a vigilance angle and
cases not having a vigilance angle. Allegation of bribery, corruption, forgery, falsification of
records, submission of false claims, possession of assets disproportionate to known sources of
income, etc. are known as cases having a vigilance angle. Cases such as unauthorised absence, lack
of devotion to duty, insubordination, etc. are known as cases not having a vigilance angle. The
classification of cases on this basis is relevant from the angle of consultation with the Central
Vigilance Commission.

17. Information relating the misconduct of employees may be gathered by the disciplinary authority
from a number of sources. Such sources of information are known as complaint. In the context of
disciplinary proceedings, even a press report or an audit report providing information about the
misconduct of an employee will be treated as a letter of complaint. Generally, a disciplinary case
commences with the receipt of a complaint. The complaint may or may not, contain verifiable
allegation against a government servant. In the latter event, the contents of the complaint may
have to be examined so as to determine as to whether there is any prima facie case against any
employee. This process is known as Preliminary Investigation. Preliminary investigation is also used
for collecting evidence against the Suspected Public Servant (SPS). Depending upon the nature of
the case, the matter may be referred to the CBI ( at the level of the Chief Vigilance Officer), or to
the local police authorities or may be departmentally investigated. Departmental preliminary
investigation is carried out when the allegation relates to a misconduct other than a criminal offence
and the same is capable of verification within the department. In case, the investigation of the
complaint calls for the exercise of police powers, the same must be handed over to the police or the
CBI.

18. Before commencing preliminary investigation departmentally, generally the complainant may be
contacted to provide evidence if any at his disposal in support of the allegations made by him.
Preliminary Investigation may be carried out either by the Vigilance Officer himself or it may be
handed over to any other officer. In either case, the Officer carrying out Preliminary Investigation
should sufficient knowledge about the subject relating to the complaint. He should be conversant
with not only the rules and regulations relating to the transaction but also the procedures and
practices. The preliminary Investigation Officer should identify the documents required for verifying

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the allegations and the persons who can throw light in the matter. After chalking out the
programme, in one swift move, all the documents required should be brought within his custody.
Once the persons concerned become aware of the fact that a misconduct is being investigated, it is
likely that they will attempt to tamper with the records and eliminate evidence. To obviate this, the
Preliminary Investigation Officer should maintain absolute confidentiality and act swiftly. The
persons who can provide information must be contacted and tactfully interrogated. Their statements
should be recorded and signatures obtained. In case the persons whose conduct is being
investigated are in custody of the records or other evidence required for the investigation and there
is a possibility of the evidence being tampered, it is appropriate to consider their transfer.

19. It is not mandatory to contact the Suspected Public Servant during the Preliminary Investigation.
However, there is no ban on contacting him either. A decision in this regard will have to be taken
by the Preliminary Investigation Officer, depending upon the nature of the case. In this connection,
it is worth considering that at times, the SPS, being the person most familiar with the case, may be
able to give a satisfactory explanation in respect of the allegation. If the explanation given by the
SPS is satisfactory, then it may save the unnecessary effort in the preparation of Charge Sheet,
conducting the Inquiry, etc. and then dropping the charges. The long period of uncertainty during
which the individual concerned will be tense and de-motivated will result in loss to the organisation
also.

20. On conclusion of the Investigation, the Preliminary Investigation Officer is required to submit a
report which will contain the facts collected by him and an analysis of the same. He is also required
to indicate as to whether a prima facie case is established or not. The report should specifically
indicate as to whether an opportunity was offered to the SPS, if so whether he availed the same.
The report together with the documents collected in the course of the Preliminary Investigation
should be submitted to the Disciplinary Authority who will take a decision as to whether disciplinary
action should be initiated against the SPS.

21. If the case is one having vigilance angle and the officer involved is a Category A Officer, the
disciplinary Authority should forward the Preliminary Investigation report and other documents to
the Central Vigilance Commission, through the Chief Vigilance Officer and obtain First Stage Advice.
{ Gazetted Officers of the Govt., Board level appointments in the PSUs, Officers in Scale III and
above in the public sector Banks and Officers in the scale of pay whose minimum is 2825/= or
above (IV Pay Commission scale) in local bodies, co-operative societies and other Societies
receiving grant from the Central Govt., autonomous and other similar bodies belong to Category A
for this purpose.}

MINOR PENALTY PROCEEDINGS

22. Penalties that can be imposed on the Government Servant have been classified as Major and Minor
Penalties. As per Rule 11 of the CCA Rules, the competent authority may, for good and sufficient
reasons, impose on a Government Servant any of the following penalties:

MINOR
(a) Censure
(b) Withholding of promotion
(c) Recovery from his pay of the whole or part of any pecuniary loss caused by the
Government servant to the Government by negligence or breach of orders
(d) Reduction to a lower stage in the time-scale or pay for a period not exceeding 3 years,
without cumulative effect and not adversely affecting his pension
(e) Withholding of increments of pay
MAJOR
a) Reduction to a lower stage in the time-scale of pay, otherwise than under (d) above
b) Reduction to a lower time-scale of pay grade, post or service
c) Compulsory Retirement
d) Removal from service, which shall not be a disqualification for future employment under
the Government
e) Dismissal which shall ordinarily be a disqualification for future employment under the
Government.

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23. The Rule does not provide as to which penalty may be imposed for which misconduct. This aspect
has been left to the discretion of the disciplinary authority. Penalties mentioned at (a) to (e) above
are known as minor penalties. It may be seen these penalties are less severe as compared to the
penalties at (f) to (j) above. The authority competent to impose these penalties is lower than the
Appointing Authority. Besides, ordinarily these penalties can be imposed without conducting an
oral inquiry. The procedure for imposing minor penalty is that, once a decision has been taken by
the disciplinary authority to initiate minor penalty proceedings against an employee, a
memorandum is issued to the employee concerned communicating the proposal to take action
against him. This memorandum is accompanied a statement of imputations of misconduct or
misbehavior, giving him about 10 days time for submitting his reply. In case the Government
Servant desires to peruse some documents for preparing his reply, the same may be considered on
merit. On receipt of his reply, or if no reply is received on expiry of the prescribed date, the
competent authority will take a decision on the basis of available information. The findings of the
disciplinary authority will be recorded in file and an appropriate order will be served on the
Government servant concerned. If it is decided, as a result of such examination, to exonerate the
Government servant, an order to that effect will be issued. In respect of the cases falling within the
purview of the CVC, second stage advice of the Commission will be obtained regarding the quantum
of penalty by forwarding the records of the case.

24. There may be circumstances where even for the imposition of minor penalty detailed oral hearing
may be conducted. Such cases broadly fall under the following two categories:

a) Optional: Cases wherein the disciplinary authority may feel that in the circumstances of the
case it is appropriate to hold an oral inquiry. The disciplinary authority may suo motto
decide that in a particular case, oral inquiry may be held to ascertain as to whether the
charges are proved. Alternatively, the decision may be taken based on the request of the
concerned official. In any case, the final decision will be as per the discretion of the
disciplinary authority. Cases involving oral evidence will normally call for oral hearing.

b) Obligatory: Where, the disciplinary authority, after considering the reply of the
Government servant, proposes to impose the penalty of withholding of increment, under
any one of the following circumstances, an oral inquiry shall invariably be held:

i) withholding of increment for a period exceeding three years,


ii) withholding of increment for any period with cumulative effect
iii) withholding of increment which is likely to adversely affect the pension of the Government servant,

25. Generally there will be a tendency to initiate the proceedings for major penalty so that the options
can be kept open, because, on conclusion of the major penalty proceedings, minor penalty can also
be imposed. This tendency should be avoided for two reasons. Firstly, if the gravity of the
misconduct indicates that the ends of justice will be met through a minor penalty, initiation of major
penalty proceedings will create unnecessary tension for the employee concerned and hence it will
be unfair to him. Secondly, minor penalty proceedings can be completed expeditiously. Imposition
of the penalty soon after the misconduct is always effective and desirable.

MAJOR PENALTY PROCEEDINGS

26. Procedure for imposition of Major penalty is laid down in rule 14 of the CCA Rules. Major penalty
can be imposed only by the Appointing Authority. As per the rule, before imposition of major
penalty, the disciplinary authority is required to prepare charge sheet which will have a
memorandum with the following four annexures:

(a) Annexure I Articles of charge

(b) Annexure II - Statement of imputations of misconduct

(c) Annexure III - List of documents by which the articles of charge is


proposed to be sustained

(d) Annexure IV - List of witnesses through whom the charge is proposed


to be proved

27. Preparation and serving of the Charge Sheet is the discharge of the obligation imposed by Clause
(2) of Article 311 of the Constitution after informing of the charges. Great care should be

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exercised in the discharge of this Constitutional obligation. It must be ensured that the charges are
clear and unambiguous. The charged official will be able to defend himself only if he knows what
exactly is the allegation against him. Hence vagueness of charge is likely to invalidate the
proceedings. Articles of charge as mentioned in Annexure I is the essence of the misconduct of the
employee. It may be negligence, or insubordination or lack of integrity, etc. The details of the facts
\ transaction from which the charge emanates are known as the Statement of imputations of
misconduct or misbehaviour. This will be a detailed account and is given in Annexure II. The
evidence based on which the charge is proposed to be established may be documentary or oral.
These are given in Annexures III and IV of the charge sheet.

28. The charge sheet so prepared is served on the Govt. servant concerned with a request to file his
written statement of defence. The covering memorandum is required to be signed by the
disciplinary authority. In cases wherein the President is the disciplinary authority, the covering
memorandum should be signed by an officer authorised to authenticate orders on behalf of the
President. Normally, the copies of the documents and the statements of witnesses are supplied
along with the Charge Sheet. If the documents are bulky and copies could not be given along with
the Charge Sheet, the charged officer may be given an opportunity to inspect the same within a
reasonable time say 10 days.

29. Further course of action depends upon the response of the Charged Officer. Possible responses are
that the Charge Officer may not respond to the Charge Sheet or may send a reply. Again in his
reply, the Charged Officer may admit the charge or deny the same. While denying the Charge, the
Charged officer may make a bald denial or attempt to convince the disciplinary authority. The
disciplinary authority has the following options:

(a) In case of unconditional and unambiguous acceptance of the charges, the disciplinary authority may
pass orders for imposing suitable penalty.

(b) In cases of conditional denial or denial without any convincing reason, or in cases wherein the
Charged Officer has not submitted the written statement of defence, the disciplinary authority has
to take further action for holding an inquiry for establishing the charges. In case the Charged Officer
has admitted some of the charges unconditionally and has refuted others, the disciplinary
authority will order inquiry only in respect of the charges which have not been admitted by the
Charge Officer.

(c) It is also possible that the Charged Officer may, in his written statement of defence, give a
convincing a reply to the allegations against him. In such cases the disciplinary authority may close
the case and pass orders accordingly.

30. In cases falling within the purview of the CVC, Second stage advice must be obtained before
passing the final orders for imposing the penalty or dropping the charges. If, on examination of the
written statement of the Charged Officer, or in cases wherein he has not filed any written statement
within the prescribed time, the disciplinary authority initiates action for conducting an inquiry for
establishing the charges, he will appoint an Inquiry Officer(IO) and a Presenting Officer (PO). As
per CCA Rules, the Inquiry Officer can be a serving Govt. Servant or a retired one. The Presenting
Officer should be a serving Govt. servant or a legal practitioner. The role of Inquiry Officer is to
conduct an inquiry in accordance with the provisions of Rule 14 of the CCA Rules as well as the
Principles of Natural Justice and to give a finding as to whether the charges are proved. Presenting
Officers role is akin to that of a public prosecutor. His endeavour will be to establish the charges by
leading evidence on behalf of the disciplinary authority. While the Inquiry Officer is required to be
impartial to the case, there is no such requirement in respect of the Presenting Officer. While
appointing the Inquiry Officer, it must be ensured that he is higher in rank to the Charged Officer
and does not have any interest or preconceived ideas about the case. As regards the Presenting
Officer, he is lower in rank as compared to the Inquiry Officer.

31. Copies of the Charge sheet and the accompanying documents are sent to the Inquiry Officer and
the Presenting Officer. Thereafter, the scene of action moves to the court of the Inquiry Officer.

32. Inquiry Officer, on receipt of the order of appointment will examine whether the requisite
documents of the case have been sent. He is required to maintain a record of the progress of the
case in the form of Daily Order Sheets. A daily order sheet is a brief narration of the days
happenings in the Inquiry. Whenever there is a progress in the case, the Inquiry Officer is expected
to prepare a daily order sheet. On the date of receipt of the appointment order as Inquiry Officer,
he will make his first daily order sheet indicating the fact of his appointment. Similarly during the
progress of the case also he will keep on making daily order sheets, indicating progress such as,

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taking over of documents, examination of witness, receipt of a request from the Charged Officer for
production of additional documents, etc.

33. The first perceptible action of the Inquiry Officer will be writing to the Charged Officer , with a copy
to the Presenting Officer to appear before him on the date, time and venue prescribed by him for
the Inquiry. Generally, the proceedings before the Inquiry Officer is divided into two phases viz.
Preliminary Hearing and Regular Hearing. Inspection of listed documents, ascertaining the
documents and witnesses required by the Charged Officer, etc. are done during the Preliminary
Hearing. During Regular Hearing, examination of witnesses is carried out.

34. The Charged Officer is entitled to have the assistance of another officer for the purpose of defence.
This person is known as Defence Assistant. The Defence Assistant may be a serving or retired
Government. Servant. In case the Presenting Officer is a legal practitioner, the Charged Officer
acquires a right to engage a legal practitioner as his defence assista nt. Otherwise, the Charged
Officer is required to obtain permission from the disciplinary authority for engaging a legal
practitioner as a Defence Assistant depending upon the facts and circumstances of the case. As
regards the request of the Charged Officer for engagement of a Defence Assistant from a station
other than the one where the inquiry is being conducted, the Inquiry Officer will have to take a
decision. Another important aspect of the Inquiry is that if the Charged Officer has reasons to fear
that the Inquiry Officer is biased against him, he is at liberty to make a representation to the
Revisionary Authority for change of Inquiry Officer. The Revisionary authority is required to decide
the issue. When a representation of this nature is pending disposal, the Inquiry Officer is expected
to stay the proceedings.

35. In the first hearing, the Inquiry Officer will question the Charged Officer as to whether he has
received the Charge Sheet, understood its contents and admits the charges. In case, the Charged
Officer admits the charges unconditionally at this stage, the same is recorded and the finding of
guilt is sent to the disciplinary authority duly signed by the Charge Officer. In most of the cases, the
Charged Officer denies the charges. Hence the Inquiry Officer will proceed with the Inquiry. On
denial of the Charges by the Charged Officer, the Inquiry Officer will fix a schedule for inspection of
the originals of the documents listed in Annexure III of the Charge Sheet. This may be conducted
at a date, time and venue suitable to the Presenting Officer and the Charged Officer. The Inquiry
Officer need not be present during the inspection of documents. After fixing the schedule for
inspection of the original document, the Inquiry Officer asks the Charged Officer to submit the list of
documents and the witnesses required for the purpose of his defence. The Inquiry Officer, on
examination of this request may allow such of the documents and witnesses, which in his opinion
are relevant for the purpose of defence. The Inquiry Officer will write to the custodian of the
relevant documents for making the same available to enable the Charged Officer to make his
defence.

36. After the Inspection of the documents, the Presenting Officer and the Charged Officer will report to
the Inquiry Officer on a date and time fixed by the Inquiry Officer. The Inquiry officer will ascertain
the outcome of the inspection ie. whether the Charged Officer disputes the genuineness of any of
the documents. The documents which have been admitted by the Charged Officer will be taken on
record by the Inquiry Officer marking them as SE-1, SE-2, etc. (SE : State Exhibit). Thereafter, the
oral on behalf of the state will be led by the Presenting Officer. This phase is known as Regular
Hearing.

37. Oral evidence may be led by both the parties. Oral evidence called on behalf of the disciplinary
authority is known as State Witness (SW) and the oral evidence called on behalf of the Charged
Officer is known as Defence Witness. (DW). A witness will be subjected to three stages of
examination. Firstly, the examination -in - chief will be conducted by the party who calls the
witness. Thereafter, the witness will be subjected to cross examination carried out by the opposite
party. Finally, the party who called the witness is allowed to carry out re-examination. Thus the
State witness will be examined - in chief by the Presenting Officer, cross examined by the
Charged Officer \ Defence Assistant and finally re-examined by the Presenting Officer. Similarly, the
Defence Witnesses will be examined in Chief by the Charged Officer \ Defence Assistant, cross
examined by the Presenting Officer and re-examined by the Charged Officer \ Defence Assistant.
The depositions of the witness are noted down by the Inquiry Officer (with stenographic assistance)
and the recorded statements are got signed by the parties present and the witness himself. The
recording may be in narrative form or question answer form, depending upon the nature of the
examination of the witness.

38. On conclusion of the evidence on behalf of the disciplinary authority, the Inquiry Officer will ask the
Charged Officer to state his defence and lead evidence. He will also take on record, the documents
which, the charged officer may wish to rely upon and mark them as DE 1, DE 2 etc.(DE=Defence

10
Exhibit) Thereafter, evidence on behalf of the Charged Officer is led. The Charged Officer has an
option to appear as his own witness. In such a case, he will have to face the cross examination of
the Presenting Officer. When the evidence for both the parties is over, the Inquiry Officer will
question the Charged Officer generally of the circumstances appearing against him.

39. After bringing the facts on records in the form of documentary evidence or through oral evidence,
the parties will have to convince the Inquiry Officer as to whether the charges are proved or not.
The Presenting Officer will have to convince the Inquiry Officer that on the basis of the facts
presented in the inquiry, there are reasons to believe that the charges may be held as proved.
Similarly, the Charged Officer will try to convince the Inquiry Officer that on the basis of the
information submitted during the inquiry, the charges cannot be held as proved. This process of
convincing the Inquiry Officer is carried out either through oral arguments or submission of written
briefs. Generally, the parties prefer to submit written briefs. The Charged Officer has an option to
finalise his brief on perusal of the brief of the Presenting Officer. On conclusion of the deposition of
the witnesses for both sides, the Inquiry Officer will direct the Presenting Officer to submit his
written brief within a reasonable time say 10 days, with a copy to the Charged Officer. The Charged
Officer will be directed to submit his brief within a suitable time thereafter.

40. On receipt of the written briefs of the parties, the Inquiry Officer is required to make his Inquiry
Report. The report will contain the background of the case, details of the hearings held, the
evidence adduced in the inquiry, contentions of the respective parties, an objective analysis of the
evidence and finally the conclusion, together with the reasons therefor, of the Inquiry Officer as to
whether the charges are proved or not. Copies of the report along with other records of the case
such as the original documents taken on record, statements of witnesses during the inquiry, daily
order sheets, etc. will be sent by the Inquiry Officer to the disciplinary authority.

41. The following courses of action are open to the disciplinary authority on receipt of the Inquiry
officers report:

(a) If it is observed from the report that the Inquiry officer has deviated from the statutory provisions
or the Principles of Natural Justice, the disciplinary authority may refer the case back to the Inquiry
Officer for removal of the anomaly. E.g. If a document requested by the Charged Officer was not
provided, which in the opinion of the disciplinary authority may amount to denial opportunity of
defence to the Charged Officer, the disciplinary authority may direct the inquiry Officer to provide
the same to the Charged Officer continue the inquiry.

(b) If the disciplinary authority is not in agreement with the findings of the Inquiry Officer, he may
record his reasons for disagreement and proceed accordingly. In case the Inquiry Officer has held
the Charged Officer guilty and the disciplinary authority, on the basis of the records of the case
comes to the conclusion that the Charged Officer is not guilty, the case may be closed and an order
passed to that effect.

(c) If the Inquiry Officer has held the Charged Officer not guilty and the disciplinary authority comes to
the conclusion that the Charged Officer is guilty the report of the Inquiry Officer to gether with the
note of disagreement of the disciplinary authority is sent to the charged officer and he is allowed to
make a representation against the same. On receipt of the reply from the Charged Officer, final
orders are passed.

(d) In case the disciplinary authority is agreement with the Inquiry Officer, depending upon the findings
of the Inquiry Officer, the case is processed. i.e. if the finding is to the effect of not guilty, the case
is closed and appropriate order is passed. Alternatively, a copy of the Inquiry report is sent to the
Charged Officer and he is allowed an opportunity to make representation. On receipt of the reply of
the Charged Officer, final orders are passed taking the contents of the representation into account.

42. In cases falling within the purview of the CVC, the matter is referred to the Commission along with
the documents of the case and the second stage advice obtained. Consultation with UPSC, where
necessary is also carried out. An employee who has been penalised in the above manner has
certain departmental remedies by way of appeal, review and revision. In case he is still aggrieved,
he has the option to seek redressal from judicial fora.

43. Four ingredients are necessary for the preparation of a Charge sheet. They are FACTS, FORM,
LANGUAGE AND LOGIC. Preliminary Investigation or sometimes the complaint as such indicates
some acts of omissions and commissions on the part of the Govt. servant. From these omissions
and commissions, specific charge is required to be framed. That a Govt. servant has failed to be
present in the office is a fact. This omission on the part of the Govt. servant gives rise to the charge
of lack of devotion to duty. That a Govt. servant has filed a false claim is fact. This commission

11
gives rise to the charge of lack of absolute integrity. At times the process of culling out the charge
from the facts may be very tedious. For example, that certain store items held in the custody of a
Govt. servant is missing is a fact. Does it give rise to the charge of theft or negligence? The charges
are deduced by critically examining the facts through the process of logic. The articles of charge
thus arrived at are listed in Annexure I referred to above. The complete details of the facts of the
case are narrated in Annexure II. Every charge in Annexure I must be viewed as must be above
four annexures to the Charge Sheet is a matter of structure. The Charge Sheet will be served on the
Government servant concerned with a direction to submit his written statement of defence within.

CHARGE SHEET

Issue mandatory under Article 311 (2).

First step in disciplinary proceedings.

Cases fall due to sloppy charge sheets.

Parts of major penalty charge sheet under rule 14 :

i. Articles
ii. Imputations
iii. Documents
iv. Witnesses

Imputations necessary for natural justice.

Articles of Charge :

Plain facts and then mention of conduct rule violated.

Mention of conduct rule not mandatory.

Separate articles for separate allegations.

No multiple charges for single allegation.

No vagueness.

No mention of proposed penalty.

Imputations :

Mention all facts, required to understand a case.

Divide according to articles.

No mention of documents not proposed to be produced.

Proper link between articles and imputations.

Documents:

Cite only relevant papers from file.

Dont cite unnecessary documents.

Dont omit vital documents.

Cite.

Instructions / Guidelines.

Inclusion of pre-recorded statements desirable.

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Witnesses:-

Cite witnesses to confirm documents likely to be disputed.

No unnecessary witness.

Dont omit important witnesses.

Cite witness to establish a practice.

Cite witness if pre-recorded statement required.

Practical hints :

First go through available evidence.

Make three columns of imputations, documents and witnesses. Write imputations


chronologically and evidence to support each imputation.

Ensure proper linkage between articles and imputations / articles and evidence.

VO/ CVO to scrutinize charge-sheet (CVC instructions)

Minor Penalty Charge-sheet :-

Only a statement of imputations along with a covering memorandum.

WHAT IS CHARGE SHEET, ITS ESSENTIAL


INGREDIENTS AND HOW THE CHARGE HAS TO BE FRAMED ?

WHAT IS CHARGE SHEET

A Charge may be described as the prima- facie proven essence of an allegation setting out the nature of the
accusation in general terms, such as , negligence in the performance of official duties, inefficiency,
acceptance of sub-standard work, false measurement of work executed, execution of work below
specification, breach of a conduct rule, etc. A charge should briefly, clearly and precisely identify the
misconduct/ misbehaviour. It should also give time, place and persons or things involved so that the
accused employee concerned has clear notice of his involvement. The object of furnishing a charge sheet is
to provide an opportunity to the person who is charged with misconduct to give an an explanation and to
defend himself. It enables the accused employee to know what are his lapses and for which he is being
proceeded against, it also enables him to think of his line of defence. The charge-sheet actually becomes
the basis of the inquiry and all subsequent proceedings shall have to be strictly confined to the charges as
set out in the charge-sheet. Moreover, the final action has also to be based on the charges as setout in the
charge-sheet and or no other grounds (Laxmidevi Sugar Mills Ltd Vs. Nandkishore singh : 1956 II ILJ 439)

It is the practice in some organisations to issue first a show cause notice to the delinquent asking him to
explain his conduct. Though it may be desirable to call for an explanation before actual service of the
charge-sheet, there is no principle which compels such a course of action. It is not absolutely necessary that
a written explanation should be called for in every case (Fire-stone Tyre & Rubber co. Ltd Vs. Their Workmen
1967 II LLJ 715). In a grave case where the facts and circumstances are very clear and the management
has not doubt about the same, it may directly issue the charge sheet. In some cases, however, it may be
necessary to call for a written explanation from the delinquent to find out whether there is a prima-facie.
The issue of a show cause notice gives the employee a chance to explain his conduct and also enables the
management to make up its mind.

If after the preliminary inquiry there is reason to think that the employee is at fault, a charge sheet setting
out the details and likely evidence may be issued without offending against any principle of justice and fair
play. In case no prima- facie case is established or if it is considered that the explanation of the employee is
satisfactory or the lapse has occurred for some reasons for which the employee is not directly responsible,
the management may decide to close the case. Although over the years it has become a practice in many
organisations to issue show cause notice first, and there is nothing wrong in that, it cannot be contended
that natural justice requires that show cause notice must be issued. The management may, if is so desires,
even skip over this formality. In cases involving forgery, misappropriation, fraud, assault, drunkenness and

13
disorderly behaviour, there cannot obviously be any need for issuing a show cause notice and the charge
sheet can be served straightway. The issue of charge sheet shows that the management has come to the
conclusion that there is a prima facie case and, therefore, wants to proceed against the erring employee. At
this stage of show cause notice the management has the option to close the case. But once the charge
sheet is issued, there are only two ways left; either to proceed with the case and go through the whole drill
or to exonerate the employee and withdraw the charge sheet. Since withdrawal of a charge sheet after its
service to an employee is not a prudent administrative practice, it is better to examine the facts very
carefully before issuing the charge sheet.

The work Charge-Sheet is borrowed from criminal law. It refers to the written and formal intimation to the
delinquent about the alleged misconduct so that he has full knowledge of the charges. It also calls upon the
person concerned to reply the stated charges. It is thus a document containing the allegations of
misconduct called the Charges levelled against the delinquent and it also demands his explanation within a
specified period. There is no prescribed or specified form in which charge-sheet should be framed, it may be
in a letter form or a notice. However, a show cause notice is different from a charge sheet is no substitute
for it. For all these reasons, great care should be taken to frame the charge-sheet and the omission to do
so, may result in an incurable irregularity almost amounting to illegality.

ESSENTIAL INGREDIENTS OF A CHARGE SHEET

Service rules or standing orders should be looked up to ascertain whether there is any provision prescribing
an authority who can sign and issue a charge sheet and if there is any such provision the procedure
prescribed should be strictly adhered to. Normally, a charge sheet may be issued by the employer or his
delegate. In absence of valid delegation, no officer other than the appointing or disciplinary authority is
competent to issue the charge sheet.

The object of the requirement of charge sheet is that the delinquent should know what he is charged with
and that he has the amplest opportunity to meet such charges. A charge sheet must, therefore, be specific
and not vague. It must set out all the relevant particulars irrespective of the fact that in view of the
previous preliminary inquiry, the delinquent is already aware of the charges. The test is whether the charge
conveys to delinquent the exact nature of the alleged offence in a way that would enable him to meet the
charge. In other words, the charge sheet should clearly say what is reported against the employee, the
incidents, the date, the time and the place where those incidents took place (Northern Railway Cooperative
Credit society Ltd Vs. Industrial Tribunal, Jaipur and Another 1967 II LLJ 46) . If the particulars with regard
to the date and time of the alleged misconduct are not mentioned in the charge sheet, nor is the location of
the incident indicated with sufficient particularity, then the charge sheeted employee is obviously prejudiced
in the matter of his defense at the inquiry (State of Uttar Pradesh Vs. Mohd. Sharif 1982 II LLJ 180). The
absence of a reasonably certain and particularised charge, robs the inquiry of the substance, such an inquiry
with the charges is vitiated and absolutely void (Ramani Vs Karuvatta Service Cooperative Society : 1993 II
CLR 996).

The charge sheet should be in a language which is understood by the employee concerned. The purpose of
issuing a charge sheet is that the employee should know the charges; it is therefore, implied that it should
be in a language which he understands.

Charge sheet should as far as possible be issued at the earliest. There is no hard and fast rule as to the time
to be given for replying to the charge sheet. The correct procedure would undoubtedly be that the notice
calling for an explanation should stipulate a period generally not less than 24 hours from the time service is
effected, within which the explanation should be furnished in writing. It s i , however, necessary to give
sufficient time so as to help the concerned employee to prepare his defence for replying to the charge sheet.
Merely three days time for submission of the explanation may be at times considered insufficient while six
days time has been considered reasonable for sending reply ( State of Bombay Vs Amar Singh Rawal: AIR
1963 Guj. 244) In short depending on the facts of the case, a reasonable time must be given to the
delinquent to reply to the charge sheet.

Charge sheet should be drawn up on the basis of material gathered during investigation, interalia, must
contain :

The substance of the imputations of misconduct into definite and distinct charge.
A statement of the imputations of misconduct in support of each article of charge which shall contain:
A statement of all relevant facts including any admission or confession made by the accused employee, and
A list of documents by which, and a list of witnesses by whom, the articles of charge are proposed to be
sustained.

HOW THE CHARGE SHEET HAS TO BE FRAMED

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The articles of charges should be framed with great care. The following guidelines will be of help :

a) Each charge should be expressed in clear and precise terms, it should not be vague;
b) If a transaction/ event amounts to more than on type of misconduct then all the misconduct should be
mentioned.
c) It a transaction / event shows that the accused employee must be guilty of one or the other of
misconduct, depending on one or the other set of circumstances, then the charges can be in the
alternative.
d) A separate charge should be frame din respect of each separate transaction / event or a series of
related transactions / events amounting to misconduct.
e) Multiplication or splitting up of charges on the basis of the same allegation should be avoided.
f) The wording of the charge should not appear to be an expression of opinion as to the guilty of the
accused.
g) A charge should not relate to a matter which has already been the subject matter of an inquiry and
decision, unless it is based on benefit of doubt or on technical considerations.
h) A charge should not refer to the report on preliminary investigation or other official opinion.
i) The articles of charge should first give the plain facts leading to the charge and then only at the end of it
mention the misconduct i.e. violation of organisations Conduct Rules etc.
j) Reference to paragraphs or sub-paragraphs of the standing orders or service rules within which the
misconduct falls.
k) Relevant particulars of the previous record of the concerned employee in cases where such record is
relied upon.
l) Time within which the delinquent is required to reply to the charge sheet and
m) Compliance with such other formalities which the standing orders or service rules of the concerned
organisation special provide in this regard.

INQUIRY OFFICER

Aide de memoire

Role of inquiry officer is to help the disciplinary authority in ascertaining the truth with regard to the charges
leveled against the delinquent employee. For this he has to objectively:

(a) Record the evidence


(b) Analyses the evidence
(c) Record the findings

Submit the report to the disciplinary authority.

The achievement the above involves the following.

ON RECEIPT OF APPOINTMENT ORDER

1. CHECK IF THE ORDER HAS BEEN SIGNED AND ISSUED BY THE CORRECT OFFICER

2. CHECK IF FOLLOWING ARE ENCLOSED

a) ANNEXURES -I TO IV TO CHARGE SHEET


b) EVIDENCE THAT CHARGE SHEET HAS BEEN SERVED ON CHARGED OFFICER
c) REPLY, IF ANY OF CHARGED OFFICER
d) APPOINTMENT ORDER OF PRESENTING OFFICER

3. SEE IF CHARGES AS STATED IN ANNEXURE-I ARE CLEAR, UNAMBIGUOUS AND EMPHATIC. IF NOT
BRING IT TO THE NOTICE OF DISCIPLINARY AUTHORITY

4. MAKE A DAILY ORDER SHEET MENTIONING RECEIPT OF APPOINTMENT ORDER

5. GET HOLD OF PROCEDURE FOR HOLDING INQUIRY IN A DISCIPLINARY CASE (RULE 14 OF CCS (CCA)
RULES, 1965) IF NOT ALREADY FAMILIAR WITH. IN CASE OF DOUBT CONSULT A COLLEAGUE WHO HAS
SUFFICIENT EXPERIENCE IN THIS AREA.

15
6. FIX A DATE FOR PRELIMINARY HEARING WITHIN 10 DAYS AND ISSUE NOTICE.

7. ASCERTAIN IF PRESENTING OFFICER IS A LEGAL PRACTITIONER.

8. INFORM THE CHARGED OFFICER IN NOTICE AT S. NO. 7 ABOVE, THAT AS PER RULES HE CAN AVAIL
THE SERVICES OF A FELLOW GOVERNMENT SERVANT OR RETIRED GOVERNMENT SERVANT AS
DEFENCE ASSISTANT. IN CASE PRESENTING OFFICER IS A LEGAL PRACTITIONER EVEN A LEGAL
PRACTITIONER CAN BE HIRED AS DEFENCE ASSISTANT.

DURING PRELIMINARY HEARING

9. ARRANGE FOR A SEPARATE ROOM AND STENO SO THAT PROCEEDINGS COULD BE RECORDED.
ENSURE THAT THERE IS NO OUTSIDE DISTURBANCE

10. RECEIVE THE CHARGED OFFICER AND HIS DEFENCE ASSISTANT, IF ANY, WARMLY. THERE IS NO NEED
TO BE OFFICIOUS OR RIGID. IT ONLY HAMPERS SMOOTH CONDUCT OF PROCEEDINGS.

11. IN CASE CHARGED OFFICER HAS APPEARED ALONG WITH A DEFENCE ASSISTANT, ASK ABOUT HIS
PARTICULARS I.E. NAME, DESIGNATION, AND OFFICE, NO. OF INQUIRIES IN HAND, WHETHER LEGAL
PRACTITIONER ETC.

12. ASK THE CHARGED OFFICER TO STATE IN CLEAR TERMS WHETHER HE HAS ANY OBJECTION TO YOUR
BEING THE INQUIRY OFFICER CLEAR THE ISSUE OF BIAS.

13. IN CASE CHARGED OFFICER HAS ANY OBJECTION STAY THE PROCEEDING AND ASK HIM TO MAKE A
REPRESENTATION IN WRITING TO THE REVERSIONARY AUTHORITY AND AWAIT HIS DECISION.

14. IN CASE CHARGED OFFICER EXPRESSES CONFIDENCE IN YOU, PROCEED FURTHER AND ASK HIM -
WHETHER HE

a) HAS RECEIVED CHARGE SHEET


b) HAS UNDERSTOOD THE CHARGE(S)
c) ADMIT THE CHARGE(S)

15. REMEMBER. ADMISSION, IF ANY HAS TO BE UNQUALIFIED AND UNCONDITIONAL. OTHERWISE IT IS


TO BE TREATED AS DENIAL. CHARGES ADMITTED ARE DEEMED TO HAVE BEEN PROVED. FURTHER
INQUIRY IS TO BE CONDUCTED ONLY IN RESPECT OF CHARGES NOT ADMITTED.

16. IF ALL THE CHARGES ARE ADMITTED RECORD THE SAME, GET IT SIGNED AND FORWARD FINDING OF
GUILT.

17. FIX A TIME SCHEDULE FOR INSPECTION OF LISTED DOCUMENTS WITHIN 5 DAYS, EXTENDABLE BY
MAXIMUM 5 DAYS.

18. FIX A TIME SCHEDULE FOR SUBMISSION OF LIST OF ADDITIONAL DOCUMENTS TOGETHER WITH
THEIR PARTICULARS OF CUSTODIAN, AND RELEVANCE AND ALSO LIST OF DEFENCE WITNESSES - 10
DAYS EXTENDABLE BY MAXIMUM 10 DAYS.

19. ON RECEIPT OF LIST OF ADDITIONAL DOCUMENTS \ WITNESSES CONSIDER THEIR RELEVANCE FROM
DEFENCE POINT OF VIEW. BE EMPATHETIC AND POSITIVE. THINK, WHAT IS THE HARM IN
ALLOWING INSTEAD OF WHY SHOULD IT BE ALLOWED. DO NOT ALLOW DOCUMENTS WHICH YOU
CONSIDER IRRELEVANT.

20. WRITE TO CUSTODIAN OF ADDITIONAL DOCUMENT(S) TO PROVIDE THE DOCUMENT DIRECT TO YOU.
DO NOT ENTRUST THIS TASK TO PRESENTING OFFICER.

21. ARRANGE INSPECTION OF ADDITIONAL DOCUMENT BY CHARGED OFFICER AND PRESENTING OFFICER
PROVIDE COPIES TO BOTH WHERE POSSIBLE.

22. PREPARE A DAILY ORDER SHEET. GIVING DETAILS OF ACTION TAKEN. REMEMBER DAILY ORDER
SHEET IS A VITAL DOCUMENT. IT TELLS WHETHER REQUISITE PROCEDURE IS BEING FOLLOWED.

23. IN CASE CHARGED OFFICER ASKS FOR PRE-RECORDED STATEMENTS OF STATE WITNESSES AND THE
SAME ARE AVAILABLE, ASK PRESENTING OFFICER TO PROVIDE. ALLOW CLEAR 3 DAYS GAP BETWEEN
SUPPLY OF STATEMENTS AND EXAMINATION OF WITNESS CONCERNED.

16
DURING REGULAR HEARING

24. TAKE UNDISPUTED DOCUMENTS ON RECORD AND MARK THEM AS STATE EXHIBITS (SE1, SE2, ETC.)
OR DEFENCE EXHIBITS (DE1, DE2, ETC.). OBTAIN SIGNATURES OF PO AND CO ON THE DOCUMENTS
BEING TAKEN ON RECORD. DISPUTED DOCUMENTS HAVE TO BE PRODUCED THROUGH A WITNESS.

25. ASK THE PRESENTING OFFICER TO CONDUCT EXAMINATION IN CHIEF OF STATE/MANAGEMENT


WITNESSES.

26. BE ALERT. SEEK CLARIFICATIONS FROM WITNESS WHEREVER NECESSARY.

27. PERMIT CROSS EXAMINATION BY CHARGED OFFICER/DEFENCE ASSISTANT. IF NO QUESTIONS ARE


ASKED IN CROSS EXAMINATION, MENTION IN DAILY ORDER SHEET THAT THE CHARGED OFFICER DID
NOT AVAIL THE OPPORTUNITY.
28. DURING CROSS EXAMINATION DO NOT PERMIT QUESTIONS WHICH ARE SCANDALOUS OR WHICH AIM
AT SOLELY ANNOYING THE WITNESS. ENSURE THAT DUE RESPECT IS GIVEN TO WITNESS.

29. PERMIT RE-EXAMINATION ONLY ON NEW POINTS, WHICH HAVE COME UP DURING CROSS
EXAMINATION.

30. CAREFULLY WATCH AND KEEP A NOTE OF THE DEMEANOUR OF WITNESS. THIS WILL FACILITATE IN
DRAWING CONCLUSION IF HE IS TRUST-WORTHY OR NOT.

31. BEFORE THE CLOSE OF PROSECUTION CASE, THE PRESENTING OFFICER MAY ASK FOR PRODUCTION
OF ADDITIONAL DOCUMENT/WITNESS. IF SUCH A REQUEST IS MADE CAREFULLY CONSIDER.

a) NATURE OF EVIDENCE TO BE ADDUCED


b) PURPOSE OF EVIDENCE
c) WHY IT WAS NOT INCLUDED EARLIER AT THE TIME OF DRAWING THE CHARGE SHEET
d) IS IT VITAL TO REACH THE TRUTH
e) IS IT IN THE NATURE OF FILLING IN THE GAPS IN THE EVIDENCE ALREADY LED IF YES, DO NOT
ALLOW.
f) HEAR VIEWS OF CHARGED OFFICER TO THE REQUEST MADE BY PRESENTING OFFICER
g) WHETHER INTRODUCTION OF NEW EVIDENCE FACILITATE JUSTICE

31. IF YOU CONSIDER INTRODUCTION OF NEW EVIDENCE WILL FACILITATE JUSTICE PERMIT IT AND TREAT
IT LIKE ANY OTHER PIECE OF EVIDENCE.

32. RECORD REASONS IN DAILY ORDER SHEET FOR ALLOWING NEW EVIDENCE

33. AFTER CLOSE OF PROSECUTIONS CASE, ASK CHARGED OFFICER TO STATE HIS DEFENCE. TELL HIM
THAT HE IS AT LIBERTY TO BE HIS OWN WITNESS.

34. ALLOW CHARGED OFFICER TO CONDUCT EXAMINATION IN CHIEF OF DEFENCE WITNESS, IF ANY.
PERMIT CROSS EXAMINATION BY PRESENTING OFFICER AND RE-EXAMINATION BY CHARGED OFFICER.

35. MAKE DAILY ORDER SHEET FOR EACH DAY AND OBTAIN SIGNATURE OF PRESENTING OFFICER AND
CHARGED OFFICER/DEFENCE ASSISTANT. GIVE THEM COPY OF DAILY ORDER SHEET.
36. AFTER CLOSE OF DEFENCE CASE, QUESTION THE CHARGED OFFICER GENERALLY ON THE
CIRCUMSTANCE APPEARING AGAINST HIM. THIS REQUIREMENT IS MANDATORY WHEN CHARGED
OFFICER HAS NOT EXAMINED HIMSELF AS WITNESS.

37. ASK THE CHARGED OFFICER SPECIFICALLY WHETHER HE IS SATISFIED WITH THE PROCEEDINGS AND
WHETHER HE WANTS TO SAY SOMETHING MORE.

38. THROUGH OUT THE PROCEEDINGS DEMONSTRATE OBJECTIVITY AND UNBIASED/IMPARTIAL ATTITUDE.
ALLOW ALL REASONABLE REQUESTS. REJECT FIRMLY ALL UNREASONABLE REQUESTS/OBSTRUCTIONS
OF EITHER PARTY.

39. AFTER CLOSE OF CASE OF BOTH PARTIES, ASK PRESENTING OFFICER TO SUB MIT HIS BRIEF IN A
REASONABLE TIME SAY, ONE WEEK WITH A COPY TO CHARGED OFFICER AGAINST SIGNATURE.

40. ASK CHARGED OFFICER TO FILE REPLY TO PRESENTING OFFICERS BRIEF WITHIN REASONABLE TIME.

41. AS FAR AS POSSIBLE CONDUCT REGULAR HEARING ON DAY TO DAY BASIS. ALLOW ADJOURNMENTS
ONLY WHEN INESCAPABLE.

17
42. CAREFULLY SEGREGATE DAILY ORDER SHEETS, RECORD STATEMENTS OF WITNESSES, DOCUMENTS
ON RECORD AND CORRESPONDENCE IN SEQUENTIAL ORDER IN SEPARATE FOLDERS.

EX-PARTE INQUIRY

43. IN ALL NOTICES PLEASE MAKE CLEAR THAT IF CHARGED OFFICER FAILS TO APPEAR BEFORE YOU ON
THE DATE FIXED FOR HEARING WITHOUT VALID CAUSE AND PRE-INTIMATION, PROCEEDINGS WILL BE
HELD EX-PARTE.

44. BEFORE COMMENCING EX-PARTE INQUIRY, ENSURE THAT:

a) CO IS NOT ON SANCTIONED LEAVE


b) SUBSISTENCE ALLOWANCE IS BEING PAID TO THE CO IF HE IS UNDER SUSPENSION

45. IN EX-PARTE PROCEEDINGS FOLLOW ALL STEPS AS IF CHARGED OFFICER IS PARTICIPATING LESS
CROSS EXAMINATION.

46. SEND COPIES OF DAILY ORDER SHEET AND PROCEEDINGS TO CHARGED OFFICER BY REGISTERED
POST.
47. PERMIT CHARGED OFFICER TO PARTICIPATE IN LATER PROCEEDINGS IF HE SO DESIRES.

48. IF CO SHOWS SATISFACTORY REASONS FOR HIS NON-PARTICIPATION IN EARLIER HEARINGS AND
REQUESTS FOR RECALLING A WITNESS, DECIDE ON MERIT.

49. REMEMBER YOUR AIM IS TO FIND OUT THE TRUTH. DURING EX-PARTE YOU HAVE TO BE EXTRA
VIGILANT.

EVALUATION OF EVIDENCE

50.
a) READ THE CHARGES CAREFULLY
b) BREAK THEM INTO SEQUENTIAL STEPS(LINKS)
c) DETERMINE FACTS WHICH ARE NECESSARY TO PROVE EACH LINK. IN OTHER WORDS FRAME
ISSUES/QUESTIONS WHICH MUST BE ANSWERED TO PROVE A GIVEN FACT.
d) CAREFULLY SCAN UNDISPUTED DOCUMENTARY EVIDENCE AND LINK IT WITH FACTS IN ISSUE
e) EXAMINE RECORD OF EXAMINATION IN CHIEF, CROSS EXAMINATION RELATING TO DISPUTED
DOCUMENT(S) AND DETERMINE HOW MUCH RELIANCE CAN BE PLACED ON IT
f) YOU HAVE ALREADY OBSERVED DEMEANOUR OF WITNESSES, WHO APPEARED BEFORE YOU. TO
ASSESS THEIR RELIABILITY CONSIDER

i. THEIR INVOLVEMENT AND INTEREST IN THE OUTCOME OF THE CASE


ii. WERE THEY ACTUALLY PRESENT ON THE SCENE OF OCCURRENCE
iii. HAVE THEY COME TO KNOW THE DETAILS THROUGH SOMEONE; HOW RELIABLE IS THAT
SOURCE?
iv. DURING EXAMINATION IN CHIEF WERE THEY REPEATING THE STORY LIKE A PARROT?
v. WHAT IS THE GENERAL REPUTATION OF WITNESS
vi. WHAT IS HIS BACKGROUND

51. ANSWER TO ABOVE QUESTIONS WILL ENABLE YOU ASSESS TO WHAT EXTENT THE WITNESS IS
RELIABLE

52. MARSHALL ALL RELIABLE EVIDENCE AND LINK IT TO FACTS WHICH YOU CONSIDER NECESSARY TO
BE PROVED.

53. LINK PROVED FACTS TO CHARGE AND GIVE YOUR FINDING BASED ON PRE-PONDERANCE OF
PROBABILITY
54. WRITE YOUR REPORT AND SUBMIT TO DISCIPLINARY AUTHORITY AT LEAST IN TRIPLICATE TOGETHER
WITH FOLDERS MENTIONED AT S.NO.41.

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PRESENTING OFFICER

18
TASK LIST

ON RECEIPT OF APPOINTMENT ORDER

1. CHECK IF THE ORDER HAS BEEN ISSUED AND SIGNED BY THE CORRECT OFFICER.

2. CHECK IF THE ENCLOSURES ARE IN ORDER

3. ESTABLISH RAPPORT WITH THE INQUIRY OFFICER; INFORM HIM OF YOUR ADDRESS AND PHONE
NUMBER AND PROMISE HIM YOUR CO-OPERATION

4. UNDERSTAND THE CHARGES AND ANALYSES THEM: DETERMINE THE FACTS TO BE PROVED AND THE
EVIDENCE NECESSARY FOR PROVING THE FACTS

5. DETERMINE THE PURPOSE OF EACH WITNESS

6. IN CASE OF DOUBT IN STEPS 4 AND 5 GET IN TOUCH WITH THE PRELIMINARY INVESTIGATION
OFFICER OR VIGILANCE OFFICER OR THE ADMINISTRATIVE OFFICER CONCERNED

7. IF NECESSARY, COLLECT THE INFORMATION/ DOCUMENTS FROM APPROPRIATE OFFICERS FOR STEPS
4 AND 5

8. IN CASE ANY ADDITIONAL EVIDENCE IS CONSIDERED NECESSARY AS A RESULT OF STEPS 4 TO 7


INITIATE ACTION FOR ITS INTRODUCTION.

ON RECEIPT OF NOTICE FOR PRELIMINARY HEARING

9. ENSURE AVAILABILITY OF ORIGINALS OF THE LISTED DOCUMENTS

10. WORK OUT SUITABLE SCHEDULE FOR INSPECTION OF DOCUMENTS

DURING PRELIMINARY HEARING

11. OBSERVE THE PROCEEDINGS WITH REGARD TO APPOINTMENT OF DEFENCE ASSISTANT; ENSURE
CONFORMITY TO RULES.
12. DECIDE THE VENUE, DATE AND TIME FOR INSPECTION OF DOCUMENTS IN CONSULTATION WITH THE
CHARGED OFFICER AND INFORM INQUIRY OFFICER ABOUT THE SAME

13. IF THE CHARGED OFFICER REQUESTS FOR TOTALLY IRRELEVANT DOCUMENTS AND WITNESSES
OBJECT POLITELY AND FIRMLY

14. IF INQUIRY OFFICER ASKS YOU TO COLLECT THE ADDITIONAL DOCUMENTS REQUIRED FOR THE
DEFENCE, POLITELY APPRISE HIM OF THE IMPLICATIONS

15. PERUSE THE DAILY ORDER SHEET CAREFULLY AND BRING DEVIATION IF ANY, TO THE NOTICE OF THE
INQUIRY OFFICER

16. WORK OUT THE ORDER IN WHICH THE STATE/MANAGEMENT WITNESSES ARE TO BE PRESENTED

17. APPRISE THE DISCIPLINARY AUTHORITY ABOUT THE PROGRESS OF THE CASE

DURING INSPECTION OF DOCUMENTS

18. RECEIVE THE CHARGED OFFICER WARMLY

19. ALLOW PARTICIPATION OF DEFENCE ASSISTANT

20. ENSURE THAT THE CHARGED OFFICER AND THE DEFENCE ASSISTANT DO NOT HOLD ANY PEN
DURING INSPECTION; ALLOW PENCIL

21. GIVE THE DOCUMENTS ONE AT A TIME UNLESS ABSOLUTELY UNAVOIDABLE

22. KEEP THE DOCUMENTS EQUIDISTANT BETWEEN YOU AND THE INSPECTING OFFICER(S)

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23. ALLOW TAKING DOWN OF NOTES BY THE INSPECTING OFFICERS

24. IF ANY DISPUTE ARISES, POLITELY INFORM THE CHARGED OFFICER THAT THE MATTER MAY BE
REFERRED TO THE INQUIRY OFFICER

25. NEVER LEAVE THE ROOM DURING INSPECTION OF DOCUMENTS

26. IF LEAVING THE ROOM IS UNAVOIDABLE, SUSPEND THE INSPECTION FOR A SHORT TIME, KEEP THE
DOCUMENTS IN CUSTODY AND RESUME INSPECTION AFTER YOU COME BACK

27. ALWAYS KEEP YOUR EYES ON THE DOCUMENTS

AFTER INSPECTION OF DOCUMENTS

28. HAND OVER THE LISTED DOCUMENTS TO THE INQUIRY OFFICER DURING THE NEXT HEARING

29. ENSURE THAT THE INQUIRY OFFICER ASCERTAINS FROM THE CHARGED OFFICER ABOUT THE
ADMISSION/DISPUTE OF THE DOCUMENTS

30. ENSURE THAT THE ADMITTED DOCUMENTS ARE SIGNED BY YOU AND THE CHARGED OFFICER BEFORE
THEY ARE TAKEN ON RECORD

31. ENSURE THAT THE INFORMATION ABOUT THE ADMISSION OF DOCUMENTS IS REFLECTED IN THE
DAILY ORDER SHEET

32. ENSURE THAT THE DETAILS OF THE DOCUMENTS TAKEN ON RECORD ARE MENTIONED IN THE DAILY
ORDER SHEET ALONG WITH THEIR REFERENCE SUCH AS SE-1, SE-2, ETC.

33. INSPECT THE ORIGINALS OF THE ADDITIONAL DEFENCE DOCUMENTS OBTAINED BY THE INQUIRY
OFFICER

34. OBTAIN THE COPIES OF THE DOCUMENTS MENTIONED IN STEP 33

35. PLAN FOR THE INTRODUCTION OF THE DISPUTED DOCUMENTS THROUGH ORAL EVIDENCE
PREFERABLY THROUGH THE LISTED WITNESS(S). IF IT IS NOT POSSIBLE, IDENTIFY THE WITNESS(S)
FOR THIS PURPOSE IN CONSULTATION WITH DISCIPLINARY AUTHORITY

36. OBTAIN PERMISSION FROM THE INQUIRY OFFICER FOR PRODUCTION OF ADDITIONAL WITNESSES, IF
NECESSARY, FOR INTRODUCING DISPUTED DOCUMENTS

BEFORE REGULAR HEARING

37. ENSURE THAT THE DISCIPLINARY AUTHORITY HAS BEEN APPRISED OF THE PROGRESS

38. DETERMINE THE ORDER IN WHICH THE WITNESSES ARE TO BE PRESENTED

39. PREPARE THE LIST OF FACTS TO BE ESTABLISHED THROUGH EVERY WITNESS

40. PREPARE THE QUESTIONS NECESSARY FOR BRINGING THE FACTS ON RECORD

41. ANTICIPATE THE LIKELY QUESTIONS DURING CROSS EXAMINATION OF EACH WITNESS

42. MEET THE WITNESSES IN ADVANCE AND ASCERTAIN THEIR AVAILABILITY FOR THE HEARING

43. BRIEF THE WITNESS AS TO WHAT IS EXPECTED OF HIM

44. APPRISE THE WITNESS OF THE LIKELY QUESTIONS DURING CROSS EXAMINATION AND GUIDE HIM TO
FACE THE SAME

45. ASSURE THE WITNESS OF YOUR FULL CO-OPERATION

DURING REGULAR HEARING

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46. ENSURE ATTENDANCE OF THE STATE WITNESSES AS PER SCHEDULE

47. GET THE WITNESSES INTRODUCED TO THE INQUIRY OFFICER

48. ENSURE THAT THE WITNESS FEELS AT HOME

49. ASK THE MATERIAL QUESTIONS OF THE EXAMINATION IN CHIEF AFTER THE WITNESS SETTLES DOWN

50. AVOID ASKING LEADING QUESTIONS WHICH MAY LEAD TO OBJECTION FROM THE CHARGED OFFICER

51. BEFORE HANDING OVER THE WITNESS FOR CROSS EXAMINATION ENSURE THAT ALL THE NECESSARY
FACTS HAVE BEEN STATED BY THE WITNESS

52. OBSERVE THE CROSS EXAMINATION CLOSELY

53. OBJECT TO QUESTIONS WITHOUT ANY BASIS, SCANDALOUS OR INDECENT QUESTIONS AND
QUESTIONS INTENDED TO ANNOY OR INSULT THE WITNESS

54. IDENTIFY THE CONFUSIONS CREATED DURING CROSS EXAMINATION

55. FRAME QUESTIONS FOR REMOVAL OF THE CONFUSIONS MENTIONED IN STEP 54

56. CARRY OUT RE-EXAMINATION, IF NECESSARY

57. ENSURE THAT THE STATEMENT OF THE WITNESSES ARE CORRECTLY RECORDED

DEALING WITH DEFENCE WITNESSES

58. TRY TO ASCERTAIN THE PURPOSE OF EACH DEFENCE WITNESS; WRITTEN STATEMENT OF DEFENCE
AND THE RELEVANCE MENTIONED BY THE CHARGED OFFICER WHILE REQUESTING FOR THE DEFENCE
WITNESSES MAY HELP IN THIS REGARD

59. GATHER INFORMATION ABOUT THE ANTECEDENTS OF EACH DEFENCE WITNESS, HIS INVOLVEMENT
IN THE CASE AND HIS INTEREST IN THE CHARGED OFFICER

60. COLLECT EVIDENCE TO CONTRADICT THE ANTICIPATED STATEMENTS OF THE DEFENCE WITNESS

61. IDENTIFY BROAD AREAS FOR CROSS EXAMINATION AND PREPARE QUESTIONS IN EACH AREA

62. OBSERVE THE DEMENEOUR OF THE WITNESS DURING EXAMINATION IN CHIEF BY THE CHARGED
OFFICER

63. WATCH THE PACE AND TONE OF DEPOSITION; THIS MAY INDICATE IF HE IS NARRATING FROM
MEMORY OR IS REPEATING A TUTORED TEXT

64. TRY TO JUDGE THE CALIBER AND CHARACTER OF THE WITNESS

65. IDENTIFY THE AREAS WHERE THE WITNESS APPEARS STRONG AND THOSE WHERE HE IS WEAK

66. OBJECT TO LEADING QUESTIONS IF ANY DURING EXAMINATION IN CHIEF

67. TRY TO FORMULATE, REFINE AND FINALISE YOUR QUESTIONS FOR CROSS EXAMINATION WHEN
EXAMINATION IN CHIEF IS IN PROGRESS

68. COMMENCE CROSS EXAMINATION WITH A QUESTION MOST LIKELY TO UNNERVE THE DEFENCE
WITNESS

69. NEVER ALLOW THE WITNESS TO GUESS THE PURPOSE OF YOUR QUESTION

70. NEVER ENTER INTO A DEBATE WITH THE WITNESS

71. DO NO SHOW YOUR EMOTIONS; DO NOT REJOICE OVER A FALTERING BY THE WITNESS;

72. TREAT THE WITNESS WITH RESPECT AND COURTESY

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73. DO NOT ASSUME THAT THE WITNESS IS DISHONEST

74. DO NOT GIVE OPPORTUNITY TO THE WITNESS TO CORRECT HIS MISTAKES

75. DO NOT RETAIN THE WITNESS AFTER YOU HAVE GOT THE DESIRED INFORMATION

ON CONCLUSION OF THE REGULAR HEARING

76. ADHERE TO THE TIME SCHEDULE FIXED BY THE INQUIRY OFFICER FOR SUBMISSION OF THE WRITTEN
BRIEF

77. PREPARE THE WRITTEN BRIEF CONFORMING TO THE SUGGESTED FORMAT

78. CONSULT THE VIGILANCE OFFICER OR THE ADMINISTRATIVE OFFICER WITH A COPY OF THE DRAFT

79. FORWARD A COPY OF THE WRITTEN BRIEF TO THE CHARGED OFFICER, IF SO ORDERED BY THE
INQUIRY OFFICER

80. COLLECT ACKNOWLEDGEMENT FROM THE CHARGED OFFICER ABOUT THE DELIVERY OF YOUR WRITTEN
BRIEF

81. FORWARD COPY OF THE BRIEF TO THE INQUIRY OFFICER , ALONG WITH THE ACKNOWLEDGEMENT OF
THE CHARGED OFFICER, WHERE APPLICABLE.

82. GIVE COMPLETION REPORT TO THE DISCIPLINARY AUTHORITY ALONG WITH A COPY OF YOUR
WRITTEN BRIEF.

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ROLE OF DISCIPLINARY AUTHORITY (DA)

1. Findings of the inquiring authority are not binding on the disciplinary authority. It helps the DA in
formulating his opinion.
2. Disciplinary Authority should satisfy itself that the charged employee has been given a reasonable
opportunity to defend himself.
3. Disciplinary Authority should record its findings in respect of each article of charge saying whether in its
opinion, it stands proved or not. If the DA disagrees with the findings on any article of charge, while
recording its own findings, it should also record reasons for its disagreement but not so when he agrees.
4. DA should forward a copy of the inquiry report to the charged employee so as to enable him to make
any representation / submission in writing within 15 days.
5. Having regards to its own finds on the articles of charge and on consideration of the written submission
of the charged employee it the DA is of the pinion that the articles of charge have not been proved and
that the charged employee should be exonerated, it will make an order so that effect and communicate
it to the charged employee together with a copy of the report of the inquiring Authority, its own
findings on it and brief reasons for its disagreement, if any with the finds of the I.A.
6. If the DA is of the opinion that any of the minor penalties should be imposed on the charged employee
orders can be passed straightway.
7. The higher DA himself who instituted the Disciplinary Proceedings should pass the order without passing
on the matter to the lower DA who may be competent to impose a minor penalty.
8. In the case of a charged employee whose services have been borrowed by one department from another
department or from a state government or an authority subordinate thereto or a local or other authority,
the DA will make an order imposing a minor penalty after consultation with the lending authority in the
event of a difference of opinion between the borrowing and lending authorities the services of the
charged employee should be replaced at the disposal of the lending authority.
9. If the DA is of the opinion that any of the major penalties should be imposed on the charged employee,
it is not necessary to give the charged employee any opportunity of making representation on the
penalty proposed to be imposed. An order imposing such penalty can be passed straightway. However,
it is desirable to issue a show cause notice to the charged employee as to the proposed penalty.
10. Warning admonition, reprimand, caution, displeasure and premature retirement are not formal
punishments under the rules and hence should not be administered / awarded.

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11. Where it is considered after the conclusion of disciplinary proceedings the officer concerned should be
punished, the Disciplinary Authority should award the penalty of Censure at least if the intention of the
DA is not to award a penalty of Censure then no recordable warding should be awarded.
12. Past good or bad conduct of a charged employee can be taken into consideration while awarding
penalty. It should, however, be noted that if the previous bad record, punishment, etc is proposed to be
taken into account in determining the quantum of penalty to be imposed, it should be made a specific
charge in the charge sheet itself. Any mention of the past bad record in the order of penalty unwillingly
or in a routine manner, when this had not been mentioned in the charge sheet would vitiate the
proceedings and so should be scrupulously avoided.
13. It has been held that disciplinary proceedings under the rules are quasi-judicial innature and as such, it
is necessary that orders in such proceedings are issued only by the competent authorities who have
been specified as DA under the rules and the orders issued by such authorities should have the
attributes of a judicial order. As such recordings of reasons in support of the decision is obligatory as it
ensures that the decision is reached according to law and is not a result of caprice, whim or fancy or
reached on ground of policy or expediency. Reasons are the links between the materials on which
conclusion is based and the actual conclusion. They reveal a rational nexus between the fact considered
and the conclusion reached. Final orders made without mention of reasons for the conclusions reached
will be of little assistance to authorities who have powers to decide appeal or exercise reversionary or
review powers. Further, the order to be issued should be a self contained and reasoned order
conforming to the legal requirements. It is also essential that a decision is taken by the appropriate
authority and that the same is also communicated by that authority or by his successor without
modification or alteration in any manner and not delegated to any subordinate authority.
14. When a decision is recorded by a DA at the conclusion of the Disciplinary proceedings, the decision is
final and cannot be varied by that authority itself or by its successor in office before it is formally
communicated to the charged employee the decision taken by the DA is a judicial decision and once it is
arrived at it is final.
15. If an employee has been convicted in a court of law, the DA should give an opportunity to the employee
concerned of making representation on the penalty proposed to be imposed before any order is made.
The DA should itself in the first instance hold an inquiry, in which the employee concerned should be
given a chance to explain and defend the case. No charge sheet is required to be served as the charges
have already been established in the court. A copy of the skeleton inquiry report held should be
furnished along with the show cause notice referring only to the extenuating circumstances, if any,
brought forward by the convicted employee and the gravity of the criminal charge, for provisionally
deciding the quantum of penalty which may be finalised after taking into consideration the reply
submitted by him in response to the show cause notice served.
16. In the peculiar circumstances of a case, for the DA to make such orders as it deems fit without holding
any inquiry, in case it is satisfied for reasons to be recorded in writing, that it is not reasonably
practicable to hold an inquiry in the manner laid down in the rules. It should be clearly noted the DA is
not expected to dispense with a disciplinary inquiry lightly or arbitrarily or out of ulterior motives or
merely in order to avoid the holding of an inquiry or because the departments case against the
employee concerned is weak and is, therefore, bound to fail. Further it is a constitutional obligation that
the DA should record in writing the reasons for its satisfaction that it was not reasonable practicable to
hold the inquiry and preferably in the order of penalty itself. The reasons given , though may be brief,
should not be vague or should not be just a repetition of the language of the relevant rules.

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23
ROLE OF DISCIPLINARY AUTHORITY & IMPOSITION OF PUNISHMENT: PRINCIPLES, PROCEDURE
AND ROLE OF OTHER COMPETENT AUTHORITY

EVALUATION OF THE INQUIRY REPORT:

1. Assessment of the evidence, findings and reasons on each charge. Should come to its own conclusions.

2. Compliance with the principles of natural justice by IO

3. Conclusions of the IO should be supported by reasons.

4. Check any technical irregularity in the IOs report.

5. Satisfy absence of malafides or want of good faith in the IOs conclusions.

6. Check that the delinquent has been found guilty only of the charge disclosed in the charge sheet.

7. Ensure absence of perversity.

8. Not to consider any other act of misconduct in an earlier proceedings which was dropped.

9. Not to consider past record of the delinquent, if earlier he was not apprised of the same and given
opportunity of defence.

10. Pas record can be taken into consideration for the purpose of determining quantum of punishment.

11. Findings of the Disciplinary authority would become the appropriate findings.

12. Disciplinary Authority can remit the case for a fresh or further inquiry by giving its reasons.

13. Once an employee is exonerated, no second inquiry unless there is a specific provision for reviewing an
order of exoneration in the service rules or law to that effect.

14. Forwarding a copy of the Inquiry Officers Report to the delinquent is obligatory.

PUNISHMENT

1. Punishment involves an exercise of judgement. Hence the Disciplinary Authority (DA) has to consider
many aspects before deciding.

2. To cause a person to suffer for his misconduct. Punishment may be deterrent, preventive or corrective.
Deterrent Exemplary; preventive-prevent repetition; corrective to bring change in the offenders
character by counseling or admonition.

3. Punishment Authority: Who is ? Employer as defined in Section 2(D) of the Industrial Employment
(Standing Orders) Act. 1946 Factory: Manager; Industrial Establishment-A person responsible to the
owner for supervision and control of the industrial establishment and who has been delegated powers as
such.

4. Imposition of penalty by an authority other than the authorised officer, not valid, even though such
authority be higher in rank.

5. Issue of second show cause notice before awarding punishment not essential in the absence of a binding
rule but is considered desirable.

6. Punishment to be imposed for acts or omission having a causal connection with employment only.
Employer has a right to regulate the conduct and behaviour of his employees and maintain discipline
within the premises of his establishment and within working hours.

7. Punishment must be based on objective assessment of facts and circumstances of each case in
determining the type of punishment to be imposed.

8. Punishment should be commensurate with the magnitude of guilt.

24
9. No discrimination in awarding punishment.

10. Minor penalties Censure, fines, suspension not exceeding four days.

11. Major penalties : Withholding of increment, reduction in rank, removal or dismissal.

12. Employer cannot impose penalty not provided in the Standing Orders or service rules.

13. Warning and reprimand as a matter of guidance and as a measure of punishment.

14. Order of punishment does not become operative until the order is communicated and the person
concerned knows about it.

15. Clerical error in the punishment order does not have any adverse effect in the validity of the order.

16. Punishment order to be prospective.

17. Nature of punishment usually inflicted for an identical misconduct should be kept in view to ensure
consistency and uniformity in action.

18. If the delinquent employee appears to be repentant in his reply to charge sheet and during inquiry, then
that fact should be taken into account in deciding the penalty.

19. The possible effect of the proposed punishment on the morale and general level of discipline of the
organisation should be weighed.

20. Disciplinary Authority must supply a copy of his own finds stating the reasons for which he has come to
the conclusion that he is guilty and therefore deserve the penalty imposed.

APPEAL

1. Standing Orders or Service Rules may provision regarding submission of Appeal against orders passed in
Disciplinary matters which may prescribe the constitution of the Appellate authority, the procedure to be
followed, the form in which the appeal is to be submitted, the time limit for submission of the appeal
etc.

2. The Authorities empowered to deal with and dispose of appeals, should always be higher in official
position than the Disciplinary Authority to ensure detached and objective view.

3. There is no right to personal hearing in an appeal in the absence of any rule. Unless rules provide,
Appellate Authority has no right to enhance the punishment. Appellate Authority should give reasons in
support of their findings.

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ROLE OF APPELLATE AUTHORITY

1. A charged employee, including a person who has ceased to be in service, may prefer an appeal to the
appellate authority specified in this behalf in the rules, against order of the DA in case he is not satisfied
with the decision of that authority.
2. Where no such authority is specified, the appeal shall lie to the appointing authority, where the order
appealed against is made by an authority subordinate to it.
3. An appeal should be preferred within a period of forty five days from the date on which a copy of the
order appealed against is delivered to the charged employee. It should be complete in all respects and
contain al material statements and arguments on which reliance is placed. It should not contain any
disrespectful or improper language. The appeal authority is empowered to entertain appeal preferred
after the expiry of the prescribed period, if it is satisfied that the charged employee had sufficient cause
for not preferring the same in time. There is no provision in the rules for withholding of an appeal on
any ground.
4. The appellate authority to whom the appeal is addressed direct, on receipt of the relevant documents of
the disciplinary proceedings complete in all respects, should consider the same to see.

25
a) Whether the procedure laid down in the rules has been complied with and if not whether such non-
compliance has resulted in the violation of any provisions of the constitution or in the failure of
justice.
b) Whether the findings of the DA are warranted by the evidence on the record of the case and
c) Whether the penalty or the enhanced penalty imposed in adequate, inadequate or severe.

5. The rules thus cast a duty on the appellate authority to consider the relevant factors. It is not the
requirement of articles 311 (2) or of the rules of natural justice that in every case the appellate
authority should, in its order, state lots own reasons except where it disagreed with the findings of the
DA. It is, however, necessary that all the points raised by the appellant are summarized in the order
and are also logically discussed to show how they are tenable / acceptable or otherwise. The appellate
order should discuss thoroughly the following points:

a) The procedural aspects as well as the justness of the findings of the DA with reference to the
admissible evidence.
b) A proper discussion of the points raised in the appeal, and
c) Any objective assessment of the lapse on the part of punished official with a view to coming to a
decision that the charge(s) had been established and that the penalty is appropriate / adequate and
does not require to be either toned down or enhanced.

6. The principle of right of personal, hearing applicable to a judicial trial or proceedings even at the
appellate stage is not applicable to departmental inquiries., in which a decision of the appellate authority
ca generally be taken on the basis of the records before it. However, where the appeal is against an
order imposing a major penalty and the appellant makes a specific request for a personal hearing, the
appellate authority may, after considering all the relevant circumstances of the case, allow the
appellant, at its discretion, the personal hearing taking the assistance of defence assistant.

7. In the light of its findings, the appellate authority has to pass an order:

a) Confirming, enhancing, reducing or setting aside the penalty or.


b) Remitting the case to that authority which imposed or enhanced the penalty or to any authority
with such direction as it may deem fit in the circumstances of the case.

7. No order imposing an enhanced penalty can be made in a case unless the charged employee has been
given a reasonable opportunity of making a representation against such enhanced penalty. When the
appellate authority proposed to impose one of the major penalties and it no inquiry as laid down in the
rules had been held already, it should itself hold such an inquiry or direct such inquiry to be held and
pass orders thereafter on a consideration of the proceedings of such inquiry.

REVISION

1. After the appellate authority has passed its judgement and it the charged employee is not satisfied with
it, he has an opportunity to seek the indulgence of an authority higher than the appellate authority. The
Revising Authority. The power of revision is specified under the rules.

2. No time-limit has been prescribed for the revision, except in the case of the appellate authority, where
the revised order has to be passed within six months of the date of the order proposed to be revised.
This power can be invoked irrespective of the fact whether an appeal/ revision petition has been
submitted to such authority.

3. No proceedings for revision should be commenced until after the expiry of the period of limitation of
appeal or, the disposal of the appeal, where any such appeal has been preferred. An application for
revision should be dealt with in the same manner as if it were an appeal under the rules.

REVIEW

The board of directors or any other similar highest body has power to review any order passed including an
order passed in revision, when any new fact or material which has the effect of changing the nature of the
case, comes to his notice.

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26
ROLE AND FUNCTIONS OF THE
PRESENTING OFFICER

1. Presenting Officer is appointed for the purpose of presenting the case of the Disciplinary Authority so
that the charges can be proved in the Inquiry. In many ways, the role of the presenting Officer is a
challenging one. His role is comparable to that of the anchor runner in a relay race. Many people have
carried the baton and finally it has been handed over to him. What ever be the merits and demerits of
the earlier functionaries, being the last person in the line, it is for the Presenting Officer to carry the
baton to the winning post. An intelligent Presenting Officer can make up for the mistakes committed by
the earlier persons and accomplish the target. Similarly, a bad Presenting officer may lose the
advantage acquired by the Investigating officer, Vigilance Officer, etc. and may lose the case through
bad presentation.

2. For achieving his objective, the Presenting Officer is required to perform several functions. Basically, the
Presenting Officer is required to lead the evidence of the Disciplinary Authority and satisfactorily answer
the contentions raised by the Charged Officer. Thus, the explicit functions of the Presenting Officer are:

a) Presenting the documentary evidence


b) Leading the oral evidence on behalf of the disciplinary authority
c) Cross examining the defence witness
d) Preparation and presentation of the written brief

3. Successful accomplishment of these explicit functions, call for a number of implicit functions as well.
Some of the actions such as liaison with the Disciplinary Authority has to be performed by the
Presenting Officer throughout the course of his assignment. Notwithstanding this, various actions to be
taken by the Presenting Officer in the course of his assignment can be conveniently categorised into the
following four phases. :
a) Preparatory stage
b) Preliminary Hearing stage
c) Regular Hearing stage
d) Post hearing stage

PREPARATORY STAGE

4. The duties of the Presenting Officer commence long before the commencement of the proceedings by
the Inquiry Officer. Preparation is the key to success. In fact the abbreviation of the Presenting Officer
PO can be expanded as Preparing Officer. Although, the Presenting Officer carries out preparations for
various specific actions in the entire course of his assignment, the preparations prior to the
commencement of the hearing have a bearing on the success of the case. The preparations at this stage
equip the Presenting Officer properly so that he can carry out the subsequent operations successfully.
During this phase, the Presenting Officer has to perform a number of actions such as the following:

a) Examine Appointment order and the documents received along with it: As per Rules, the
Presenting Officer is required to be appointed by the Disciplinary Authority. Normally, the appointment
order is required to be signed by the Disciplinary Authority himself. Where President is the Disciplinary
Authority, the order of appointment of the Presenting Officer is required to be signed by an authority
who is competent to authenticate orders on behalf of the President. Besides, the copies of the under
mentioned documents are also sent to the PO along with the order of his appointment. In case of any
discrepancy, the same has to be brought to the notice of the Disciplinary Authority for rectification at
the earliest. Generally the copies of the following documents are required to be sent along with the
appointment order:

i. Charge Sheet along with the enclosures.

ii. Written Statement of defence submitted by the Charged officer.

iii. In case the Charged Officer has not filed any Statement of Defence, a confirmation to the
above effect and a confirmation to the effect that the Charge Sheet has been served on the
Charged Officer.

iv. A copy of the order of Appointment in respect of the Inquiry Officer.

b. Establishing rapport with the Inquiry Officer: Presenting Officer is the agent of the Disciplinary
Authority and his endeavour is to prove the charge. On the other hand the Inquiry Officer is an
impartial authority who is required to decide the case on the basis of the evidence led before him. Not

27
withstanding this position, the Presenting Officer should consider himself as one assisting the Inquiry
Officer in ascertaining the truth. Often it is said that the relationship between the Disciplinary Authority
and the Presenting Officer is similar to that between the client and advocate. Presenting Officer is
compared to the Government Counsel. Every counsel is an officer of the court and owes a responsibility
towards the court in helping the court to ascertain the truth. On the same analogy, the Presenting
Officer should consider himself as an officer under the Inquiry Officer assisting the latter to ascertain the
truth. Immediately on receipt of the appoint order, the Presenting Officer should get in touch with the
Inquiry Officer and assure him of his co-operation. It is also desirable that the Presenting Officer
informs the Inquiry Officer of his address and phone number to facilitate easy communication.

C. Understanding the charge The Presenting Officer can present the case effectively only if he
understands the case of the Disciplinary Authority thoroughly. The first step in this regard calls for the
understanding of the charge. Often the charge is that a person has done something which should not
have been done or has failed to do something which should have been done. That someone has used
abusive language, (which should not have been done) is a charge. That a person has failed to keep the
cash book upto date, (failed to do something, which should have been done) can be a charge. While
charges like unauthorised absence, insubordination, etc can easily be understood, there may be
situations wherein the omission or commission of the Charged Officer may not be easily understandable.
The clue for understanding the charge is asking the following questions:

I. What has the Charged Officer done or failed to do?


II. What was required to be done or not to have been done?
III. Which rule or instruction prescribes what is required to be done or not to be done?
d. Analysing the charge: The charge is required to be proved on the basis of certain facts. The
Presenting Officer should be able to identify the facts which are required for proving the charge. For
example, if there is a charge that an officer (working in a stores department) has procured certain items
without any demand for the same from the sub-depots and thereby violated certain departmental
instructions, the charge involves the following facts:

I. That there are some instructions relating to the manner of procurement of items.

II. That the instructions require that the items can be procured only after the receipt of the
demands from the sub-depots.

III. That the officer purchased the specified items.

IV. That there was no demand from any sub-depot for these items.

e. Link the facts to evidence: Every fact that is required for establishing the charge must be presented
through some evidence. Presenting Officer must locate evidence at his disposal for establishing various
facts. This can be done by listing out the facts to be proved in the inquiry and examining which piece of
evidence (in Annexure III and IV ) will help in establishing the fact. The officer who has carried out the
Preliminary Investigation can be of great help in this regard because he has already reached certain
conclusions on the basis of the evidence gathered by him during the investigation stage.

f. Anticipate possible line of defence: At the preparatory, the Presenting Officer should also anticipate
the line of defence, the Charged Officer will be taking.

g. Visualise the transaction: Once the Presenting Officer is clear about the charge and the facts which
are required to be presented for proving the charge, he should try to visualise the case of the
Disciplinary Authority by mentally re-constructing the various stages involved in the transaction. The
information contained in the Charge Sheet should be used for this purpose. In case of any difficulty, the
Preliminary Investigation Officer can be contacted for the purpose. If the information in the Annexures
to the charge sheet do not lead to the charge in a logical manner, it is possible that there is a missing
link Identification of a missing link at the early stage will enable initiation of remedial action.
Presenting Officer being new to the case enjoys a great advantage because he views the case entirely
on the basis of the contents of the Charge Sheet. Hence he is most likely to find out the missing logical
links in the case of the Disciplinary Authority.

5. The following example may be helpful in understanding the significance of some of the steps mentioned
above. A person was charged with theft of some electrical instruments and the following documentary
evidence and oral witnesses were cited for proving the charge:

a) Statement of a peon to the effect that the items were not found in the room when he opened
the room on such and such date

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b) Certain cash memos to the effect that the items were purchased from a store a week after the
above date.

6. The case of the Disciplinary Authority as narrated in Annexure II of the Charge Sheet was that

the Charged Officer was responsible for the electrical items kept in the room. It was found
missing when a peon opened the room. The Charged Officer was asked to explain the loss
of items. He purchased the missing items and made up the loss. By his act of replacing the
missing electrical items, the charged officer has admitted his responsibility for the loss.

7. You will appreciate that the above evidence do not lead to the charge by any stretch of imagination.
Firstly, the facts narrated in Annexure II of the Charge Sheet only lead to the loss of items and not
theft. The facts required for establishing a theft case are as under:

a) That there were some items.


b) That the items were under the custody of a person.
c) That the items were lost while under his custo dy.
d) or
e) That the person was found removing the items or in possession of the item.
8. In the instant case, there is no evidence to the effect that the electrical items were in the custody of the
charged officer. There is not even any evidence to the effect that the items were there. The cash
memos cannot be linked to the charged Officer in the absence of any other evidence such as the
signature of the Charged Officer, etc. or the statement of some one to the effect that the cash memos
were handed over by him to the administration. Obviously, the administrative authorities who have
prepared the charge sheet were fully convinced that the charged Officer was responsible for the missing
items but have failed to bring any thing on record. Such mistakes do occur because the authorities who
prepare the charge sheet know too much about the case and take certain things for granted. According
to them, certain facts are too well known to be proved. The effort of the Presenting Officer to
independently visualise the entire transaction in logical sequence will bring to light even small missing
links in the case of the Disciplinary Authority. Effort may be made for including additional state
evidence before it is too late.

----

PRELIMINARY HEARING STAGE

1. Proceedings before the Inquiry Officer are generally divided into two stages, namely Preliminary Hearing
and Regular Hearing. During Preliminary Hearing the following actions take place:

a) The Charged Officer is asked whether he has received the charge Sheet, understood ti s
contents and whether he admits the charges.

b) Schedule is finalised for the inspection of the originals of the listed documents.

c) The Charged Officer is asked to submit the list of documents and witnesses required for the
purpose of this defence.

d) Decision by the Inquiry Officer about the relevance of the documents and witnesses required by
the Charged Officer.

e) Inspection of the Originals of the listed documents

f) Collection of the documents required by the Charged Officer and considered relevant by the
Inquiry Officer.

g) Taking over of the listed documents by the Inquiry Officer

2. During this phase the Presenting Officer has to carry out the following functions:

a) Collection of original documents: Documents listed in Annexure III of the charge sheet are held by
the Disciplinary Authority. The same will have to be obtained by the Presenting Officer and kept in safe
custody till it is got inspected by the Charged Officer and finally presented to the Inquiry Officer.
Depending upon the nature of the documents and convenience of the parties, these documents may be
taken over by the Presenting Officer at an appropriate time. At any rate, the documents must be with
the Presenting Officer before the inspection of the same by the Charged Officer. It is advisable for the

29
Presenting Officer to critically examine the originals of the listed documents so that the disputes which
the Charged Officer is likely to raise may be anticipated and proper remedial action can be planned.

b) Finalising the schedule for the Inspection of the listed documents: It is during the Preliminary
Hearing, that a decision is taken for the Inspection of the Documents. As per Rule 14(II)(i), inspection
of the documents is required to be done within 5 days of the order or within such further time not
exceeding five days as the Inquiring authority may allow. The Presenting Officer will have to indicate to
the Inquiry Officer, his preference for the venue, date and time of the inspection of the listed
documents. Depending upon the mutual convenience of the parties, the Inquiry Officer will fix the
schedule for the inspection of the listed documents.

c) Conducting the inspection of the listed documents: Normally the Inquiry Officer leaves the
inspection of listed documents to the Presenting Officer and the Charged Officer. It is for the Presenting
Officer to get the Inspection of listed documents completed. Presenting officer has to exercise great care
and caution during the inspection of original documents by the Charged Officer. There have been
occasions wherein the originals were destroyed during the inspection. At the same time, Inspection of
originals is a valuable right of the Charged Officer and the same cannot be curtailed by unwarranted and
unreasonable restrictions. The following suggestions are worth considering at the time of inspection of
documents:

i. The Charged Officer may not be allowed to hold a pen while carrying out the inspection of the
originals. A small dot or bar or a comma or a colon may change the contents of the originals
enormously. As Charged Officer is entitled to take notes at the time of inspection, he may be
advised to take notes with a pencil.

ii. Preferably give one document at a time. There may be a number of documents which will be
inspected by the Charged Officer. Simultaneously handing over all the documents to the Charged
Officer will have many disadvantages. It is appropriate to give the documents one after another.
Once a document has been inspected, the same must be taken back and then another document
may be handed over for inspection. As the Charged Officer has been supplied with the copies of
the documents, he may not require to compare the contents of the originals. However, if the
Charged Officer requires to simultaneously peruse two documents, the same may be allowed
ensuring the safety of the documents.

iii. Keep the document equidistant between the Charged Officer and the Presenting Officer. This will
enable the Presenting Officer to have physical control of the original document if the Charged
officer tries to destroy.

iv. Never leave the documents in the custody of the Charged Officer. It is advisable that the
Presenting Officer is present Officer is always present in the room throughout the inspection. In
case there is an extreme emergency, the Presenting Officer may temporarily suspend the
inspection, keep the documents under the lock and key and request the Charged Officer to wait
for a few minutes. Alternatively, depending upon the nature of the document being inspected,
some reliable person may be asked to take charge of the situation temporarily.

v. The Charged Officer and the Defence Assistant must be treated with utmost courtesy, when they
visit the Presenting Officer for the inspection of the documents. In case there is any difference of
opinion about the rights of the Charged Officer or the limitations which the Presenting Officer
may impose, the matter may be referred to the Inquiry Officer rather than entering into an
unpleasant debate.

d. Additional documents required by the Charged Officer: Charged Officer is entitled to ask for the
documents which may be of help in his defence. In fact the Inquiry Officer, is required to ask for the
details of the documents and witnesses required for the purpose of defence. Although it is for the
Inquiry Officer to decide on the relevance of the documents and witnesses cited by the Charged Officer,
Presenting Officer need not be a mute spectator at this stage. Being a party to the proceedings, he has
a right to express his opinion. Besides, he also has a role to assist the Inquiry Officer by way of
bringing to the notice of the later the rule position and the custodian of the document which has been
cited by the Charged Officer.

e. Collection of the documents cited by the Charged Officer: Often, the Inquiry Officers request the
Presenting Officer to collect the Documents required by the Charged Officer for the purpose of his
defence. This practice is likely to vitiate the inquiry and must be strictly avoided. The documents
required by the Charged Officer must reach the Inquiry Officer direct from the custodian of the
documents. Collection of the documents by the Presenting Officer may result in allegation being levelled
by the Charge Officer that the documents were tampered while under the custody of the Presenting

30
Officer. If the Inquiry Officer requests the Presenting Officer to collect these documents, the latter
should politely apprise the former of the problems involved. However there can be no objection to the
Presenting Officer transiting these documents in sealed covers from the custodian of the documents to
the Inquiry Officer.

f. Handing over the listed documents to the Inquiry Officer after the inspection: After the
Inspection of the documents by the Charged Officer, in the next hearing, the Presenting Officer is
required to hand over the listed documents to the Inquiry Officer, who will be taking over the
documents and marking them as SE-1, SE-2, etc. At this stage, the Presenting Officer should pay special
attention to these aspects:

g. The facts regarding the admission and dispute over the listed documents should be correctly brought out
in the Daily Order Sheet.

h. The documents taken over by the Inquiry Officer are to be signed by the Presenting Officer and the
Charged Officer.

i. Presenting Officer should ensure that the details of the documents taken over are correctly reflected in
the daily Order Sheet. This alone will serve as a receipt for the documents handed over by the
Presenting Officer.

j. Obtaining the copies of the documents required by the Charged Officer: As the Charged Officer
is entitled for the copies of the listed documents, the Presenting Officer is also entitled for the copies of
the documents relied upon by the Charged Officer. He is also entitled to peruse the originals of these
documents. These documents will be collected by the Inquiry Officer and will not be under the custody
of the Charged Officer. Hence, the Presenting Officer will have to request the Inquiry Officer for the
copies of these documents and the perusal of the originals.

3. During the Preliminary Hearing, the major responsibility of the Presenting Officer is with reference to the
documents. Firstly, he has to ensure the safety of the listed documents till they are handed over to the
Inquiry Officer. Secondly, he has to carefully go through the documents cited by the Charged Officer and
try to anticipate as to how the Charged Officer will draw support from the same. As the Charged Officer
will submit his written brief only after the submission of brief by the Presenting Officer, there is no way
for the Presenting Officer to understand as to how the Charged Officer relies upon the documents for the
purpose of his defence. Presenting Officer can only anticipate this and accordingly do the needful in his
written brief.
.......

REGULAR HEARING

1. During Regular Hearing, the witnesses of both the parties are examined. During this phase of the
Inquiry, the Presenting Officer is responsible for two things viz. leading the witnesses of the Disciplinary
Authority and cross examining the witnesses presented by the charged Officer. These tasks are
specialised in nature and call for considerable of importance. Further, these tasks involve several sub
tasks as well.

2. Leading Oral evidence on behalf of the Disciplinary Authority calls for the following distinct activities:

a) Contacting and briefing the witnesses

b) Arranging the attendance of the witnesses

c) Conducting the examination of the witness

d) Conducting re-examination of the witnesses where necessary

3. Similarly, the task of cross examining the defence witnesses involves the following activities:

a) Gathering the background information about the defence witnesses.

b) Anticipating the deposition of the defence witnesses.

c) Observing the examination in chief of the defence witnesses so as to judge the veracity of the
statements, involvement/interest of the witnesses and also to object to leading questions.

d) Cross examining the defence witnesses

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BRIEF OF THE PRESENTING OFFICER

1. On conclusion of the examination of witnesses, the Inquiry officer will ask the Presenting officer and the
Charged Officer to submit their written briefs. These written briefs are meant for the submission of the
arguments of the parties. The evidence led during the hearing may contain isolated facts. The parties to
the proceedings are required to produce their arguments linking the facts and drawing the logical
conclusions from the facts. It is in the written brief that the Presenting Officer has to level contentions
as to why the Charged Officer must be held guilty on the basis of the evidence produced in the hearing.
Similarly the Charged Officer will presenting his arguments in his brief as to how the charges have not
been proved.

2. As per the procedure, the Presenting Officers brief is given first. Charged Officer is permitted to submit
his brief after perusing the Presenting Officers brief. Thus the Charged Officer has an opportunity to
answer the contentions of the Presenting Officer. The Presenting Officer, therefore, has to anticipate the
contentions of the Charged Officer and produce answers for the same in advance. Thus the Presenting
Officers brief has to be prepared with a lot of care and skill.

-------

WRITTEN BRIEF OF THE


PRESENTING OFFICER

INTRODUCTION

1. Submission of the written brief is the culmination of the activities of the Presenting Officer. During the
hearing, the parties to the proceedings present documentary evidence and lead oral evidence. Evidence
presented during the hearings serve the purpose of presenting facts. The facts must lead to some
inference. The link between the bare facts and the inference is required to be established through logic.
To enable the Inquiry Officer to draw inference, the parties are given two options viz. present
arguments or submit written briefs in support of their case . It must be appreciated that the submission
of the written briefs is an alternative to the argument of the case. Lawyers generally argue the cases on
conclusion of the examination of witnesses in the judicial proceedings. In most of the disciplinary cases,
the summing up of the case is done through submission of written briefs. All the parties to the
proceedings prefer the submission of written briefs because of the following reasons:

a) If the case is argued orally, the Inquiry Officer will have to take down notes of the argument
and the same will again have to be reduced to writing. Submission of written briefs saves this
extra labour for the Inquiry Officer.

b) Arguing a case is a more difficult task than leisurely writing a brief. Argument calls for certain
additional skill i e. Presentation skills, verbal fluency, etc..

c) Officials are mostly familiar with the written submission of their proposals and would feel at
home while preparing written briefs.

d) While arguing a case one may miss a point. But written briefs can always be rechecked and
shown to an expert before submission and omissions can be avoided.

2. The advantages of the submission of the written brief should be fully availed by the Presenting Officer.
It is desirable for the Presenting Officer to file written submissions rather than choosing to argue the
case. If felt necessary, the written brief may be shown to the Preliminary Investigation Officer or the
Vigilance Officer subject to their willingness/availability and the importance of the case.

3. While preparing the written brief the Presenting Officer should pay attention to the following aspects:

a) Form : Although no form has been prescribed for the written brief of the Presenting Officer it is
desirable that the same conforms to a form which will facilitate easy presentation and effective
communication of the ideas
b) Facts: The brief should contain all the relevant facts which help in establishing the charge.
c) Logic: Bare facts may not be able to lead to any conclusion. The facts are to be linked to the
charge through logic.
d) Language: Although, ideas constitute the backbone of the brief, yet the language must be
faultless, powerful, impressive and easy to understand.

32
FORM

4. As mentioned earlier, no form has been prescribed for the brief of the Presenting Officer. It is
recommended that the following form may be adopted:

a) Introduction: It is desirable that the brief starts with an introduction wherein the details of the case
may be given. The introduction may run something like this:

Charges were framed by xxxxx (Disciplinary Authority) against Shri. ABC (name and
designation), under Rule 14 of the CCS (CCA) Rules 1965 vide OM NO. xxxxx dated xxxxx. On the
denial of the charges by Shri ABC, it was considered necessary by the Disciplinary Authority to hold
an inquiry into the matter and accordingly Shri. Mmmmmm (name and designation) was appointed
as the Inquiry Officer and the undersigned viz. mmmmmm (name and designation) was appointed
as the Presenting Officer. Inquiry was held during xxxxx ( date of commencement of the inquiry )
and yyyyyyy ( date conclusion of the inquiry). The Inquiry Officer ordered on yyyyyy that the
written brief of the Presenting Officer be submitted by zzzzzz (date) and accordingly this written
brief is being submitted.

b) Charge: The second item in the Written brief must be the details of the charges. The para may read

c) The articles of charge framed against Shri. ABC are: mmmmmmm,mmm

d) Proceedings during the Preliminary Hearing: Details such as the denial of the charges by the
Charged Officer during the Preliminary Hearing, The details of the state documents admitted and
disputed by the Charged Officer may also be indicated here.

e) Opportunities given to the Charged Officer: Providing reasonable opportunity to the Charged Officer
is an essential requirement of the disciplinary proceedings. Besides, the Charged Officer is likely to
mention in his written brief that he was not provided with reasonable opportunity. Hence, the
Presenting Officer should commence his contentions with a submission about the opportunities
given to the Charged Officer. Presenting Officer should highlight the opportunity given to the
Charged Officer for presenting additional documents/witnesses. Besides, permission granted to the
Charged Officer for engagement of Defence Assistant, any lenience shown to the Charged Officer,
any facility availed by him, etc. may be specifically brought out here. It is desirable that the
Presenting Officer anticipates the arguments likely to be taken by the Charged Officer and provide
answers to the same, to the extent possible. If any document which was totally irrelevant was
requested by the Charged Officer and the same was denied by the Inquiry Officer, one can be more
than sure that the Charged Officer will be mentioning the same in his written brief and trying to
argue that he was denied reasonable opportunities. The Presenting Officer should anticipate such
argument and highlight in his brief that the Charged Officer was provided with reasonable
opportunity.

f) Case of the Disciplinary Authority: This paragraph will predominantly rely on the statement of
imputations of the misconduct. Here the Presenting Officer may indicate the facts on the basis of
which the charge is required to be proved.

g) Evidence on behalf of the Disciplinary Authority: After narrating the case of the Disciplinary
Authority, the Presenting Officer may give the details of the evidence actually led on behalf of the
Disciplinary Authority vis-a vis the evidence mentioned in the Charge Sheet (Annexures III and IV).
Any deviation, such as not presenting any witness mentioned in the charged sheet or presenting
additional witnesses with the permission of the Inquiry may also be indicated.

h) Evidence on behalf of the Charged Officer: The details of the oral and documentary evidence
presented by the Charged Officer may be listed here.

i) Evaluation of evidence: This the most crucial portion of the written brief. In this portion, the
Presenting Officer should highlight the facts established by each piece of state evidence. There are
two ways of achieving this, viz.

i. The Presenting Officer may take up the facts to be established for proving the charge one by
one, and indicate the evidence which establishes the fact.

ii. Alternatively, the Presenting Officer may take up each item of evidence presented on behalf
of the Disciplinary Authority and indicate what points have been established by each piece of
evidence.

33
j. Analysis of the case of the Charged Officer: This is another area where the Presenting Officer will have
to do considerable brain teasing. The case of the Charged Officer can be inferred only from his
submissions. But some Charged Officers do not present any written submissions till the conclusion of
the hearing. Even the written Statement of Defence in response to the Charge Sheet will contain a one
line denial such as I deny the charges. As a result, the Presenting Officer may not have any
document indicating the case of the Charged Officer. Under such circumstances, the Presenting Officer
will have to construct the case of the Charged Officer from the evidence produced by him. The
Presenting Officer should try to undermine the value of the defence witnesses citing acceptable
reasons. In this paragraph, the Presenting Officers argument should run on the following lines:

i. that the case of the Charged Officer is not logically possible.

ii. that the Charged Officer has failed to establish what he tried to do.

iii. that the witnesses led by the Charged officer are not reliable because of contradictions with
the established facts.

iv. That the defence witnesses were interested parties and hence their evidence cannot be
relied upon.

v. Inconsistency and absence of corroboration in the statements of the Defence Witnesses.

k. Conclusion: Finally, the brief of the Presenting Officer should contain a specific assertion to the effect
that on the basis of the evidence presented during the Inquiry, Charges should be held as proved. At
this stage, the Presenting Officer should not bother about adequacy of evidence. If there is some
evidence pointing towards the guilt of the Charged Officer, the charges should be held proved on the
basis of preponderance of probability. If the evidence produced in the inquiry leads to proof beyond
doubt, the Presenting Officer should specifically mention the same in his brief.

FACTS

5. Cases are required to be proved on the basis of facts. Hence facts constitute an essential ingredient of
the brief of the Presenting Officer. Before the commencement of the hearing, the Presenting Officer
should identify the facts necessary for establishing the charge. He should also identify the evidence
through which these facts will be established. In the written brief, the Presenting Officer should indicate
the facts proved by the evidence of the disciplinary Authority.

LOGIC

6. What fact is required to be proved depends upon the circumstances of the case. That crow is black is
fact. This fact may not appear to prove anything. This fact may be used for establishing that a person
has defect in vision. If a person a describes a crow as a blue colored bird, our logic informs us that the
person should have some defect in his vision. The Presenting Officer should have a sound logic for
drawing conclusions from the fact is presented in a case. Consider the following facts of a disciplinary
case:

a) A person was charge sheeted for having preferred a false LTC claim. In those years LTC was permissible
even for travelling in private bus. The charge sheet was issued nearly three years after the journey, on
the basis of a report received from the State Transport Authority.

b) The case of the Disciplinary Authority was that the Charged Officer had submitted an LTC claim of
having visited Kanya Kumari along with family in a Super Deluxe private bus. But the State Transport
Authority had intimated that the name of the person was not in the list of passengers available in their
office.

c) In the inquiry, the Charged Officer produced a list wherein his name also figured. According to the
Charged Officer, the original passenger list was for two pages and he had both the pages with him when
he traveled three years ago. By the time the disciplinary authority wrote to the State Transport
Authority, there years had passed from the date of journey and unfortunately the second page of the list
was lost or torn off or detached from the file of the State Transport Authority.

d) An officer of the State Transport Authority was produced as a state witness. During cross examination,
he admitted that the possibility of the second page getting detached from the file is not ruled out.
Besides, he also stated that the initials on both the pages of the list shown by the Charged Officer and
the initials on the single page of list held in the office of the State Transport Authority are of the same
person.

34
7. On the basis of the above facts, one is most likely to conclude that there is some mix up of papers in the
office of the State Transport Authority. One is likely to conclude that the charges are not proved. Yet, by
the application of logic it was held in this case that the charges were proved and penalty was imposed
on the Charged Officer. The logic was that if we take into account the number of passengers in both the
pages, the total number works out to 75 and it was improbable that 75 passengers could be
accommodated in a Super Deluxe bus for a journey from Delhi to Kanyakumari. Isolated facts cannot
establish anything. Facts linked with logic alone can establish. At times logic may establish certain
things which are not visible from the reading of plain facts. The Presenting Officer, in his written brief
should be able to provide logical reasoning linking the fact and the conclusion which he wants the
Inquiry Officer to arrive at.

LANGUAGE

8. The basic purpose of preparing the written brief is presenting the details and convincing the Inquiry
Officer about the reasons for concluding that the charges are proved. The facts to be presented in the
brief may be many. The analysis and presentation of these facts calls for communication skill of a fairly
high order. The brief is required to be read and understood by the Inquiry Officer without any
clarification from the Presenting Officer. (Obviously, the Inquiry Officer will be reading the brief at his
convenience and the Presenting Officer is not expected to be present for offering any explanation).

9. Besides, verbal presentation has certain advantages such as body language, voice modulation, volume,
etc. If the case is verbally argued, the Presenting Officer may be able to emphasis his points by raising
his voice or slowing the pace of delivery. On the other hand, the Presenting Officer is arguing his case
through the written brief and hence his brief must be able to speak loud and clear. Therefore, special
efforts must be made by the Presenting Officer to prepare his written brief in a lucid style, endowed with
a logical sequence. The Presenting Officer should therefore adopt an effective style of writing. It is
desirable to type the vital points in bold letters or otherwise highlight the same.

CONCLUSION

10. As already seen, the submission of brief is the last activity of the Presenting Officer. Charged Officer is
entitled to prepare his brief on perusal of the brief of the Presenting Officer. Inquiry Officers follow two
methods for obtaining the briefs from the parties:

a) The Inquiry Officer may direct the Presenting Officer to submit two copies of the brief so that he(Inquiry
Officer) may forward a copy to the Charged Officer.

b) Alternatively, The Inquiry Officer is also at liberty to direct the Presenting Officer to forward a copy of
the written brief to the Charged Officer and then send another copy to the Inquiry Officer.

11. In the later event, care must be taken by the Presenting Officer to obtain the acknowledgment of the
Charged Officer for the delivery of the brief. A copy of proof of delivery of the brief to the Charged
Officer must be sent to the Inquiry Officer along with the copy of the brief meant for the Inquiry Officer.
In either case, the time limit prescribed by the Inquiry Officer for submission of the brief must be strictly
adhered to. If, on account of any unavoidable reason, the time limit could not be complied with, Inquiry
Officer must be informed of the reason and extension obtained with the knowledge of the Charged
Officer.

------

FUNCTIONS OF INQUIRY OFFICER

Introduction

1. Basic objective of the Inquiry Officer (IO) is to conduct Inquiry, record evidence, analyse the same and
give a finding as to whether the charges are proved or not. For achieving this objective, the I O is
required to carry out a number of activities. Broadly, the activities fall under the following categories:-

a) Pre hearing stage


b) Preliminary hearing stage
c) Regular hearing stage
d) Post hearing stage
e) At any stage during the Inquiry

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f) Tackling some unusual circumstances which may arise

2. While items (a) to (d) above are self explanatory, (e) may require some elaboration. Certain actions are
required to be taken by the I O during more than one of the above stages of the Inquiry e.g. writing the
Daily Order Sheet, issue of certificates of attendance, etc. These aspects are covered at the earliest
occurrence of the action. For example, the procedure for writing Daily Order Sheet is explained only
under (a) above because the I O starts writing daily Order Sheets during the pre-hearing stage itself.
Besides, this write up covers only the basic functions to be performed by the I O till the submission of
the I Os Report. This write up does not cover certain unusual circumstances, which may arise during
the course of the inquiry, such as the non appearance of C O despite repeated requests, or the
custodian of the additional documents intimating their non availability etc. These off the track
circumstances are handled separately.

Pre-hearing stage

3. The function of I O commences from the moment he receives appointment order. He is required to take
a number of actions even before the actual hearing of the case commences. The same are as under:-

a) Verifying the appointment order and the enclosed documents


b) Preparation of the Daily Order Sheet
c) Acknowledging the appointment.
d) Analysing and understanding the Charges
e) Fixing the date for Preliminary Hearing
f) Sending communication to the parties about hearing.
g) Informing the controlling officers of Charged Officer and Presenting Officer
h) Ascertaining as to whether the Charged Officer has finalised a Defence Assistant and if so informing
the Controlling Officer of the Defence Assistant

4. It is desirable that the IO scrutinizes the order appointing him as IO and the enclosed documents
thoroughly. Firstly, the appointment of Inquiry Officer is required to be made by the Disciplinary Officer
and no one else. When the President is the Disciplinary Authority, the order of appointment of the I O
may be signed by any authority who is competent to sign communications on behalf of the President. At
any rate the Order should indicate that the appointment of I O is being made by the President only.
Any defect in this regard will lead to an incurable defect in the Inquiry. The complete proceedings will be
liable to be quashed if the I O had been appointed by some one other than the Disciplinary Authority.
Secondly, in case there is any patent defect in the Charge Sheet, the I-O may bring it to the notice of
the Disciplinary Authority well in time so that the defect can be cured. In this context it is essential that
I O should not take upon himself the role of refinement of the Charge Sheet. He should confine himself
only to the patent errors in the Charge Sheet and not try to make qualitative improvement in it. The
difference between the two is explained in the succeeding paragraph.

5. An article of Charge in a Charge Sheet read:- He exhibited conduct unbecoming of a Government


Servant and thereby violated rule 3 of the CCS (CCA) Rule 1964. It is obvious that this is a clerical
mistake because exhibition of conduct unbecoming of a Government Servant is a violation of Rule 3 of
the CCS (Conduct) Rules 1964 and not CCS (CCA) Rules. Such errors are known as patent errors.
Similarly, any variation in the designation of the individual between Annexures I and II may also fall
under the category of patent errors. On the other hand, if the I O feels that the list of documents in
Annexure - III or the list of witnesses in Annexure IV require to be elaborated, such matters are prima
facie subjective. Besides, they will amount to enhancing the quality of the Charge Sheet. Suggesting
such modifications will be beyond the purview of the I O.

Activity 1:

Prepare a list of patent errors which the I O may bring to the notice of the Disciplinary Authority

Prepare a list of latent errors, which the I O should not try to remove from the Charge Sheet.

6. Similarly, there may be errors in the enclosed documents also. Charge Officer while denying the Charges
might have quoted a reference, which is at variance with the actual reference number of the Charge
memo. It is desirable that such defects are also brought to the notice of the Disciplinary Authority
immediately, so that they may be rectified in time. It may be noted that the above mentioned defects
are likely to consume time in the conduct of inquiry. I O is responsible for the expeditious conclusion of
the Inquiry. Therefore the I O is well within his rights to bring these defects to the notice of the
Disciplinary Authority so that they may be rectified in time.

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7. Daily Order Sheets are the authentic records of the Inquiry Proceedings. They are like the diary of
events pertaining to the Inquiry. There is a popular misconception that Daily Order Sheet is required to
be made only during the Hearing stage. Daily Order Sheets are in fact required to be made on all the
days whenever there is a progress in the case, irrespective of whether there is a hearing or otherwise.
The first Daily Order Sheet is required to be made on the day when the I O receives his appointment
order. Daily Order Sheet is required to be made on any day when IO receives or sends a communication
relating to the case.

Activity 2:

List the occasions when the I O may have to make a Daily Order Sheet even though no other party
relating to the proceedings is present.

8. It is a good practice for the I O to acknowledge his appointment. This will keep the Disciplinary
Authority informed that the I O has taken charge of the matters and is proceeding with the task. In case
the I O is not able to take up the appointment, on account of any valid reason, it is all the more
important that the Disciplinary Authority is informed well in time. While a person is not expected to turn
down the appointment as I O due to personal reasons, there may be circumstances wherein the I O
may have to decline to act so in the interest of the case or due to organisational reasons. Such
occasions should be extremely rare. But when such circumstances arise, the I O should inform the
Disciplinary Authority without any delay together with the complete details.

9. Although the I O will be giving his finding in the final report based on the evidence adduced in the
Inquiry, it is necessary for him to analyse and understand the charges at the earliest opportunity. The
following diagram may help in the understa nding and analysis of the Charge.

CHARGE

FACT n
FACT 1 FACT 2 FACT 3

EVIDENCE 1 EVIDENCE 2

10. Basically, a charge is made up of a number of facts and each fact is required to be established through
evidence. Inquiry Officer should identify the facts on which a given charge is based and should be able
to link the facts to the evidence listed in Annexures III and IV.

Activity 3: -

Why should the I O analyse and understand the charges even before the commencement of the
proceedings?

11. While fixing the date for the hearing, the I O should consider the location of the parties concerned and
the travel time required. Normally the parties concerned should be in the same station. However, there
may be cases wherein one or both the parties may be staying in a station different from the one where
the I O is posted. Special care should be taken in respect of the cases involving unauthorised absence.
In such cases, normally, the organisations correspond with the permanent address of the Charged

37
Officer and the same may be different from the place of posting. In addition to the above, if any of the
parties had made any request regarding the date for the hearing, the same may be taken into
consideration while fixing the date for the case. I O should advise the parties concerned to make such
requests in writing and consider the same only where they are reasonable.

12. Communication to the parties must be issued well in time so that they may be able to prepare for
attending the hearing on receipt of the communication. Besides, I O should personally check the address
of the communication and also ensure that the same is actually dispatched after signature by the I O.
Copies of the communications should be sent to the controlling officers of the Presenting Officer and the
Charged Officer as well. The Controlling Officers should also be specifically requested to spare the PO
and CO for the hearing. The Charged Officer should be informed about his right to engage a Defence
Assistant. He should also be asked to indicate the Defence Assistant in case identified, along with the
willingness of the Defence Assistant and the details of the Controlling Officer. Incase the C O informs the
I O about the finalisation of a person as his Defence Assistant sufficiently well before the date of
hearing, I O should send a communication to the Controlling officer of the Defence Assistant to spare
the Defence Assistant for the hearing. At this stage, I O should not make any commitment to accept a
particular person as Defence Assistant. Appointment of any person chosen by the CO as Defence
Assistant can be made only when the person turns up before the I O and satisfies the I O about his
identity and eligibility to function as Defence Assistant.

Preliminary Hearing Stage

13. The phase of the hearing from the first appearance of the parties before the I O till the stage of
recording of evidence is known as Preliminary hearing. During Preliminary Hearing, I O is required to
perform the following actions:

a) Making arrangements for conducting the hearing


b) Setting the stage for smooth conduct of hearing
c) Asking the statutory questions
d) Finalisation of the question of Defence Assistant
e) Fixing dates for Inspection of the originals of the documents
f) Fixing dates for the submission of the list of additional documents
g) and witnesses required by the C O for the purpose of his
h) defence
i) Finalisation of the documents and witnesses admissible for
j) defence
k) Taking action for procuring the additional documents required for
l) the defence.
m) Settling the issue of disputed documents
n) Taking the documents on record
o) Issue of certificates of attendance to the parties
p) Deciding on the requests for adjournment

14. Even before the arrival of the parties, the I O should ensure necessary seating arrangements for
conducting hearing. Preferably, the seating arrangement should be such that both the parties will have
equal access to the I O and the I O can watch and hear both the parties comfortably. At any rate, the
seating arrangements should not be such as to send any signal that I O is inclined in favour of either of
the parties. Besides, it is desirable that no one other than those who are required for the hearing is
present in the room while the hearing is in progress. This may not always be possible and it depends
upon the space provided to the I O by the organisation. However, I O should apply his mind to this
aspect. Making a stenographer and a computer available for the recording the proceedings is another
aspect to be attended to by the I O.

15. Disciplinary Inquiry is an activity wherein tempers are likely to sore. The Charged Officer very often
happens to be a charged person. Under such a charged atmosphere, the smooth conduct of Inquiry
becomes difficult. Smoother the inquiry, speedier and easier will be the disposal. Inquiry Officer should
therefore, take conscious steps to make the inquiry as smooth as possible. Through knowledge of the
rules and instructions relating to the inquiry is an essential requirement for this purpose. But this is not
all. In addition to the above, the I O should be fair and neutral in his dealings. In this respect, the I O
should not only be fair and neutral but also endeavour to create such an impression in the minds of the
parties to the proceedings. Thus, transparent fairness is the requirement on the part of the I O for
conducting the proceedings in a smooth way. In addition to transparent fairness and neutrality, good
practices of interpersonal relations will also go a long way in making the inquiry smooth.

38
Activity 4: -

Can you list the steps to be taken by the I O for

a) Indicating his neutrality and fairness and


b) Demonstrating good interpersonal relations

16. At the commencement of the inquiry, it is advisable for the I O to check up with the C O as to whether
he has faith and confidence on the I O. and record the reply of the C O. This is not a mandatory
requirement, but this question is likely to create an impression that the inquiry has been very
transparent. In case, the C O expresses any reservation about the neutrality of the I O, he must be
apprised of the further course of action open to him for change of I O. Thereafter, the I O is required
to ask the following questions:-

a) Have you received the Charge Sheet?


b) Have you understood the Charges?
c) Do you admit the Charges?

17. Normally, the answers expected to be Yes Sir, Yes Sir and No Sir. There may be extraordinary
cases wherein the C O may contend that he had not received the charge sheet. Proof of delivery of
charge Sheet is one of the enclosure to the order of appointment of the I O. However, if any C O
successfully creates a doubt about the delivery of Charge Sheet, I O may make arrangements for
providing a copy of the Charge Sheet. As regards the understanding of the Charge Sheet, depending
upon the level and educational qualification of the Charged Officer, the I O may explain the Charges to
the C O. As regards the admission or otherwise of the Charges, the Charged Officer should not try to
guide or persuade the Charged Officer to admit the Charges. On the other hand, even if the C O admits
the charges, it is desirable for the I O to caution the C O that an unconditional and unambiguous
admission will have to be given in writing and the Disciplinary Authority may impose the penalty on the
basis of the admission.

18. Often, the Defence Assistant may enter his first appearance at this stage of the Inquiry. Defence
Assistant may belong to any one of the following categories:

a) Serving Government Servant


b) Retired Government Servant
c) Legal Practitioner

The above category persons may be from the same station where the Inquiry is being held or from a
different station.

19. As regards the appointment of a serving Government servant as a Defence Assistant, the I O has the
following duties:

a) Check the identity of the person concerned i.e. whether he is in fact a serving Government Servant
i.e. by checking his identity card etc. (A Government Servant under suspension may be allowed to
officiate as Defence Assistant)

b) Ask him to confirm that he is not having more than two cases in his hand other than the case in
question. Record the same in the Daily Order Sheet and obtain the signature of the Defence
Assistant.

c) Write a letter to the controlling officer of the Defence Assistant about the fact that he has been
allowed to officiate as Defence Assistant in the instant case. It is desirable that this letter is
dispatched to the controlling officer of the Defence Assistant direct, rather than handing over the
same to the Defence Assistant for delivery.

20. As regards the appointment of a retired Government Servant as a Defence Assistant, the I O has the
following functions:

a) Ensure that the Defence Assistant has retired from the Central Government. If necessary, you may
ask him to produce his Pension Payment Order

39
b) Ensure that the retired Government Servant is not a Legal Practitioner. If he were a Legal
Practitioner, the provisions the next para will apply.

c) Ensure that the retired Government Servant was not dealing with the case in question before his
retirement.

d) Ensure that he does not have more than four cases (other than the present one). For this purpose,
you may have to rely on his statement only.

21. When the Presenting Officer is a Legal Practitioner, the Charged Officer acquires a right to engage a
legal Practitioner as his Defence Assistant. Otherwise, the Charged Officer may engage a Legal
Practitioner only with the permission of the Disciplinary Authority. Hence, in such cases, where the
Presenting Officer is NOT a Legal Practitioner, the I O should advise the Charged Officer to apply to the
Disciplinary Authority for engagement of Legal Practitioner as Defence Assistant. Under no circumstance,
the I O should dispose of any request for engagement of Legal Practitioner in such cases.

22. As regards the engagement of Defence Assistant from outstation, the I O has power to grant
permission. But while deciding such requests, he should take into account the extra burden on the
exchequer

Activity 5:

Can the following persons be allowed to function as Defence Assistant?

a) a dismissed Government Servant


b) a person who was removed from Government Servant
c) A person who was compulsorily retired from Service as a
d) measure of penalty
e) A person was compulsorily retired under the provisions of FR
f) 56 (j)
g) A person who obtained voluntary retirement from Govt.

23. Inspection of the originals of the listed documents is a valuable right of the Charged Officer. During
Preliminary Hearing, the I O is required to fix a date for the inspection of the Originals of the listed
documents. While fixing the date, the provisions of the rules are to be adhered to. The convenience of
the parties may be ascertained and accommodated to the extent possible. Inspection of documents is
basically the responsibility of the Presenting Officer and the I O after fixing a date for the inspection has
to await the outcome of the inspection.

24. Another important function during the first hearing is fixing the date for submission by the CO, of the list
of additional documents required for the purpose of defence and the defence witnesses. It is desirable
that the IO prescribes a format for the submission of the above information. The documents required by
the CO for the purpose of his defence may fall under the following categories:

? Government documents, which are required to be obtained by the I O.

? Private documents which may be at the disposal of the CO himself.

25. Relevance of both the above mentioned categories of documents are required to be examined by the I
O. Even if the documents are of personal nature and are available with the CO himself, the I O should
allow the submission of the documents only if he is convinced about their relevance. It is also necessary
that before I O takes a final view on the relevance of the defence documents and witness, opportunity is
given to the parties to make submission on the issue. Although, the question of relevance falls within
the purview of IO, in case the PO has any submission to make in this regard, he must be allowed to do
so. Final orders of the I O in this regard (allowing or rejecting the request of the C O for any document
or witness) must be a reasoned order.

26. On being satisfied about the relevance of the document, the I O should write to the custodian of the
document for making the same available for the purpose of Inquiry. Often, the I Os entrust this
responsibility to the P Os. This is not proper. The documents relied upon by the C O should not be
allowed to be handled by the opposite Party, i.e. PO. This may give room to the allegation by the C O
that the P O might have tampered with the documents. It is therefore necessary that I O obtains the

40
documents direct. No doubt, the same will be made available to both the parties and copies may also be
provided where necessary and feasible before they are relied upon by the I O.

27. In the first hearing after the inspection of the original documents, the I O should ascertain from the
parties about the outcome of the inspection. He should specifically inquire the C O as to whether the
listed documents are admitted or denied by the CO and record the reply. Only those documents, which
are admitted by the C O, should be taken on record. The documents taken on record should be marked
as S E-1, S E-2, etc. (State Exhibit). While taking the documents on records, the signature of the parties
must be obtained on the document it self. As regards the disputed documents, the Presenting Officer is
at liberty to introduce the same through the oral witness. Even after admitting a document, the C O is at
liberty to challenge its contents. The admission made by the C O is confined only to the genuineness of
the document and does not mean that the CO is admitting the veracity of the contents.

28. During all the hearings when parties or witnesses appear before the I O, is required to issue certificate
of attendance to all those who appear before him. The certificate should indicate the name of the
person, the capacity in which he has attended the hearing, and venue, date and duration of the hearing.
This will enable the person concerned to claim his TA/DA .

29. Requests for adjournments should be carefully handled. While reasonable opportunity should be
provided to the C O, he should not be allowed to take the proceedings for a ride. Any request for
adjournment will have to be supported by sufficient proof about the circumstances warranting
adjournment. I O is at liberty to demand proof in this regard. Another important fact about the
adjournment is that the details of the party who requested for adjournment and the reasons under
which it was agreed to or not agreed to must be properly recorded in the Daily Order Sheets.

Regular hearing Stage

30. During regular hearing stage, the I O will continue to make the Daily Order sheets whenever there is a
progress in the case. Similarly, he will be issuing the certificates of attendance to all those who attend
the hearing. In addition to the above, the I O is required to take the following actions during the regular
hearing stage:

a) Summoning witnesses
b) Monitoring the conduct of the examination of witnesses
c) Recording the statements of the witnesses
d) Recording the demeanor of the witnesses
e) Deciding objections about the questions raised during examination of witnesses.
f) Deciding requests for introducing additional witnesses.
g) Deciding requests for recalling witnesses
h) Asking the C O to state his defence on conclusion of the case of the Disciplinary Authority.
i) Putting the mandatory questions on conclusion of the case of the defence
j) Checking up from the C O as to whether he got sufficient opportunity for his defence.
k) Giving directions for the submission of the written briefs by the Presenting Officer and the C O.

31. Summoning the witnesses is the responsibility of the I O. However, in case the party concerned
promises to take up this responsibility, I O may leave it to the party, i.e. P O or C O. Sometimes the
party may ask for a letter from the I O and may promise to ensure the presence of the witness. In such
circumstances, the I O should record in the Daily Order Sheet, that the P O has promised ensure the
attendance of the witnesses and hence no communication is being sent. Once, the relevance of a
Defence Witness has been accepted by the I O, it is the responsibility of the I O, to summon the
witnesses. This responsibility cannot be passed on to the C O. A Government servant who has been
cited as a witnesses, State Witness or Defence Witness is bound to honour the request of the I O appear
before him. If he refuses to attend, the matter may be reported to his controlling officer for initiation of
suitable action against him. However, as far as the private witnesses are concerned, there is very little
that the I O can do. Only in cases notified under the provisions of the Departmental Inquiries
(enforcement of attendance) Act, 1972, he acquires a statutory power to enforce the attendance of the
witness.

32. The following issues are relevant in the context of summoning of witnesses:

Style of communication: I O should consider that the witnesses are doing a service to the
organisation by tendering evidence and the communication should accordingly couched in a
polite language.

Number of witnesses to be summoned on a particular day: it is necessary for the I O to


appreciate the valuable time of the witnesses and every effort must be made to ensure that the

41
witnesses are not required to wait unnecessarily for their turn. Besides, one witness should not
be present when another witness is tendering evidence. Hence, arrangements will have to be
made by the I O for the reception and waiting of the witnesses who are waiting for their turn to
be examined. It may be very difficult to assess the time likely to be consumed in the
examination of an individual witness. However, the time required for examination of witnesses
must be estimated as accurately as possible and the appropriate number of witnesses must be
summoned for a particular day. It is also desirable indicate the time when a witness is required.

Journey time for reaching the place of the Inquiry: In respect of the outstation witnesses, the
communication should be sent sufficiently well in advance to enable the witness to plan for the
journey for reaching the venue of the inquiry.

33. The I O is responsible for smooth conduct of the inquiry. Hence, he should direct the parties to play
their respective roles for examination-in-chief, cross examination and re-examination. Besides, the I O
should also ensure that the witness is treated with dignity by the parties who examine him. After, the
three stages of the examination is over, the I O should thank the witness for having presented himself
and ask him to wait (may be in the adjoining room, if a further witness is going to be examined) till the
statement is typed and got signed. Another important aspect to be taken care of by the I O at this stage
is that in case the C O does not cross examine any State Witnesses, it must be properly recorded in the
Daily Order Sheet as Charged Officer did not cross examine the witness despite the opportunity
provided to him

34. The statements made by the witnesses are a vital document for determining whether or not the C O is
guilty. Hence utmost care must be shown by the I O in recording the statements accurately. Normally,
during examination- in-chief the witness is asked a single question and makes a long deposition. Cross
examination and re-examination are usually done in question answer form. The statements as well as
questions and answers are to be recorded verbatim.

35. Demeanor of the witness is an important element in assessing the credibility of the witness. Under the
Criminal Procedure Code, Magistrates are also required to note the demeanor of the witnesses. Hence,
the I O should keep on noting the demeanor of the witness thorough out. This must be referred to at the
time of evaluation of evidence.

Activity 6:

Can you list some of the items that which constitute demeanor of the witness?

36. Although the provisions of the Indian Evidence Act 1872 are not applicable to the departmental
inquiries, the general principles are applicable. Thus, during examination in chief and re-examination
only relevant questions should be asked and leading questions should not be asked, except under
certain exceptional circumstances. During cross re-examination, the credibility of the witness can be
assailed. Although leading questions are permitted during cross examination, certain types of questions
are prohibited. I.e. questions, which are totally baseless, indecent and scandalous questions, questions,
which are intended to annoy the witness, are all prohibited during cross examination. During
examination of witnesses, the contesting parties are likely to raise objections to the questions put by the
opposite side. The I O should have a clear idea as to what are the permissible questions and what are
not. The objections to objections should be disposed off immediately.

37. The Presenting Officer is entitled to lead all witnesses listed in Annexure IV to the Charge Sheet. The
Charged Officer is required to submit, during the Preliminary Hearing, a list of witnesses required by
him. He is entitled to call those witnesses who, in the opinion of the I O are relevant for the case. In
case either of the parties required any additional witness a later stage, the I O should consider the in
terms of Rule 14(15) of the CCS (CA) Rule 1965. The difference between the witness required for filling
up a gap and removing an inherent lacuna is not made clear in the rules. It would be appropriate for the
I O to decide the request on the basis of whether it is in the interest of justice. Any request for recalling
a witness should also be disposed off in the same manner. There is also an additional dimension in this
issue viz. The inconvenience caused to the witness. Suitable decision must be taken in the matter taking
the above factors into consideration.

38. Once the case of the Disciplinary Authority is over, the IO should ask the C O state his defence. This is a
mandatory provision. Reasonable time may be given to the C O to file his statement in this regard. Copy
of the defence taken by the C O should be made available to the P O.

42
39. On conclusion of the recording of evidence, the I O is expected to ask the C O the mandatory question
regarding the circumstances appearing against him. The purpose of this provision is to focus the
attention C O on the points which are required to be tackled by him This provision should not be used to
grill the C O to make self incriminating statements. As a matter of fact, there is no need to insist on
replies for the mandatory questions. It is sufficient if the I O raises the necessary questions and apprise
the C O that these are the questions which are required to be answered by you or Perhaps the final
outcome of this proceedings will, to a great extent, depend upon the answers to these questions. The
fact that these questions were asked and the C O was required to prepare his defence in respect of
these points should be recorded in the Daily Order Sheet.

40. After asking the mandatory questions, it is desirable that the I O checks up with the C O as to whether
he got sufficient opportunity for his defence. If the inquiry was conducted in a fair manner, reply from a
reasonable C O should be in the affirmative. If however the reply is in the negative, C O may be asked
to substantiate his point. If the C O had any genuine grievance, the defect in the inquiry may be
rectified. Alternatively, it may be explained to the C O that the reasonable opportunity was given to him.
It is also desirable to inform the details of the circumstances when the C O requests were considered
sympathetically and accommodated. The proceedings in this regard must invariably recorded in the
Daily Order Sheet.

41. After the examination of witnesses is over, the parties are required to argue the case for convincing the
I O as to why the charge must be held as proved or otherwise. This is done by:

Connecting various pieces of evidence to draw the necessary conclusion


Submitting reasons as to why the witnesses led by him are to be believed and the witnesses presented
by the opposite side must be rejected.

42. The parties may orally argue their case or may file written submissions. At the end of the regular
hearing, the I O should direct the parties to make arguments or make written submissions. Generally,
they prefer to make written submissions. I O should direct the P O to file two his written brief within a
reasonable time. C O is given time to file his written submission after perusal of the P Os written brief.
I O may either receive the written brief of the P O and forward it to C O or may direct the P O to serve a
copy of his brief to the C O and file another copy along with the acknowledgement of the C O. In the
later event, the I O should satisfy himself that the POs brief has been delivered to the C O.
Post Hearing Stage

43. The only action of the I O during this stage is the preparation and submission of his report to the
Disciplinary Authority. Analysis of Evidence, and the Preparation of I Os report are dealt with
separately.

............

APPRECIATION OF EVIDENCE

Introduction

1. In the gamut of the multifarious activities in disciplinary proceedings, there are two distinct
phases which are more difficult than others. They are, firstly, arriving at a conclusion as to whether,
or not the Charged Officer is guilty; secondly deciding the quantum of penalty. While the latter of
the above two falls exclusively within the jurisdiction of the Disciplinary Authority, the former is the
responsibility of the Inquiry Officer as well as the Disciplinary Authority. In arriving at the
conclusion as to whether the Charged Officer is guilty or not, the Disciplinary Authority is aided by
the report of the Inquiry Officer, which is not binding on him. The Disciplinary Authority, for reasons
to be recorded, is at liberty to disagree with the findings of the Inquiry Officer. Although the rules
do not specifically state so, the Disciplinary Authority is required to go through the entire records of
the case, apply its mind and decide afresh as to whether the Charged Officer is guilty or not. Thus
the Disciplinary Authority is required to re-appreciate evidence. The Appellate Authority may also be
required to re-appreciate evidence depending upon the contents of the appeal. Thus, appreciation of
evidence is a process in which various functionaries in the disciplinary proceedings are intimately
involved. This process involves the examination of the various documents forming part of the
records of the proceedings and statements made by the witnesses in the course of the proceedings
and arriving at a conclusion as to whether, the Charged Officer is guilty.

2. Decision making is a part of the assignment of most of the middle and high level officials.
However, the process of drawing conclusion from the records of disciplinary proceedings is complex
and cannot be considered identical to the administrative decision making. Following are the

43
distinguishing features of the decision making process in a quasi-judicial proceedings as compared
to that in a purely administrative case:

a) In a case of purely administrative nature, the facts are generally presented by


persons who do not have any interest in the final outcome of the case. Hence, by and
large, the facts are objective. At any rate, there is not much scope for biased views or
consciously concocted versions. On the contrary, the parties to a disciplinary
proceedings are keen about the final out come and are expected to establish facts to
suit their case.

b) Conclusions in the disciplinary proceedings are required to be based entirely on


evidence. There is no such compulsion in administrative decision making. In
administrative decision making, the authority can depend upon his vision, imagination,
etc.

c) Decision making authority in a disciplinary case is prohibited from relying upon his
personal knowledge. On the contrary, an authority importing his knowledge for
decision making in a purely administrative case is considered to add value to the
decision making process.

d) In a disciplinary case, information collected behind the back of the Charged


Officer cannot be relied upon. There is no such constraint in administrative decision
making.

e) Disciplinary proceedings are covered by statutory provisions. Hence the decision


making process is as important as the decision it self. Although the provisions of the
Indian Evidence Act 1872, are not applicable for the disciplinary proceedings, the
general principles of the Act are applicable. Due attention must therefore be paid to
issues such as onus of proof, standard of proof, etc.

f) Disciplinary Proceedings are quasi-judicial in nature The rule of Audi alteram


partem (Hear the other side), which is the first Principles of Natural Justice apply to
the disciplinary proceedings. Although, the Principles of Natural Justice apply to the
purely administrative actions also, the possibility of hearing the party is ruled out in
most of the decision making, and hence the audi alteram partem rule is not applicable.
The applicability of this rule brings along with it several constraints in the conduct of
the proceedings as well as in drawing conclusions.

Types of evidence

3. In disciplinary proceedings, two kinds of evidence are produced viz. documentary and oral.
Documentary evidence is presented by the parties and is taken on record after inspection by the
opposite party. The documents are required to be read and understood. Oral evidence is tendered
in person before the Inquiry Officer and the witness can be asked to clarify his statements. This
facility is not available with the documents. Besides, a witness is subjected to cross examination by
the opposite party and he may make contradictory statements during different stages of his
depositions. On the other hand, a document does not change its contents. It is static. Accordingly,
different procedures are to be followed and different techniques are to be adopted for evaluating
each of these two types of evidence.

44
THE SCENARIO

4. Life would have been much easier, if all the parties involved in the Disciplinary Proceedings
speak truth, the whole truth and nothing but the truth. However, the hard reality is that we
generally come across conflicting versions from the contesting parties to the proceedings. The
conflict is not confined only to the interpretation of the orders, instructions, rules etc. It extends
even to the factual aspects of the case. Very often, the versions of the parties are at variance even
in the basic facts of the case. The variance is so marked that the versions cannot be simultaneously
true. Obviously, only a part of the voluminous facts produced in the Inquiry can be true. It is in this
context that the Inquiry Officer, Disciplinary Authority, etc. are charged with the onerous task of
ascertaining the truth out of the available information. As stated by a famous judge, this process is,
to a large extent, personal, individual and depends upon an infinite variety of circumstances; any
attempt to regulate or control it by a fixed rule is impracticable, worse than useless, inconsistent
and repugnant to a nature of trial. Notwithstanding the difficulties involved, there are certain
guidelines for appreciation of evidence produced in the proceedings and arriving at the truth. Before
seeing these guidelines, let us have a look at the scenario so that we can appreciate the motive of
the parties and their game plans.

5. The CHARGE is based on some facts. Assume for a while that a charge has been leveled
against an official that he has disobeyed orders issued by the superior authority. This charge is
based on the following facts:

a) That an order was issued whereby the Charged Officer was required to perform
some act; and

b) That the above order was issued by a superior officer who had the authority to
issue such orders; and

c) That the Charged Officer was informed of the orders; and

d) That the Charged Officer did not carry out the orders, or

e) That the Charged Officer refused to carry out the order, or

f) That the Charged Officer did something contrary to the order.

6. Establishment of these facts is the pre-requisite for proving the charge. The Presenting
Officer is required to establish the facts at (a) to (c) above and any one of the facts among the rest
i.e. (d) to (f). If any one of these four facts is not proved, it may not be possible to hold that the
charge has been proved. Presenting Officer will lead evidence for establishing these facts. For
establishing the charge, the Presenting officer may lead the following evidence:

a) A copy of the order which prescribes that the Charged Officer will
perform an act.

b) The point at para 4(b) above viz. that the signatory is the superior officer
of the Charged Officer, may not be questioned by the Charged Officer.
However, if the same is disputed by the Charged Officer, some evidence to
this effect such as organisational chart or some Office Order which empowers
the above officer to assign work to the Charged Officer may have to be
provided.

c) Acknowledgement to the effect that the Charged Officer was made aware
of the contents of the order referred to at (a) above. Alternatively, this may
be established through collateral evidence such as a representation from the
Charged Officer referring to the above instruction.

d) Suppose that the competent authority had issued orders to the effect
that the Charged Officer (as well as other officials) will review the files in the
section and submit, by a prescribed date, the list of files to be shifted to the
Record Room. The fact that the Charged Officer had failed to carry out the
orders may be established through any of the following means:

(i) A report of the immediate controlling officer of the


Charged Officer wherein he would have mentioned the progress

45
achieved in the weeding out drive and indicated the nil
contribution of the Charged Officer.

(ii) A report of the physical inspection carried out after the


prescribed date, which may indicate that a large number of files
which should have been sent to the Record Room were found in
the custody of the Charged Officer.

(iii) The records relating to the receipt of files in the Record


Room which will indicate that the Charged Officer had not
deposited any file in the Record Room by the prescribed date.

e) The refusal of the Charged Officer to carry out the orders of the
competent authority may be written or oral. In case the Charged Officer had
communicated in writing, his unwillingness to do the task, the communication
it self will be a piece of documentary evidence to establish the fact at para
4(e) above. In such a case one may not have to wait for the due date for the
completion of the task. As soon as the Charged Officer communicates in
writing, his disobedience of the order, disciplinary action may be initiated
against him. If the Charged Officer had orally communicated his disobedience
for the instruction, then some one to whom the disobedience was
communicated may be produced as a witness in the case.

7. Against the above attempt of the Presenting Officer, the defence of the Charged Officer
may take any of the following forms:

(a) Questioning the maintainability of the proceedings the Charged Officer may
question the power of the Disciplinary Authority to issue the Charge Sheet and
conducting the proceedings. Although this form of defence is rarely adopted by the
Charged Officers, the possibility of a Charge Officer taking this line of defence is not
ruled out. This contention of the Charged Officer is not required to be answered in the
Inquiry proceedings. Hence this aspect is not covered in the present handout.

(b) That the prosecution has failed to establish the charge A Charged Officer may
win the proceedings even by keeping quiet. For, it is for the prosecution to establish
the charge. Even during the ex-parte proceedings, a Charged Officer may be
exonerated, if the Presenting Officer fails to produce sufficient evidence. Obviously, in
a case wherein the Charged Officer participates, he may contend that the Presenting
Officer has failed to establish the charges. This may be done in the following ways:

(i) That the evidence led by the Presenting Officer is not reliable/
acceptable. For example, the Charged Officer may contend that the
instructions were not circulated to him at all. Such contentions may be
raised in the written brief of the Charged Officer. If the evidence led on
behalf of the Disciplinary Authority does not contain any proof to the
effect that the instructions in question were communicated to the
Charged Officer, this contention of the Charged officer will have to be
accorded serious consideration.

(ii) That the evidence does not establish the facts, which the
Presenting Officer wants to establish. For example, the Charged Officer
may contend that the documentary evidence produced by the Presenting
Officer for establishing that the Charged officer has refused to carry out
the task assigned to him does not amount to a refusal. He may contend
that in his communication, he had only presented the difficulties
anticipated by him in performing the task and he was duty bound to
submit his views to his superior officer. Such a contention will also be
raised in the written brief of the Charged Officer. This line of defence will
be mostly relied upon by the Charged Officer in cases involving oral
evidence. During cross-examination of the State Witnesses, the Charged
Officer may try to elicit contradictory statements from the witness. Then
he may contend in the written brief that the witness in question is not
reliable.

(iii) The Charged Officer may present a defence on his behalf. For
example, in case of misbehaviour in the office, the Charged Officer may

46
produce evidence to the effect that he was not present in the scene at
all.

8. Normally in the Inquiry proceedings, the Charged Officer may adopt a combination of the
methods mentioned in para (b) above. As a result of the endeavour of the parties, at the end of
the Inquiry, there will be enough conflicting and contradictory evidence calling for evaluation. The
evidence adduced during the Inquiry may generally fall in the following three categories:

(a) Wholly reliable


(b) Wholly unreliable
(c) Partly reliable and partly unreliable

9. Obviously, the process of ascertaining whether a piece of evidence is reliable or unreliable


or a combination of the two is a painful one. As mentioned by a famous Vice Chancellor over a
hundred years ago

Belief is rarely the consequence of a strictly logical process. It is either partially or


entirely the outgrowth of education, bias, affection, fear, or some other influencing
passion. We believe what we wish to believe, and that we are in a mood for accepting as
true. The same evidence which to one may be convincing to another may seem absurd.

10. It is in this context the Inquiry Officer, the Disciplinary Authority, etc. are required to make
up their mind as to which of the statements made by different witnesses are reliable and which are
not reliable.

GENERAL PRINCIPLES

11. Regard must be paid to the following general principles for the purpose of evaluation of
evidence.

(a) Provisions of the Indian Evidence Act are not applicable but the general
Principles are applicable: Indian Evidence Act 1872 is a comprehensive statute,
which lays down various rules on the subject. When a fact is said to be proved, what is
a relevant fact, what are admissible evidence, what kind of questions can be asked
during the examination of witnesses, etc. are some of the multifarious factors covered
in the above Act. The provisions of the act, as such are not applicable for the
departmental inquiries. However, the general principles such as the order in which the
witnesses are examined, disallowing leading questions during examination in chief,
putting the burden of proof on a party who avers to a fact, etc are some of the general
principles which are followed during departmental proceedings.

(b) Evidence is to be weighed and not counted. A fact is not to be held as


acceptable simply because it has been stated by more witnesses. A case may be
decided on the basis of the statement of a single witness, provided he is reliable. In
this connection, it is noticeable that Sec 134 of the Indian Evidence Act 1872,
specifically states that

Number of witnesses- No particular number of witnesses shall in any


case be required for the proof of any fact.

(c) Findings must be based on evidence, not conjectures and surmises: While
the testimony of a witness is it self, insufficient to establish or justify an inference of a
particular fact, it would be a gross irregularity to take the decisions based on
suspicion. As stated by a judge, The sea of suspicion has no shore and the court that
embarks upon it is without rudder and compass.

(d) Status of the witness is immaterial for assessing credibility: No doubt that
the statements made by the various witnesses in an Inquiry Proceedings are to
evaluated with the result that the evidence of some may be rejected in whole or in
part and that of some others may be accepted. But the acceptability or otherwise of a
witness does not depend upon the official status of the witness because truth has no
connection with status.

47
(e) No evidence behind the back of the Charged Officer: The case is required to
be decided on the basis of the evidence produced during the proceedings. Material
collected behind the back of the Charged officer cannot be used against him. Besides,
the personal knowledge of the decision making officer should not be imported for
deciding the case.

(f) Burden of proof lies with the Disciplinary Authority: The general rule is that
the burden of proof in a proceedings lies on the party who would fail if no evidence at
all were given on either side. Thus burden of proof in the Inquiry Proceedings lies with
the Disciplinary Authority. However, the burden of proof as to any particular a fact lies
on that person who wishes the court to believe in its existence. Thus, if in the
proceedings, the Charged Officer wants the Inquiry Officer to believe that on a
particular day he was not present in the office, it is for the Charged Officer to provide
evidence to this effect and prove the same.

12. The recording of evidence and its evaluation is not the unique feature of Inquiry
Proceedings. Evidence is recorded and analysed by Courts also. In fact a greater volume of
evidence is recorded in the courts. However, there are some distinguishing features of the
evaluation of evidence in Inquiry Proceedings. The same are as under:

(a) Standard of proof: The standard of proof required in a criminal trial is proof
beyond reasonable doubt. In the domestic inquiry proof beyond reasonable doubt is
not required It is sufficient to establish the charges on the basis of the principles of
preponderance of probability.

(b) Hearsay evidence: A witness is required to state what has been seen or heard
by him. If a witness narrates what he has gathered from others, such a witness is
known as hearsay witness. Normally hearsay evidence is not admitted in judicial
proceedings. However the Supreme Court has held that in Inquiry Proceedings, even
hearsay evidence is permissible.

(c) Circumstantial evidence: Circumstantial evidence is permissible even in judicial


proceedings. However the same is subject to certain conditions. In Inquiry
proceedings, a more liberal approach is permissible towards circumstantial evidence.

DOCUMENTARY EVIDENCE

13. Documents on the basis of which the charge is proposed to be established are listed in
Annexure III of the Charge Sheet. These are known as listed documents. Copies of these
documents are normally given to the Charged Officer along with the Charge Sheet. The Charged
Officer is given an opportunity to inspect the originals of these documents. In most of the
departments, the copies of the listed documents are generally provided along with the Charge
Sheet. Copies of ledgers etc. would not have been supplied to the Charged Officer. Thus, during
inspection of documents, the Charged Officer may not have to ascertain the contents of the
documents, except in respect of those documents, copies of which were not supplied to him. Hence
during the inspection, the charge officer may take notes of the contents of documents whose copies
were not supplied to him. In addition to this he can also satisfy himself about the conformity of
originals with the copies supplied him. He can also examine whether the same has been tampered
with. After the inspection of the documents, the Inquiry Officer takes the same on record. At this
stage, the Charged Officer is required to state whether he admits or disputes the documents. The
Inquiry Officer does not take disputed documents on record. They are required to be introduced
through oral evidence. Admission of a document does not mean that the Charged officer is in
agreement with the contents of the documents. For example, in a disciplinary proceedings relating
to lack of devotion to duty, one of the listed documents may be a memo served on the Charged
Officer highlighting his short comings in work. When the Charged Officer admits this document, he
only admits that such a memo was in fact served on him. He may still argue that the contents of
the memo are incorrect. Of course, he will have to lead evidence in support of this contention.

14. Besides, the Charged Officer is given an opportunity to give the list of documents, which
are required for the purpose of his defence. The Inquiry Officer is required to examine the relevance
of these documents and procure such documents, which in his opinion are relevant for the purpose
of defence. Such documents are known as additional documents. The Presenting Officer is at
liberty to inspect these documents and obtain the copies of the same. Obviously, the Presenting
officer is also at liberty to contest the content of the documents produced on behalf of the Charged
Officer. The contentions of the contesting parties about the contents of the documents produced by

48
of evidence will be contained in their written briefs. It is for the Inquiry Officer to interpret the
document and determine as to whether the same establishes the facts, which the parties desire to
establish. Interpretation of a document means two things: firstly, the meaning of the words and
secondly the legal effect which is to be given to them.

15. As the documentary evidence is also not beyond dispute, considerable effort is required on
the part of the Inquiry Officer and the Disciplinary Authority in evaluating them. The following
guidelines may be of help in evaluating the documentary evidence:

(a) It is a general principle of evaluation of evidence that documentary evidence


carries more weight than oral evidence. This is because of the fact that the contents of
the documents are fixed and they do not change their colour to suit the occasion.
However, before relying on the document, its authenticity must be ensured.

(b) Even if the opposite party does not dispute the authenticity of a document, the
authority evaluating evidence must satisfy itself about the same.

(c) Written brief of the contesting parties may contain their interpretations of the
content of the documents and the same must be taken into account while evaluating
the document. While it may not be possible for the authority to agree with he
interpretation given by a party, the same must be gone through and the rival
contentions evaluated before the Inquiry Officer ascribes a meaning to the content of
a document.

16. There are some well recognised rules for the interpretation of documents for ascertaining
the true meaning of the words used and to give effect to the true intention of the author of the
same. They are:

(a) The presumption is that ordinary words are used to convey their ordinary
meaning. Hence, documents, which are plain and unambiguous, must be interpreted
according to their plain and unambiguous language.

(b) Every document must be construed as a whole without isolating the words and
passages from their context. An attempt must be made to reconcile apparent
inconsistencies and avoid an interpretation, which will render the document
meaningless.

(c) Where the words of the document is clear, there is no need to gather the intention
of the author from any extraneous source. Where, however, there is a dispute about
the meaning of a word, the subsequent conduct of the parties can throw light on the
meaning of the word.

(d) It would be wrong to given different meanings to the same expression in different
parts of a document unless it is evident from the context that a different meaning
should be put upon it.

(e) An authority, which is interpreting a document, cannot read words into a


document, which can provide a rational meaning, even without such import of words.

APPRECIATION OF ORAL EVIDENCE

17. Neither the Indian Evidence nor any other Act lays down any provision regarding which
witness is to be believed and which one should not be believed. While the above Act contains
several provisions indicating what are the types of evidence which are admissible, it is silent as to
which evidence is to be believed. It is an admitted fact that the weight of evidence cannot be
regulated by precise rules as the admissibility may be; it depends upon rules of commonsense and
the weight of the aggregate of many such pieces taken together is very much greater than the sum
of the weight of each such piece of evidence taken separately. In fact the Draft Indian Evidence
Bill contained a provision Whenever any evidence is said to be admissible, it does not mean that it
is to be regarded as conclusive, but only that the weight, if any, which the deciding authority may
consider due, shall be allowed to it. (Emphasis supplied). Although this provision does not figure in
the Indian Evidence Act as it stands now, the principle is worth remembering. Thus, it has been left
to the deciding authority to decide as to whether a witness should be believed or not. The following

49
are some of the questions which often arise in the minds of the Inquiry Officers while evaluating
evidence:

(a) What weight is to be given for the statement of a witness?


(b) Whether it must be believed in full or in part?
(c) If it is to be believed in part, which part is to be believed?
(d) Whether it must be rejected in toto?
(e) What is the criterion for deciding the credibility?

18. Apart from the complexities in determining the weight to be attached to any individual
witness, there are some general principles relating to appreciation of oral evidence. The following
general principles may be borne in mind before assessing the credibility of individual witnesses:

(a) Evidence must be taken as a whole for evaluation. As the various pieces of
evidence in any proceedings are with reference to the facts relating to the issues in a
particular case, there is an element of commonness among them. Evaluating evidence
piece by piece may not lead anyone anywhere. The evidence produced in a case must
be considered in its entirety and evaluated.

(b) Status of the witness is immaterial for assessing credibility: No doubt that
the statements made by the various witnesses in an Inquiry Proceedings are to
evaluated. This may lead to the rejection, in whole or in part, of the statements of
some of the witness, and the acceptance of the statements of some others. But the
acceptability or otherwise of a witness does not depend upon the official status of the
witness.

(c) Affirmative statements carry more weight than denials: If one witness
deposes to the effect that something occurred and another witness states that he was
also present in the place at that time and no such thing occurred, other things being
equal, greater weight must be attached to the statement of the one who affirms the
occurrence of the event.

(d) Number of witnesses deposing a fact is not relevant: We have already seen
that evidence must be weighed and not counted. Thus, the number of witnesses
deposing to a fact does not add credibility to same. Decision making authority is at
liberty to believe one witness against many deposing to the contrary, provided the
former is above reproach and suspicion.

(e) Even un-impeached witness can be rejected: During the proceedings, each
party will try to assail the credibility of the witness led by the opposite party. During
cross-examination, the effort is normally to make the Inquiry Officer believe that the
witness is unreliable. Even if a witness has not been established as unreliable, it is not
necessary for the deciding authority to believe the witness. Thus, the credibility of a
witness does not depend solely upon the contradictions, inconsistencies brought out
during cross examination or the depositions made by other witnesses. A famous
author once remarked, Evidence to be believed, must not only proceed from the
mouth of a credible witness, but it must be credible in itself, such as, the common
experience and observation of mankind can approve as probable under the
circumstances. If the statement of a witness is contrary to the laws of nature or the
ordinary human experience, the decision making authority is well within his right to
reject, even though the statement has not been controverted. Eg. If a person asserts
that he was reading in moonlight, the Inquiry Authority may reject this even if the
opposing party did not make any effort to assail the statement.

(f) Evidence may be partly accepted: It is not uncommon for the parties to
establish truth with the help of false evidence. Hence, if a part of the statement of
witness has been established, as false, it is not necessary to reject the entire evidence
on this score. It is an admitted fact, that witnesses need not be wholly reliable. If a
witness can not be believed in certain aspects of his depositions, it is no reason to
reject his entire evidence.

(g) Rejection of the evidence of one, by it self, cannot constitute proof of the
evidence of another. During the proceedings, two parties would lead evidence to

50
establish conflicting facts. If the witness led by one of them has been found to be
lacking in credibility, the deciding authority may reject the same. However, the
rejection of the evidence of one cannot be the basis for accepting the evidence of the
opposite party. The evidence of the opposite party may be acceptable only if it passes
the test of credibility.

(h) More weight is given to the actions than to words. Other things being equal,
evidence relating what happened, carries more weight than evidence relating to what
was told. Obviously, words are more prone to be misunderstood and misrepresented.

19. The more difficult aspect of the process of the evaluation of evidence comprises
determining the reliability of the witnesses. The weight to be attached to a witness is the
cumulative outcome of a number of complex factors. It may not be possible to draw a
comprehensive list of the factors, which determine the credibility of a witness. Besides, it may not
be possible to lay down the inter-se importance of these factors by assigning a numerical index. It
is for the decision making authority to determine as to which of these factors are more important
than the others. The factors mentioned below cannot conclusively establish as to whether the
witness must be believed or disbelieved. The list of factors given below only indicates the types of
questions which the Inquiry Officer should ask at the time of evaluation of evidence:

(a) Integrity of the witness: If a witness has been established as a person of bad
character, the statements made by him are taken with a pinch of salt (or may be a ton
of salt!)

(b) Competence: Whether a witness is competent to assert what he is asserting is


another question, which has to be considered by the Inquiry Officer. The basic rule is
that even the most honest person can understand only what he is capable of
understanding and hence cannot vouch for what he is incapable of perceiving.
Competence as such depends upon many factors such as intelligence, familiarity with
the language, knowledge, etc. Even a witness who is sincere and honest may mislead
the Inquiry Officer with wrong information, which he himself has perceived wrongly.
The intellectual capacity of a witness is a strong factor in determining his credibility.

(c) Interest in the case: The amount of interest a witness has in the outcome of the
case is a significant factor in determining the weight to be attached to the case. It
may be easily admitted that, often, the colleagues, friends and relatives of a person
are better placed to depose about the incidents in which the above person is accused
or a victim. Hence, they will be natural witnesses in such cases. It would not be fair on
the part of the Inquiry Officer to reject the evidence tendered by relatives, friends and
colleagues. At the same time, one should not be unmindful of the fact that such a
person may have an interest in the outcome of the proceedings. Any witness who is
interested in the outcome of a case is likely to distort truth to suit the purpose.

(d) Demeanour: Demeanour i.e. the behavour and appearance of the witness, is a
very important clue to the truth of the deposition. While an exhaustive list of the
components of demeanour may not be possible, the following items may be of help in
assessing the demeanour of the witness:

i) hesitation
ii) doubts
iii) pace of deposition
iv) variations in tone
v) confidence
vi) calmness
vii) posture
viii) eye contact or the lack of it
ix) facial expression ie bright or pale, etc.

An Inquiry Officer is required to take notes of the demeanour of the witness as and
when the latter makes his statement. This note may be consulted while evaluating
evidence. In this context, it is worth remembering that the Criminal Procedure Code
specifically provides that the Magistrate shall make a note of the demeanour of the
witnesses

51
(e) Consistency: The amount of consistency in the statements of a person is
directly proportional to the credibility of his evidence. While examining consistency,
due regard must be paid to the fact that human beings are prone to forget facts with
passage of time. Similarly, it is also likely that the quantum of information furnished
may vary with circumstances. A person may furnish a sketchy report of what has
happened when he would have been pre-occupied with what help must be done to the
victim. Later on he may come out with a more detailed narration of the same incident.
Hence allowances must be made for the vagaries of human memory and observation.
Separable exaggerations and super additions, which do not go into the root of the
matter may have to be ignored. Minor discrepancies add to the truthfulness of the
statements. However the discrepancies in the material part of the evidence cannot be
easily passed over.

(f) Conformity of the testimony with experience: The deciding authority may
view that a statement of a witness to be unacceptable on the basis of the formers
knowledge, observation and experience of the laws of nature, human conduct, etc.

(g) Conformity with the statements of other witness. The truth of a persons
statement can be ascertained by comparing it with the statements of other witness.

20. Despite the above, the task of evaluation of evidence continues to be a highly subjective
area leaving much to the experience and attitude towards life.

21. A few dicta evolved by eminent scholars may be of help in determining the credibility of
the witness

In any judicial as well as quasi-judicial proceedings, the parties to the proceedings endeavour to establish
the facts through evidence. Often, the evidence led in the proceedings are conflicting and confusing. The
decision making authority is required to decide the case on the basis of evidence

The following portion (sub paras f and g) may better be incorporated in the handout on the
drafting of Charge Sheet:

f) It is also possible that the instructions required the Charged Officer to


review all the files which were closed before 3 years and segregate those files
which to be completed

g) The instructions issued to employees do not always require them to do


some act. There are instructions, which require the employees not to do
some acts. Under such circumstances, the violation of the instruction may be
the commission of an act rather than an omission of an act. Charged Officer
would not have communicated his unwillingness to carry out the orders but
would have done something in violation of the orders. For example if there
were some orders requiring the employees not to leave the office till
clearance is given by the Parliament Section, the departure before the
prescribed time will constitute the disobedience of the instructions. The
commission of this misconduct can be proved by oral evidence who had seen
the Charged Officer leaving early or documentary evidence in the form of
attendance taken before all the officials were allowed to leave.

(a) That the action taken by the Charged Officer is otherwise legal.

(d) Will try to raise doubts on the acceptability of these evidence. For example in respect of the
documentary evidence produced by the Presenting Officer for establishing that the Charged Officer has
communicated in writing that he would not be carrying out the review of the pending records, the
Charged Officer may be contending that the note submitted by him does not amount to disobedience.
He may argue that he had only expressed the difficulties in the task from the organisational point of
view and had not refused to perform the work. contention. Parties to the proceedings endeavour to
establish facts for and against the charge. While the Presenting Officer will try to lead evidence to
establish facts which are in support of the facts, the Charged Officer will try to marshal evidence For this
purpose they lead evidence which are conflicting in nature. The major task of the decision making
authority, be it Inquiry Officer, Disciplinary Authority or the Appellate Authority, is to decide the facts

52
which have been established in the inquiry and draw conclusion as to whether the charge has been
proved or not proved or disproved.
.

EVALUATION OF EVIDENCE

1. The primary functions of an inquiring authority are to record the evidence, to evaluate the
evidence and to give his findings on each Article of charge. Having recorded the evidence, the Inquiring
Authority is required to evaluate the same so as to decide whether a reasonable conclusion can be drawn
on the basis of preponderance of probability, regarding the guilt or otherwise of the Charged Officer.

GENERAL PRINCIPLES OF EVALUATING EVIDENCE

2. The evidence adduced during the inquiry is of two types namely oral and documentary. Oral
evidence includes all statements which the Inquiring Authority permits to be made before it by witnesses,
in relation to matters of fact under inquiry. The documentary evidence includes all documents produced
for inspection and admitted in the inquiry. Before the Inquiring Authority embarks upon the assessment of
the evidence, it is essential for him to understand certain general principles which he would be required
to apply to this task.

(i) The first principle is that the standard of proof in a departmental inquiry is
preponderance of probability and not proof beyond reasonable doubt as
required in Criminal trials. This principle has been enunciated by the Supreme
Court in the case of Union of India Vs Sardar Bahadur (SLR-1972-SC.355) in
the following words:-

"A disciplinary proceeding is not a Criminal case and the standard of proof is
preponderance of probability and not proof beyond reasonable doubt."

(ii) The second principle is that the burden of proof rests on the disciplinary
authority, i.e. it would be the responsibility of the Presenting Officer to
establish the charge first and then only the Charged Officer would be required
to controvert the same. It is not for the Charged Officer to prove his innocence
or absolve himself from the charges. While evaluating evidence, it is the duty of
the Inquiry Officer to see that the charges have been established by the
Presenting Officer on behalf of the Disciplinary Authority first by adducing
evidence before him during the course of Inquiry. If, the P.O. fails to bring
home the charges, no duty is cast on the Charged Officer to prove his
innocence.

(iii) A further requirement is that the conclusion must rest on the evidence and not
on matters outside the record. And, when it is said that the conclusion must
rest on the evidence, it goes without saying that it must not be based on a
misreading of the evidence.

(iv) While drawing inferences and conclusion, the Inquiry Officer is required to
assess the evidence which has been produced before him during the enquiry.
He is not permitted to refer to the materials which have not been produced
during the enquiry and for which the Government servant had no
opportunity to examine and to rebut explain the same. It has also been help
that Inquiry Officer cannot be a witness against the suspected public servant
and the Inquiry Officer must in particular, avoid, giving any weight,
however minute, to personal knowledge of any matter, against the Charged
Officer.

v) Suspicion, however, strong, has no evidentiary value whatsoever. Conjectures or surmises


cannot take the value whatsoever. Conjectures or surmises cannot take the place of proof or evidence. In
the case of Union of India Vs. H.R. Goel (AIR 1964-SC 364) where the allegations against the officer
was that he (Shri H.C. Goel) on meeting Director (Administration), CPWD, at his residence apologized for
not having brought 'Rasgullas' for the children and also took out his wallet and showed a folded paper
which looked like a hundred rupee note, it was held that the evidence showed mere suspicion which could
not be the basis for proving the charges framed against him.

It will thus be seen that the Inquiry Officer cannot rely on his personal knowledge of facts, and

53
only the evidence produced during the inquiry is to be considered and the Inquiry Officer should
not refer to the materials which have not been produced during the inquiry and for which the
Government servant did not have the opportunity to examine, refute or explain the same.
Moreover, no conclusion should be arrived at arbitrarily, without evidence or on misreading of the
evidence. These requirements are basic and cannot be whittled down in a departmental inquiry.
Similarly, mere suspicion cannot take the place of evidence or proof. (A.R. Srinivasan's case
S.C.66).

3. All these principles are to be applied by the Inquiry Officer to report to the disciplinary authority
whether in the context of the evidence adduced before him, the Articles of Charge have been proved,
disproved or not proved. It is, therefore, essential to explain these terms. The Indian Evidence Act
defines them as:-

PROVED: A fact is said to be proved when, after considering the matters before it,
the Court either believes it to exist, or considers its existence so probable that a prudent
man ought, under the circumstances of the particular case to act upon the supposition
that it exists.

DISPROVED: A fact is said to be disproved when, after considering the


matters before it, the Court either believes that it does not exist, or considers its non-
existence so probable that a prudent man ought, under the circumstances of the
particular case, to act upon the supposition that it does not exist.

NOT-PROVED: A fact is said not to be proved when it is neither proved nor disproved.

4.0 MATERIAL EVIDENCE

4.1 In order that the articles of charge may be held as proved or otherwise there is always material
evidence which may be oral or documentary, the production or non-production of which will affect the
outcome of the enquiry. If such material evidence s
i not produced, during the inquiry, the article of
charge cannot be held as proved.

4.2 Material Evidence differs from case to case and it is not possible to give an exhaustive list.
However, the following few examples may explain the importance of material evidence:-

(i) Where the allegation is that the employee was found to be sleeping during duty hours, the person
who actually saw him sleeping and reported the matter, is a material evidence.

ii) An eye witness to an incident is always a material witness, but a person reaching the place of
occurrence after the event is not a material witness. The reason is that the latter gathers his information
from other persons and hence his evidence is merely hearsay evidence.

iii) In the case of insubordination, the officer with whom the employees misbehaved is a material
witness (Ranchorbhai's case `56).

4.3 In the evaluation of evidence, the Inquiry Officer should give more weightage to the material
evidence adduced during the enquiry. The material witness or documents, where the allegations are based
on documents, reveal the story. Hence, scanning of material evidence with care will help in the correct
appreciation of the circumstances of the case.

5. HEARSAY EVIDENCE

5.1 The Supreme Court has held in the case of State of Haryana Vs Rattan Singh AIR 1977 (SC
1512) that hearsay evidence is admissible in departmental inquiries. It has observed that there is no
allergy to hearsay evidence provided it has reasonable nexus and credibility, but departmental authorities
and administrative tribunals should not swallow what is, strictly speaking, not relevant under the Indian
Evidence Act.

5.2 In this case, none of the passengers, who traveled in the bus without ticket but after making
payment, were examined. Only the checking Inspector was examined, who had stated that the
passengers refused to give written statements. In the case of Rattan Singh, the Supreme Court took the
view that the sufficiency of evidence in departmental enquiry is beyond the scrutiny of the Courts. The
Court further observed that the evidence of the checking Inspector provided some evidence relevant to the

54
charge. It was not necessary to insist the passengers who traveled in the bus, on that day should be chased
and brought before the departmental inquiry before a valid finding can be recorded. The Court, therefore,
upheld the removal from service of Shri Rattan Singh.

6. STATUS OF THE WITNESS

While evaluating evidence of the various witnesses produced on behalf of the disciplinary
authority and the charged officer, the golden rule is that "ALL WITNESSES ARE EQUAL" irrespective of
their rank or status in the Govt. A higher credence value cannot be attached to a piece of evidence for
the only reason that the witness holds a status higher than the one deposing to the contrary. However
the evidence of an independent witness is to be given higher weightage than an interested witness.

7. VALUE OF EVIDENCE WHICH CANNOT BE SUBJECTED TO CROSS EXAMINATION

The right of cross examination is a valuable right given to the charged officer in departmental
inquiries and denial of the same vitiates the enquiry. Hence, any evidence which cannot be subjected to
cross examination should not be accepted. For example statements of witnesses recorded during
preliminary investigation who are not produced during the inquiry are not to be relied upon. Similar is the
fate of the affidavits. The person swearing to the affidavit may be called for cross examination and the
value to be attached to an affidavit should be decided in each case on the result of the cross examination
etc.

8. VALUE OF TAPE RECORDED EVIDENCE

The tape recorded evidence can be relied upon during a departmental inquiry. In the case of
Pratap Singh Vs. State of Punjab (AIR 1964 SC 72), the Supreme Court has ruled that the mere fact that
there is a possibility of certain kind of evidence to be tampered with does not preclude it from being
considered since almost all kinds of evidence can be tampered with. The court, however, ruled that while
considering such evidence, it should be evaluate d in the context of the total circumstances of the case.

9. VALUE OF THE EVIDENCE OF THE INVESTIGATING OFFICER

Whereas it is a fact that the evidence of the investigating officer is important as it helps in
unfolding of the story, but since he cannot be a material witness or an eyewitness of the incident, his
evidence alone cannot be the basis of holding of the articles of charge as proved.

10. ASSESSING THE VALUE OF ORAL EVIDENCE PRODUCED ON BEHALF OF DISCIPLINARY


AUTHORITY AND CHARGED OFFICER.

It is common knowledge that both parties in a departmental proceeding come up with different
versions which are at times diametrically opposed, of the incident or happening. While assessing the
value of their respective evidence, the Inquiry Officer should give more weight, to the one which is more
probable, co-herent and consistent. The evidence which is apparently improbable and full of discrepancies
should be totally discarded.

11. EVALUATION OF DOCUMENTARY EVIDENCE

The evaluation of documentary evidence is easier than the evaluation of oral evidence. Since
the departmental enquiries are basically fact-finding enquiries, the value of documentary evidence in such
enquiries is slightly higher than the value of oral evidence for the simple reason that such evidence by its
very nature is more exact and precise. Further such evidence is more reliable. This is not meant, in any
way, to depreciate the value of oral evidence. Where the oral evidence is direct, unequivocal and
emphatic, it has the same value as accorded to the documentary evidence.

12. EFFECT OF NON-PRODUCTION OF MATERIAL DOCUMENTS

The function of Inquiring Authority is to find out the truth in a case and the Presenting Officer is
there to assist him in every way to achieve this object. Hence, if some document material to the fact of the
case is in the possession of one party, it would be its duty to produce it before the Inquiry Officer. Failure to
do so would raise a presumption adverse to the party possessing it.

13. EVIDENTIARY VALUE OF F.I.R./ORIGINAL COMPLAINT

55
The original complaint/F.I.R. is important document since it throws light on the circumstances of
the case. It, however, does not by itself, constitute a substantive evidence. The evidentiary value of a
complaint/F.I.R. would depend on whether the complainant, the person who lodged the F.I.R. is examined
during the enquiry and subjected to cross-examination by the accused. The non-examination of the
complainant would not make the complaint totally inadmissible in departmental enquiry. In a case where
disciplinary proceedings were initiated on receipt of a complaint by an authority and the complainant was
not examined, the complaint would be admitted on the testimony of the authority who received it. In such
cases, the evidentiary value of the complaint is not such unless it is corroborated in material details
by other evidence oral, documentary or circumstantial. But, where the complaint itself is of a hearsay
character, it has no evidentiary value.

14. DOCUMENTARY EVIDENCE IN SUPPORT OF HANDWRITTING OF THE ACCUSED.

In the case of the documentary evidence where the handwriting of the suspected person is in
doubt, it is always better to obtain the advice of the experts rather than to believe the testimony of the
ordinary persons who have received no training to compare handwritings. If the expert appears before
the Inquiry Officer, he must state reasons for his opinion expressed during the proceedings. The Inquiry
Officer should evaluate the opinion of the expert on the basis of overall picture emerging from the
deposition and cross examination like any other witness. But, where the opinion of the expert contained
in the report or certificate and the document has not been challenged, then the evidentiary value of the
report will depend on the grounds mentioned for holding that opinion. The opinion expressed is not to be
accepted mechanically. It is the duty of the Inquiry Officer to apply his mind to such opinion in the context
of the circumstances of the case and reach independent conclusions.

15. CIRCUMSTANTIAL EVIDENCE

Circumstantial evidence is the evidence which does not prove the existence or non-existence of the
principal fact by direct evidence but which establishes by direct evidence a circumstance or a chain of
circumstances by which the existence or otherwise of the principal fact may be inferred. In criminal
proceedings, the accused can be held guilty on circumstantial evidence provided the following conditions are
satisfied:-

(i) The primary facts or circumstances from which inference of guilt is drawn are duly
proved by direct, oral or documentary evidence;

ii) there is no missing link in the circumstantial evidence and the inferential links are
accurately based on legal presumptions; and

iii) the chain of the circumstances must exclude a hypothesis of innocence to a


reasonable mind.

But in the departmental proceedings, the rigors of the procedure of criminal trial are not
applicable as the standard of proof demanded in departmental enquiries is that of preponderance of
probability. The Inquiry Officer should ensure that the principles laid down in (i) and (ii) above are
compiled with. As regards (iii) above, the Inquiry Officer should see that the criterion of preponderance
of probability is satisfied before coming to a conclusion on the basis of circumstantial evidence.
---

56
CASE LAW ON DISCIPLINARY PROCEEDINGS

1. APPOINTING AUTHORITY is determined on the basis of factum of appointment and not rules:-

Although the Superintendent of Prison was competent to make appointments in terms of the
Recruitment Rules, the petitioners appointment was actually made by the Inspector General of Police.
It was held that, under such circumstances, the dismissal made by the Superintendent of Prisons (who
was Appointing Authority as per the Rules) was invalid. This defect could not be cured by the
consideration of the appeal by the Inspector General of Police.

N. Somasundaram Vs.State AIR 1956 Madras 419.

2. Imposition of penalty by the Appellate Authority should not snatch away the right to appeal.

3. The order of dismissal was passed by Deputy General Manager who was the Appellate Authority over the
orders passed by Divisional Manager or Assistant General Manager(Personnel). Although the
Disciplinary Authority was in position, the order was passed by the Deputy General Manager. It was
held that, although the imposition of penalty by a higher authority suffers from no illegality, yet the
right of appeal, being an inherent right cannot be snatched away by this action.

Surjic Ghosh Vs. Chairman & Managing Director, United Commercial Bank. JT 1995 (2) SC 74.

4. What constitutes reasonable opportunity of being heard in respect of the charges?

GIST OF AUDI ALTERAM PARTEM RULE:

The charged officer has right to

a) Know the charges


b) Submitting explanation
c) Know the evidence
d) Inspect the Documents
e) Hear the Witness against him
f) cross-examine them
g) Lead evidence on his behalf

UNION OF INDIA
Vs.
TULSIRAM PATEL
1985 (2) SLR 576
AIR 1985 SC 420

4. Inquiry officer prohibited from tendering evidence in the case:

____________ Spectacle of a judge hopping on and off the bench to act, first as a judge, then as a
witness, then as a judge again, to determine whether he should believe himself in preference to
another is startling.

State of U.P
Vs.
Mohd. Noor

AIR 1958, SC 86

Also see: Rattan Lal Sharma Vs. Managing Committee, Dr. Hari Ram (Co-education) Hr. Secondary
School

JT 1993 (3) SC 487

5. What are the advantages of a speaking order:

a) Disclosure of reasons guarantees consideration

57
b) Introduces Clarity
c) Excludes or minimizes arbitrariness
d) Provides satisfaction to the party
e) Enables appellate or supervisory court to keep the tribunals within bounds.

Subba Rao-J, in, Madhya Pradesh Industries


Vs.
Union of India

As quoted in : Travancore Ryons Vs.


Union of India
AIR 1971 SC 862

6. Doctrine of Prejudice Applicability of the Principle of Natural Justice.

The theory of reasonable opportunity and the principles of Natural Justice have been evolved to uphold
the rule of law and to assist the individual to vindicate his just rights. They are neither incantations to
be invoked nor rites to be performed on all sundry occasions. Whether in fact, prejudice has been
caused to the employee or not on account of the denial to him of the report, has to be considered on the
facts and circumstances of each case. Where, therefore, even after the furnishing of the report, no
different consequence would have followed, it would be perversion of justice to permit the employee to
resume duty and to get all the consequential benefits. It amounts to rewarding to dishonest and the
guilty and thus to stretching the concept of justice to illogical and exasperating limits. It amounts to an
unnatural expansion of natural justice which in itself is antithetical to justice.

Managing Director, ECIL, Hyderabad and Grs. Vs. B.Karunakar and Others. 1993 SCC (L & S) 1184.

7. Test of prejudice - How to determine whether the non-compliance of a provision has caused prejudice.

a) An order passed imposing punishment on an employee consequent upon a disciplinary/departmental


inquiry in violation of the rules/regulations/statutory provisions governing such inquiries should not be
set aside automatically. The Court or the Tribunal should enquire whether (I) the provision violated is of
a substantive nature or (ii) whether it is procedural in character.

b) A substantive provision has normally to be complied with as explained herein before and the theory of
substantial compliance all the test of prejudice would not be applicable in such case.

c) In the case of violation of a procedural provision, the position is this: Procedural provisions are
generally meant for affording a reasonable and adequate opportunity to the delinquent
officer/employee. They are, generally speaking, conceived in his interest. Violation of any and every
procedural provision cannot be said to automatically vitiate the enquiry held or order passed. Except
cases falling under no notice, no opportunity and no hearing categories, the compliant of violation of
procedural provision should be examined from the point of view of prejudice, viz. whether such violation
has prejudiced the delinquent officer/employee in defending himself properly and effectively. If it is
found that he has been so prejudiced, appropriate orders have to be made to repair and remedy the
prejudice including setting aside the inquiry and/or the order of punishment. If no prejudice is
established to have resulted therefore, it is obvious, no interference is called for. In this connection,
procedural provisions that are of a fundamental character, whose violation is by itself proof of prejudice.
The court may not insist on proof of prejudice in such cases. As explained in the body of the
judgement, take a case where there is a provision expressly providing that after the employee shall be
given an opportunity to lead defence in his defence, and in a given case, the inquiry officer does not
give that opportunity inspite of his delinquent officer/employee asking for it. The prejudice is self-
evident. No proof of prejudice as such need be called for in such a i.e. whether the person has received
a fair hearing considering all things. Now, this very aspect can also be looked at from the point of view
of directory and mandatory provision, if one is so inclined. The principle stated under (d) herein below
is only another way of looking at the same aspect as is dealt with herein and not a different or distinct
principle.

d) (I)In the case of procedural provision which is not of a mandatory character, the complaint of
violation has to be examined from the standpoint of substantial compliance. Be that as it may, the
order passed in violation of such a provision can be set aside only where such violation has
occasioned prejudice to the delinquent employee.

(ii) In the case of violation of a procedure, which is of a mandatory character, it has to be


ascertained whether the provision is conceived in the interest of the person proceeded against or in

58
public interest. If it is found to be the former, then it must be seen whether the delinquent officer
has waived the said requirement, either expressly or by his conduct. If he is found to have waived
it, then the order of punishment cannot be set aside on the ground of said violation. If, on the
other hand, it is found that the delinquent officer/employee has not waived it or that the provision
could not be waived by him, then the court or Tribunal should make appropriate directions
(including the setting aside of the order of punishment), keeping in mind the approach adopted by
the Constitution Bench in B.Karunakar. The ultimate test is always the same, viz., test of prejudice
or the test of fair hearing as it may be called.

a) Where the inquiry is not governed by any rules/regulations/statutory provisions and the only
obligation is to observe the principles of natural justice- or, for that matter, wherever such
principles are held to be implied by the very nature and impact of the order/action the Court
or the Tribunal should make a distinction between a total violation of natural justice (Rule of
Audi alteram partem) and violation of a facet of the said rule, as explained in the body of the
judgement. In other words, a distinction must be made between no opportunity and no
adequate opportunity i.e., between no notice, no hearing and no fair hearing (I) in the
case of former, the order passed would undoubtedly be invalid (one may call it void or a
nullity if one chooses to). In such cases, normally, liberty will be reserved for the Authority to
take proceedings afresh according to law, i.e. in accordance with the said rule (audi alteram
partem) (ii) But in the latter case, the effect of violation (of a facet of the rule of audi alteram
partem) has to be examined from the standpoint of prejudice; in other words, what the Court
or Tribunal has to see is whether in the totality of the circumstances, the delinquent
officer/employee did or did not have a fair hearing and the orders to be made shall depend
upon the answer to the said query. (It is made clear that this principle (No.d) does not apply in
the case of rule against bias, the test in which behalf are laid down elsewhere).

b) While applying the rule of audi alteram partem (the primary principle of natural justice) the
Court/Tribunal/Authority must always bear in mind the ultimate and over-riding objective
underlying the said rule, viz., to ensure a fair hearing and to ensure that there is no failure of
justice. It is this objective which should guide them in applying the rule to varying situations
that arise before them.

c) There may be situations where the interests of State or public interest may call for a curtailing
of the rule of audi alteram partem. In such situations, the Court may have to balance
public/state interest with the requirement of natural justice and arrive at an Appropriate
decision.

State Bank of Patiala and Others Vs.S.K.Sharma


J T 1996 (3) SC 722

8. Delay in initiations of Disciplinary


Proceedings Whether vitiate Articles 14 or 21?

Each case depends upon its own facts. In a case of the type on hand it is difficult to have evidence of
disproportionate pecuniary resource or assets or property. The public servant during his tenure may not
be known to be in possession of disproportionate assets. He may hold himself or through somebody on
his behalf property or pecuniary resources. To connect the officers with resources or assets is a
tortuous journey, as the Government has to do a lot to collect necessary material in this regard. In
normal circumstances, an investigation would be undertaken by the Police to collect and collate the
entire evidence establishing the essential links between the public servant and the property are
pecuniary resources. Snap of any link may prove fatal to the inquiry. Exercise of care and dexterity
are necessary Delay of therefore necessarily entails. Therefore, delay in itself is not fatal in this type
of cases. CBI had investigated and recommended that the evidence was not strong enough for
successful prosecution under the prevention of Corruption Act, 1988 but recommended to take
disciplinary action. No doubt much time elapsed in taking necessary decision at different levels. So the
delay by itself cannot be regarded as violative of Article 14 or 21 of the Constitution.

B.C. CHATURVEDI VS. UNION OF INDIA JT 1995 (8) SC 65.

9. Unexplained delay in conducting inquiry vitiates Inquiry:-

Irregularities regarding unauthorised construction of multistoried construction in Hyderabad and


Secunderabad was reported on 7.11.1987. Charge Sheet issued on 22.12.87. Inquiry Officers were
appointed from time to time. In the meantime Andhra Pradesh Civil Service (CCA) Rules 1963-Rule 19
was substituted by Andhra Pradesh Civil Service (CCR) Rules 1991-Rule 20 read with Rules 21 and 45-
charge sheet was issued under the 1919 Rules on 31.7.1995. Held that delay has caused prejudice to

59
respondent. Normally Departmental Inquiries should be allowed to take its course as per relevant rules.
Delay defeats justice unless the applicant himself is to blame.

State of Andhra Pradesh Vs. N. Radhakrishna


JT 1998 (3) SC 123

10. Once a misconduct has been condoned, can the employer go back on the same and claim the right to
dismiss the employee for the same offence?

Jamail Ahmed Quereshi was convicted U/S 377 IPC and sentenced to undergo Rigorous Imprisonment
(RI) for one-and-a-half years, before he joined service with the Municipal Council of Ratnagiri. No action
was taken against him initially when the above fact was brought to the notice of the Municipal Council
after the appointment of Shri Quereshi. Subsequently, he was dismissed on the same ground. It was
contended that, since the misconduct had once been condoned, no action can be taken subsequently.

Rejecting the argument, the Supreme Court held that the Government would have been justified in
taking action against him on the grounds. Firstly, that he had been convicted of an offence involving
moral turpitude and secondly that he had failed to disclose their fact while seeking employment with the
public body.

Jamail Ajmed Quereshi Vs. Municipal Council

Ratnagiri and Others

1993 (3) SLR 15.

11. Can disciplinary action be initiated against a person for his omissions and commission while discharging
duties of quasi judicial nature.

Charge Sheet was served on an Income Tax Officer for making irregular
assessments in nine cases with undue haste indicating undue favours on the assesses concerned. It
was held that, disciplinary action could be taken against a Government servant purporting to act in
exercise of his quasi-judicial powers, in the following circumstances, which are not exhaustive:

a) Where the officer had acted in a manner as would reflect on his reputation for integrity or good faith or
devotion to duty;

b) If there is prima facie material to show recklessness or misconduct in the discharge of his duty;

c) If he acted in a manner unbecoming of a government servant.

d) If he had acted negligently or that he omitted the prescribed conditions which are essential for the
exercise of statutory powers;

e) If he had been actuated by a corrupt motive however small the bribe may be because Lord Coke said
long ago though the bribe may be small, yet the fault is great.

Union of India
Vs.
K.K. Dhawan
J T 1993 (1) SC 236.

12. Supply of Preliminary Investigation Report.

Preliminary Investigation is carried out only to decide as to whether it would be necessary to take any
disciplinary action against the delinquent officer. It does not form any foundations for passing the order
of dismissal. Hence the non-supply of the Preliminary Investigation Report does not violates Principles
of Natural Justice.

Vijay Kumar Nigam


Vs.
State of Madhya Pradesh

1996 (11) SCC 599

60
Above position relates to the demand for Preliminary Investigation Report as an additional document.
In case it is mentioned/referred to in the charge sheet, it has to be provided.

13. Imposition of penalty on the ground of conduct which led to conviction in a criminal case.

Appellant was convicted but, was released on probation. Hold that section-12 of the probation of
offenders Act 1952 does not wash away conviction so as to preclude the department from taking action
for imposition of penalty under Rule 19(I).

Union of India
Vs
Bakshi Ram
AIR 1990 SC 987

14.Parallel proceedings:-

The Law relating to the conduct of departmental and criminal proceedings simultaneously, was
summarised by the Honble Supreme Court as under:

I. Departmental proceedings and proceedings in a criminal case can


proceed simultaneously as there is no bar in their being conducted
simultaneously, though separately.

II. If the departmental proceedings and the criminal case are based on identical and similar
set of facts and the charge in the criminal case against the delinquent employee is of a
grave nature which involves complicated questions of law and fact, it would be desirable to
say the departmental proceedings till the conclusion of the criminal case.

III. Whether the nature of a charge in a criminal case is grave and whether complicated
questions of fact and law are involved in that case, will depend upon the nature of offence,
the nature of the case launched against the employee on the basis of evidence and
material collected against him during investigation or as reflected in the charge sheet.

IV. The factors mentioned at (ii) and (iii) above cannot be considered in isolation to stay the
Departmental Proceedings but due regard has to be given to the fact that the
Departmental Proceedings cannot be unduly delayed.

V. If the criminal case has not proceed or its disposal is being unduly delayed, this
departmental proceedings even if they were stayed on account of the tendency of the
criminal case, can be resumed and proceeded with so as to conclude them at an early
date, so that if the employee is found not guilty his honour may be vindicated and in case
he is found guilty, administration may get ride of him at the earliest.

CAPT. M. PAUL ANTHONY VS. BHARAT GOLD MINES LTD. & ANR
JT 1999 (2) SC 456.

15.Grounds for interference by Court.

a) Violation of Principles of Natural Justice


b) Violation of statutory provisions
c) Findings based on No evidence

B.C.CHATURVEDI Vs. Union of India


JT 1995 (8) SC 65
------

61
Daily Order Sheet No.1
Date:

Subject: - Inquiry into the charges framed against Shri/Ms. --------------- vide O.M.No.------
--------------dated -----------.

Received order No.------------------------dated --------------------from --------------------------(Disciplinary


Authority) appointing me as Inquiry Officer in the above case alongwith the following documents.

Copy of charge sheet alongwith Annexures thereto, Copies of listed documents and the statements of SW-I,
SW-II, and SW-IV.

Photocopy of the acknowledgement by the Charged Officer for receiving the charge sheet.

Confirmation to the effect that the charged officer has received the Charge Officer but has not filed the
written statement in response to the charge sheet.

Copy of order No.--------dated---------appointing Shri----------(name and designation) as Presenting Officer


in the above case.

Sd/-
(Inquiry Officer)
$
Note: In case, the Charged Officer has filed his written statement of Defence, a copy of the same will be
sent to the IO alongwith his appointment order. This line will accordingly be read `A copy of the written
statement of Defence filed by the Charged Officer.
-------------------------------------

Daily Order Sheet No.2

Issued letter No.--------------------- dated ---------------to the charged officer requesting him to be
present for the Preliminary Hearing of the case scheduled to be held on ------- (Date), at ------- (time) in my
office. Copies of the letter have been endorsed to the presenting officer, the controlling officers of Charged
Officer and the Presenting Officer.

Sd/-
Inquiry Officer
Daily Order Sheet No.3
Date:
Present:-
S/Shri
------------------------, Presenting Officer
------------------------, Charged Officer
-------------------------, Defence Assistant.

The proceedings were taken up by me in my office at 1100 am. In response to my questions, the charged
officer confirmed that he has received the charge sheet and understood the charges. He pleaded not guilty in
respect of all the charges levelled against him. To a question by the Inquiry Officer, the Charged Officer
informed that he has confidence on the IO.

2. The charged officer intimated that Shri--------------------------(Name and Designation and office) as
his defence assistant. The defence assistant confirmed that he has only one other case in his hand as
defence assistant and accordingly permission has been granted to the charged officer for engagement of Shri
-----------------as defence assistant.

3. In consultation with the parties, it has been decided that the inspection of documents will be carried
out on ------------- at ------------(date and time) in the Office of the presenting officer i.e. R. No. ---------- of
--------------.

4. The charged officer has been requested to submit the list of documents required for the purpose of
his defence as per the following format.

62
S.No Description of Date and number, Custodian of Relevance Remarks
document if available document
(1). (3)
(2) (4) (5) (6)

The above request should reach the Inquiry Officer before -------------(date and time) failing which
it will be presumed that the charged officer does not require any document for defence. The request will be
examined and necessary action taken to procure the documents, which are considered relevant by the
Inquiry Officer.

5. The charged officer is also requested to intimate the details of the witnesses required for the
purpose of defence as per the following format.

S.No Name and Designation Address for Communication Relevance Remarks


. (2) (3)
(1) (4) (5)

The above list should reach the undersigned by --------hours (time), on ---------------(date) failing
which it will be presumed that the charged officer does not require any defence witnesses. On examination
of the above list, the Inquiry Officer will initiate action for the participation of such defence witnesses who
are considered relevant by the inquiry officer.
6. The next hearing will be held on ----------------at-----------in my office during which the documents
will be taken on record after inspection and the schedule will be fixed for examination of witnesses. No
separate notice is being issued .

sd/-
(Inquiry Officer)
sd/- sd/- sd/-
(Presenting Officer) (Charged Officer) (Defence Assistant)

-------------------------

Daily Order Sheet No.4


Date: ...........

Received a letter from the Presenting Officer, intimating that the inspection was carried out as per schedule.
The charged Officer is reported to have disputed some of the listed documents against which, the Presenting
Officer has intimated that the disputes may be raised before the Inquiry Officer.

Sd/-
Inquiry Officer

----------------

Daily Order Sheet No.5


Date ............

Received from the Charged Officer the list of additional documents and the list of defence witnesses, as per
the prescribed format. Out of seven documents demanded by the Charged Officer, three (S.No. 1,3, and 7)
are found to be relevant and letters have been issued to the custodians of these documents for making the
same available. Relevance of the remaining documents will be decided on the next date of hearing after
giving an opportunity to the Charged Officer.
sd/-
Inquiry Officer
---------------------------------------------------------------------------------------------

63
Daily Order Sheet No.6

Date: ..............

Present:-
S/Shri
1) ------------------------, Presenting Officer
------------------------, Charged Officer
-------------------------, Defence Assistant.

1. The Proceedings were taken up by me at 1130 Hours, 30 minutes later than the prescribed time, due to
non arrival of the Charged Officer, who on arrival apologised and explained that he was held up in the
traffic jam.

2. Both the Presenting Officer and the Charged Officer, stated that the Inspection of the documents was
completed as scheduled. I asked the Charged Officer as to whether he admits all the documents, to
which he answered that he disputes the genuineness of the document numbered 4 in Annexure III of
the Charge Sheet. Presenting Officer has been directed to introduce the same through Oral evidence. As
regards the remaining listed documents, the Charged Officer has confirmed that he does not have any
dispute. Accordingly, the same have been taken on record after obtaining the signatures of the
Presenting Officer and the Charged Officer thereon. The details of the documents taken over are as
follows:

S. No Details of the document Marked as Reference in Annexure


III of the Charge Sheet
1 Xxxx SE-I
2 Yyyy SE-2
3 zzzzz

3. The Charged Officer was informed that out of the seven documents demanded by him for the purpose
his defence, three have been considered relevant and action has already been initiated to obtain the
same. He was asked to clarify the relevance of the documents at S. No. 2,4,5 and 6 of his letter. He
intimated that as the charge pertains to the theft of the TV, the documents relating to the tendering
action for its purchase (S. No. 2), placing orders for purchase (S.No.4), taking the same on stock (S.
No. 5) and its annual maintenance contract (S. No. 6) are all relevant. It was explained to him that
these documents would become relevant only if there was a question as to whether there was a TV at
all. In the instant case, the existence of the TV has not been questioned and hence the above mentioned
documents may not be relevant at all. Irrespective of the fact whether the TV was procured following
proper purchase procedure, irrespective of whether it was maintained at all, the charge of theft can be
defended. Accordingly, it has been ruled that these documents are not relevant.

4. As regards the list of defence witnesses, the Charged Officer brought a list by hand. He attributed the
delay in submission of the list to the departure of the Defence Assistant on official duty. Though the last
date for submission of the list of defence witnesses is over, a lenient view is taken and the list is
accepted. The Charged Officer has requested for the presence of 3 witnesses for his defence. While I
consider two of the three witnesses to be relevant, the third witness required by the Charged Officer is
not considered relevant by me. The Charged Officer was asked to explain the relevance of summoning
the Disciplinary Authority as a witness in the instant case. He informed that he desired to know from the
Disciplinary Authority as to why the case of Charged Officer alone was being pursued while so many
other cases of misconduct are dumped. He was informed that the above information is not relevant for
the purpose of the instant inquiry and hence this witness will not be summoned.

5. It was suggested that recording of evidence in respect of the State Witnesses may be taken up without
waiting for the arrival of the additional documents required by the defence. Both the Presenting Officer
and the Charged Officer agreed to the suggestion. Accordingly, it was decided to commence the regular
hearing on ............. (Date) at ........ Hours in the same venue. Presenting Officer has agreed to ensure
the presence of the State Witnesses. Accordingly, no summons are being issued.

6. Defence Assistant desired to know the details of the State witnesses who will be examined on the next
date of hearing. Presenting Officer declined to reveal the same on the ground he is not required to
intimate the same in advance. As the copies of the pre-recorded statements of all the State Witnesses
have been supplied to the Charged Officer, along with the Charge Sheet, the demand of the Defence
Assistant was considered unreasonable. He was informed accordingly. The Charged Officer withdrew his
request.

64
7. No separate Notice is being issued for the next hearing.

Sd/-
Inquiry Officer

Sd/- Sd/- Sd/-


Presenting Officer Charged Officer Defence Assistant

Daily Order Sheet 7

Date: ..........

Present:-
S/Shri
------------------------, Presenting Officer
------------------------, Charged Officer
-------------------------, Defence Assistant.

1. The Proceedings were taken up at 11.00 as scheduled. The Presenting Officer informed that the
State Witnesses he intended to present could not arrive on account of temporary duty. He was advised to be
more cautious in making commitments about the availability of witnesses. He promised to ensure the
presence of witnesses on next Thursday, after noon. The Charged Officer expressed difficulty on account of
his departmental examination and requested that the hearing may be fixed after ............. which is the date
of his examination. This request was agreed to.

2. Accordingly, it was decided to fix the next hearing at .......... hours on ........ (date) in Room No
.......... (Venue), for which no separate notice will be issued.

Sd/-
Inquiry Officer

Sd/- Sd/- Sd/-


Presenting Officer Charged Officer Defence Assistant

65
Daily Order Sheet 8

Date: ..........

Present:-
S/Shri
------------------------, Presenting Officer
------------------------, Charged Officer
-------------------------, Defence Assistant.

1. The Proceedings were taken up by me at 2.30 PM as scheduled. State Witness No 1 viz. Shri
............... (Name and designation), S. No 3 in Annexure IV to the Charge Sheet was examined and Cross
examined. In response to the offer for re-examination, PO intimated that he was not interested in re-
examining the witness. State Witness No. 2 Shri ............... (Name and designation) was examined. Due to
paucity of time, cross examination could not be completed. It will continue tomorrow at 1030 hours at the
same venue.
No separate Notice is being issued.

Sd/-
Inquiry Officer

Sd/- Sd/- Sd/-


Presenting Officer Charged Officer Defence Assistant

Daily Order Sheet- 11

Date: ..........

Present:-
S/Shri
1) ------------------------, Presenting Officer
2) ------------------------, Charged Officer
3) -------------------------, Defence Assistant.

The proceedings commenced at 1200 noon as scheduled. State Witness No. 7, Shri .................... (Name
and Designation) was cross examined and re-examined.
With this, the recording of evidence of on behalf of the Disciplinary Authority is complete. Accordingly, the
Charged Officer was asked to submit his defence. He intimated that he would prefer to make his defence in
writing and requested three days time for the purpose. This was agreed to.

The next hearing will be held on ............... (Date) at ....... Hours in the same venue, for which no separate
notice will be issued.

Sd/-
Inquiry Officer

Sd/- Sd/- Sd/-


Presenting Officer Charged Officer Defence Assistant

-------------------------

66
Daily Order Sheet 15

Date: ..........

Present:-
S/Shri
1) ------------------------, Presenting Officer
2) ------------------------, Charged Officer
3) -------------------------, Defence Assistant.

1. The Proceedings commenced at 1100 Hours, as scheduled.

2. Shri .............. (Name and Designation), Defence Witness No 2 was examined, cross examined and re-
examined.

3. On conclusion of the evidence, the Charged Officer was apprised of the circumstances appearing against
him.

4. Both the Charged Officer and the Presenting Officer wanted to file written statements. Presenting Officer
has been asked to serve a copy of the written brief on the Charged Officer, before ........... (Date) and
obtain acknowledgement, with date, on a copy of the brief. He will submit the same to the Inquiry
Officer. The written brief of the Charged Officer should reach the Inquiry Officer within 15 days of the
date of receipt of the brief of the Presenting Officer.

5. The Charged Officer was asked as to whether he had reasonable opportunity in defence during the
inquiry proceedings, to which the defence Assistant replied that the denial of the three documents and
one witness prejudiced the defence. It was clarified that this aspect has already been explained in the
proceedings dated ........... and the Charged Officer was again requested as to whether, he has any
grievance in any matter other than the above mentioned one. The Charged Officer replied that he has
no grievance.

Sd/-
Inquiry Officer

Sd/- Sd/- Sd/-


Presenting Officer Charged Officer Defence Assistant
------------------------------------------------------------

Daily Order Sheet No.16


Date: ..............

Received the written brief of the Presenting Officer. It is seen therefrom that the copy of the same has been
served on the Charged Officer yesterday.

Sd/-
Inquiry Officer

Daily Order Sheet No.17

Received a representation from the Charged Officer requesting extension of time for submission of his brief,
by 5 days, on account of the temporary duty of the Defence Assistant at Nagpur in connection with a court
case. A copy of the Temporary Duty order has also been enclosed. Extension of time as requested has been
granted.

Sd/-
Inquiry Officer

67
Daily Order Sheet No.18

Received the written brief of the Charged Officer.

Sd/-
Inquiry Officer

Government of India
Department of -------------
R.No.-----,-----Bhavan, New Delhi
No. ......................................
Date: ..........
To
Shri/Ms.------------,
---------------------,
------------------.

Subject:-Departmental Enquiry under Rule 14 of CCS(CCA) Rules against Sh./Ms.


............................

Sir/Madam,

I have been appointed vide Order No.--------------------------dated ------------of ---------------------


--------(Disciplinary Authority) as the Inquiry Officer to enquire into the charges framed against you vide
Office Memorandum No. ........................... dated ..................

2. In this connection, it is proposed to hold preliminary hearing of the case on --------------- (Date and
time) in my office at Room No.-------------, ---------- Bhavan at 1030 AM. You are, therefore, requested to
attend the above hearing, failing which the proceedings will be held ex-parte. It is also clarified that the
purpose of the preliminary hearing is to fix the schedule for the inspection of documents, submission of list
of additional documents/witnesses required for your defence. You may also note that examination of
witnesses will not be taken up during the above hearing.

3. Subject to the provisions of Rule 14(8) of CCS (CCA) Rules 1965 you are entitled to have the
services of a defence assistant to present the case on your behalf. In case you have already decided upon a
defence assistant, you may intimate his particulars and willingness in writing to enable me to write to his
controlling officer.
Yours sincerely

Sd/-
(Inquiry Officer)
Copy to:-
1. Shri -----------------, Presenting Officer with a request to attend the above hearing with all the listed
documents and copies of the statements of listed witnesses, if any.
2. ----------------------(Controlling Officer of the Charged Officer) with a request to relieve the Charged
Officer for attending the hearing of the case.
3. -----------------------(Controlling Officer of the Presenting Officer) with a request to relieve the
Presenting Officer for attending the above hearing.

68
Government of India
Department of -------------
R.No.-----,-----Bhavan, New Delhi

No. .......................
Date:
To
Shri/Ms.------------,
---------------------,
------------------.

Subject:-Departmental Inquiry under Rule 14 of CCS(CCA) Rules against Sh./Ms.-------------------.

Sir/Madam,

I have been appointed Inquiry Officer vide Order No.--------------------------dated ------------of -----
------------------------(Disciplinary Authority) in the above case. The charged officer has requested for
production of the following documents for the purpose of his defence . As Inquiry Officer , I am of the
opinion that these documents are relevant for the purpose of the defence of the charged officer. You are,
therefore, requested to make these documents available to the undersigned for having them inspected by
the charged officer and taking the same on record on -----------at ------------- in my office.

Particulars of documents.

1.

2.

3.

Yours sincerely

Sd/-
(Inquiry Officer)
Copy to:-

1. Shri -----------------, Charged Officer.


2. Shri -----------------, Presenting Officer.

MOCK INQUIRY A ROLE PLAY

This is an exercise to generate real life experience in conducting inquires and understanding
dynamics involved in such a situation.

INSTRUCTIONS

The effectiveness of then exercise depends on the sincerity and interest of the actors entrusted with the
roles.

Try to be as sincere and honest as possible with your role if you want to enjoy the experience.

Everybody in the exercise is an actor as well as an observer and it is the observation which will render
some learning in this process.

Follow the instruction as per real life situation.

There may be some information gap left deliberately in the exercise and you are to bridge the same by
your own understanding and efforts of the situation.

The official observer will report his observation at the end of the exercise.

Every actor will be required to share his experience with the rest of the participants in order to enable
them to generate learning experience.

69
The time allowed for the completion of the exercise == 2 Hrs.

Thanks for your co-operation and sincerity.

Good-luck
-------

No.11032/28/98-Vig.
Government of India
Directorate of Small Scale Industries
Nirman Bhavan, New Delhi 110 011
Dated: 12th November 98

OFFICE MEMORANDUM

The undersigned proposes to hold an inquiry against Shri A C Baruah Senior Superintendent,
Directorate of Small Scale Industries, New Delhi, under Rule 14 of the Central Civil Services (Classification,
Control and Appeal) Rules, 1965. The substance of the imputations of misconduct or misbehaviour in respect
of which the inquiry is proposed to be held is set out in the enclosed statement of articles of charge
(Annexure-I). A statement of the imputations of misconduct or misbehaviour in support of the Article of
charges is enclosed (Annexure-II). A list of documents by which and a list of witnesses by whom the articles
of charge is proposed to be sustained is also enclosed (Annexure-III and IV)

2. Shri Baruah is directed to submit within 10 days of the receipt of this office memorandum a written
statement of his defence and also to state whether he desires to be heard in person. Shri Baruah is
informed that an inquiry will be held only if the article of charge is not admitted. He should, therefore,
specifically admit or deny the article of charge. Shri Baruah is further informed that if he does not submit his
written statement of defence on or before the date specified in para 2 above orders not appear in person
before the inquiring authority or otherwise fails or refuses to comply with the provisions of rule 14 of the
Central Civil Services (Classification, control and appeal) rules, 1965 or the orders/directions issued in
pursuance of the said Rules, the Inquiring Authority may hold the Inquiry against him ex-parte.

5. Attention of Shri Baruah is invited to Rule 20 of the Central Civil Services (Conduct) Rules, 1964
under which no Government Servant shall bring or attempt to bring any political or outside influence to bear
upon superior authority to further his interest in respect of matters pertaining to his service under the Govt.
If any representation is received on his behalf from another person in respect of any matter dealt with in
these proceedings, it will be presumed that Shri Baruah is aware of such a representation and that it has
been made at his instance and action will be taken against him for violation of Rule 20 of the CCS(Conduct)
Rules, 1964.
The receipt of this O.M. may be acknowledged.
Sd/-
(D.K.Walekar) Director
To
Shri A C Baruah, Senior Superintendent, Directorate of Small Scale Industries, New Delhi.
--

70
Annexure-1
ARTICLES OF CHARGE
Article 1

1. Shri. A C Baruah Senior Superintendent, Department of Small Scale Industries, while working as
Regional Officer, Raipur during the period 01 July 1995 to 30 June 1998, did not attend office on 21 October
1997 without being on leave.
2. Shri. A C Baruah Senior Superintendent has by the above act exhibited lack of devotion to duty and
thereby violated Rule 3 of CCS (Conduct) Rules 1964

Article 2

1. Shri. A C Baruah Senior Superintendent, Department of Small Scale Industries, while working as
Regional Officer, Raipur during the period 01 July 1995 to 30 June 1998 submitted a false traveling
Allowance Claim for Rs. 178 for having visited the Field Office at Durg on 21 October 1997 without having
actually visited the Field Office at Durg.
2. Shri A C Baruah, Regional Officer has by his above act exhibited lack of absolute integrity and
thereby violated Rule 3 of CCS (Conduct) Rules 1964
------

Annexure-2

STATEMENT OF IMPUTATIONS OF MISCONDUCT


Article 1

1. Shri. A C Baruah Senior Superintendent Department of Small Scale Industries was appointed as
Regional Officer, Raipur on deputation basis for a period of three years with effect from the date of
assumption of charge i.e. 01 July 1995. Repeated complaints were received against Shri. A C Baruah
alleging that he was not attending office regularly.

2. One Shri. Y S Reddy, resident of House No 101, Adarsh Colony, Durg, a small scale industrialist, vide
his letter dated 1 November 1997 complained that Shri Baruah was frequently missing from his office
and hence was not available to the small scale industrialists when required. Shri. Reddy had in his
complaint mentioned that on 21 October 1997, he went to the Regional Office, Raipur at about 11.30
a.m. in connection with official work and could not meet Shri. A C Baruah. According to Shri. Y S Reddy,
Shri. Baruah was at his residence on that day and was playing cards with his friends.

3. An inquiry was ordered to check the veracity of the above complaint of Shri. Y S Reddy. In the inquiry, it
emerged that Shri. A C Baruah did not attend office on 21 October 1997. He was playing cards with his
friends at his official residence which is about 100 yards from the office.

4. Shri. A C Baruah, Regional Officer, Raipur is therefore guilty of lack of devotion to duty as required vide
Rule 3(1) of the CCS (Conduct)Rules 1964.

Article 2

1. Shri. AC Baruah while working as Regional Officer at Raipur remained at home on 21 October 1997. He
had submitted a Traveling Allowance claim for Rs. 178.00 for having visited the Field Office at Durg on
the above date and received payment for the same.

2. By the above act, Shri. A C Baruah, had exhibited conduct unbecoming of a Government Servant and
lack of absolute integrity as required by Rule 3 of the CCS (Conduct) Rules 1964.

71
Annexure - 3

LIST OF DOCUMENTS

1. Attendance Register of the Office of Regional Officer, Raipur;


2. Personal file of Shri Baruah containing his leave application;
3. Office copy of letter No.18/3/76-RDR dated 21-10-1997
4. File No.3/1/97-RDR containing TA Bills of Shri Baruah.
5. Loans register of Field Office, Durg, for the year 1997
6. Complaint of Shri Y.S. Reddy dated 1-11-1997

Annexure - 4

LIST OF ORAL WITNESSES

1. Shri Y.S. Reddy, Complainant


2. Shri R.N. Kaul, UDC
3. Shri B.P. Jajoria, LDC
4. Smt. Malti Rege, Typist
5. Shri Dhanurdhari, Peon
6. Shri Gopinath Sahu, Chowkidar
7. Shri M.R. Viswanathan, Field Officer, Durg
8. Shri Ram Singh, Peon, Durg
9. Shri A.C. Baruah, Regional Officer, Raipur

Statement of Shri Y S Reddy

I was not satisfied with the behaviour of Shri M.R. Viswanathan, Field Officer, Durg, and because a number
of complaints made against him to Shri A.C. Baruah, Regional Officer, Raipur, did not bring forth any results,
I decided to visit him on 21-10-1997. I went to the office at 11.30 a.m. but was told that the Regional
Officer had not come to office. On enquiry, I was told by Shri H.N. Kaul, UDC, that Shri Baruah was not on
leave on that day and that if I were eager to meet him I could go to his house which was nearby.
Thereafter I went to his house but was informed by Shri Baruahs servant that I) should see him on 25-10-
1997. Not satisfied with this attitude, I sent a complaint to the Director in Delhi on 1-11-1997.

Statement of Shri R.N. Kaul, U.D.C.

Shri Baruah was not on casual leave or any other leave on 21-10-1997. Shri Baruah also did not
come to office on that day. Shri Baruah was very fond of playing cards and it was rumored that he used to
play cards on Diwali day and before Diwali, for days together at a stretch and that on 21-10-1997 also, he
was playing cards with his friends in his house. He had given directions to me that due to some urgent
business at home, he would not be in a position to attend office on 21-10-1997 and that if there were any
urgent papers, the same should be sent to him at his residence.

I used to prepare T.A. bills on the basis of particulars furnished by Shri Baruah on a piece of paper.
The bill for the month of October, 1997, signed by Shri Baruah on 4-11-1997 showed that Shri Baruah left
Raipur for Durg by bus at 09.30 A.M. on 21-10-97, reaching Durg at 10.30 A.M. on the same day and after
inspecting the office of Field Officer, Durg, he started for Raipur at 4.30 p.m. and reached Raipur at 5.30
p.m. on 21-10-97. The amount of claim was Rs.178.00 which was paid to Shri Baruah on 27-11-76.

72
Statement of Shri B.P. Jajoria, L.D.C.

I am responsible for diary and dispatch work in the Regional Office and I also used to attend to
some case work. I had applied for leave on 21 October 1997 and also wanted to avail Restricted Holiday 23
and 24 October 1997 because I wanted to go home to my native place for Diwali. However the Regional
Officer had refused leave to me.

Smt. Malti Rege, a Typist in the office, brought a letter to me on 21-10-1997 and said that this should be
got signed by the Regional Officer, because it was required to be sent on that day under his orders. I am
not aware as to whether or not Shri Baruah was on leave on that day. However, as he did not come to office
on that day, I sent the letter for signature to the residence of Shri Baruah through Shri Dhanurdhari, Peon
in the office, at about 10.30 a.m. on 21-10-1997. After Shri Dhanurdhari brought back the letter duly
signed by Shri Baruah, I issued it on the same date.

Statement of Smt. Malti Rege, Typist

I received a draft of the letter for typing on 20-10-1997 when I was about to leave. I asked Shri
Baruah as to whether he would like to have the letter faired on that day itself or whether it could be done
the next day. As Shri Baruah was in a hurry, he said that it could be faired on 21-10-1997 and sent to his
residence in the morning. On 21-10-1997 I faired the letter immediately after coming to office and
requested Shri Jajoria to have it signed by Shri Baruah, as desired by the latter. Shri Baruah had not come
to office on 21-10-1976.

Statement of Shri Dhanurdhari, Peon

On 21-10-1997 at about 10.30 a.m. Shri Jajoria asked me to take some papers to the residence of
Shri Baruah and bring them back. Accordingly, i went to the house of Shri Baruah and gave the papers to
him. I saw Baruah Saheb playing cards with five or six persons sitting in the drawing room. I did not know
any of them except one, who used to visit Baruah in his office quite frequently. He was known to him by the
name of Guptaji. I do not know his initials or full name.

Statement of Shri M.R. Viswanathan, Field Officer, Durg

I was on causal leave on 21-10-1997. Shri Baruah did not come on tour to Durg and nor visited the
Field Office on 21-10-1997. Had he visited Durg, my peon would have definitely called me from house. Shri
Baruah used to visit the Field Office once a month and used to check the Register of Loans, containing
entries relating to loans given to small traders by Nationalised Banks and sign the Register in token of his
having checked the entries. The entries relating to the month ending 30th September, 1997 were signed by
Shri Baruah on 20-11-1997. He wanted to put the date 21-10-97 below his signatures, but I did not let
him to do so.

Statement of Shri Ram Singh, Peon, Durg

Shri Baruah used to come to Durg for inspection, every month, but I do not remember as to
whether he visited the office on 21-10-1997. I do not recollect any occasion when Shri Baruah had
inspected the office during the absence of Shri Viswanathan. Even if Shri Baruah visited the office during the
absence of Shri Viswanathan, I would naturally have called Shri Viswanathan to office unless Shri Baruah
had told me not to call Shri Viswanathan

WHAT VITIATES INQUIRY

1. At the commencement of Inquiry, the I.O. called upon the Charged Officer for Self-explanation and
thereafter conducted cross-examination to ascertain the truth. After this, he proceeded to examine
witnesses listed on the charge sheet. In response to the protest made by Charged Officer, the I.O.
stated that main purpose of Inquiry was to ascertain the truth and that he was free to adopt any means.
State whether the I.O.s action was justified.

2. The disciplinary authority who had suspended a delinquent employee himself conducts the Inquiry. The
employee resists it on the plea that Disciplinary Authority had already pre-judged the issue. Is he
correct? Give reasons.

73
3. A Deputy Secretary was assaulted by some rowdy employees who were later charge sheeted. An Under
Secretary who was also a victim was appointed Presenting Officer during Inquiry. The Deputy Secretary
was listed as witness. Is the Procedure correct?

4. An under Secretary who was appointed I.O. in a disciplinary case was also an eyewitness. When his turn
came he requested the Presenting Officer to record his statement. The Presenting Officer in turn
requested his colleague to act as Presenting Officer. After making statement and facing detailed cross-
examination by the Defence Assistant of Charged Officer the Under Secretary proceeded further as I.O..
What was the defect in the procedure adopted by the Under Secretary?

5. In an Inquiry, the I.O. read out to the charged employee a statement made by a person during
preliminary investigation and asked him what he (charged employee) had to say in the matter without
producing the person who had made the statement. Is the procedure correct?

6. On the very first day of hearing in an inquiry, Charged employee expressed no confidence in the I.O. on
the plea that 3 years ago I.O. had spoiled his ACR. IO continued with the proceedings on the plea that
he had to fulfil the mandate given to him by the Disciplinary Authority. Is the action of the IO correct?

7. During the course of a disciplinary inquiry, the I.O. received a detailed Confidential report from CBI,
about the conduct and character of charged employee. Inquiry Officer relied on this information and
proved the charges against the delinquent employee. Was he correct? Give reasons for your answer.

8. In an Inquiry, the I.O. ruled that the charges framed against the delinquent employee could not be
proved as the evidence adduced by Presenting Officer was not adequate. However, disciplinary authority
was of the view that inference drawn by IO was not correct. He, therefore, ordered a fresh inquiry and
also warned the previous I.O. for dereliction of duty. Is the action of Disciplinary Authority correct? Give
reasons.

9. In the course of inquiry, the IO called some more witnesses other than those listed in the charge sheet.
He did not examine some of the listed witnesses as he considered them irrelevant and ruled that their
examination would be a waste of time. Is this action justified?

10. Mr. A was charge sheeted for unauthorised absence for a period of over 6 months and also
insubordination. He participated in the first 3 hearings of the inquiry and thereafter raised an objection
that I.O. was favouring the Presenting Officer. He made a representation to the Disciplinary Authority
for change of I.O.. And made it clear that he would not participate in the proceedings till the I.O. was
changed. Disciplinary Authority did not change the Inquiry and passed a speaking order to this effect.
The Charged Officer continued to abstain from the proceedings. However, he was keeping track of the
developments. As he was not appearing before the I.O., the latter decided to proceed ex-parte. When
the case of disciplinary proceedings was over, Mr. A appeared and requested the I. O. to record his
defence statements. I.O. did not permit him on the plea that once ex-parte proceedings had
commenced, the Charged Officer lost his right to participate. I.O. accordingly, concluded the
proceedings and submitted the report to the Disciplinary Authority holding that the charges against Mr.
A were proved. Was the I.O. correct?

11. Mr. X was charge sheeted for manipulating entries in a bill and overcharging a customer. Original bill
was cited as document based on which the charg was to be proved. An I.O. was appointed. During the
inquiry, Mr. X insisted on production of carbon copy of the bill in question. This was not allowed on the
ground that when original bill had been inspected by Mr. X, no useful purpose would be served by
examining the carbon copy of the same. After following the procedure, I.O. held Mr. X guilty. Comment
on the propriety of the ruling given by the Inquiry Officer.

12. Mr. PQR was charged with beating a peon who had come to deliver Dak. An I.O. was appointed to
conduct inquiry. Mr . PQR. cited names of 3 witnesses, one of whom was a private person who had come
to meet him on that day and was present on the scene. Other two were employee of another division of
the corporation at Nasik. While considering the request of Mr. PQR to examine these 3 witnesses,
Inquiry Officer requested the Charged Officer to cite local witnesses. According to the I.O., he could not
summon witnesses from out station, as he had no power to sanction Travelling Allowance. As regards
the private party, the I.O. felt that being an interested party, he may not be reliable. Thus the inquiry
was concluded without these witnesses and the Charged Officer was found guilty. Comment on the
correctness of the procedure.

...........

74
WHAT TO DO, WHEN.?

1. The C O does not turn up for the Inquiry.

2. The CO does not submit the list of defence documents or witnesses within the prescribed date.

3. The C O insists that he will submit his list of defence documents / witness on conclusion of the case of
the Disciplinary Authority.

4. The custodian of a document required by the C O for his defence, refuses to make it available on the
ground that it is a sensitive document.

5. The custodian of the document required by the C O for his defence confirms it writing that the same is
not traceable.

6. The presenting Officer, wants to add a few more documents or witnesses to the Charge Sheet.

7. One of the parties to the proceedings desire to recall a witness who has already been examined, cross
examined and re-examined.

8. The C O was missing for several hearings and it was decided to proceed ex-parte. The C O turns up
towards the end of the inquiry and insists that he must be allowed to participate in the future
proceedings.

9. In the above case, the C O insists that the witnesses who were examined in his absence must be called
back for his cross-examination.

10. The C O expresses lack of confidence on the I O at any stage during the Inquiry.

11. The C O files a court case against the Inquiry being conducted.

SOLUTIONS TO ACTIVITIES

Activity 1

Patent Errors

1. Typographic mistakes

2. Quoting wrong Rule Numbers. E.g.

a) Charge sheet is being issued under Rule 15 of the CCS (CCA) Rules 1965

b) The acquisition of this immovable property was not reported to the competent authority as required
under Rule 81 (2) of the CCS (Conduct) Rules 1964.

3. Incompatibility between the name of the Rule and its year e.g. CCS(CCA) Rule 1955

4. Incompatibility between the same figures mentioned in different parts of the Charge Sheet.

5. Names of persons or places mis-spelt in the Charge Sheet e.g. acquired a house at Hidurrabad at a
cost of Rs. 13,00,000/=

6. Inconsistency between the numeric and verbal description of an amount e.g. Rs. 7,348/= (Rupees
Three Thousand seven Hundred and forty eight)

7. Wrong mention of the reference number and/or date of communication as well as Government
instructions. E.g.

75
Latent Errors

1. Any logical inaccuracies


2. Insufficiency of evidence
3. Vagueness of charge
4. Ambiguity in charge
5. Lack of coherence between the misconduct and the charge. E.g. unauthorised absence is shown as lack
of absolute integrity.

Activity 2:

1. Occasions when I O may have to prepare Daily Order Sheet even though no party is present

2. Immediately on receipt of the Appointment Order as I O

a) When he sends any communication to any of the parties such as:

b) Acknowledging the appointment as I O

c) Bringing to the notice of the Disciplinary Authority any patent error in the Charge Sheet

d) Informing the Charged Officer and the Presenting Officer about the date of first hearing

e) Communication to the parties or witnesses about the date of next hearing or any change in the date
of next hearing

f) Requesting the custodians of the documents required by the C O for the purpose of his defence.

3. When he receives a communication from any of the parties such as:

a) Any request from the parties for postponement of hearing

b) Communication from the P O or the C O about the outcome of the inspection of the originals of the
listed documents.

c) Communication from the C O about his requirement of additional documents and witnesses for his
defence

d) Response from the custodians of the documents

4. Receipt of written brief from the P O or the C O

Activity 3

I O should analyse and understand the Charges even before the last stage of writing his report, because,

a) He is required to ask the C O as to whether the latter had received the Charges and understood the
same. Incase, the CO says that he had not understood the charges, I O should be able to explain the
Charges to the C O.

b) I O is required to decide about the admissibility of the additional documents and witnesses demanded by
the C O. This decision is based on the relevance of the documents and witness demanded by the C O. I
O will be able to consider this aspect only if he has understood the Charges.

c) On conclusion of the Regular Hearing, I O is required to question the Charged Officer about the
circumstances appearing against him. He can discharge this function only if he had analysed and
understood the Charges.

76
Activity 4: -

1. Whenever the Charged Officer comes to your office receive him warmly.

2. Display the requisite hospitality, which you would extend to any person who would be visiting you on
regular basis.

3. Try to avoid attending to any other work when the Charged Officer is waiting for your attention.

4. Talk in a mild but audible (and firm) tone

5. Try to talk in the language in which the Charged Officer communicates with you.

6. Listen to him with appropriate body language such as nodding of head, looking into his eyes, etc.

7. Never talk to any of the parties in a whispering voice. This may create suspicion in the mind of the
opposite party.

8. Do not argue with the parties concerned. Listen to the parties; Do not encourage repetition of points;
Make it clear I have heard you. Give your ruling and proceed further.

9. Have in your armoury all the instances when you had accommodated the requests of the parties.
Whenever any party is accusing you of being strict and inconsiderate, bring to their notice that you had
been considerate.

10. In case the Charged Officer accuses you of being unfair and biased, politely remind him of his right to
apply for change of I O.

11. If the Defence Assistant takes a hostile stand, remind him that his duty is only to assist the Charged
Officer and not accuse the I O. Ask the C O to deal with the issue directly, if necessary taking the points
from the Defence Assistant.

Activity 5

Dismissal and removal from service leads to forfeiture of past service and it will therefore not be
appropriate to treat the employees mentioned at (a) and (b) on par with the retired Government servants.

The employees mentioned at to (e) may be treated as retired Government servant for the
purpose of appointment as Defence Assistant.

Activity 6

The following are the some of the aspects to be noted by the I O by way of demeanor:

hesitation
doubt
variation in pace of deposition
perspiration
posture
confidence
calmness
Eye contact or the lack of it
Facial expression i.e. cheerful or pale
Variation in tone

-------------------------------

77
Penalties awarded to charged officer in AAI

Minor Penalties :

Censure.

With-holding of increments of pay with or without cumulative effect.

With-holding of promotion.

Recovery from pay, or such other amount as may be due to him of the whole or part of any pecuniary
loss caused to the authority by the negligence or breach of orders.

Major Penalties :

Reduction to a lower grade or post, or to a lower stage in a time scale.

Removal from service which shall not be a disqualification for future employment.

Dismissal.
Mock Inquiry : A Role Play -II

COMPLAINT
To,

The Supdt Engineer, M.S. IV


B.S.W. New Delhi.

Subject: Complaint against shri Ramesh Saxena, Mech. Fitter.

Dear Sir,

On 12.10.1996 Ramesh Saxea Mech Fitter was directed in the morning at 10.00 AM by the undersigned to
attend the repairs of Dumper IV. He refused to obey the instructions and shouted at me that I was not his
chief. He would except instructions from the Chief only. He kept on evading the instructions the whole day
though he was requested by me twice to undertake the repairs.

In the evening he approached me towards the end of the shift around 4.45 to take his card for out punching
which I refused to given as he has not worked the whole day and was marked absent for the day in the
temporary register by me. He on my refusal to accept his request for the card threatened me abused me by
saying Sala and told me that I will have to face dire consequence for my refusal to yield to him.

At the end of the shift at 17.20 hrs when I along with Mr. K.L. Tanwar and R.K. Sharma came out of my
cabin, Ramesh all of a sudden appeared from the back, hit me on my back with a steel rod and ran away.

I beg to submit that under these circumstances severe action should be taken against him to check in-
discipline in the section and book him for his misconduct. This is for your information and necessary action.,

Thanking You,
Yours faithfully,
Sd/-
(Rajan Sarkar, Foreman, MS IV)
DATED: 12.10.1996
Time : 5.40 PM
----

78
CHARGE-SHEET
To,

Shri Ramesh Saxena, Mech. Fitter,


Maintenance shop IV,
Bharat Steel Works,
New Delhi.

It has been brought to my notice by the Foreman Shri Rajan Sarkar that you remained idle throughout the
entire shift and refused to carry out the instructions of your supervisor on 12.10.96. At the end of the shift
you went to collect your card for out punching and it was not given to you as you had not performed duty
throughout the shift. You lost your temper and abused using un-parliamentary words to Mr. Sarkar and
threatened him of dire consequences.

When Mr. Sarkar was coming out of his office you hit him at his back with a steel rod on the same day
12.10.96 at about 17.20hrs., in the presence of S/Shri R.K. Sharma and K.K. Tanwar.

The above act / omission on your part are very serious and grave misconduct and make you liable for severe
disciplinary action including dismissal from service. You are, therefore, charged with having committed a
breach of standing order No.5 and 9 and are hereby directed to show cause within 3 days from the receipt of
this charge sheet as to why disciplinary action should not be taken against you. In case you fail to submit
your explanation within the time specified above, it will be presumed that you have no explanation to offer
and have accepted the charges as correct and further necessary action would be taken without any reference
to you.

SD S.E. Maintenance Shop


Dated: 13.10.96

Charge sheet delivered at 13.40 PM on 13.10.96 in the presence of two witnesses.

Wintness ( Sd/-)
Witness - (Sd/-)
----

EXPLANATION
To

The Superintending Engineer,


Maintenance Shop IV
Bharat Steel Works,
New Delhi.

Subject: Explanation to the charge sheet No.--------- received by me on 13.10.96 at 13.40


hrs.

Sir,

Regarding the charges served on me I submit my explanation as under :

I do not admit the charges as on 12.10.96. I was on leave and had gone to witness a wrestling competition
between 2 PM and 8 PM along with S/o Shri K.K. Saxena and Mike Vanjour held at Ambedkar Stadium. As
such, the question of disobeying or assaulting my supervisor does not arise and therefore, the charges
leveled against me are all baseless.

Thanking you,
Yours faithfully,

(Sd/-)

Ramesh Saxena
15.10.96

----

79
NOTICE OF APPOINTMENT OF AN INQUIRY
To,

Shri Ramesh Saxena, Mech Fitter,


Maintenance shop IV,
Bharat Steel Works,
New Delhi

Subject: NOTICE OF APPOINTMENT OF AN INQUIRY

I am to inform you that the explanation submitted by you regarding charges framed against you on 13.10.96
has been found unsatisfactory and it is proposed to hold an inquiry to look into the charges.

Shri R.C. Sharama, General Supdt (Admn) has been appointed to conduct the inquiry and submit his report
to the undersigned.

In the said inquiry witness to be examined on behalf of the management are listed in Annex-A and
documents wanted to be adduced in evidence on behalf of the management, are listed in Annex B.
Offences (misconduct) are stated in Annexure- C.

You shall be entitled to copies of the documents stated in annex-B making application to the undersigned.
You are requested to inform the undersigned not later than by 21.10.96 by 5.00PM

Which witnesses you would like to examine for defence and what are likely to depose to enable use to
consider their relevance. The complete address of the witnesses should be furnished if assistance of the
organisation is desired in summoning them. The documents that you want to produce and to prove your
defence should be filed with the undersigned not later than 22.10.96 by 5.00 PM.

You should hereafter address all communication to the Inquiry Officer whose name and address has already
been given above.

Dated: 17.10.96
(Sd/-)

SE. Maintenance Shop IV


----

Annexure A

Witness of Shri R.K. Sharma and Shri K.L. Tanwar

Witness of Shri R.K. Sharma:

On 12.10.96, Rajan Sarkar, foreman, asked Ramesh Saxena to attend to the repair of Bumper IV at 10.00
AM in the morning in my presence but Mr. Saxena paid no heed to the instructions. He kept on evading
instructions the whole day. In the evening when Saxena wanted to take his card for out punching, Rajan
refused to oblige him. Saxena threatened him with dire consequences and used abusive language. At 17.20
when myself, Rajan and
K.L. Tanwar came out of Sarkars cabin to wash ourselves at the end of the shift all of a sudden, Ramesh
appeared with steel rod, hit Sarkar in the back and ran away. Sarkar however, could withstand the hit of
the rod and before he recovered from the shock, Ramesh was no where around.

Sd/-
R.K. Sharma
12.10.96

80
Witness of Mr. K.L. Tanwar:

In the evening at about 17.10. I had gone to Sarkars cabin to discuss something. When we came out at
17.20, all of sudden Ramesh Saxena appeared from the back, hit Sarkar and ran away. I saw a small steel
rod in hand which after hitting he threw on the ground. During the day time on 12.10.96, I saw Saxena and
Sarkar exchanging hot words and Saxena, I heard saying I am no your servant. You are not my chief. I
shall not do whatever you like, but whatever I like.

Sd/-
K.L. Tanwar
12.10.96

List B

Witness of Shri K.K. Saxena and Shri Mike Vanjour

Witness of Shri K.K. Saxena, Fitter, M.S. IV

On 12.10.96 myself, Ramesh Saxena and Shri Mike Vanjour were on leave and want to witness the wrestling
match at Ambedkar Stadium at 2 PM and returned at 8 PM. All this time Ramesh was with us and the
charges against him are baseless as he was also on leave as told by him to me.

Witness of Shri Mike Vanjour

On 12.10.96 around 2 PM Ramesh Saxena joined us in the Canteen outside the workshop and expressed his
desire to witness the wrestling match. Myself and K.K. Saxena were going to see the match as we were on
rest day. He also accompanied us to the stadium and was with us from 2 PM to 8 PM. He returned along
with us from the stadium, when the match was over. As such his assaulting Mr. Rajan Sarkar is baseless
and a false charge against him to harass.

Attendance Record

Ramesh Saxena punched his card in the morning but on inquiry showed ignorance as to how his card was
punched. Regarding remarks in the temporary attendance register he could not say as to how he was
marked present in the first hall and absent in the temporary register.

Management witnesses

1. Shri R.K. Sharma, Asstt Foreman, MS

2. Shri K.L. Tanwar, Supervisor MS

Workers witnesses

1. Shri K.K. Saxena Fitter MS IV


2. Shri Mike Vanjour Helper MS IV
---

81
To,

Shri Ramesh Saxena, Mech Fitter


Maintenance Shop IV, BS W
New Delhi.

Subject: Departmental inquiry to be held on 25.10.96 at 10.00 AM in the Chamber of the


undersigned.

You are hereby informed that the inquiry appointed to look into the charges framed against you on
17.10.96 by the S.E. shall meet on 25.10.96 at 10.00 AM. You may be present alongwith witnesses at the
appointed date and time as mentioned above to enable the undersigned to conduct the inquiry.

Sd/-

RC Sharma
General Supdt Admn
Inquiry Officer
Dated: 23.10.96

-----

REQUEST FOR DOCUMENTS AND DEFENCE

To,

Shri RC Sharma
Inquiry Officer
BSW, New Delhi

Sir,

In reply to your notice of inquiry dated 23.10.96, I submit as follow :-

1. I desire to take copies of the documents stated in Annexure B


2. I desire to examine in my defence the witnesses stated in Annexure A.
3. I request that the following persons serving in the organisation be kept present at the hearing for being
examined in my defence.
a) Shri R.K. Sharma, Asstt Forman, MS
b) Shri K.L. Tanwar, Supervisor, MS
c) Shri R.K. Saxena, Fitter MS
d) Shri Mike Vanjour Helper, MS

I file documents as per list B enclosed herewith.

4. I desire to be accompanied at the hearing by Shri C.K. Verma, Serving in the Maintenance section who
shall assist me in the inquiry or who shall be my helper.
5. I request the following documents to be kept ready at the inquiry in connection with the cross
examination of the witnesses of the department for my defence.

a) statement of Management witnesses.


b) Attendance Records.

Dated: 24.10.96
Yours faithfully,

Sd/-
Ramesh Saxena

------

82
INQUIRY OFFICER : SHRI R.C. SHARMA

Presenting Officer Ramesh Saxena


(to be named by the Mech fitter MS
Mgt. Group workman) Charge sheeted

Shri C.K. Verma,


Defence Asstt

Witness Witness

1.Shri R.K. Sharma, (a) Sh. K.K. Sharma


Asst Foreman, MS IV Fitter MS VI
2.Shri K.L. Tanwar, (b) Sh. Mike Vanjour
Supervisor, MS IV Helper, MS IV

-----

OIL & NATURAL GAS CORPORATION LTD.,


NEW DELHI

No. 11032/28/84-Vig Dated 12.6.85


MEMORANDUM

1. The undersigned proposes to hold an inquiry against Shri B. Singh, Asstt Manager (Operations) under
Rule 36 of ONGC (CDA) Rules. The substance of the imputation of misconduct or misbehaviour in
respect of which the inquiry is proposed to be held set out in the enclosed statement of articles of
charge (Annexure-I). A statement of the imputations of misconduct or misbehaviour in support of each
article of charge is enclosed (Annexure II). A list of documents (Annexure-III) by which and a list of
witnesses (Annexure-IV) by whom, the articles of charges are proposed to be sustained are also
enclosed.
2. Shri B. Singh, Asstt Manager (Ops) is directed to submit within 10 days of the receipt of this
memorandum a written statement of his defence and also to state whether he desires to be heard in
person.
3. He is informed that an inquiry will be held only in respect of those articles of charge as are not admitted.
He should therefore, specially admit or deny each article of charge.
4. Shri B. Singh, Asstt Mgr (Ops) is further informed that if he does not submit his written statement of
defence on or before the date specified in para 2 above, or does not appear in person before the
Inquiring Authority or otherwise fails or refuses to comply with the provisions of Rule 36 of ONGC (CDA)
rules or the orders directions issued in pursuance of the said rule the Inquiring Authority may hold the
Inquiry against him ex parte.
5. Shri B. Singh, Asstt Mgr (Ops) is however informed that he may, if he so desires, take the assistance of
another employee of ONGC for assisting him in presenting his case before the Inquiring authority at the
time of oral inquiry. The employee who undertakes to render such assistance should obtain approval of
his controlling officer for rendering assistance for his absence from duty.
6. The receipt of the Memo may be acknowledged.

(Disciplinary Authority)

83
To,

Shri B. Singh, Asstt Mgr (Ops) ,


ONGC, New Delhi.

ANNEXURE I

STATEMENT OF ARTICLE OF CHARGE FRAMED AGAINST SHRI B.SINGH, ASSTT MGR (OPS)

1. Shri B. Singh, while functioning as Assistant Manager (Ops) in the ONGC, New Delhi during October,
1984, defrauded the Corporation to the tune of Rs.3,900/- (Rs. Three Thousand and Nine Hundred Only)
by misappropriating 20 Salwood sleepers belonging to the ONGC and disposing them of to a private
firm.

2. Shri B. Singh by his above acts exhibited lack of absolute integrity thereby contravening Rule 4(1) (a) &
(c) read with item 3 of Schedule II of Rule (j) of ONGC CDA rules.

-----

ANNEXURE- II

STATEMENT OF IMPUTATION OF MISCONDUCT IN SUPPORT OF ARTICLE OF CHARGE FRAMED


AGAINST SHRI B. SINGH ASSTT MANAGER (Operations)

1. The ONGC New Delhi was required to put up a Pavilion of its own in the Indian Trade Fair, 1984 which
was scheduled to be held in New Delhi during the period from 15.10.84 to 30.11.84. By office Order no.
22784-Exh.dated 7.9.84 this Pavilion was required to be constructed under the direct supervision of Shri
B. Singh, Asstt Manager (Ops).

2. A purchase order bearing No. 28 89/84-Stores dated 18.9.84 was placed by the ONGC on M/s. Joy
Timber Co. 19/9, Arjun Nagar, Defence Colony, New Delhi, for the supply of 400 seasoned Salwood
sleepers of the size of 10 X 1 X 9 costing Rs. 78000/- Rs. Seventy Eight Thousand Only) @ Rs.195/-
per sleeper for the purpose of putting up the pavilion. It was mentioned in the endorsement to this
order, a copy of which was supplied to Shri B. Singh that he would receive the material and forward a
certificate regarding receipt of the material in good conditions and according to specifications laid down
in letter No.28/89/84-Stores dated 9.9.84.

3. Four hundred sleepers as above were supplied at the site i.e. Exhibition Ground, Mathura Road, New
Delhi on 20.9.84 by M/s. Joy Timber Co., and were received by Shri Singh as per the firms Challan No.
89 dated 20.9.84. He also recorded a certificate on the Challan that the entire quantity of sleepers had
been received according to the specifications and in good condition. The challan with the certificate was
forwarded by Shri Singh to the stores section for taking the sleepers into the stock ledgers. The
sleepers were retained at site for constructing the pavilion.

4. Shri Singh used to issue sleepers to the Head Carpenter, Shri Sara Singh for construction purposes. An
account of sleepers received by Shri Singh and issued by him to Shri Saran Singh, carpenter was being
kept by him in register (Site Stock Register) All the 400 sleepers were issued to the Head carpenter
during the period from 20.9.84 to 11.10.84.

5. After the pavilion had been constructed on 13.10.84 out of the aforesaid 400 sleepers supplied by the
above mentioned firm, 20 salwood sleepers had remained unused. These were handed over to Shri B.
Singh by Shri Saran Singh, Head carpenter on 14.10.84 and a receipt was issued by the former to the
latter. All these 20 sleepers should have been returned. Shri Singh also did not make any entry about
the return of the sleepers by Shri Saran Singh in the site stock register maintained by Shri B. Singh. He
removed the 20 sleepers costing Rs.3,900/- from the site of the exhibition on 15.10.84 in truck No. DLG
1612. He hired the truck from Shri Chander Mohan, R/O 1/21 Daryaganj New Delhi for the purpose.
The truck reached the site on 15.10.84 at about 2.30 PM and Shri Singh asked the driver of the truck
Shri Gopal Singh to load all the sleepers in the truck when Shri Buddu, Chowkidar asked for a gate pass
from the driver, he was told by the driver that this was being done on orders of Shri B. Singh. Shri

84
Buddu thereupon asked Shri B. Singh whether he had permitted the truck driver to load the sleepers,
shri B. Singh answered in the affirmative. He further informed Shri Buddu requested that a gate pass
might be issued. Shri Singh told him that he would himself be accompanying the truck to deliver the
sleepers to Stores Section.

6. The truck left with the sleepers after about half an hour. Shri Singh also went with the truck. Instead
of taking the sleepers to the Stores Section. Shri Singh sold them to M/s. Om Prakash & Co., 7/7,
Deshbandhu Gupta Road, New Delhi on 15.10.84 for a total sum of Rs.3,900/-(Rs. Three Thousand &
Nine Hundred Only)

7. By his above acts, Shri B. Singh defrauded the Corporation to the tune of Rs.3,900/-

------

ANNEXURE- III

LIST OF DOCUMENTS BY WHICH THE ARTICLES OF CHARGE FRAMED AGAINST SHRI B. SINGH,
ASSTT MGR (OPS) IS PROPOSED TO BE SUSTAINED

1. ONGCs Office Order No: 2/27/84-Exh dated 7.9.94

2. ONGCs letter No. 28/89/84-Stores Dated 9.9.84

3. ONGC;s Supply order No. 28/89/84-Stores dated 18.9.84

4. M/s. Joy Timber Cos Challan No. 89 dated 20.9.84

5. Stock and Issue Register (1984-85) of Stores Section of the ONGC.

6. Receipt regarding return of 20 Salwood sleepers by shri Saran Singh, Head Carpenter to Shri B. Singh,
Asstt Manager (Ops)

7. Site stock Register of ONGC Pavilion, Mathura Road, New Delhi (Sept-October, 1984)

------
ANNEXURE IV

LIST OF WITNESS BY WHICH THE ARTICLES OF CHARGE FRAMED AGAINST SHRI B. SINGH, ASST
MGR (OPS) IS PROPOSED TO BE SUSTAINED

1. Shri Mustaq Mohd, Storekeeper, ONGC

2. Shri Saran singh, Head Carpenter, Dte of SSI, New Delhi.

3. Shri Buddu, Chowdikar, Dte of SSI, New Delhi.

4. Shri Chander Mohan, Truck owner of 1/21, Daryaganj, Delhi-6.

5. Shri Gopal Singh, Driver, C/O Shri Chander Mohan, Truck owner of 1/21, Daryaganj, Delhi-6.

6. Shri O.P. Verma, Proprietor, M/s. Om Prakash & Co, of 7/7, Deshbandhu Gupta Road, New Delhi.

------

85
No. 2/27/84-Exh dated 7.9.84

OIL & NATURAL GAS CORPORATION LTD NEW DELHI

OFFICE ORDER

In connection with the setting up of a Pavilion of the ONGC scheduled to be held from 15.10.84 to
30.11.84 in the Exhibition Grounds, Mathura Road, New Delhi, an Exhibition Unit comprising the following
officers is constituted with immediate effect:

1. Shri B. Singh, Asst Manager (Ops)


2. Shri Nank Chand, Technical Asstt.
3. Shri Saran Singh, Head Carpenter.

2. The unit will function under the direct supervision of Shri B. Singh, Asstt Mgr (Ops) and will be
responsible for construction of the pavilion, its decoration and arrangement of models, charts, etc in
accordance with the plan drawn up by the Chief Visualiser of the Directorate.

3. The unit will be located in the Exhibition Ground.

4. The completed pavilion will be handed over by M (Ops) to Deputy Manager (Exh) latest by 14.10.84.

Sd/

(Manager)
Copy forwarded to:

1. ONGC
2. PAO Office
3. Officer concerned.

-----

86
No.28/89/84-Stores dated 9.9.84

OIL & NATURAL GAS CORPORATION NEW DELHI

To,

1. M/s. Jain Timber Market,


13/5, Raja Garden, New Delhi.

2. M/s. Joy Timber Co.,


19/9, Arjun Nagar,
Defence Colony,
New Delhi.

3. M/s. Prakash Timber Co.,


2/11, Rani Jhanshi Road,
New Delhi.

4. M/s. Satish Timber Stores,


C-88 Defence Colony
New Delhi.

Subject: Submission of quotation for supply of Salwood sleeper

Dear Sirs,

I am directed to invite quotation for supply of the following items of stores :

S.NO. Description of Stores Qty

1. Seasoned Salwood Sleepers 400 Nos.


10 x 1 x 9 each

I am to request you to submit your quotation latest by 1600 hrs on 16.9.84. Quotations should be
sent in a sealed envelop addressed to the undersigned and subscribed as under

Quotations for supply of salwood sleepers


(To be opened at 1630 hrs on 16.9.84)

2. Quotations received thereafter will not be entertained.

3. The tenders will be opened at 1630 on 16.9.84 in Room No.10, Nirman Bhawan. You or your
authorised representative may be present at the time of opening of tenders, if so desire.

4. The terms & conditions of receipt of the quotations are mentioned below.

Yours faithfully,

Sd/-

(Manager)

Copy to:

1. The Dy. Manager (Exhibition) with reference to his note dt.7.9.84


2. The Asstt Manager (Ops)
3. Stores Section

Terms & conditions of the quotations

1. The material shall be supplied within 7 days of issue of the purchase order.
Failure to supply the same within the period will automatically cancel the order.
2. The material shall be supplied at our Pavilion site at Mathura Raod, New Delhi at the firms cost.

87
3. The Asstt Manager (Ops), ONGC will receive the stores at Pavilion site on behalf of the office after
verifying the quantity and quality of the material as per specifications.
4. The payment for the material will be made by crossed Cheque. The bill of this purpose shall be
submitted by the firm in the triplicate.

----

No.28/89/84-Stores dated 9.9.84


OIL & NATURAL GAS CORPORATION NEW DELHI
To,

M/s. Joy Timber Co.,


19/9, Arjun Nagar,
Defence Colony,
New Delhi.

Subject: Supply Order Salwood Sleepers.

Dear Sirs,

With reference to your quotation No.609, dated the 14th Sept, 1984 in response to this office letter
No. 28/89/84-Stores Dated 9.9.1984. I am directed to inform you that your above quotation has been
accepted. You are now requested to supply the following items as per the rates quoted by you on or before
25.9.1984 at the Pavilion site at Mathura Road, New Delhi :
Description of Item Nos. Rate per sleeper Total Amount
(In Rs.) (In Rs.)
Seasoned Salwood 400 195/- 78,000/-
Sleeper
Size 10 X 1 X 9

2. The material will be received by Shri B. Singh, Asstt Mgr (Ops) of this office. 3. Payment will be
made in accordance with the terms and conditions mentioned in our aforesaid letter after the verification of
the quality and quantity of the material.

Copy to :

1. The Dy. Manager (Exh)


2. Shri B. Singh, Asstt Mgr (Ops) DST Pavilion, Mathura Road, New Delhi ----- He is requested to receive
the material and forward a certificate regarding receipt of the material and forward a certificate
regarding receipt of the material in good conditions and according to the specification laid down in the
letter 9.9.84 referred to above
3. Store office, Headquarters.
Sd/-
(Manager)

88
M/S. JOY TIMBER CO.
19/9/ ARJUN NAGAR, DEFENCE COLONY, NEW DELHI

Challan No. 89
Dated: 20.9.84

To,

The Manager
ONGC

Your Ref. No. 28/89/84-Stores dated 18.9.84

--------------------------------------------------------------------------------------------
Particulars Nos.
--------------------------------------------------------------------------------------------
Seasoned Salwood Sleepers 400Nos.
Size 10 x 1 x 9

-------------------------------------------------------------------------------------------

Certified that all the sleepers have been received in good condition and according to the specifications.

Sd/

(B. singh)
20.9.84

--------------------------------------------------------------------------------------------

Received back twenty sleepers

Sd/

(B. Singh)
20.9.84
--------------------------------------------------------------------------------------------

89
STOCK AND ISSUE REGISTER 1984 1985

S N. Description of Challan No. Qty Reced. Total Qty in Qty Issued Sign
Stores Stores

Salwood 15.9.84 NIL - -


Sleepers

Salwood Sleepers 89 dt. 20.9.84 400 400 400

11.10.84

14.10.84

15.10.84

01.1.84

Salwood Sleepers - - NIL -

10x1 x9 01.12.84

31.3.85

1.6.85

SITE STOCK REGISTER

Sl. Date Description of store Qty Issued Sign.of person


No. receiving the stores
20.9.84
1 Salwood sleepers 50 Sd/- Saran Singh,
20.9.84
2 Nails 1size 1 Kg Sd/- Saran Singh
21.9.84
3 Salwood sleepers 50 Sd/- Saran Singh
4 Gum 2 KG Sd/- Saran Singh
5 Nails 2 size Kg Sd/- Saran Singh
22.9.84
6 Salwood sleepers 80 Sd/- Saran Singh
7 Salwood sleepers 20 Sd/- Saran Singh
25.9.84
8 Salwood sleepers 100 Sd/- Saran Singh
9 Nails 3 size 1 kG Sd/- Saran Singh
10 Fevicol 1 KG Sd/- Saran Singh
1.10.84
11 Salwood sleepers 100 Sd/- Saran Singh
3.10.84
12 Fevicol 1KG, 2 tins Sd/- Saran Singh
13 Gum 1 KG Sd/- Saran Singh
14 Nails 2 size Kg Sd/- Saran Singh
5.10.84
15 Nails 3size 1 KG Sd/- Saran Singh
16 Nails 1 1KG Sd/- Saran Singh
17 Varnish 1KG Sd/- Saran Singh

90
STATEMENT OF SHRI MUSTAQ MOHD, STORE KEEPER ONGC MAIN STORES RECORDED ON 5.11.84

I am working as store keeper in the Main Stores Section in ONGC for the last about 5 years. In
September 1984, it was decided by the ONGC to put up a pavilion in the Indian Trade Fair, 1984 at the
Exhibition Ground, Mathura Road, New Delhi. 400 Salwood sleepers of the size 10x 1 x 9 had been
purchased from M/s. Joy Timber Co, New Delhi vide purchase order No. 28/89/84-stores dated 18.9.84. I
have been the custodian and the writer of the Stock and Issue Register now before me. These entries
pertaining to the 400 sleepers mentioned i the ledgers had been made by me on receipt of copy of challan
No. 89 dated 20.9.84 of M/s. Joy Timber Co. I had received this challan from Shri B. Singh, Asstt Mgr (Ops)
who was in charge of the exhibition. He had directly received the material on the firms challan. I had made
the entries in the receipt and issue side of the stores ledger. As all the 400 sleepers had been received at
site directly in the issue side of the ledger I had shown as all the 400 sleepers issued to the main store of
which I was the store keeper at the relevant time at any time after the receipt of the stores at the exhibition
on 20.9.84

Sd/-

(Mustaq Mohd)
Store Keeper

STATEMENT OF SRI SARAN SINGH, HEAD CARPENTER, ONGC NEW DELHI RECORDED ON 5.11.84

I am working as a Head Carpenter in the ONGC. At the time of construction of the pavilion of the
ONGC in the Indian Trade Fair 1984, I was working as in charge of the carpentry section at the pavilion site.
I used to obtain the Salwood sleepers and other materials from Shri B. Singh, Asstt Mgr (Ops) who was
incharge of the construction of the pavilion in the exhibition. Whenever any material was supplied to me,
Shri B. Singh used to obtain my signatures in register maintained by him. The signatures against the
various issues of the sleeper shown in this register are mine. These signatures had been put by me at the
time of my receiving the material.

2. In all, I had received 400 sleepers of the size of 10 x 1 x 9 from Shri Singh on various dates. Out
of this, 380 sleepers were used in construction of the pavilion. After completion of construction of the
pavilion, 20 sleepers had not been used. I had returned these 20 sleepers to Shri B. Singh on 14.10.84. I
requested him to give me a receipt because when the sleepers had been issued to me I had signed in the
register. Shri Singh then gave me a receipt. This receipt had been written and signed by Shri Singh.

Sd/-

(Saran Singh)

91
STATEMENT OF SHRI CHANDER MOHAN, OWNER OF TRUCK NO.
DLG1612, R/O A/21, DARYAGANJ, DELHI 6, RECORDED ON 7.11.84

I am running regular transport business. I own truck No. DLG -1612. I recollect that one officer
who later gave me his name as Shri B. Singh had once contacted me in my business premises at Daryaganj.
He wanted to hire a truck for removing certain goods from the Exhibition Ground at Mathura Road for being
returned to some supplier firm in Pahargunj. I had accordingly provided my truck No. DLG -1612 which is
the only truck I possess. Shri Gopal Singh, Driver who is working with me for truck driving duties had been
deputed and was on duty. This incident took place sometime in the month of October but I do not
remember the date now. I recognize Shri B. Singh as the payment for the truck had not been made by him
to the driver Shri Gopal Singh as agreed and I had to go twice to his pavilion in the Exhibition ground at
Mathura road to meet him before I could collect the transportation charges.

Sd/-

(Chander Mohan)
Truck Owner

STATEMENT OF SHIR GOPAL SINGH, TRUCK DRIVER EMPLOYED WITH SHRI CHANDER MOHAN,
OWNER OF THE TRUCK NO-DLG-1612, RECORDED ON 7.11.84

1. I am working as a driver on truck No. DLG -1612 belonging to Shri Chander Mohan, 1/21, Daryagaj,
Delhi for the last about 2-1/2 years. I remember that sometime in the middle of October, 1984, I had been
deputed by Shri Chander Mohan to report to Shri B. Singh (who was an officer of ONGC at Exhibition
Ground, Mathura Road) for transporting some goods to Pahargunj. I reached the Exhibition ground at about
2.30 PM shri B. Singh asked me to load certain wood sleepers lying outside a pavilion. It was quite a good
number of sleepers though, I do not remember the exact number. When I was getting the sleepers loaded I
was asked by the Chowkidar to give him the gate pass. I told him that no gate pass had been issued to me
and that I had been asked to get the sleepers loaded by Shri Singh. The Chowkidar then talked to Shri B.
Singh and did not ask me further about the gate pass. After loading the materials in the truck Shri B. Singh
asked me to take the truck towards Pahargunj. He also accompanied. He stopped the truck near a shop at
Deshbandhu Gupta Road, Paharganj, where all the sleepers were unloaded. I do not remember the name of
the firm or its address at this time, but I still have some faint idea of the location of the premises.

2. Shri B. Singh did not make payment of the transportation charges after the material had been
unloaded in Pahargunj. He told me that he would himself make the payment to my employer.

Sd/-

(Gopal Singh)
Driver

92
STATEMENT OF SHRI OM PRAKASH VERMA, PROPRIETOR OF M/S. OM PRAKASH & COMPANY, 7/7,
DESHBANDHU GUPTA ROAD, PAHARGANJ, NEW DELHI, RECORDED ON 7.11.84

I am the proprietor of the firm M/s. Om Prakash & Co, dealing in the timber business. On 15.10.84
afternoon, Shri B. Singh, Asstt Manager (Ops) had brought 20 sleepers of Salwood) in a truck at the
premises of my shop in Pahargunj. One day earlier, he had approached me saying that he had purchased
some Salwood in connection with the construction with the construction of his house and that 20 sleepers of
the size 10 x 1 x 9 were not required by him as his house was not complete. He wanted to dispose them
off. After some negotiations, it was decided that I would pay Rs.5,900/- for sleepers and he would deliver
the sleepers on 15.10.84. I have supplied wood to his office in the past and in that connection had visited
his office.

Sd/-
(Om Prakash)
Proprietor

--------

CASE OF THE MISSING PAGE

Sometime in the middle of the year 1990, the administrative authorities of XYZ department in New
Delhi received a communication from the Accounts department requesting review of about 70 LTC cases
pertaining to block year 86-89. According to the Accounts authorities, whose responsibility also included
pre-audit of the claims raised by the XYZ department, it had come to notice that a large number of bogus
transport operators had issued false documents relating to the journey to Kanyakumari. Such bogus
transport operators who were doing business around Delhi were identified as a result of a drive by the local
police. The audit authorities, therefore, identified those employees who had availed LTC facility for the block
year 86-89 on the basis of the travel documents issued by these blacklisted travel operators. The total
number of such employees in XYZ department, who had availed LTC through the trips organised such travel
operators, was in the vicinity of about 70. It is also relevant that all these claims were originally passed by
the administr ative authorities of XYZ department as well as the auditors.

2. XYZ department made a reference to the State Transport Authority as to whether the latter could
throw any light on the LTC journeys undertaken by private buses mentioned in the list. STA was kind
enough to furnish the available information with regard to the cases forwarded by XYZ department. Their
comments were of multifarious nature such as:-

1. There was no bus bearing registration number indicated in the travel documents supplied by
the transport operator.
2. The bus mentioned in the travel documents was not issued any permit to move out of Delhi
during the period referred in the travel documents.
3. The bus mentioned in the documents had applied permit for going to Nagaland during the
period for which LTC was claimed for visiting Kanyakumari.
4. There were also certain cases wherein STA had issued permits for visiting Kanyakumari
during the relevant period but the bus had not actually gone to Kanyakumari.

Charge sheets were issued in all the above mentioned cases. There was one peculiar case wherein
STA had confirmed that permit was issued to the bus in question for visiting Kanyakumari but the list of
passengers as available with the STA did not contain the name of the passenger, Shri ABC, who had claimed
LTC from XYZ department. When XYZ department charge sheeted the employee Shri ABC, for having
claimed fraudulent LTC, he replied that he desired to have a copy of the list of passengers as obtained from
the STA. On inspection of the list, he replied that STA had submitted the List of passengers running for one
page only whereas as per the documents available with Shri ABC, which was produced along with his LTC
claim in the year 1989, the list of passengers was for 2 pages and the names of Shri ABC and his family
members were found on page-2. He suggested that perhaps the list furnished by the STA was incomplete
and the matter may be rechecked. As suggested by Shri ABC, reference was again made to the STA, who
after protracted correspondence, confirmed that the list as per their records was of only one page. In the
inquiry that proceeded the following material information transpired.

93
An Assistant Director of STA who was produced as the state witness was asked during cross
examination as to whether he could vouch that every piece of paper that enters his office will be in its place
for all the time to come. The witness declined to confirm this and added that the possibility of one or two
sheets getting detached from a file could not be ruled out. The charged officer showed him the one page list
received from STA and the two pages list submitted by the charged officer along with his original LTC claim
and asked whether the initials in all the 3 pages were alike. The Assistant Director of STA confirmed that the
signatures were alike.

On the basis of the above information, Inquiring authority held that the charged officer is not guilty.

How would you deal with the inquiry report?

Dak diya dard liya- assault in office

1. Shri ABC was working as a class IV employee under the office of the Joint Secretary (Admn) who
controls about 10000 employees. The offices under the control of Joint Secretary (Admn) are located in
different buildings sprawling over a vast area. Shri ABC was responsible for distribution of mail to some of
the officers under Joint Secretary (Admn.).

2. One morning, at about 0930 hrs Shri ABC started on his duty of mail distribution with a mail bag
containing letters to be distributed in 10 different Directorates. At about 1130 hrs, he reported to the Office
of the Joint Secretary (Admn) with bleeding injuries and insisted that he should be allowed to meet the Joint
Secretary (Admn). Another peon also accompanied him. The Private Secretary (PS) to the Joint Secretary
(Admn) pacified Shri ABC and informed him that the Joint Secretary was away in a meeting and the first
priority was to attend to the injuries sustained by Shri ABC. The PS also brought the matter to the notice of
Deputy Secretary (Welfare) who rushed to the spot, arranged a vehicle and sent his Personal Assistant (PA)
along with Shri ABC to a nearby hospital. Shri ABC returned to the Deputy Secretary (welfare) around 1430
hrs after necessary dressing to the injuries. He narrated that he had delivered mail in 3 places. When he had
gone to the Directorate of XYZ for delivery of mail, a quarrel occurred between him and a clerk, Shri PQR of
XYZ Directorate over the delay in receipt of the mail. Shri PQR got annoyed over the insistence of ABC that
the mail be received without further delay so that he may distribute the mail in other directorates. Shri PQR
became furious and assaulted Shri ABC.

3. Shri ABC gave a written complaint against Shri PQR alleging use of intemperate language and
assault. Charges were framed against Shri PQR for assaulting Shri ABC. In the inquiry, the following
evidence was produced on behalf of the disciplinary authority: -

(a) Duty chart of ABC for the day of the incident.

(b) Acknowledgement to the effect that he had delivered mail in 3 of the 10 places prior to the
occurrence of the incident.

(c) The complainant himself (as an oral witness)

(d) The peon who accompanied Shri ABC from the place of incidence to the O/o the Joint
Secretary (Admn)-(oral witness)

(e) Deputy Secretary welfare-(oral witness)

4. According to the Peon who accompanied Shri ABC from the place of incidence to the Office of the
Joint Secretary, while we was walking in the corridor around 1100 hrs, he saw ABC being pushed from the
room to the corridor and falling flat in the corridor. He added that, on peeping into the room from which Shri
ABC was pushed out, he found that the charged officer Shri PQR was standing in a furious mood, muttering
some threatening words. During cross examination, he categorically stated that he did not see the charged
officer assaulting Shri ABC. The complainant, ABC and the Deputy Secretary (Welfare) reaffirmed their
versions which has been narrated above. On behalf of the charged officer, the following evidence was
produced: -

(a) The attendance register of the section.


(b) The Casual leave records of the section.
(c) A prescription from the CGHS dispensary.
(d) The charged officer Shri PQR.
(e) The section Officer of Shri PQR. Oral Evidence
(f) Another clerk from the section.

94
5. The attendance register indicated that Shri PQR was marked Casual leave on the day of incident
and the subsequent day. The casual leave register also confirmed the same. The prescription from the
dispensary indicated that the charged officer was advised rest for 2 days i.e. the day of the incident and the
next day. The charged officer, who chose to be his own witness stated that he was on leave and the entire
complaint was a fabrication to defame him on account of his active involvement in the activities of a rival
staff association. He was an office bearer of the non-gazetted employees association. According to him,
there was a rivalry between the group D employees association and the non-gazetted employees association
and hence a conspiracy was hatched to implicate him in the disciplinary proceedings. Both the colleagues of
the charged officer who were examined as Defence witness, when asked about the incident, stated that Shri
PQR was on leave on the day of the incident. They confirmed even during cross examination that Shri PQR
was on leave.

6. On the basis of the above information, how you will decide the case? Also indicate the repercussions
of the case in the overall climate of the organisation.

CASE OF EXCESS CASH

Hailing from Chennai, Shri KLM was employed in the Catering Service of Southern Railway. He was
a smart young man who worked his best to serve his customers who were frequent travellers in the
Karnataka Express. Pleased with his Service, with a smile most of the passengers would pay some tip which
he would accept reluctantly. But it was solid two hundred rupees in a trip from Delhi to Bangalore.
Whenever he came to Delhi, he atleast made a phone call to his dear friend who is employed as UDC in
Ministry of Rural development and stays in the working girls Hostel in Curzon Road, adjoining Baroda House.

Over a period of time `tip became a service charge. During May 96, there was a complaint that
some service boys were demanding tip as a matter of right. Beside, the department also suspected that
some of the employees were reducing the content of each cup of tea/coffee and were selling 120 teas out of
100 in a container. On that fateful day, when he was on his routine journey from Delhi, there was a raid by
vigilance Staff. During the raid, he was found in possession of Rs.1200/- over and above what should have
been days collection. He was immediately put under suspension and given a show cause notice. In reply to
show cause he explained that almost everybody in the Catering department is compelled to earn a bit extra
to compensate towards loss of items on account of non-sale rejection or being turned stale. This loss is
recovered from their wages for no fault of theirs. As regards Rs.1200/- he submitted that this amount
belonged to his friend Radha who had given it to him for handing over to her mother in Chennai. Reply to
the show cause notice did not satisfy the disciplinary authority.

Accordingly, a charge sheet was issued to him for possession of extra cash. During the enquiry,
Shri LMN reiterated his stand that excess money in fact belonged to his friend who had given him that
money to be handed over to her mother when he meets her at Chennai at weekly off. During her statement
Radha has confirmed that she had given him Rs.1200/- for onward transmission to her mother at Chennai.

Q. If you are Presenting Officer in this case how will cross examine Radha?

Q. What preparation will you make for this?

THE TRANSFER RASGULLA

Mr. `G, a Group `A Civilian Officer of the Navy was transferred from Calcutta to Cochin by an
order issued by Mr `B, an Officer in Naval Headquarters. Mr `G represented against the transfer and
requested that his transfer may be deferred for six months. The request was, however, not acceded to.

One evening, Mr `G went to the house of Mr `B. On meeting him, he explained his problem and
also expressed his apology for not bringing `Rasgullas for his children from Calcutta as he had a very tight
schedule. During the talk, he also took out his purse which clearly showed a pack of some currency notes.
On seeing the purse, Mr `B got very annoyed and asked Mr `G to leave the place. Mr. `B who had a
reputation of being very honest and straight forward person in the office made a complaint to the higher-ups
that Mr `G tried to bribe him for cancellation of his transfer. Mr `G was accordingly chargesheeted. An
inquiry was conducted wherein he was thoroughly questioned by I.O. While answering the questions, Mr.
`G admitted having spoken about `Rasgullas and taking out his purse. The sole witness on behalf of
Disciplinary Authority was Mr `B. I.O. found Mr. `G guilty and he was awarded the penalty of removal from
service by a detailed order passed by Director of Civilian Personnel. No report of the Inquiry Officer was,
however, supplied to Mr `G on the plea that the order contains all necessary details as would enable him to
prefer an appeal against the penalty awarded.

Please study the above case carefully and list out flaws/irregularities, if any, in disciplinary
proceedings.

95
SIR, I HAVE NO MONEY

A complaint was received against Mr `A, UDC, in Naval Dockyard that he had absented from duty
in an unauthorised manner and that he abused his immediate superior and also threatened of dire
consequences, if he reported the matter to the higher ups. A strict disciplinary action was recommended
against him.

As disciplinary action was contemplated against him, Mr `A was placed under suspension. Before
issuing a formal charge sheet, Disciplinary Authority directed Mr `X, one of his subordinate officers to make
preliminary investigations to ascertain if prima facie case existed against Mr `A. Mr. `X carried out
investigation. During investigation he recorded statements of 3 persons (Mr `B, `C and `D). Based on
report submitted by Mr. `X, Disciplinary Authority ordered for initiation of Disciplinary proceedings.
Accordingly, following charges were framed against him:

1. Shri `A while functioning as UDC in Naval Dockyard absented himself from duty in an
unauthorized manner from 01 Dec 86 to 23 Apr 87.

2. On 26 Apr 87, Shri `A refused to carry out the lawful orders given to him by his
immediate superior, shouted at him in his cabin and threatened him of dire consequences
if the matter was reported to the higher ups.

Mr A denied the charges leveled against him. Disciplinary authority appointed Lt `Y, his staff
officer as Inquiry Officer and CPO `Z as Presenting Officer in the case. Mr `B, `C and `D were cited as
witnesses in the charge sheet.

In response to the notice issued by Inquiry Officer for preliminary hearing, Mr `A appeared but
submitted an application that Inquiry Officer being closely associated with the disciplinary Authority will act
as per his directions/dictates. He cannot, therefore, expected to be impartial. Inquiry Officer immediately
referred the matter to Disciplinary Authority and also fixed a date for inspection of documents. Mr `A
moved another application requesting that he may be permitted to engage a lawyer as his Defence Assistant
because the Presenting Officer was a Law Graduate, whereas he was only a matriculate, unaware of the
intricacies of the disciplinary proceedings which is like a court. The request was considered by Inquiry
Officer who advised him that he cannot be allowed to engage a lawyer. However, he can avail the services
of another Government Servant of his department as a Defence Assistant.

On the date fixed for Inspection of the documents, Mr `A moved an application requesting that he
may be provided with copies of statements made by Mr B, C & D before the investigating Officer and also the
report submitted by Investigating Officer to the Disciplinary Authority. Report of Investigating Officer was
denied on the plea that it was a classified document. Similarly copies of statements of Mr B, C & D were also
not given on the plea that there persons will examined by I.O. in the presence of Mr A. He can cross
examine them based on their testimony before Inquiry Officer.

Mr A participated in a regular hearing when statement of Mr B was recorded. He, however could
not be cross examined that day and the matter was adjourned for a week.. Before next date of hearing, Mr
A made a request to Disciplinary Authority to permit him to proceed to his home town to see his ailing
father. It was granted.

In response to notice sent by Inquiry Officer for regular hearing, Mr A did not appear. He instead
sent a medical certificate stating that he was sick. He instead sent a medical certificate stating that he was
sick. He requested for adjournment for a fortnight. Inquiry Officer adjourned the hearing accordingly.
Again, on next date of hearing he expressed his inability to attend the proceedings on the plea that he had
no money as he had also not been paid any subsistence allowance. This plea was not accepted by Inquiry
Officer and he decided to hold Inquiry Ex-parte.

To be sure about the facts before writing his report, Inquiry Officer consulted Head of the
Department of Mr A and also his colleagues about the general behaviour/temperament of Mr A. Thereafter,
he submitted his report. In the report, he held that both the charges levelled against Mr.A stood proved.

Disciplinary Authority agreed with the findings of Inquiry Officer and awarded penalty of removal
from service.

Please study the above case carefully and list out flaws/irregularities, if any, in disciplinary
proceedings.

96
AS I WAS ORDERED, SO I DID

An anonymous complaint was received in NHQ some irregularity/Favouritism has taken place in the
matter of recruitment of DMan at Naval Dockyard. The complaint being anonymous was ignored. After few
days similar complaint was published by a local daily under its `Letters to Editor column. A clipping of the
letter was submitted to Assistant Chief of Personnel(Civ) for his perusal. He orderd that complaint be
referred to CSO(P&A), HQWNC to have the matter investigated and submit a detailed report and to fix the
responsibility. The CSO(P&A) reported that there was prima facie truth in the complaint. A serious
irregularity was noticed in the recruitment process, in that the list of candidates received from Employment
Exchange was tampered with a person who was not sponsored by the Employment Exchange was
interviewed and selected. It was also reported that there was a prima facie case against Clerk and OS-I,
who had handled the case. Based on this report disciplinary action was initiated against the Clerk Mr A and
OS-I, Mr B for tampering with official documents and lack of integrity, Newspaper cutting, report of
CSO(P&A), and list of candidates original and tampered were initially cited as documents based on which the
charge was to be substantiated. Later, through an amendment the report made by CSO(P&A) was deleted.
During the Preliminary Hearing accused Government Servants insisted for production of NHQ letter calling
for factual position and the report made by CSO(P&A). It was, however, denied on the plea it was an inter-
departmental communication and that it was not relevant from Defence point of view. During the Inquiry Mr
A admitted that he had tampered the list but this was on the basis of advice of his official superior Mr B. Mr
B denied having ever asked Mr A to tamper with the list. Mr A also stated that this was not the first case. In
the past also such irregularities have happened. He sought to produce the record of earlier recruitments
but was not allowed by IO. On the plea that it had no connection with the case in hand. Inquiry Officer
found the clerk guilty of the charge based on evidence on record. No mention was, however, made to the
report of CSO(P&A). Based on Inquiry report, Mr. A was removed from service. Govt. servant preferred an
appeal against the punishment order wherein he raised the following grounds:-

i) He has been falsely implicated.

ii) That has been denied of a reasonably opportunity as he has not been supplied with a copy
of the report of CSO(P&A) which is an important document.

iii) He has been made a scape-goat as whatever he did was based on verbal directions of his
official superior(the person selected was distant relative of a CGO in HQWNC)

iv) The penalty awarded is disproportionate to the guilt.

He requested the Appellate Authority to grant him a personal hearing. Appellate Authority did not
give him any hearing and by an order confirmed the penalty awarded by the disciplinary authority stating
that:-

a) laid down procedure has been followed for awarding the penalty.

b) Finding of Disciplinary Authority are based on evidence on record.

c) Penalty awarded by Disciplinary Authority is contemporary adequate.

Please study the above case carefully and point out if there has been any flaw in the handling of
this case.

97
THEIR LORDSHIPS HAVE ALREADY DECIDED

1. Shri. Roop Kishore was a Personal Assistant in the Office of the Commissioner of Income Tax in
Calcutta. He was recruited as a Lower Division Clerk about seven years ago, when he was only a
matriculate. He qualified in the grade D Stenographer's Limited Departmental examination and
thereafter he qualified in the competitive examination of the UPSC and become a Personal Assistant
about 3 years ago. He was also pursuing his Post graduation in Political Science from the Jaipur
University.

2. One day a complaint was received by the Commissioner, from one Ms. Pushp Lata resident of
Ranchi, alleging that Shri. Roop Kishore had impersonated himself as a bachelor and married her
(Ms. Pushp Lata). She had narrated that she was a teacher in Ranchi and her parents had made an
advertisement in the matrimonial column of some news papers inviting proposals from eligible
persons. Shri. Roop Kishore responded to the advertisement and about 3 months later, in the
month of July, the two were married. After marriage, Pushp Lata continued to stay at Ranchi on
account of her employment and Roop Kishore told her that he was trying to get a transfer to
Ranchi. About six months after the marriage, she made an unscheduled visit to Calcutta and found
to her horror that Roop Kishore was a married man for about five years. The lady who had
participated in the marriage of Pushp Lata and Roop Kishore claiming to be the cousin of Roop
Kishore was in reality, the first wife of Roop Kishore. They had a four years old son and a 3 months
old daughter. The two tried to persuade Pushp Lata to reconcile to reality and live as the second
wife of Roop Kishore, but she left Calcutta in a huff. She had also initiated legal proceedings for the
dissolution of the marriage.

Activity I:

List the efforts you would initiate for ascertaining the veracity of the allegation

3. When the above complaint was received, Roop Kishore was on 2 weeks leave for visiting Darjeeling
to meet his ailing mother. The Commissioner got the matter checked up through the personal
records of Shri. Roop Kishore. It transpired that he was married about 5 years ago to a lady named
Pavithra and they had two children, a boy of 4 years and a girl 3 months old. During July last year,
Roop Kishore was on three weeks leave for visiting Kanya Kumari availing LTC. His LTC claim
indicated that he was continuously travelling from Calcutta to Kanya Kumari throughout the leave
period and there was no possibility of his having visited Ranchi during July last year. The
Disciplinary Authority could not make up his mind as to how to proceed further. He directed that a
letter might be sent to the complainant viz. Pushp Lata, requesting her to provide evidence in
support of her allegations.

4. Before, the Commissioner could get any reply from the complainant, he got a communication from
Ranchi Police, informing him that they had arrested Shri Roop Kishore, Personal Assistant, on the
basis of a complaint given by one Ms. Pushp Lata. Later on Roop Kishore was released on bail after
about a fortnight. As he was held under Police/Judicial Custody for more than 48 hours, orders were
passed towards his deemed suspension. The disciplinary authority managed to collect more
evidence on the case, especially from Pushp Lata who had also promised to participate in the
inquiry, if required and tender evidence on behalf of the disciplinary authority. About a year letter,
Charge sheet was also served on Shri Roop Kishore.

Activity II

Draft a charge sheet on the basis of the given information

5. The charges levelled against Shri Roop Kishore were lack of absolute integrity and conduct
unbecoming of a Govt. servant. He denied these charges and represented that it would not be
appropriate to proceed against him when the matter is pending in the court. According to him, his
participation in the departmental inquiry may prejudice his defence in the court and this will be a
violation of his fundamental right under article 20 of the Constitution. In view of the legal and
constitutional implications of the case, the administrative authorities could not take a view in this
matter.

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Activity III:

How would you dispose of the representation from Shri Roop Kishore?

6. In the mean time Roop Kishore produced a letter from Pushp Lata which indicated that she had
withdrawn the criminal complaint she had filed against him. On the basis of this letter, Roop Kishore
contended that his suspension must be revoked. When the authorities were trying to verify from
Pushp Lata as to whether she had in fact issued such a later, Roop Kishore produced a certified
copy of an order from the Magistrate, Ranchi, indicating that Criminal case No. xxxx/xxx Ms. Pushp
Lata Vs Shri Roop Kishore was dismissed as the petitioner had withdrawn the complaint.

7. On the basis of this Judgement, Roop Kishore contended that, the charge sheet must be withdrawn
and the case closed. The authorities took some time in deciding as to whether to proceed with the
charge sheet or to close the case. Finally it was decided to revoke the suspension and continue the
disciplinary case. In the order of revocation of suspension, it was mentioned that a final decision
regarding how to treat the period of suspension would be taken on conclusion of the disciplinary
case.

8. In the Inquiry proceedings, the documents produced on behalf of the disciplinary authority were as
under:

(a) Family details furnished by the Charged Officer for the purpose of service records.

(b) Initial complaint from Ms. Pushp Lata.

(c) The information from Ranchi Police about the arrest of Shri Roop Kishore.

(d) A copy of the advertisement given by the parents of Pushp Lata inviting proposals.

(e) A letter written by Roop Kishore in response to the above advertisement.

(f) Marriage invitation.

Activity IV:

Comment on the appropriateness and the strength of above evidence

9. In response to the direction of the Inquiry Officer to submit the list of additional documents, the
Charged Officer requested for the LTC claim he had submitted in the month during which the
marriage is alleged to have taken place. He also desired that the certified copy of the order of the
Magistrate vide which the criminal case filed by Pushp Lata was dismissed, may also be taken on
record.

10. Just before the commencement of the proceedings by the Inquiry Officer, the Presenting Officer
wrote to Pushp Lata, to be in a state of readiness to attend the inquiry at short office. She promptly
replied to the above letter, expressing her inability to participate in the inquiry on the ground that
she wanted to forget the unpleasant episode as a bad dream. She was however kind enough to
forward a certified copy of the Judgement of the Patna High Court, which had declared her marriage
void on the ground that, the marriage was performed through fraud. On receipt of the above letter
from Ms. Pushp Lata, the Presenting Officer moved a request before the Inquiry Officer, for adding
the Judgement of the Patna High Court to the listed documents. The Charged Officer objected to
this request on the ground that the inclusion of this evidence at this belated stage is for the purpose
of filling up a gap and hence should not be allowed.

Activity V:

How would you decide the issue and why?

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11. In the Inquiry proceedings, the Charged Officer disputed all the documents except two. Firstly, the
family details given by him for the purpose of his service records and the information from the
Ranchi Police about the arrest of the Charged Officer. Accordingly, the Inquiry Officer took the two
documents on record. He also ruled that the certified copy of the judgement of the Patna High Court
is allowed as a listed document and took the same on record as State Exhibit No.3. A copy of the
judgement was also given to the Charged Officer. As regards the remaining documents, the Inquiry
Officer directed that the same may be introduced through oral evidence.

Activity VI:

Was the Charged Officer within his right to dispute so many listed documents without
assigning any reason? How to react to such a situation as a Presenting Officer and as an
Inquiry Officer?

12. The Presenting Officer could not produce any oral evidence to introduce the remaining documents
and hence the same could not be brought on record. The only oral evidence on behalf of the
disciplinary authority included in Annexure IV to the charge sheet viz. Ms. Pushp Lata had declined
to participate in the inquiry. Hence the case of the disciplinary authority was closed at this stage.

13. As requested by the charged officer the LTC claim submitted by him relating to the month during
which he was alleged to have married was taken on record along with a copy to the Charged Officer
and the Presenting Officer. The Certified copy of the Magistrate's Court Ranchi was also taken on
record. The Charged Officer offered himself as a witness and during the examination in chief stated
that on the date he is alleged to have married Pushp Lata at Ranchi he was actually at Madurai as
per the Govt. records, viz. the LTC claims. He also clarified that he had a personal feud with Pushp
Lata and that is why she had taken the extreme step of wreaking vengeance on him. Some of the
important questions raised by the Presenting Officer, during cross examination, and the answers of
the charged officer thereto are as under:

(a) Q. Did you in the month of February 19xx respond to any matrimonial advertisement?
Ans. No

(b) Q. What was the personal feud between you and Ms . Pushp Lata?
Ans. She wanted to marry me and I declined the proposal. This was despite the fact that
she knew that I was already married.

(c) Q. How did she come to know about you?


Ans. She was a friend of my wife when both them studied in Patna.

(d) Q. How comes she studied at Patna, when she hails from Ranchi?
Ans. I am not able to answer this question because I never wanted to know anything
about her, especially some incident pertaining to a period when my wife was a spinster.

(e) Q. Does not the fact of your arrest establish that you had committed some offence?
Ans. Does not the dismissal of the criminal case establish my innocence?

(f) Q. But, the criminal case was dismissed as withdrawn. How can that establish that you
are innocent?
Ans. The petitioner withdrew the case only because she realised that she was to lose the
case.

(g) Q. Were you in Ranchi on xx July xx (date)?


Ans. As per the document DE-1, I was in Madurai on that date?

(h) Q. The document is not a conclusive proof of your presence in Madurai on that date.
Ans. I have given some document in support of my contention. If you dispute it and
contend that I was in Ranchi on that date, you should lead some evidence, rather than
questioning my evidence.

(i) Q. The Complaint of Ms. Pushp Lata, the advertisement in the matrimonial column,
the marriage invitation are all evidence in support of the fact that you were present in
Ranchi on the above date.

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Ans. As these documents are not on record, I am not required to answer this question.

(Inquiry Officer disallowed this question because the documents are not on record)

(j) Q. If you are innocent, why should you have been involved in the entire episode?
Ans. This question should be addressed to the complainant or to god rather than me.

Activity VII:

Comment on the quality of the questions by the Presenting Officer


How would you prepare for the cross examination of the Charged Officer

14. The Presenting Officer, in his written brief contended that the Charged Officer had not explained
satisfactorily the circumstances appearing against him. The fact that there was a court case against
him is sufficient proof to establish that the Charged Officer had committed a fraud against Ms.
Pushp Lata. Besides he was even arrested and kept under custody for about a fortnight. All these
establish the charge under the principle of preponderance of probability.

Activity VIII

On the basis of the given information, draft a written brief of the Presenting Officer

15. The Charged Officer, in his written brief contended that the charge has not been established by the
Presenting Officer. He contended that the entire evidence on behalf of the disciplinary authority
pertained to his unfortunate arrest and release. No evidence was forthcoming relating to the
alleged marriage. Neither any person who attended the marriage nor any documentary evidence
such as marriage registration certificate or photograph was produced on behalf of the disciplinary
authority. According to him he was a victim of vengeance. He therefore prayed that he might not be
held guilty.

16. The Inquiry Officer, relied exclusively on the judgement of the Patna High Court vide which the
marriage between Shri Roop Kishore and Ms. Pushp Lata was held as void on the ground of fraud.
In his brief Inquiry Report, he held that the Lordships of the Patna High Court had already held that
the marriage was performed through fraud and there is no need to examine any other evidence on
record. According to him, once a person is found guilty by the court, penalty can be imposed
straightaway; there is no need even to conduct an inquiry under such circumstances. The inquiry
which was ordered before Pushp Lata made the certified copy of the judgement available, was only
a formality and the disciplinary authority can impose the penalty even without awaiting the Inquiry
Report. He concluded the Inquiry Report as under:

Conclusion: Their Lordships of the Hon'ble High Court of Patna have decided the issue
while declaring the marriage void. On the basis of the judgement, it is established that
the Charged Officer is guilty. This is on the basis of a higher standard of proof viz. proof
beyond reasonable doubt. The Charged Officer is therefore certainly guilty on the basis of
the preponderance of probability.

Activity IX

On the basis of the given information, draft an Inquiry Report

17. The disciplinary authority agreed with the findings of the Inquiry Officer and imposed the penalty of
removal from service on Shri Roop Kishore.

Activ ity X

What course of action you would have resorted to on receipt of the Inquiry Report?

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FROM DANDAKARANYA WITH LOVE

1. A Cadre controlling authority in New Delhi received a representation from Ms. XYZ, a lady residing
in a remote part of the country. It was stated in the representation that she was the wife of Shri PQR
employed under the Cadre controlling authority. She had also clarified that a few years back when Shri PQR
was working in a project, she got married to him as his second wife and they had 2 children. A couple of
years back, PQR told XYZ that he had been transferred to New Delhi and initially he would be taking only the
first wife and the children of the first wife to Delhi and planned to take the second wife and her two children
to New Delhi at a latter date. The grievance of Ms. XYZ was that she was not receiving letters from Shri.
PQR for the past 6-7 months. She therefore, requested the Cadre controlling authority to advise Shri. PQR
to write to XYZ.

2. As per the records of the Cadre Controlling Authority, Shri PQR was earlier working in the project
mentioned by XYZ. About two years ago, on the completion of the project, he was rendered surplus. He was
re-employed in New Delhi under the surplus-deficiency scheme. As the letter from XYZ indicated that Shri
PQR was guilty of bigamy, the Cadre controlling authority thought it appropriate to investigate the matter.
Ms. XYZ was asked to furnish any evidence in support of the contention that she was the wife of Shri PQR.
Her willingness was also sought as to whether she could tender evidence in case an inquiry was ordered in
the matter. Ms XYZ forwarded a few letters written by PQR to her. The letters were of a general nature
inquiring about the family, agricultural operations, monsoon etc. Ms. XYZ also forwarded a photograph
wherein Shri. PQR and Ms. XYZ were standing side by side with a 5 years old boy standing in front of them.

3. On a reference to the local police, the Cadre controlling authority received a report confirming that
on the basis of enquiry in the neighborhood, it was established that Shri. PQR and Ms. XYZ were husband
and wife and they had two children. In addition to this, an extract from the hospital register was also made
available to the Cadre controlling authority. As per this document, Shri. PQR was shown as the father of the
second child of Ms. XYZ at the time of the birth of the child. The Cadre controlling authority was also in
possession of an affidavit from an ex-MP. He had vouched that he had personal knowledge that PQR had
robbed XYZ of what all she had and that although XYZ was not educated or employed, she had some earning
by working in the farm or by rearing cattle and she had helped PQR substantially for purchase of a small
house in the village. The deponent had expressed his strong desire that the people who commit mischief
with women be punished appropriately. He had also expressed his inability to attend the inquiry on account
of his poor health. To enable the disciplinary authority to take on record the information furnished by him,
the deponent had made the statement in the form of an affidavit and got it attested by a public notary.

4. With the above information, it was decided to charge sheet Shri PQR for major penalty proceedings.
The evidence in support of the case of the disciplinary authority is as under: -

i) Letters written by PQR to XYZ.


ii) Photograph of XYZ, PQR and a boy.
iii) The Police report.
iv) Hospital Records
v) Affidavit of MP
vi) Oral Evidence of XYZ.

5 The material part of the proceeding in the inquiry was as under: -

a) With regard to the letter, Shri. PQR contended that the letters do not establish that
Shri. PQR and Ms. XYZ were husband and wife.

b) As regards the Photograph, Shri. PQR stated that there was a function in his family
wherein the visitors and the family was photographed. Shri. PQR snapped a
photograph of the wife of Shri. PQR and Ms. XYZ and later, Smt. PQR snapped a
photograph wherein Shri. PQR and Ms. XYZ were standing.

c) As regards the police report, Shri. PQRs contention was that because he is not there
in the village, some neighbours who are jealous of his official position might have
informed the police and the same could not be relied upon because the witnesses were
not subject to cross examination.

d) As regards the hospital records, Shri. PQR contended that the hospital clerk would
have made the entry about the childs father on the basis of what was informed to
him. The entry does not indicate that Shri. PQR was even present in the scene. It
was possible for any pregnant lady to inform the name of any person as the father of

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the child. The Hospital authorities do not have any means of verifying the facts of
such a statement. Hence this information may not be taken into account.

e) As regards the MPs affidavit, the same could not be relied upon because the deponent
was not subjected to cross examination.

f) Shri. PQR presented oral evidence from his side and on his behalf. The contention of
Shri. PQR was that Ms. XYZ was a woman of loose morals and she tried to defame
him. To substantiate this contention, PQR brought an oral evidence. The witness was
the brother of XYZ!

6. On the basis of the available information, how will you decide the case? Please give reasons for the
weight you will be assigning to each piece of evidence.

AN EXPLOSIVE TEMPORARY DUTY

1. As soon as Mohan reached home the telephone bell rang. Avinash was on the line. He wanted to
see Mohan immediately in connection with a Charge Sheet, which was served on him last Monday. Mohan
was handling Vigilance Desk in his Office for the last 10 years. He was thus familiar with almost all aspects
of Disciplinary Cases. He was respected amongst `Charged Officials as well as his boss in the office.

2. Avinash was employed as Senior Inspector in the explosives department and was posted at
Chandigarh. His duties among other things involved visit to various factories involved in manufacturing of
gun shells and cordite fuses. He was also a Champion of the working class. As a general Secretary of
employees Association, he would often come in conflict with Senior Officers. Many were jealous of him but
could not touch his, as he was master of his job.

3. Mohan asked Avinash to see him next day i.e. Sunday in the morning. After pursuing the papers
Mohan found that following charge had been leveled against Mohan: -

Shri Avinash Saxena, working as Sr. Explosives Inspector failed to comply with lawful
order of the competent authority on 15th July 98 in that he refused to proceed on temporary duty to
M/s Mohindra Explosives, Nasik for inspection of 130 MM Gun Shell manufactured by them. By the
above act Shri Avinash has exhibited lack of devotion to duty and acted in a manner unbecoming of
a Government servant.

4. Details of circumstances under which above misconduct was supposed to have been committed
were that an order was issued by the Competent Authority on 12th Jul 98 ordering Shri Avinash Saxena to
proceed to M/s Mohindra Explosives, Nasik. He was served the Movement Order on in the afternoon of 12
July 98 itself when he came to attend JCM Meetings. Shri Avinash refused to comply with the lawful order
and also wrote on Office copy of movement order as under:-

Circumstances already explained to Chief Inspector. I am not in a position to move as I


am not feeling well for the last three months. I am not able to take long journey.

5. The above writing was witnessed by Shri Kailash, Administrative Officer and Shri Nand Kishore,
LDC. When asked to explain his above refusal, Shri Avinash explained that he could not go as he was not
well. After refusing to move on temporary duty Shri Avinash, who had come to Delhi to attend JCM meeting
reported back to his office at Chandigarh on 13 July 98. He did not submit any medical certificate in support
of his claim for illness. It clearly showed that he was fit on 12 July 98 when he refused to proceed on
temporary duty. He also attended his office at Chandigarh on 13 July 98 which further strengthens the
inference that Shri Avinashs refusal to proceed on temporary duty on 12 July 98 was willful and a clear
defiance of the order of Competent Authority.

6. During discussion with Mohan, Avinash informed that his absence for the period 14 July 98 to 25
July 98 had already been regularised by Competent Authority by grant of Earned Leave. As a proof he
showed the copy of the Order sanctioning his leave. He also informed that the Chief Inspector was biased.
He did not like Avinash who had pointed out many acts of irregular nature and instances of favouring certain
firms.

7. Mohan advised that in the above circumstances no case could be made. He accordingly advised
Avinash to deny charges and submit an explanation. Avinash did accordingly. However, it was not accepted
by Competent Authority. Accordingly, IO and PO were appointed by the disciplinary authority.

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8. During the course of Inquiry the Administration relied on the following documents:

a) Copy of Movement Order detailing Shri Avinash on temporary duty to M/s Mohindra
Explosive Nasik on 15 July 98. Copy of movement order also contained remarks made by Shri
Avinash.

b) Extracted Attendance Register, which showed that Shri Avinash, was on EL on 14 and 15
July 98.

9. Shri Kailash, Administrative Officer and Shri Nand Kishore, LDC were cited as witnesses.

10. During Inquiry Shri Kailash stated that on 12 th July 98 Shri Avinash had come to Delhi office in
connection with JCM Meeting. During the day a decision was taken by the Chief Inspector to depute Shri
Avinash to Nasik to carry out inspection at M/s Mohindra Explosives. Accordingly, a Movement Order was
prepared and served on him at about 1630 hrs. On 12 July 98 itself in the presence of Shri Nand Kishore,
LDC. While taking the Movement Order, Shri Avinash informed him (Administrative Officer) that he was not
well. He had already spoken to Chief Inspector. Shri Kailash then advised Shri Avinash to proceed on duty
to Nasik as the matter was urgent. However, Shri Avinash did not pay any heed to advice and left after
writing Circumstances already explained to Chief Inspector. As I am not feeling well for last 3 months I am
not in a position to move on long journey.

11. During Cross examination Administrative Officer admitted that he was aware about leave taken by
Shri Avinash Prior to 12 July 98. When confronted with copy of order sanctioning leave to Shri Avinash for 12
July to 25 July 98, he explained that the absence had to be regularised by grant of appropriate leave. He
also clarified that on 12 July 98 Shri Avinash had come to attend JCM Meeting. He was given dentition
certificate at about 1615 or 1700 hrs. When asked to explain procedure for sanction of TA/DA when journey
had to be performed in such a short notice, Administrative Officer clarified that it was up to the employee
concerned to demand it or reimbursement could be claimed later. He also affirmed that being Union Leader,
Shri Avinash did not have cordial relations with Chief Inspector.

12. Second witness to be examined was Shri Nand Kishore, LDC. He explained his charter of duties and
also the procedure for deputing a person on temporary duty. He stated that he had received Chief
Inspectors approval for temporary duty movement of Shri Avinash at about 1630 hrs on 12 July 98. He
immediately prepared movement order, got is signed by Administrative Officer, thereafter, he searched for
Shri Avinash, who had come to Delhi, in connection with JCM Meeting. According to him Shri Avinash took
movement order and informed that he was not well. He then advised Shri Avinash to discuss the problem
with Admn. Officer. Shri Avinash met Administrative Officer who advised him to submit the problem in
writing. As it was already past 1700 hrs, the Office was about to close, Administrative Officer asked him to
write the problem on movement order itself. Thereafter, Shri Avinash wrote something on the movement
order and gave it to Administrative Officer. After this Shri Nand Kishore left office for home.

13. During cross examination Shri Nand Kishore was asked whether he had made any statement
earlier, he explained that after his incident, he was given a pre-prepared statement which he had signed. It
was after a month of the incident. He also confirmed that there was an environment of terror in the office,
sometimes people had to sign on the dotted line. With regard to relations of Shri Avinash with Chief
Inspector, the witnesses confirmed that these were far from cordial. He also stated that apparently Shri
Avinash was looking pale and weak on 12 July 98 when he met him.

14. On his part Shri Avinash submitted that on 12 July 98 he had come to Delhi to attend JCM Meeting,
despite being unwell, as some important points were to be discussed. Prior to this he had attended CGHS
Dispensary on 11 July 98. He stated in defence statement that he never refused to obey the order. He only
explained his position to Administrative Officer and Chief Inspector. Whatever he wrote on movement order
was based advice of Administrative Officer. As he had risen from ranks his English was not very good. He
also showed copy of Order by which his leave from 14 July 98 to 25 July 98 had already been regularised,
which clearly implied that the Administration had no objection to his absence. Although there was time of
two days, he was not conveyed the decision of Chief Inspector on his remarks on the Movement Order. He,
therefore, believed that some alternative arrangements might have been made.

IF YOU ARE INQUIRY OFFICER IN THIS CASE WHAT WILL BE YOUR FINDINGS? GIVE REASONS FOR YOUR
FINDINGS

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A TALK ON
DISCIPLINARY
PROCEEDINGS
ITs CONDUCT
&
DOS AND DONTS

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