DRAFT

Hand book on
Departmental Enquiries

References taken from:-

1. Hand book on Enquiries by Sh L.N. Mishra Dy . Comdt
2. workshop on D.E. by legal branch Dte general
3. Instructions on the subject .
 INDEX

Sl. no Subject Page no.

1. Definitions 1-2
2. Purpose 3
3. Conduct rules 4
4. Penalties & procedure for imposing 5-16
penalties under ccs (cca) rules
5. GOI instructions on departmental 17-31
proceedings
6. Inquiry officer 32-39
7. Presenting officer 40-43
8. Disciplinary authority 44-46
9. Defence assistant 47-51
10. Ex- Parte proceedings 52-55
11. Avoiding delay & dilatory tactics 56-59
12. Initiation of DE against officers 60-61
13. General shortcomings found in DE 62-63
against officers
14. DO’S & DON’TS 64-70
14. Procedure of DE under CRPF rules 71-77
15. Procedure of DE under CCS ( CCA ) 78-81
rules
16. Procedure if Ex- Parte DE 82-83
17. Common proceedings 84
18. Daily order sheet 84-85
19. Inquiry report 86-87
20. Difference between DE under CRPF 88-90
rules and CCS(CCA) rules
21 Charge sheet 90-92

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22. Model procedure of DE under CRPF 93-100
rules
23. Order of disciplinary authority 101-102
24. Comparison between PE, COI and DE 103

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 DEFINITIONS :-

Section 3 (a) of Departmental Inquiries Act 1972

"Departmental inquiry" means an inquiry held under

and in accordance with -
(i) Any law made by parliament or any rule made there
under; or
(ii) Any rule made under the proviso to Article 309 or
continued under Article 313 of the Constitution of India
into any allegation of lack of integrity against any
person to whom this Act applies;

Section 3 (b): Departmental Inquiries Act 1972—

''Inquiring authority'' means an officer or authority

appointed by the Central Government or by any officer
or authority, subordinate to that Government to hold a
departmental inquiry and includes any officer or authority
who is empowered by or under any law or rule for the time
being in force to hold such inquiry. Inquiring authority is one
who is appointed to inquire into the charges levelled against
Govt servant by competent disciplinary authority. He should
be fair and unbiased during the proceedings and should
rely on only the evidences produced before him. He should
not act as Presenting Officer. He is also called Enquiry
Officer (E.O/I.O). He has got certain powers and he has to
exercise them in a judicial spirit. Though he enjoys his
powers as delegate of management (Hazrat Saiyed Shah Vs
Commissioner of Wakf AIR 1961 SC 1095) but in discharging
his duties and functions he is supposed to be independent
and not subordinate to the superior officers who have
entrusted him with the enquiry. He is a man of status,
unbiased and impartial.

Rule 2(g) CCS (CCA) Rules 1965 –

“Disciplinary authority” means the authority

competent under these rules to impose on a govt. Servant
any of the penalties specified in Rule 11.Disciplinary
authority in respect of an official is to be determined with
reference to his posting at the relevant stage of the
disciplinary case and not with reference to his posting and
status at the time of commission of the offence. He is

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competent to take disciplinary action and impose the
penalties against the concerned govt servant. There may be
different competent disciplinary authority for major & minor
penalties. Disciplinary authority for major penalties cannot
be lower than the appointing authority.

Presenting Officer (P.O) is appointed by disciplinary

authority to present the case on behalf of
state/disciplinary authority before Inquiry Officer to
establish the charge against Govt servant on the basis of
'preponderance of probability' or 'beyond reasonable doubts.'

Defence Assistant (D.A) is a person who is willing to

help a colleague Govt servant during proceeding. He is
true friend of charged official. Charged official appoints him
as D.A.

Charged Official (C.O) is a Govt servant against

whom charge sheet is issued by disciplinary authority. He is
known as delinquent/accused also.

Prosecution Witness (P.W) is one who is produced by

or on behalf of disciplinary authority and relied upon to
substantiate the charges against C.O. He is known as State
Witness (S.W) also.

Defence Witness (D.W) is one who is produced by or

on behalf of charged official to defend his case.

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 PURPOSE: -

The purpose of Departmental Enquiry is to

enquire into the truth of the charges levelled against the
Govt. servant for alleged disobedience, neglect of duty,
remissness in discharge of duty, misconduct or misbehavior
done by the alleged person in the capacity of being public
servant as such. If the charges are sustained the delinquent
may be awarded minor/ major penalties depending on the
gravity of offence/misconduct. The Supreme Court held that,
“ The only purpose to hold enquiry is to help punishing
authority to come to a definite conclusion regarding guilt of
the accused. (Venkatramanan Vs UOI, AIR 1954, SC 375)
The second aspect of D.E is to observe the mandatory
constitutional provisions under clause (2) of Art 311. Under
this provision, no person who is a member of civil service of
the Union or an All India Service or holds a civil post under
the union shall be dismissed or removed or reduced in rank
except after an enquiry in which he has to be informed of
the charges against him and given a reasonable
opportunity of being heard in respect of those charges.
Principle of Natural Justice is also to be kept in mind at all
steps during the entire proceedings. Departmental Enquiry
is quasi-judicial in nature (SC- UOI Vs HC Goel AIR 1964 SC
364) therefore technical rules of criminal trial do not apply to
DE (Joga Rao Vs State AIR 1957 AP-197). Hence, Indian
Evidence Act and Criminal Procedure Code do not apply to
departmental proceedings.

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 CONDUCT RULES

As per the CCS (Conduct) Rules, normally the

departmental enquiries against every government servant is
initiated on the following three grounds:

(i) failure to maintain absolute integrity,

(ii) failure to maintain devotion to duty; and

(ii) committing of an act which is unbecoming of a

government servant.

In exceptional circumstances, there may be other

grounds like that of a government servant engaging in plural
marriage under Rule 21 of CCS(Conduct) Rules.

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 PENALTIES

The following penalties may, for good and sufficient reasons and as
hereinafter provided, be imposed on a Government servant, namely: -

Minor Penalties –
i) Censure;
ii) Withholding of his promotion;
iii) Recovery from his pay of the whole or part of any
pecuniary loss caused by him to the Government by
negligence or breach of orders;

a) reduction to a lower stage in the time-scale of pay for a

period not exceeding 3 years, without cumulative effect
and not adversely affecting his pension.

iv) withholding of increments of pay;

Major Penalties-

v) save as provided for in clause (iii) (a), reduction to a lower

stage in the time-scale of pay for a specified period, with
further directions as to whether or not the Government
servant will earn increments of pay during the period of
such reduction and whether or the expiry of such period,
the reduction will or will not have the effect of postponing
the future increments of his pay;
vi) reduction to lower time-scale of pay, grade, post or service
which shall ordinarily be a bar to the promotion pf the
Government servant to the time-scale of pay, grade, post
or service from which he was reduced, with or without
further directions regarding conditions of restoration to
the grade or post or service from which the Government
servant was reduced and his seniority and pay on such
restoration to that grade, post or service;
vii) compulsory retirement;
viii) removal from service which shall ordinarily be a
disqualification for future employment under the
Government.
ix) Dismissal from service which shall ordinarily be a
disqualification for future employment under the Govt.

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Provided that, in every case in which the charge of acceptance from any
person of any gratification, other than legal remuneration, as a motive or
reward for doing or forbearing to do any official act is established, the
penalty mention in clause (viii) or clause (ix) shall be imposed;

Provided further that in any exception case and for special reasons
recorded in writing, any other penalty may be imposed.

PROCEDURE FOR IMPOSING MAJOR PENALTIES

UNDER RULE-14 OF CCS (CCA) RULES.

1) No order imposing any of the penalties specified in

clauses (v) to (ix) of Rule 11 shall be made except after an
inquiry held, as far as may be, in the manner provided in
this Rule and Rule 15, or in the manner provided by the
Public Servants (Inquiries) Act, 1850 (37 of 1850), where
such inquiry is held under that Act.
2) Whenever the disciplinary authority is of the opinion that
there are grounds for inquiring into the truth of any
imputation of misconduct or misbehaviour against a
Government servant, it may itself inquire into, or appoint
under this rule or under the provisions of the Public
Servants (Inquiries) Act, 1850, as the case may be, an
authority to inquire into the truth thereof.

Explanation – Where the disciplinary authority itself holds the inquiry,

any reference in sub-rule (7) to sub-rule (20) and in sub-rule (22) to the
inquiring authority shall be construed as a reference to disciplinary
authority.

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 3) Where it is proposed to hold an inquiry against a
Government servant under this rule and Rule 15, the
disciplinary authority shall draw up or cause to be drawn
up-

i) the substance of the imputations of misconduct or

misbehavior into definite and distinct articles of
charge;
ii) a statement of the imputations of misconduct or
misbehavior in support of each article of charge,
which shall contain-

a) a statement of all relevant facts including any

admission or confession made by the Government
servant;
b) a list of documents by which, and a list of
witnesses by whom, the articles of charge are
proposed to be sustained.

4. The disciplinary authority shall deliver or cause to be

delivered to the Government servant a copy of the articles of charge,
the statement of the imputations of misconduct or misbehavior and a
list of documents and witnesses by which each article or charges is
proposed to be sustained and shall required the Government servant
to submit, within such time may be specified, a written statement of
his defence and state whether he desires to be heard in person.

5. a) On receipt of the written statement of defence, the

disciplinary authority may itself inquire into such of
the articles of charge as are not admitted, or, if it

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 considers it necessary to do so, appoint under sub-
rule (2), an inquiring authority for the purpose, and
where all the articles of charge have been admitted by
the Government servant in his written statement of
defence, the disciplinary authority shall record its
findings on each charge after taking such evidence as
it may think fit and shall act in the manner laid down
in Rule 15.
b) If no written statement of defence is submitted by
the Government servant the disciplinary authority may
itself inquire into the articles of charge, or may, if it
considers it necessary to do so, appoint, under sub-
rule (2), an inquiring authority for the purpose.
c) Where the disciplinary authority itself inquires into
any article of charge or appoints an inquiring authority
for holding any inquiry into such charge, it may, be an
order, appoint a Government servant or a legal
practitioner, to be known as the ‘Presenting Officer’ to
present on its behalf the case in support of the articles
of charge.

6. The disciplinary authority shall, where it is not the

inquiring authority,
forward to the inquiring authority –

i) a copy of the articles of charge and the statement

of imputations of misconduct or misbehavior;
ii) a copy of the written statement of the defence, if
any, submitted by the Government servant;

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 iii) a copy of the statements of witnesses, if any,
referred to in sub-rule (3);
iv) evidence proving the delivery of the documents
referred to in sub-rule (3) to the Government
servant ; and
v) a copy of the order appointing the “Presenting
Officer”.

7. The Government servant shall appear in person before the

inquiring authority on such day and at such time within ten working
days from the date of receipt by the inquiring authority of the articles of
charge and the statement of the imputations of misconduct or
misbehaviour, as the inquiring authority may, by notice in writing,
specify, in this behalf, or within such further time, not exceeding ten
days, as the inquiring authority may allow.

8. a) The Government servant may take the assistance of any

other Government servant posted in any office either at his headquarters
or at the place where the inquiry is held, to present the case on his
behalf, but may not engage a legal practitioner for the purpose, unless
the Presenting Officer appointed by the disciplinary authority is a legal
practitioner, or, the disciplinary authority, having regard to the
circumstances of the case, so permits:

Provided that the Government servant may take the assistance of

any other station, if the inquiring authority having regard to the
circumstances of the case, and for reasons to be recorded in writing
so permits.

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NOTE – The Government servant shall not take the assistance of any
other Government servant who has (three) pending disciplinary cases on
hand in which he has to give assistance

b) The Government servant may also take

the assistance of a retired Government servant to present the case
on his behalf, subject to such conditions as may be specified by the
President from time to time by general or special order in this behalf.

9. If the Government servant who has not admitted any of the

articles of charge in his written statement of defence or has not
submitted any written statement of defence, appears before the inquiring
authority, such authority shall ask him whether he is guilty or has any
defence to make and if he pleads guilty to any of the articles of charge,
the inquiring authority shall record the plea, sign the record and obtain
the signature of the Government servant thereon.

10. The inquiring authority shall return a finding of guilt in

respect of those articles of charge to which the Government servant
pleads guilty.

11. The inquiring authority shall, if the Government servant fails to

appear within the specified time or refuses or omits to plead, require the
Presenting Officer to produce the evidence by which he proposes to prove
the articles of charge, and shall adjourn the case to a later date not
exceeding thirty days, after recording an order that the Government
servant may, for the purpose of preparing his defence-

i) inspect within five days of the order or within such

further time not exceeding five days as the inquiring

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 authority may allow, the documents specified in the
list referred to in sub-rule (3);
ii) submit a list of witnesses to be examined on his
behalf;

NOTE – If the Government servant applies orally or in writing for the

supply of copies of the statements of witnesses mentioned in the list
referred to in sub-rule (3), the inquiring authority shall furnish him with
such copies as early as possible and in any case not later than three
days before the commencement of the examination of the witnesses on
behalf of the disciplinary authority.

iii) give a notice within ten days of the order or within such
further time not exceeding ten days as the inquiring
authority may allow, for the discovery or production of
any documents which are in the possession of
Government but not mentioned in the list referred to
in sub-rule (3).

NOTE – The Government servant shall indicate the relevance of the

documents required by him to be discovered or produced by the
Government.

12. The inquiring authority shall, on receipt of the notice for the
discovery or production of documents, forward the same or copies thereof
to the authority in whose custody or possession the documents are kept
with a requisition for the production of the documents by such date as
may be specified in such requisition:

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Provided that the inquiring authority may, for reasons to be recorded by
it in writing, refuse to requisition such of the documents as are, in its
opinion, not relevant to the case.

13. On receipt of the requisition referred to in sub-rule (12), every

authority having the custody or possession of the requisitioned
documents shall produce the same before the inquiring authority:

Provided that if the authority having the custody or possession of the

requisitioned documents is satisfied for reasons to be recorded by it in
writing that the production of all or any of such documents would be
against the public interest or security of the State, it shall inform the
inquiring authority accordingly and the inquiring authority shall, on
being so informed, communicate the information to the Government
servant and withdraw the requisition made by it for the production or
discovery of documents.

14. On the date fixed for the inquiry, the oral and documentary
evidence by which the articles of charge are proposed to be proved shall
be produced by or on behalf of the disciplinary authority. The witnesses
shall be examined by or on behalf of the Presenting Officer and may be
cross-examined by or on behalf of the Government servant. The
Presenting Officer shall be entitled to re-examine the witnesses on any
points on which they have been cross-examined, but not on any new
matter, without the leave of the inquiring authority. The inquiring
authority may also put such questions to the witnesses as it thinks fit.

15. If it shall appear necessary before the close of the case on

behalf of the disciplinary authority, the inquiring authority may, in its
discretion, allow the Presenting Officer to produce evidence not included

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in the list given to the Government servant or may itself call for new
evidence or recall and re-examine any witness and in such case the
Government servant shall be entitled to have, if he demands it, a copy of
the list of further evidence proposed to be produced and an adjournment
of the inquiry for three clear days before the production of such new
evidence, exclusive of the day of adjournment and the day to which the
inquiry is adjourned. The inquiring authority shall give the Government
servant an opportunity of inspecting such documents before they are
taken on the record. The inquiring authority may also allow the
Government servant to produce new evidence, if it is of the opinion that
the production of such evidence is necessary, in the interests of justice.

NOTE – New evidence shall not be permitted or called for or any witness
shall not be recalled to fill up any gap in the evidence. Such evidence
may be called for only when there is an inherent lacuna or defect in the
evidence which has been produced originally.

16. When the case for the disciplinary authority is closed, the
Government servant shall be required to state his defence, orally or in
writing, as he may prefer. If the defence is made orally, it shall be
recorded, and the Government servant shall be required to sign the
record. In either case, a copy of the statement of defence shall be given
to the Presenting Officer, if any, appointed.

17. The evidence on behalf of the Government servant shall then

be produced. The Government servant may examine himself in his own
behalf if he so prefers. The witnesses produced by the Government
servant shall then be examined and shall be liable to cross-examination,
re-examination and examination by the inquiring authority according to
the provisions applicable to the witnesses for the disciplinary authority.

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18. The inquiring authority may, after the Government servant closes
his case, and shall, if the Government servant has not examined himself,
generally question him on the circumstances appearing against him in
the evidence for the purpose of enabling the Government servant to
explain any circumstances appearing in the evidence against him.

19. The inquiring authority may, after the completion of the

production of evidence, hear the Presenting Officer, if any, appointed and
the Government servant, or permit them to file written briefs of their
respective case, if they so desire.

20. If the Government servant to whom a copy of the articles of

charge has been delivered, does not submit the written statement of
defence on or before the date specified for the purpose or does not appear
in person before the inquiring authority or otherwise fails or refuses to
comply with the provisions of this rule, the inquiring authority may hold
the inquiry ex parte.

21. a). Where a disciplinary authority competent to impose any of

the penalties specified in clauses (i) to (iv) of Rule 11 (but not
competent to impose any of the penalties specified in clauses
(v) to (ix) of Rule 11), has itself inquired into or caused to be
inquired into the articles of any charge and that authority,
having regard to its own findings or having regard to its
decision on any of the findings of any inquiring authority
appointed by it, is of the opinion that the penalties specified in
clauses (v) to (ix) or Rule 11 should be imposed on the
Government servant, that authority shall forward the records of

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 the inquiry to such disciplinary authority as is competent to
impose the last mentioned penalties.
b). The disciplinary authority to which the records are so
forwarded may act on the evidence on the record or may, if it is
of the opinion that further examination of any of the witnesses
is necessary in the interest of justice, recall the witnesses and
examine, cross-examine and re-examine the witnesses and may
impose on the Government servant such penalty as it may deem
fit in accordance with these rules.

22. Whenever any inquiring authority, after having heard and

recorded the whole or any part of the evidence in an inquiry ceases to
exercise jurisdiction therein, and is succeeded by another inquiring
authority which has, and which exercises, such jurisdiction, the
inquiring authority so succeeding may act on the evidence so recorded by
its predecessor, or partly recorded by itself:

Provided, that if the succeeding inquiry authority is of the opinion that

further examination of any of the witnesses whose evidence has already
been recorded is necessary in the interests of justice, it may recall,
examine, cross-examine and re-examine any such witnesses as
hereinbefore provided.

(i) After the conclusion of the inquiry, a report shall be prepared and it
shall contain-
a) the articles of charges and the statement of the imputations
of misconduct or misbehaviour;
b) the defence of the Government servant in respect of each
article of charge;

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 a) an assessment of the evidence in respect of each article of
charge;
b) the findings on each article of charge and reasons therefore.

EXPLANATION – If in the opinion of the inquiring authority the

proceedings of the inquiry establish any article of charge different from
the original articles of the charge, it may record it findings on such
article of charge:

Provided that the findings on such article of charge shall not be

recorded unless the Government servant has either admitted the facts on
which such article of charge is based or has had a reasonable
opportunity of defending himself against such article of charge.

ii) The inquiring authority, where it is not itself the disciplinary

authority, shall forward to the disciplinary authority the records of
inquiry which shall include-
a). the report prepared by it under clause (i);
b) the written statement of defence, if any, submitted by the
Government servant;
c) the oral and documentary evidence produced in the course
of the inquiry;
d) written briefs, if any, filed by the Presenting Officer or the
Government servant or both during the course of the
inquiry; and
the orders, if any, made by the disciplinary authority and the inquiring
authority

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GOVERNMENT OF INDIA’S INSTRUCTIONS
ON DEPARTMENTAL PROCEEDINGS

1. Whether charges can be dropped at the stage

of initial written statement of defence

1. The disciplinary authority has the inherent power to

review and modify the articles of charge or drop some of
the charges or all the charges after the receipt and
examination of the written statement of defence
submitted by the accused Government under Rule 14(4)
of the CCS (CCA) Rules 1965.

2. The disciplinary authority is not bound to appoint an

Inquiry Officer for conducting an enquiry into the charges
which are not admitted by the accused official but about
which the disciplinary authority is satisfied on the basis
of the written statement of defence that there is no
further cause to proceed with.

It may, however, be noted that the exercise of powers to drop the

charges after the consideration of the written statement of defence by the
accused Government servant will be subject to the following conditions: -

a) In cases arising out of investigations by the Central

Bureau of Investigation, the CBI should be consulted

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 before a decision is taken to drop any of, or all, the
charges on the basis of the written statement of defence
submitted by the accused Government servant. The
reasons recorded by the disciplinary authority for
dropping the charges should also be intimated to the
Central Bureau of Investigation.
b) The Central Vigilance Commission should be consulted
where the disciplinary proceedings were initiated on the
advice of the Commission and the intention is to drop or
modify any of, or all, the charges on the basis of the
written statement of defence submitted by the accused
government servant.

2. Whether inquiry is mandatory if charge is not

accepted
Proceedings initiated under Rule 14 of the CCS (Classification,
Control and Appeal) Rules, 1965, cannot be closed by imposing one of
the minor penalties after due consideration of the defence submitted by
the accused officer. It is obligatory to hold a formal inquiry before
coming to a conclusion about the quantum of penalty.

3. What is the procedure for holding ex-parte

enquiry -

Whenever an official continues to remain absent from duty or

overstays leave without permission and his movements are not known, or

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he fails to reply to official communications, the disciplinary authority
may initiate action under Rules 14 of the CCS (CCA) Rules, 1965.
In all such cases, the competent authority should, by a Registered
A.D. letter addressed to the official at his last known address, issue a
charge-sheet in the form prescribed for the purpose and call upon the
official to submit a written statement of defence within a reasonable
period to be specified by that authority.

If the letter is received undelivered or if the letter having been

delivered, the official does not submit a written statement of defence on
or before the specified date or at a subsequent stage does not appear in
person before the inquiry officer, or otherwise, fails to refuses to comply
with the provisions of CCS (CCA) Rules, the publication through local
papers should be resorted to. Thereafter, the inquiry authority may hold
an ex-parte inquiry. The notices of all hearings should be served on the
accused or communicated to him unless the first notice says that the
inquiry will continue from day to day.
In ex parte proceedings, the entire gamut of the enquiry has to be
gone through. The notices to witnesses should be sent, the documentary
evidences should be produced and marked, the Presenting Officer should
examine the prosecution witnesses and the inquiring authority may put
such questions to the witnesses as it thinks to be fit. The inquiring
authority should record the reasons why he is proceeding ex parte and
what steps he had taken to ask the accused official to take part in the
enquiry and avail all the opportunities available under the provisions of
Rule-14 of the CCS (CCA) Rules. In such a case, the details of what has
transpired in his absence, including depositions, should be furnished to
the accused officer.

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 During the course of enquiry, the accused is free to put in
appearance and participate in the enquiry. If the accused appears in the
enquiry when some business has already been transacted, it is not
necessary to transact the same business against unless the accused
official is able to give justification to the satisfaction of the Inquiry
Officer for not participating in the enquiry earlier. The competent
authority may, thereafter, proceed to pass the final orders dismissing or
removing the official from service after following the prescribed
procedure.

The procedure outlined above can be observed in the case of a

Government servant whether permanent or temporary remaining absent
without authority etc. Such a Government servant should not be placed
under suspension but when an official who is under suspension
disappears and cannot be contacted at his last known address, the
suspension orders should be lifted and the proceedings in the manner
stated above initiated for his removal in absentia.

4. What is the time limit for appearance of the

charged official before the inquiring authority -

Sub-rule (7) of Rule 14 envisages that the Government servant shall

appear in person before the inquiry authority on such day and at such
time within 10 working days from the date of receipt by him of the
articles of charge and the statement of the imputations of misconduct
and misbehaviour, as the inquiring authority may, by notice in writing,
specify, in this behalf, or within such further time, not exceeding 10
days, as the inquiring authority may allow.

It is hereby clarified that the provisions in sub-rule (7) should be read

in conjunction with the provisions in the preceding sub-rule (6),

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according to which the disciplinary authority shall, where it is not the
inquiring authority, forward to the inquiring authority various
documents including articles of charge and statement of imputations of
misconduct or misbehaviour.

The requirement of the Government servant appearing in person

before the inquiring authority, on such day and at such time within 10
working days, as laid down in sub-rule (7) is actually with reference to
the date of receipt by the inquiring authority (and not the Government
servant) of the articles of charge and the statement of the imputations of
misconduct or misbehaviour. The need for expeditiously appointing an
inquiring authority, wherever necessary, cannot however, be
overemphasized.

5. Whether Inquiry Officers should be senior in

rank to the officers enquired against -

The Committee on Subordinate Legislation (Fourth Lok Sabha)

have recently examined the question of appointment of inquiry officers to
conduct oral inquiry into the charges levelled against delinquent officers
under CCS (CCA) Rules, 1965. The Committee has observed that though
they agree that may not be possible to entrust always inquiries against
delinquent officers to Gazetted Officers, the inquiries should be
conducted by an officer who is sufficiently senior to the officer whose
conduct is being inquired into, as inquiry by a junior officer cannot
command confidence, which it deserves.

6. Whether the Inquiring Authority is competent

to issue formal charge sheet –

The position, as it emerges, is that an Inquiring authority is not

competent to issue a formal charge-sheet to the charged officer, but is

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only competent to record its findings on any article of the charge different
from the original articles of the charge, if the proceedings of the inquiry
establish the same, provided that the findings on such article of charge
are recorded by the inquiring authority only if the government servant
has either admitted the facts on which such articles of charge are based
or has had a reasonable opportunity of defending himself against such
articles of charge.

7. Can witness function as Inquiry Officer/Presenting

Officer

An official who may have to appear as a witness in a disciplinary

case should not be appointed as the Presenting Officer or Inquiry Officer
in that case.

9. Whether intimation should be given to the

Controlling Authority of the Government servant
assisting the accused –

Rule 14 (8) provides that the Government servant against whom

disciplinary proceedings have been initiated may take the assistance of
any other Government servant to present the case on his behalf. While
no permission is needed by the official who is charge-sheeted to secure
the assistance of any other Government servant, it is necessary for the
latter to obtain the permission of his Controlling Authority to absent
himself from office in order to assist the accused Government servant
during the enquiry. It would avoid delay in granting such permission, if
the Inquiry Officers take the initiative in the matter of informing the
Controlling Authority in this regard.

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 It is, therefore, suggested, that as soon as the accused Government
servant informs the Inquiry Officer of the name and other particulars of
the government servant who has been chosen by him to assist in the
presentation of his case, the Inquiry Officer should intimate this fact to
the Controlling Authority of the Government servant concerned. Further,
the date and time of the hearing should be intimated to the said
Controlling Authority sufficiently in advance adding that if, for any
compelling reason, it is not practicable to relieve the Government servant
concerned on the due date or dates to attend the enquiry, the Inquiry
Officer, the accused official and the Government servant chosen for
assisting the accused official may be advised well in time.

10. Government servant under suspension eligible

to function as defence counsel –

A question has been raised whether under the provisions of

Rule 14 (8) of the CCS (CCA) Rules, 1965, a Government
servant under suspension, is eligible to function as defence
counsel, if his services are required by an accused official. The
reply to the question is that merely because an official is under
suspension does not mean that he has ceased to be a
Government servant, and as such, an official under suspension
has full right to work as defence assistant. The question was
recently examined by the Kerala High Court and it was opined
that there is no rule that a person under suspension is not
entitled to assist another Government servant in the enquiry
proceedings.

26
11. What are the conditions for engaging retired
Government servants as defence assistants –

It has been decided in terms of Rule 14 (8) (b) of CCS (CCA) Rules,
1965 that assistance of retired Government servants may be taken
subject to the following conditions:-

e) The retired Government servant concerned should have retired

from service under the Central Government.
f) If the retired Government servant is also a legal practitioner the
restrictions on engaging a legal practitioner by a delinquent
Government servant to present the case on his behalf, contained
in Rule 14 (8) of the CCS (CCA) Rules, 1965, would apply.
g) The retired Government servant concerned should not have in
any manner, been associated with the case at investigation stage
or otherwise in his official capacity.
h) The retired Government servant concerned should not act as
defence assistant in more than five cases at a time.. The retired
Government servant should satisfy the inquiring officer that he
does not have more than five cases at hand including the case in
question.

12. When is permission to engage a legal

practitioner for the defence required -

Rule 14 (8) (a) of the CCS (CCA) Rules, 1965, provides inter-alia,
that a delinquent Government servant against whom disciplinary
proceedings have been instituted as for imposition of a major penalty
may not engage a legal practitioner to present the case on his behalf
before the Inquiring Authority, unless the Presenting Officer appointed

27
by the Disciplinary Authority is a legal practitioner, or the Disciplinary
Authority, having regard to the circumstances of the case, so permits.

It is clarified that, when on behalf of the Disciplinary Authority,

the case is being presented by a Prosecuting Officer of the Central
Bureau of Investigation or a Government Law Officer (such as Legal
Adviser, Junior Legal Adviser), there are evidently good and sufficient
circumstances for the Disciplinary Authority to exercise his discretion in
favour of the delinquent officer and allow him to be represented by a
legal practitioner. Any exercise of discretion to the contrary in such
cases is likely to be held by the court is arbitrary and prejudicial to the
defence of the delinquent Government servant.

13. Whether copies of documents should be

supplied to the delinquent official and access
should be afforded to official records -

The question often arises whether a particular document or

set of documents asked for by a Government servant involved in a
departmental enquiry should be made available to him or nor, and
pending the decision on the question, the submission of the written
statement by the Government servant concerned is delayed, in some
cases for months.
In view of this and also of the judgement pronounced by the
Supreme Court in Raizada Trilock Nath Vs The Union of India, in
which it has been decided that failure to furnish copies of documents
such as the First Information Report and statements recorded during
investigation amounts to a violation of Article 311( 2) of the Constitution,
the whole question of the extent of access to official records to which a
Government servant is entitled under the All India Services (Discipline
and Appeal) Rules or the Central Civil Services (Classification, Control

28
and Appeal) Rules has been examined in consultation with the Ministry
of Law.

The right of access to official records is not unlimited and it is open

to the Government to deny such access if in its opinion such records are
not relevant to the case, or not desirable in the public interest to allow
such access. The power to refuse access to official records should,
however, be very sparingly exercised. The question of relevancy should
be looked at from the point of view of the defence and if there is any
possible line of defence to which the document may, in some way, be
relevant, thought the relevance is not clear to the Disciplinary Authority
at the time that the request is made, the request for access should not be
rejected.

14. What measures should be adopted to prevent

tampering with records/documents during
inspection by delinquent officials -

Recently instances have come to notice where the accused officers

while inspecting the records/documents, tampered with materially vital
documents. In another case, the accused officer tampered with the
documents when the Inquiry Officer temporarily left the inquiry room
during the course of the inquiry.

In order to obviate such incidents –

1) The accused officer should be allowed inspection of

documents only in the presence of responsible officer.
2) The I.O. should take sufficient precautions to ensure that
the records/documents are not tampered with.

29
15. What are the powers available for enforcement
of attendance of witnesses and production of
documents at DEs –

Section –4 of Enforcement of Attendance of Witnesses and

Production of Documents Act 1972 empowers the Central Govt. to
authorize the inquiring authority in departmental inquiry to exercise
powers specified in Section-5 to Enforce Attendance of Witnesses and
Production of Documents.

16. Whether statement of witnesses recorded at the

preliminary investigation are to be read out to him

and got admitted as evidence -
On considering the observations made by the Supreme Court in
certain cases, it may be legally permissible and in accord with the
principles of natural justice to take on record the statements made by
witnesses during the preliminary inquiry/investigation at oral inquiries,
if the statement is admitted by the witness on its being read out to him.
It is felt that by adopting this procedure it should be possible to reduce
the time taken in conducting departmental inquiries.

It has, therefore, been decided that in future, instead of recording

the evidence of the prosecution witnesses de novo, wherever it is
possible, the statement of a witness already recorded at the preliminary
inquiry/investigation may be read out to him at the oral inquiry and if it
is admitted by him, the cross-examination of the witness may commence
thereafter straightaway.

30
17. Is it the discretion of the Inquiring Authority
whether or not to examine the witnesses -

An oral enquiry, which the enquiry officer is bound to hold if so

requested by the charge-sheeted employee, can very well be regulated by
him in his discretion, exercised by him in a judicial manner. If the
charge sheeted employee starts cross-examination the departmental
witnesses in an irrelevant manner, such cross-examination can be
checked and controlled. If the employee desires to examine witnesses
whose evidence may appear to the enquiry officer to be thoroughly
irrelevant, the inquiry officer may refuse to examine the witness; but in
doing so he will have to record his special and sufficient reasons, so that
the record would, ex-facie, show that the enquiry officer, in refusing
permission, had exercised his discretion in a judicial manner and not in
an arbitrary or perfunctory manner. The enquiry officer would then be
justified in conducting the enquiry in such a way that its proceedings are
not unduly or deliberately prolonged.

18. Is Further cross-examination permissible when

witnesses are re-examined -

Under sub-rule (14) of the CCS (CCA) Rules, 1965, the witnesses
produced by or on behalf of the disciplinary authority in a disciplinary
proceeding shall be examined by or on behalf of the presenting officer
may be cross-examined by or on behalf of the government servant and
the presenting officer would also be entitled to re-examine the witnesses
on any points on which they have been cross-examined but no on any
new matter without the leave of the inquiring authority.

31
 If re-examination by the presenting officer is allowed on any new
matter not already covered by the earlier examination/cross-
examination, a cross-examination on such new matters covered by the
re-examination may also be allowed to meet the ends of natural justice.

19. Can disciplinary action be taken in case of

refusal to appear as witness -

A Government servant cannot refuse to be a witness in an enquiry

against another Government servant or against an employee of a
Municipal Committee or other local bodies. In case he fails to do so, it
can be construed as a sufficient reason for initiating disciplinary
proceedings against him.

20. Is the supply of a copy of day-to-day

proceedings during the enquiry necessary -

There should be no objection in supplying copies of the oral

statements of witnesses recorded by the Inquiry Officer to the delinquent

official, before calling him to make his own statements, if a specific

request to this effect is made by the delinquent official before recording of

oral statements starts.

21. What is the procedure to be adopted for

referring disciplinary cases to UPSC for advice -

a) Original cases -

32
i) When no enquiry has been held i.e. so far as proceedings under
Rule 16 of CCS (CCA) Rules or a corresponding rule are concerned,
only the memorandum containing the allegations and the official reply
thereto should be sent to the Commission and it shall not be
necessary to send a self-contained factual note as a rule. But a note
should be sent where clarifications/comments have to be given to
explain the points made in the official’s explanation.

ii) Where action under Rule 15 (now Rule 14) of the CCS
(Classification, Control and Appeal) Rules, 1957 or a corresponding
rule has been initiated and an enquiry has been held, but the
Government consider in the light of the explanation furnished by the
officer and the findings of the Inquiry Officer that there is no need to
impose a major penalty, there may not be any need for preparing a
self-contained note except where it is necessary to clarify the
factual/procedural points in the light of any remarks contained in the
enquiry report.

iii) Where an enquiry has been held and the Government considers
that a major penalty is called for, it will be necessary for the
disciplinary authority to record a provisional conclusion regarding the
penalty to be imposed. While forwarding the reply of the officer to the
show cause notice and the other relevant records to the Commission
it will be sufficient in such cases to deal with any factual/procedural
points which may have been raised in the officer’s reply to the show
cause notice in a separate note which will form part of the record.
The note should not, however, discuss the merits of the case and
should not record any findings on the charge, or express any opinion
regarding the penalty to be imposed on the officer.

33
b) Cases of Appeal - While forwarding an appeal to the Commission
there should not be any expression of opinion on the merits of the case,
it should, however, be ensured that comments of Disciplinary Authority
as required under Rule 29 (now Rule 26) of the CCS (Classification,
Control and Appeal) Rules, or a corresponding rule, are invariably sent to
the Commission.

c) Cases of review on Memorials/Petitions or otherwise - In terms of

the provisions of the Union Public Service Commission (Exemption from
Constitution) Regulations, the Commission are required to be consulted
only when the President proposes to pass an order over-ruling or
modifying, after consideration of any petition or memorial or otherwise,
an order imposing any of the penalties made by him or by a subordinate
authority, or an order imposing any of the penalties in exercise of his
powers of review and in modification of an order under which none of the
penalties has been imposed.

22. Whether departmental proceedings conducted

without timely payment of subsistence allowance
is in order-

Subsistence allowance is meant for the subsistence of a

suspended Government servant and his family during the period as he is
not allowed to perform any duty and thereby earn a salary.

The Supreme Court has observed that where as Govt. servant

under suspension pleaded his inability to attend the inquiry on account
of financial stringency caused by the non-payment of subsistence
allowance to him, the proceedings conducted against him ex-parte would
be in violation of the provisions of Article 311 (2) of the Constitution as

34
the person concerned did not receive a reasonable opportunity of
defending himself in the disciplinary proceedings.

INQUIRY OFFICER

WHO MAY BE APPOINTED AS INQUIRY OFFICER

The essential requirements

1. Impartial and free from bias - The Inquiry Officer must be a

person who is impartial and free from bias. If he has some personal
knowledge of the dispute under inquiry then he is in the position of a
witness and, therefore, not eligible to act as an inquiry officer. The
reason is that such a person, while assessing the evidence will place
more reliance on his own information rather than what has been deposed
by other witnesses.

2. No likelihood of bias - The Inquiry officer must not be so situated

with reference to the matter under inquiry that there is a real likelihood
of bias taking place in the final decision. It may be that a person, though
personally connected with the matter, ‘may have the most upright motive
and may not allow his judicial discretion be impaired by personal

35
interest’, but his conducting the inquiry shall violate the fundamental
principle of natural justice that justice should not only be done but
should manifestly and undoubtedly be seem to be done.

3. Precise knowledge of rules imperative – The person selected to

hold inquiry must be familiar with the rules and procedures governing
the subject. The courts have, many a time, tersely commented on the
imperative need for the departmental authorities to possess a precise
knowledge of the constitutional properties and the rules of procedure
and to observe them honestly and efficiently, as their non-acquaintance
with such rules and procedures is responsible for causing a rush of writ
petitions with the courts.

4. Familiarity with procedures essential - The unfamiliarity with

the procedure or inadequate appreciation of the difference between a
departmental inquiry and a trial in a criminal court, may lead to over-
elaboration or lack of firmness in dealing with dilatory tactics. This may
contribute to undue delays and faulty disposal of the case.

Disciplinary authority himself holding the inquiry

It has been held that the principle, a prosecutor cannot be a judge,
is not strictly applicable to departmental inquires. The only condition is
that he must act with the detachment of a judge, as he is professing to
exercise that dignified position. Hence, where the statutory rules so
provide, the disciplinary authority may hold the inquiry himself.
However, the general practice is, and rightly so, that the inquiry is held
by another officer.

Appointment of immediate superior of the charged

employee as the inquiry officer.

The Second Pay Commission had recommended that the

disciplinary inquiry should not be conducted by the immediate superior
of the employee concerned or by an officer at whose instance the inquiry
was initiated. Though there can be no exception to the latter suggestion,
the Government did not accept the former one and it was decided that
there was no bar to the immediate superior officer holding an inquiry but
as a rule, the person who undertakes this task should not be suspected
of any bias in such cases. The Government further emphasized that only
dis-interested officers should be appointed as the Inquiry officers.

36
Appointment of an outsider as inquiring authority

Occasions may arise where the disciplinary authority may consider

it appropriate to entrust inquiry to an outsider whom may be a
consultant or may be having special qualification or experience in service
matters or the particular problem under the inquiry. Sometimes, the
charged officer may demand and the disciplinary authority may be
agreeable that the inquiry may be held by an impartial outside authority.

The principle in this regard is that if the rules specifically provide

that a person not belonging to the service concerned or even outsider can
be appointed as an inquiry authority, no difficulty shall arise. But, where
the rules do not provide for it, an outsider may be appointed as an
inquiring authority only after the consent of the employee concerned is
obtained and relaxation of the rule is obtained at appropriate level.
There is also no objection in making appropriate payments to the
persons so appointed for the services rendered.

Appointment of whole time inquiry officers

Where the volume of the work in connection with departmental

inquiries is so large as to justify the appointment of a whole-time officer
for the purpose of conducting the departmental inquiries, the question of
appointing a whole-time officer, fully trained in conducting disciplinary
proceedings, for a department, a group of officers or for a region may be
considered.

Can the officer who held the preliminary inquiry be

appointed to hold the regular inquiry also?

Although it is generally avoided but the position in law is that

there is no objection to it provided he has not pre-judged the issue.
Thus, in a case where the officer while holding the preliminary inquiry
had reached prima-facie conclusion only, the holding of regular inquiry
by him was upheld by the High Court. On the other hand, where the
officer who held the preliminary inquiry pre-judged the issues and his

37
report indicated that he closed his mind, the holding of regular inquiry
by him was quashed by the High Court.

Accordingly, the inquiry cannot be entrusted to a

person

i) who is personally interested in the case;

ii) at whose instance the disciplinary proceedings were started or

against whom the complaint was made;

iii) who is a witness against the delinquent official;

iv) who has any pecuniary interest in the case.

v) who has pre-judged the issues.

vi) where there is a close relationship between him and one party.

vii) where there was history of personal litigation on seniority matters.

On the other hand, where the presence of bias could not

otherwise be shown, the following circumstances cannot, ipso facto, lead
to a presumption of bias on the part of the inquiring authority, and,
hence, holding of inquiry by him would be valid and lawful –

i) Where the inquiry officer happens to be a subordinate of the

disciplinary authority.

ii) The status of the inquiry officer is inferior to that of the

disciplinary authority.

iii) That he had placed the employee under suspension.

iv) That he had issued charge sheet to the employee. The reason is
that the principle, a prosecutor cannot be a judge, is not strictly
applicable to the departmental inquires, since the disciplinary
authority, it is so desires, can hold the inquiry itself also.

38
v) That he was cited as a defence witness before his appointment as
an inquiry officer.

vi) That he was the investigating officers or had held the preliminary
inquiry. But if he expresses his definite opinion holding the
delinquent employee guilty of the misconduct attributed to him, he
will be disentitled to be appointed as an inquiry officer since he
had pre-judged the issue.

The rule of necessity

When there is only one authority who can conduct proceedings

and that authority is biased against the person against whom the
proceedings are conducted, the bias will not vitiate the proceedings. But
the rule of necessity is not applicable where an alternative authority can
be found to conduct the proceedings.

Writing of adverse confidential reports is no proof

of bias

The mere fact that the officer appointed as the inquiring authority
had written adverse confidential report of the delinquent employee will
not lead to the presumption of bias. The reason is that the opinion
expressed in the confidential report was properly report formed by the
officer and could not be regarded to be vesting him with bias.

REPRESENTATION AGAINST BIAS IN INQUIRING OFFICER

Objection must be made at the earliest opportunity

The settled position in law is that unless a party can establish its
total ignorance of the points of objection at earlier stages, the fact that it
has acquiesced in the proceedings, by itself, would lead to the
presumption of waiver of the objection by it. Hence, the charged officer
should come up with the objection of bias by the earliest. He cannot be
allowed to sit on the fence, taking a chance of the tribunal deciding in his
favour, and then going to the Court asking for a writ to set aside the

39
order. If he remains silent during the inquiry but makes the objection
afterwards, the objection may be dismissed as an after-thought.

Procedure for making the representation

Since, the appointment of inquiry officer is an order of inter-locutory

nature, normally, no appeal lies against such an order. A representation
can, however, be made which should be addressed to the Reversionary
Authority. The representation should be self-contained one giving full
facts and the material on which the charged employees relies. Copies of
the representation should be sent to the disciplinary authority and the
inquiry officer.

Stay of the proceedings

The Government of India have decided that whenever an

application is moved by a charged officer against the inquiry officer on
the grounds of bias, the proceedings should be stayed and the
application referred, along with the relevant material, to the appropriate
Revisionary authority for considering the application and passing
appropriate orders thereon.

Fate of inquiry held by a biased officer

The proceedings taken by an officer who is biased, or by a tribunal one of

whose member is held as biased, would be null and void.

Transfer/Retirement of the inquiring authority during the

inquiry proceedings

Ordinarily, the officer who records findings of the inquiry should

be the same officer who recorded the evidence and had thus the occasion
to observe demeanour of the witnesses. But, this cannot be said to be an
absolute requirement in the departmental inquiries to ensure justice to
the charged officer. For administrative reasons, many a time, it may
become necessary to change the inquiry officer before the inquiry
proceedings are finalized. However, such power should be exercised in
unavoidable situations only because it generally has the effect of
dislocating the work of inquiry and causing delay.

40
 Hence, where the officer holding inquiry retires before completing
the work, it may be considered to continue him as an inquiry officer on
the payment of suitable fees, provided the rules permit the appointment
of an outsider as an inquiry officer.

However, no inquiry officer can be appointed to write the report

only, after the recording of evidence is already over. In other words, the
change in the inquiry officer is permissible only when a part of the
evidence is still to be recorded. Even hearing of arguments is not part of
inquiry.

Should the proceedings start de novo with the change in

the inquiry officer

There is no such requirement and hence de novo inquiry cannot be

claimed as a matter of right, unless some rule specifically provides for it.
Hence, if the inquiry officer starts inquiry from where it had been left by
its predecessor, the proceedings are not in any way vitiated. The reason
is – firstly, the impression, if any, created by any particular witness on
the mind of the inquiry officer has to be translated by him into writing;
secondly, the inquiry officer is no judge of merits as his report is only for
assistance of the disciplinary authority, who has to reach independent
conclusions.

Rule 14 (22) of the CCS (CCA) Rules 1965, provides that the
succeeding inquiry officer shall normally take up the threads from where
they were left, but may, in his discretion, recall a witness.

Failure to follow proper procedure may expose the erring

departmental officer to penal proceedings

The inquiry officer must follow the prescribed procedure properly.

The Government of India have held that failure to follow proper
procedure may lead to institution of disciplinary proceedings against the
erring departmental officer and the question of recovery from such
authority the whole or part of pecuniary loss arising from the
reinstatement of the employee concerned should be considered.

Dispute, if any, as to what happened during the course of

inquiry

41
The Supreme Court has held that if any dispute arises as to what
happened during the course of the inquiry, the statement of the inquiry
officer in that regard is generally taken as correct.

(Q) CHECKPOINTS FOR ENQUIRY OFFICFR

1) On receipt of papers of DE alongwith office order appointing

him as EO, he should call the charged official on a specified
date and time, which should be a working day. The proof
regarding delivery of such orders should be kept on record.
2) The EO should maintain formal relations with charged
official & witnesses; and must not indulge in loose talk. At
no stage, he should give his opinion about charges.
3) The brief of proceedings should be given in the order sheet
& signatures of the charged official/witnesses should be
obtained.
4) All documents must be introduced through the witnesses
having custody or who have executed or signed the original
documents. They must have knowledge of the documents
and be in a position to answer questions in cross-
examination pertaining to these documents.
5) The charged official should be explained the charges & he
must be specifically asked whether he pleads " Guilty" or "
Not -guilty".
6) The charged official must be given opportunity to inspect all
documents and take extracts, if required.
7) The charged official must be given an opportunity to cross-
examine all witnesses including defence witnesses, if they
become hostile.
8) The charged official must be given statutory period of 15
days for filing written statement of defence and list of
Defence Witnesses and documents, which he desires to
produce in his favour.
9) If charged official doesn't file written statement he should
be examined by enquiry officer.
10) The report must discuss the evidence on record & nothing
from own knowledge be reflected in it. The EO must not
recommend the punishment, which the charged official
deserves. The report should be based purely on evidence
on record.
11) If charged official misbehaves during the enquiry, this may
be reflected in the order sheet. Sometimes, he may not

42
 agree to sign the statement of any witness recorded in his
presence. In such cases the fact may be brought on record
and signature of other officials (like writers, steno etc.)
present at that time should be obtained.
12) The delivered or undelivered letters, envelopes,
endorsement of postal authorities pertaining to
correspondence should be kept on record to establish
delivery, non acceptance of letter.

PRESENTING OFFICER

Role of the Presenting Officer

By their very nature, the departmental inquiries cannot be equated with

proceeding before the courts of law. The inquiring authority is not a
court and the presenting officer is not a public prosecutor. Such
inquiries are basically fact-finding exercises. Hence, the proper role for
the presenting officer is to assist, to the best of ability, the inquiring
authority to reach the truth, by presenting before him the case of the
disciplinary authority in its correct perspective.

Functions of the presenting officer

43
The primary function of the presenting officer is to marshal facts before
the inquiry officer and to examine and cross-examine the witnesses
produced during the inquiry. Thus, he should-

i) assist the inquiry officer during the preliminary

hearing to sort out the preliminaries;
ii) produce the listed documents before the inquiry officer
and prove the disputed documents by examining the
relevant official witness (s);
iii) lead, in a logical manner, the oral evidence before the
inquiry officer in support of the charge;
iv) cross-examine effectively the witnesses produced by
the defence; and
v) argue the case orally after all evidence has been
recorded or submit his written brief, with a copy to the
charged officer.

GUIDELINES FOR THE PRESENTING OFFICER

The aim of the inquiry officer, presenting officer and the defence
assistant is to bring out truth so that justice is secured to the charged
employee. In order to achieve this aim, the presenting officer must act
fairly and present the case in its true colour.

1) He should examine properly his order of appointment and

that of the inquiry officer to satisfy himself that there is no
legal flaw and that the orders have been attested by an
authority competent to authenticate them. A useful hint to
this regard is that in case these orders are signed by the
authority who had issued the charge sheet, they are
normally, in order;

2) He should have discussion with the investigating officer

and also have a look on the report of preliminary inquiry

44
 along with connected records to get first hand knowledge of
the case (it may be pointed out that this exercise is to
enable him to get first hand knowledge of the case only.
The report of preliminary inquiry cannot be used during
the course of inquiry);

3) He should examine all documents to be produced in support

of articles of charge and to arrange for proof of the
documents, which the charged employee does not admit to
be correct and, hence, would need to b proved;

a. He should acquaint himself fully with the departmental rules

and the technical aspects of the issues in dispute;

b. He should remember that on the first day of regular hearing,

the various documents will be marked as exhibits and taken
over by the inquiry officer. For the purpose, he must be
ready with such documents duly detached and separated
from the main files, and arranged in proper sequence. It will
save, not only time of the court, but also himself from a lot of
embarrassment.

c. He should be polite towards the charged employee and the

defence witnesses and should not lose their sympathy;

d. He should refrain from attacking character of the charged

employee unless it becomes absolutely unavoidable due to
exigencies of the case;

e. He should before-hand decided what aspects of the case he

wishes to be borne out by which witness (es) so that in the
examination-in-chief, he can restrict evidence of each
prosecution witness to the fact best known to him. He
should not examine him on other points, which though exist
in his knowledge, do not depend upon his

f. He should decide the proper sequence in which he wishes to

examine his witnesses. It is not essential for him either to
examine all the witnesses listed in the charge sheet or to
examine them in the order in which they are mentioned
therein. The presenting officer may examine them in the
order he thinks best in the interest of presentation of the
case. He may dispense with needless witnesses.

45
g. It shall be best for him to examine his witnesses in a logical
sequence i.e, a witness whose evidence pertains to the
earliest part of the prosecution story should be examined
first, and so on. It shall help him to unfold the story in a
proper sequence. The moment he feels that enough evidence
has been brought on record to prove the charge against the
delinquent employee, he may drop the remaining witnesses
and close his case;

h. However, he must take care to lead all evidence at the proper

time because to recall a witness or to introduce fresh
evidence is a difficult process and can be resorted to only
when there is an inherent lacuna in the evidence already
recorded and, that too, with permission of the inquiry officer.
But, should it become necessary, he may make a request,
giving his reasons, after he has produced all other evidence
and the recording of defence evidence is yet to being;

i. He should examine the investing officer as the last witness

and, that also, if necessary;

j. He must follow the cross-examination of his witnesses

carefully and to re-examine them to clarify any important
point, or to put the records straight, in deserving cases;

k. He should remember that re-examination has a limited role

only as pointed out above. We know a number of cases in
which reckless re-examination resulted in spoiling
effectiveness of the witness which had been built earlier.
Proper care must, therefore, be taken;

l. He must satisfy himself about trust-worthiness of the

defence witnesses before their examination begins;

m. He must cross-examine the defence witnesses ably and

tactfully to bring out truth and to expose hollowness of their
testimony, where necessary. He may discredit them by
impeaching their trust-worthiness;

n. At the close of inquiry, sum up arguments or file a written

brief. He must understand that since the burden of proof is
on the prosecution, he should be able to show, with
reference to the documentary and oral evidence produced
during the inquiry, that the articles of charge have been
proved substantially;

46
o. He should take care that his written brief is based only on
the evidence adduced during the course of inquiry. He
should avoid reference to any extraneous matter. Any
reference to a document, or attaching it with the written
brief, which was not allowed during the inquiry must be
avoided. The inquiry officer, invariably get annoyed by such
short practice.

DISCIPLINARY AUTHORITY

An authority is a disciplinary authority who is

competent to impose penalties on any particular employee
according to disciplinary rules. Therefore, it is essential to
refer to relevant rules, which are applicable to the employee
to locate the disciplinary authority. For example if DE is to
be ordered against a member of force under CRPF Rules
1955. To order DE under different rules to which employee
is not subject to is a procedural irregularity. There can be
different disciplinary authority for major and minor
punishments.

DO's & DON'Ts FOR DISCIPLINARY AUTHORITY

47
i. The disciplinary authority or other authority must
satisfy him that he is the competent authority as per
rules to award the punishment after completion of DE.
ii. The charge sheet must contain full particulars of
charge, which the employee is required to explain. The
oral or documentary evidence on which the charge is
based should be disclosed to the employee.
iii. The charge sheet must be delivered to the employees
concerned and he should be given time to submit reply
as per Rules. Evidence of the sheet having been served
on the Charged Officer should be kept on record. After
receipt of reply to the Charge Sheet it should be
considered by the Disciplinary Authority and, if
necessary, drop the charges. If the reply is found
unsatisfactory, the enquiry officer should be
appointed.
iv. The Enquiry Officer should be unbiased and impartial
person. If the charged official makes a representation
against the appointment of a particular officer as EO,
it must be considered and decision must be taken on
merit.
v. If charged official wants leave to defend himself or to
arrange for his defence, it must be allowed in all
fairness.

vi. After receipt of DE proceedings on completion, it must

be scrutinised by the Disciplinary Authority as to
whether the findings of Enquiry Officer are based on
record and flow logically out of it. If Disciplinary
authority feels that the findings are not backed by
evidence on record, he can record his own finding and
supply copy of findings of EO to charged official
alongwith the endorsement that the disciplinary
authority will take a suitable decision after considering
the report & submission or representation made by the
charged official.
vii. The final order issued by the disciplinary authority
must be a speaking order containing reasons for
conclusions arrived at.
viii. The disciplinary authority has to apply his mind on
the point of award of punishment. The punishment
should commensurate with the gravity of misconduct.
ix. Where the statutory procedure for holding DE has not
been followed by the EO resulting in failure of justice,

48
 de-novo enquiry can be ordered by the disciplinary
authority from the point where the enquiry has been
vitiated.

CHECK POINTS FOR DISCIPLINARY AUTHORITY

1. Preliminary Enquiry or Court of Inquiry must be ordered

to gather evidence so as to take decision whether D.E. is
to be ordered or otherwise.
2. To analyse the evidence available before framing charges
if accusation is serious enough to warrant a D.E.
3. Framing of proper charges by appropriate disciplinary
authority competent to impose punishment as per
disciplinary rules applicable to the Govt. Servant.
4. Delivery of charge sheet to charged official and requiring
him to submit reply to disciplinary authority in a given
time, evidence of this effect should be kept.
5. Considering the reply and to drop the charge(s) if reply is
convincing or to appoint Enquiry Officer to proceed with
D.E. if the reply is not convincing.
6. It must be kept in mind that the E.O. is impartial and
unbiased person and not interested in either of the
parties in D.E.
7. The disciplinary authority has to consider to change the
E.O. if requested by charged official, in case, reasons
given are convincing.
8. When proceedings are received after completion of D.E.,
the disciplinary authority should carefully scrutinise the
proceedings. If some material procedural defects are
found de-novo Enquiry may be ordered otherwise
appropriate orders should be passed.
9. The order so passed must be speaking explaining reasons
for such conclusions. The punishment should
commensurate with the misconduct.

49
DEFENCE ASSISTANCE TO THE CHARGED
OFFICER

In departmental inquiries, the charged officer is entitled to the

right to defence assistance of his choice, of course, within certain
statutory limits. This right of defence assistance flows not only from the
statutory rules governing various services, but also from the principles of
natural justice.

Defence assistance from a fellow employee

1. Who can render assistance - The normal practice is that a

charged employee can take defence assistance from a fellow
employee. In the case of Government servant, defence assistance
can be taken from any other Government servant, which term

50
 should be interpreted liberally to include all employees of the
Union Government in case of the Central Government employee.
However, as held by the Supreme Court there is no right of defence
assistance from a particular employee.

2. No personal bars - The status in employment of the employee or

his academic attainments are no bar to his assisting any other
employee in the inquiry. Since an employee under suspension
does not lose his status in employment, he also remains eligible to
render defence assistance. The pendency of departmental
proceedings are also no bar for the purpose.

3. Restrictions - The Government of India have put some

restrictions on their employees rendering defence assistance,

Firstly, a Government servant cannot have more than three cases on

hand in which he may be rendering defence assistance; and

Secondly, he must be posted in any office either at the headquarters of

the charged employee or the place where inquiry is held. This condition
is relaxable in suitable cases, for the reasons to be recorded in writing,
by the inquiry officer. The charged officer can make a representation
against the refusal by the inquiry officer to the disciplinary authority, but
no appeal shall lie against the order of the disciplinary authority, as the
order will be in the nature of step-in-aid in the inquiry.

Assistance by Retired Government servant

The Government of India has allowed their retired employees to

render defence assistance in departmental inquires. There are no
restrictions on them as regards the period after retirement in which they
can render such assistance or the number of cases, which may be
handled at a time. Still there are two bars. These are -

i) If a retired Government servant is also a legal practitioner, the

provisions relating to legal practitioners shall apply to him.

ii) In case the retired Government servant is one who has in any
manner been associated with the case at investigation stage or
otherwise in his official capacity, he becomes ineligible to render
defence assistance in that case.

51
Approval of the Disciplinary authority not required

Where the rules do not require it specifically, the charged officer

need not submit the name of his defence assistant for approval of the
disciplinary authority. Most of the disciplinary rules do not contain any
such requirement.

Permission of the Controlling authority

Although the rules do not require that a person should obtain

permission of his controlling authority to render defence assistance in a
disciplinary case, since such proceedings are held during office hours,
the Government servant concerned has to obtain permission of his
controlling authority to be absent from the place of duty. The controlling
authority can if necessary in public interest refuse to grant such
permission. The Supreme Court has held that such refusal of
permission shall not be construed as denying to the charged officer a
reasonable opportunity to defence because he remains free to select
some other government servant of his choice, particularly when the field
of choice is quite wide.

Defence Assistance by a Legal Practitioner

Keeping in view the domestic nature of departmental inquiries,

professional lawyers are not, normally, allowed to assist the either party
in conducting the proceeding. The Charged Officer cannot claim such
assistance as a matter of right. But this general rule is subject to two
exceptions, namely,

Firstly, if the presenting officer appointed by the disciplinary authority is

a legal practitioner the charged officer can also, as a matter of right, avail
himself of the services of a legal practitioner.

Secondly, the disciplinary authority may itself, in deserving cases,

permit the charged officer to engaged a legal practitioner. Such
permission may be granted in exceptional cases of complicated nature or
having legal over-tones. The Supreme Court has held that if on the facts
and complexity of a particular case the assistance of a legal practitioner
is considered to be part of the reasonable opportunity, then denial of
permission to engage a legal practitioner shall be violative alike of the
Constitution provisions in Article 311 (2), and the Principles of Natural
Justice.

52
Three situations pointed out by the Supreme Court in
which the permission to engage a legal practitioner shall
be justified.

If the presenting officer, though not a legal practitioner, is a Public

Prosecutor of the CBI or the Local administration, the permission should
not be refused. This position clearly emerged from the judgement of the
Supreme Court.

The permission should not also be refused where a legally trained

departmental officer such as the Legal Adviser or Law Officer is
appointed as the presenting officer and thus the scales tilt in favour of
the Organization. The reason is that the employers have now on their
pay rolls labour officers, legal advisers, lawyers, who, in the garb of
employees may be appointed as presenting-cum-prosecuting officers and
the delinquent employee is pitted against such legally trained persons.

In a recent judgement where the presenting officer was the

Personnel and Administration Manager of the Organization who was
stated to be a man of law but the permission to engage a legal
practitioner was refused, the Supreme Court held that principles of
natural justice were violated.

Factors to be taken into account while considering request

for permission to engage legal practitioner

 While considering a request for permission to engage a legal

practitioner, the key word is the requirements of fair inquiry. In
other words, permission should not be refused where the defence
of the charged employee is likely to be prejudiced by such refusal.
It means that the matter must receive an objective consideration of
the disciplinary authority. He should apply his mind to all relevant
circumstances before a decision is reached. The factors to be
taken into account are given below.

 If the presenting officer is a legal practitioner, permission cannot

be refused. In fact, in such cases the employee can avail of legal
assistance as a matter of right.

 Permission should normally be granted in the three situations

mentioned in the earlier paragraph.

 The facts to be taken into account are the nature of the

accusations against the employee, the documentary and oral

53
 evidence to be examined during the course of inquiry, the status
and qualifications of the presenting officer and personal
qualifications, attainments, ability and capacity of the charged
officer to defend himself. The permission should not be refused
where judicial aspects dominate and legal technicalities are
involved. However, the disciplinary authority will be perfectly
justified to refuse permission where no complicated issues are
involved.

 But, the personal qualifications or ability of the charged officer,

though a relevant factor, cannot be the sole ground to refuse
permission, where it is otherwise justified on the facts and
circumstances of the case.

Charged employee to be informed of his right to proper

defence assistance?

The Supreme Court has observed that the justice and fair play demand
that the disciplinary authority at the time of the appointment of the
presenting officer or in any case, the inquiry officer before he begins the
inquiry should ascertain from the charged officer, particularly when he is
a low-placed employee, whether he would like to engage someone to
defend him. The position of the rules and his rights there under should
be brought to his notice. If the charged employee is not so informed and
an overall view of the inquiry shows that he was at a comparative
disadvantage as compared to the disciplinary authority represented by
the presenting officer, then, unless is shown that he had not suffered any
prejudice, the inquiry shall stand vitiated.

Can Defence assistant continue with the proceedings in

the absence of the charged officer?

The normal practice is that the inquiry is held in the presence of the
charged employee. His defence assistant may be there to help him.
However, in exceptional circumstances, there appears to be no objection
in the inquiry officer permitting a duly authorised defence assistant to
continue with the proceedings in the absence of the charged employee.
But, at best it has to be a temporary arrangement in the very nature of
the things.

Can Defence assistant appear as a witness?

54
There is no bar in examining the defence assistant as a witness also,
where the inquiring authority considers his evidence to be relevant to the
facts of the case.

(note:- as per instructions contained in CO /2006

defence assistant can be taken by the delinquent in
DE under CRPF Act)

EX-PARTE PROCEEDINGS

There are occasions when the charged employee fails, omits or

refuse to be present during inquiry proceedings, despite proper notice to
him. How should the inquiry officer proceed in such a situation? What
are the provisions of rules and law, and the practice in this regard? How
should the inquiry officer evaluate the evidence collected by him in ex-
parte proceedings?

55
Three important points

There are three important factors having a bearing on the holding of

ex-parte proceedings.

i) The charged employee must attend the hearings personally

Unlike the courts of law, the personal attendance of the charged

employee is mandatory in departmental inquiries. He cannot be
represented through an attorney or an agent. In this connection
attention is invited to sub-rule (7) of Rule 14 of the CCS (CCA) Rules,
1965, extracted below –

“14 (7). The Government servant shall appear in person before the
inquiring authority on such day and at such time within ten
working days from the date of receipt by him of the articles of
charge and the statement of the imputations of misconduct or
misbehaviour, as the inquiring authority may, by a notice in
writing, specify in this behalf, or within such further time, not
exceeding ten days, as the inquiring authority may allow.”

ii) Inquiry officer can proceed ex-parte only if the charge sheet
has been delivered

Ex-parte proceedings cannot be held unless it is established that

the charge sheet had been delivered to the delinquent official. On this
point, Rule 14 (20) of the CCS (CCA) Rules, 1965 makes very clear
provision-

“14(20). If the Government servant to whom a copy of the articles

of charge has been delivered, does not submit the written statement of
defence on or before the date specified for the purpose or does not appear
in person before the inquiring authority or otherwise fails or refuses to
comply with the provisions of this rule, the inquiring authority may hold
the inquiry ex-parte.”

The inquiring authority has, therefore, no jurisdiction to proceed

ex-parte if the charge sheet has not been delivered to the charged
employee.

iii) Natural justice has its limits too

The law requires that an accused employee must be afforded a

reasonable opportunity to be heard. But, once it is done, he cannot be
allowed to stultify the inquiry by non-co-operation, without sufficient

56
cause. No doubt, in quasi-judicial proceedings, hearing one party in the
absence of the other shall violate the principles of natural justice but a
party may lose this right by improper conduct.

There are cases on record where the employees withdrew

themselves from inquiry on flimsy grounds, as if “running from pillar to
post to find out some accuse to justify their non-co-operation”(H.C.
Sarin Vs. Union of India, AIR 1976 SC 1686). In this case, the
Supreme Court observed –

“It is found more often than not that Government servants who
have no real defence to take against the accusations are advised,
and sometimes not without success, to non-co-operate with the
inquiry. It seems to us that this was one such case.”

Guidelines for the Inquiry Officer when to proceed ex-parte

The non co-operation of the charged employee with the inquiry officer
may take either of the following three shapes: -

i) Not attending the inquiry proceedings at all;

ii) Attending the proceedings but not co-operating; or
iii) Attending but creating obstructions and hurdles in the
proceedings.

While in the case at (ii) and (iii) above, ex-parte proceedings shall
normally be justified as a strict approach is necessary for the smooth
running of inquiry, in cases covered by (i) above, the inquiry officers are
advised to proceed ex-parte cautiously and only where they find that the
failure of the employee to be present is deliberate and without
justification.

ILLUSTRATIONS

To illustrate, in the following circumstances, it was held that the holding

of proceedings ex-parte was justified:

57
i) where the charged employee did not appear bore the inquiry officer
on the dates fixed for the purpose although inquiry was adjourned
several times.

ii) where he asked for mercy without adducing any evidence.

iii) where he declined to take part in the proceedings and failed to

remain present.

iv) where though, in terms, he did not refuse to participate, his

conduct amounted to declining to take part in the proceedings .

v) where he intended or attempted to stultify the inquiry and his

attitude was of complete non-co-operation.

vi) where intimations were sent to the charged officer at every stage of
inquiry but he failed to be present. Even the show cause notice against
the proposed penalty, enclosing the report of inquiry, sent by registered
post was received back as refused.

vii) where the applicant failed to be present on the date of hearing of

which he had due notice. The Tribunal found that the telegram
intimating his illness was addressed to some other officer and the latter
sent to the inquiry officer was received only the next day when the
proceedings had been finalized. The Tribunal observed there was
nothing in the rules to prohibit the inquiry being completed on the same
day.
vii) where the attitude of the charged employee was of non-
cooperation. He refused to submit explanation to the charge sheet.
Thirteen hearings were held in which, a number of times, he or his
defence assistant were absent. The holding of hearings ex-parte was
held valid by the Tribunal.

On the other hand, the holding of inquiry ex-parte was set

aside, as being unjustified –

i) the applicant was transferred from Cannanore to Pune where he

did not join. The proceedings were taken up at Pune, which he did not
attend due to ill-health and financial stringency. The action of the
inquiry officer of holding inquiry at Pune was held unjustified.

ii) where a medical certificate of his illness was filed on the third
hearing requesting for adjournment, but the inquiry officer, proceeded
ex-parte.

58
iii) where the employee who was under suspension and he not been
paid his subsistence allowance for nine months expressed his inability to
attend the inquiry held at a place about 500 kms away, due to paucity of
funds. However,, this does not mean that the delay or non-payment of
subsistence allowance shall always have the effect of vitiating the
inquiry. In R.B. Subrahmanyan Vs UOI, SLJ (1988) 1 CAT 253, the
petitioner had not participated in the inquiry held at the same place.
The delay of about two and a half months in payment of subsistence
allowance was held as not to effect the position.

iv) where a part of inquiry had been held but before the next date of
hearing, the inquiry officer received a letter from the accused in which
certain allegations were levelled against him. The inquiry officer thereon
closed the inquiry and proceeded to write the report. The Tribunal held
that the inquiry officer should have continued with the inquiry according
to the schedule already laid down.

v) where a petition alleging bias of the inquiry officer was pending

with the competent departmental authority but the inquiry officer
continued with the proceedings, though he had the due notice. Further,
the inquiry officer rushed through the case, ex-parte, ignoring the
medical certificate issued by Dr. Ram Manohar Lohia Hospital, New
Delhi.

Procedural requirements in ex-parte proceedings

Even in a ex-parte proceedings the various provisions of the

statutory rules prescribing procedural requirements have to be complied
with. An ex-parte proceeding shall not, Ipso facto, mean that the
charged employee is in fact guilty. Nor does it give discretion to the
inquiry office to hold inquiry as he likes and in violation of the procedure
rules. For instance, the ex-parte proceedings were held vitiated, because
–

i) lists of documents and witnesses supplied along with charge sheet

did not mention some of the documents and witnesses relied upon
by the inquiry officer;

ii) an order for inspection of documents was not passed by the

inquiry officer, and

iii) fresh notice of production of new evidence as required in the rules

(Rule 14 (15) of the CCS (CCA) Rules, 1965 was not issued.

59
Even in ex-parte proceedings, an inquiry officer is duty bound to –

i) call upon the presenting officer to present the evidence by which

he proposes to prove the articles of charge.

ii) pass an order asking the charged employee to inspect the

documents in support of the charges and also to submit his list of
defence documents and witnesses.

iii) fix dates for regular hearings and send intimation to the charged
employee. In some exceptional case where it is not possible to
communicate with him through regular channels, a notice for ex-parte
proceedings indicating the date of hearing may be published in the
Gazette or any local paper.

iv) examine the witnesses himself during the inquiry proceedings and
test their veracity in the absence of the delinquent officials. In the
absence of the witness, the statement recorded in preliminary inquiry
cannot be relied upon even in ex-parte proceedings.

v) allow the charged officer to participate in the proceedings at any

stage but it shall not be necessary to repeat the proceeding already taken
lawfully. However, if he so desires, copies of the depositions of witnesses
examined in his absence may be supplied to

AVOIDING DELAYS AND DILATORY TACTICS

Delays are the bane of disciplinary proceedings. The object of

domestic inquiry is speedy disposal in conformity with fairplay. It is,
therefore, the duty of the inquiry officer, the presenting officer, the
charged employee, and his defence assistant to make every effort to cut
all delays and contribute to the speedy final disposal of the inquiry.
There may be delays – (i) which can be avoided by the inquiry officer, and
(ii) delays due to dilatory tactics adopted by the charged employee.

60
Delays to be avoided by the Inquiry Officer

1. The Preliminary Hearing. On receipt of the order of his

appointment as inquiry officer, and the connected papers, the inquiry
officer should lose no time to fix up the date of preliminary hearing. This
does not present any difficulty as the object of the hearing is just to sort
out certain preliminaries, and even though the incident giving rise to
the misconduct might have happened at some other place, the inquiry
officer, if he so desires, can hold the preliminary hearing in his own office
conveniently. Further, the preliminary hearing should not be delayed for
the only reason that the charged employee has not been able to arrange
for defence assistance.

2. Inspection of documents. Every effort should be made to stick

to the time limits prescribed in the rules, as explained in the previous
chapter. Any delay in deciding the relevance of additional documents
and requisitioning them should also be avoided. The matter has to
pursued vigorously to avoid any possibly delay

A major cause of delay in procuring additional documents is the

irregular action of the inquiry officer to put the burden of collecting these
documents on the presenting officer.

3. Defence assistance - As soon as the particulars of the proposed

defence assistant are received from the charged employee, no time
should be wasted in getting in touch with his controlling authority so
that he is relieved to attend the hearings, on schedule. The controlling
authority may be contacted through an official letter following by persona
contact, where necessary.

4. Regular hearings - The regular hearings should be held on day-

to-day basis, and completed expeditiously. Unnecessary adjournments
must be avoided at all costs. To avoid delays, the witnesses should be
informed about the date and time when their presence is required, much
in advance: an intimation also being sent to their controlling authorities
to ensure their presence.

Sometimes, especially when common proceedings are being held at

some place not easy of access, delays occur in sending intimations to the
charged employee and/or their defence assistants who may be working
in different projects or offices. To avoid delay in such cases, it is
suggested that the inquiry may be held by an officer at the headquarters
where courier service is generally available to all the projects.

61
5. Absence of inquiry officer himself - After a date of hearing is
fixed by the inquiry officer and intimations are sent out, the inquiry
officer should make it a point to attend it. If, for some personal reasons,
it is not possible for him to be present, necessary information should be
sent without delay. There is no procedure for the inquiry officer to
delegate his functions of holding the inquiry to somebody else. In one
case where the inquiry officer was absent on the first date of hearing but
on third hearing refused to adjourn though a medical certificate was
submitted, the CAT observed that another chance should have been
given to the petitioner.

6. Written briefs - A prescribing a time schedule within which

written briefs must be held. The inquiry officer should make it a point to
make an order for submission of the written briefs by both the parties.

7. The report of inquiry - The report of inquiry must be written and

submitted expeditiously. An inordinate delay in submission of the report
will not only neutralize all the good steps taken by him during the course
of inquiry to expedite the proceedings but may also vitiate the
proceedings in certain situations, for instance, where the delay is too
long. In one case where the inquiry officer had rejected the request for
adjournment to examine some witnesses because sufficient adjournment
for the purpose had already been granted, but himself took two months
to submit his report, it was held that the refusal to adjourn was not
justified.

Since delays are very harmful to the charged employee, he should be

watchful and represent against any unreasonable delay, to the inquiry
officer/disciplinary authority.

Dilatory Tactics by the Charged Officer

1. Representation against bias in the inquiry officer - Though the

inquiry proceedings have to be stayed during the process of such a
representation, no time should be wasted to resume the proceedings, if it
gets rejected.

2. Preliminary hearing - The preliminary hearing should not be

postponed for the only reason that the charged employee has not been
able to arrange for his defence assistance. He had sufficient notice of the

62
preliminary hearing, so if he comes up with a defence assistant, well and
good; otherwise the nature of work to be transacted in the preliminary
hearing is such that the defence of the employee will not be prejudiced in
the absence of the defence assistant.

3. Inspection of documents - The delay may be caused at this stage,

by the delinquent employee, by not giving full particulars of the
documents he wishes to inspect for his defence or not indicating their
relevance to his case, in sufficient detail. To avoid such delays, we would
suggest that in the preliminary hearing itself the position should be
made clear to the charged employee that he must come up with full
particulars and adequate mention of relevance in his list of defence
documents, in the absence of which the documents will not be
requisitioned and no further time will be granted.

4. Defence assistance - The usual dilatory tactic is that the charged

employee furnishes particulars of the defence assistant without actually
consulting him or without making sure that he will be relieved for the
purpose. To avoid this tactic, at the time accepting particulars of the
proposed defence assistant, the inquiry officer should insist upon a
certificate from the person concerned to the effect that he is willing to
render defence assistance and he does not anticipate any difficulty in his
being relieved for the purpose. This position should also be made clear
to him in the preliminary hearing itself. It is no doubt true that the
charged employee is entitled to defence assistance of his choice but the
facility cannot be allowed to be converted by him in an interminable
process of delay or adjournments.

5. The regular hearings - The golden advice to avoid all dilatory

tactics during the course of regular hearings is ‘Be reasonable but firm’.
A cantankerous employee may try to hamper proceedings by asking for
adjournments on flimsy grounds. The inquiry officer should deal with
each such objection on its merits and take quick decisions. Once a
decision is taken, he should be firm in enforcing it. It may be mentioned
there that no appeal against an order of the inquiry officer made during
the course of inquiry.

6. Written Briefs - The inquiry officer should stick to the prescribed

dates firmly. But, it shall be possible only if he himself does not cause
undue delay in writing and submission of his report.

7. Resort to court proceedings - The inquiry proceedings need not

be stayed for the only reason that the charged employee has approached

63
a court or filed an application before the CAT. The proceedings should
be stayed only if a stay order has been granted.

PROCEDURE FOR INITIATION OF DEPARTMENTAL INQUIRY IN

RESPECT OF CRPF OFFICERS.

1. On receipt of a report or a preliminary inquiry from the Sector

IGP in respect of a particular misconduct, the same is examined
in the Directorate and put up to DG for deciding whether minor

64
 penalty proceedings is required or a major penalty proceedings
is called for.
2. Once DG takes a decision for major/minor proceedings, the
necessary charges/imputation of charge is prepared under
Rule-14/16 for major/minor penalty proceedings.

3. The proposal is sent to MHA for approval of the competent

authority/Minister Incharge on the question whether minor
penalty proceedings is called for or major penalty proceedings is
to be initiated.
4. This procedure is followed in a normal misconduct where
administrative/technical lapses are involved.

5. Where the misconduct is on the count of corruption, lack of

integrity or an element of vigilance, in those cases the
procedure followed is as under: -

a) The proposal from Directorate is sent to MHA for initiation of

major penalty proceedings.

b) MHA after examination of the proposal send it to CVC for

their advice/opinion whether to go in for major penalty
proceedings or minor penalty proceedings. This is known as
first stage advice of CVC.

c) On the basis of advice of CVC, the necessary enquiry is

conducted.

d) Once the enquiry is completed, normally the report of the

Inquiry Officer in case agreed to by the Directorate is sent to
MHA for forwarding it to UPSC for their advice and as per
the advice of the UPSC, necessary action is taken. In case
the advice tendered by UPSC is not agreed to, MHA again

65
 sends back the case to UPSC for re-consideration. In case,
UPSC still maintains its decision, then the matter is sent to
DOPT for final decision.

e) In the cases involving vigilance the report of the Inquiry

Officer is sent to MHA who in turn forward it to CVC with
their recommendations. This is known as second stage
advice of CVC. The advice of the CVC along with Inquiry
Officer’s report is sent to the Charged Officer for his
representation, if any, and on receipt of the representation,
the case is moved to MHA for advice of UPSC and further
action is taken as per advice of UPSC.

f) In case the advice tendered by CVC and UPSC are contrary,

the file is sent to DOPT for final decision.

MAJOR SHORTCOMINGS NOTICED IN

DEPARTMENTAL ENQUIRIES CONDUCTED
AGAINST GOs

1. The proceedings are not arranged as per instructions

communicated vide para 9(xxiii) of the Handbook of
Disciplinary proceedings against GOs, CRPF.

66
2. Instead of placing original/authenticated copy of documents,
photocopy of the documents are placed in the proceedings.

3. In many cases IO has held the enquiry without giving notice to the
charged officer. Documentary evidence is not available on
records to show that the CO was informed/directed to attend
the hearing.

4. The letter to the CO does not indicate whether the enquiry is to be

held on a day-to-day basis.

5. In many cases the IO after completion of the prosecution evidence,

instead of giving the opportunity to the CO to submit his
defence statement and the list of defence witnesses, has
closed the inquiry and accepted the prosecution brief of the
Presenting Officer.

6. The Charged Officer is not informed of the proceedings at every

stage of the inquiry as per the rules.

7. The order sheet is usually found to be incomplete. It is also not

placed in chronological order of the date of hearing and
mingled with the proceedings instead of placing the complete
order sheet in one separate folder.

8. In many cases the order sheet is silent as to why the defence

evidence has not been recorded by the IO as also details of
the opportunity given to the CO for recording of the defence
evidence.

9. Proceedings are not arranged in a separate folder/ in order as

required vide Part 9 of Chapter 10 of CCS (CCA) Rules, 1965
of Swamy’s compilation.

10. The listed documents are not taken on record after marking them
but only unauthenticated photocopy of the documents are
available.

11. The statement of the officer/person recorded in the PE, which is

accepted as his/her statement in the DE is usually not
placed with the DE proceedings with his/her statement.

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12. Transaction of business regarding receipt of the Presenting
Officer’s brief is not reflected in the order sheet.

13. In some cases it is not explicitly forthcoming whether copy of the

Prosecution brief has been made available to the CO and he
has in turn been directed to submit his Defence brief as
required vide GOI Instructions No. 37 below Rule 14 of CCS
(CCA) Rules, 1965. Such inaction vitiates the proceedings.

14. In cases where the CO has sought clarification about rejection of

his representation for the change of the IO, IO has closed the
proceedings before the issue of the clarification to the CO.
This can be termed as denial of affording opportunity and
may not stand judicial scrutiny.

15. In some cases confirmation to the effect that summon of the IO

was received by the CO is not available on record.

16. In some cases it was found that the IO had not mentioned in the
communication to the CO that on the day of the Preliminary
hearing he will also examine the listed PWs and Prosecution
Exhibits and he proceeded as such which amounts to denial
of opportunity.

17. In many cases the statements of the PWs and POs brief, which
were provided to the CO by Regd Post, were received back
undelivered. No further attempt was made to serve the same

IMPORTANT DO’S AND DON’TS FOR INQUIRY OFFICERS

IMPORTANT DO’S

1. Check up your order of appointment as Inquiry Officer

Disciplinary proceedings are quasi-judicial in nature. You can hold an

inquiry only if you are duly authorised to do so by the competent
disciplinary authority, through a formal written order. You should

68
commence inquiry only after you have been so appointed. Any
subsequent order of appointment shall not cure the initial lack of
jurisdiction and the proceedings held upto that stage shall stand vitiated.

2. Get acquainted with the nature of accusations and the

procedure to hold inquiry

Get hold of the papers required initially. By going through these papers
you will get acquainted with the nature of charge and the evidence on
which it is based. Be also fully conversant with the procedure to be
followed to hold the inquiry.

3. Plan the holding of Preliminary Hearing

Decide the date, time and venue for holding preliminary hearing.
Normally, the preliminary hearing should be held within ten days, at the
most twenty, of your appointment as inquiry officer. Send notices for the
hearing well in time. It is mandatory to send such notices through the
registered post, or these may be served in person.

4. Open Daily Order Sheet

5. Find out if the charged employee wishes to admit any of the

charges in the Preliminary Hearing

If he does, it will cut short your work of holding an inquiry into the
charges, which are so admitted. However, you are bound to return a
report of guilt in respect of the charges, which are admitted.

6. Sort out the disputed issues, the number of documents, and

witnesses etc. to be examined

A free and frank discussion with the charged officer and the presenting
officer shall go a long way to eliminate unnecessary rigmarole and bring
out clearly the issues in dispute requiring formal proof and the number
of documents and witnesses to be examined during the inquiry. A well-
planned discussion will, thus, place a proper focus before the Inquiry
Officer.

7. Find out documents requiring proof

69
Normally, since the documents mostly produced in the departmental
inquiries are official documents, their authenticity and genuineness is
not in doubt. However, if the charged employee has a genuine doubt
about some document, ask the presenting officer to arrange for its proof.
8. Ask the accused employee to inspect listed documents

9. Decide relevance of additional documents quickly

Though the right of the charged employee to inspect and take extracts
etc from the listed documents is complete, it is not so in the case of
additional documents cited by him, for his defence. Broadly speaking,
the inspection of such documents is subject to the two conditions of
relevance and public interest. To decide the relevance is your business.
The Supreme Court enjoins upon you to have a positive approach in the
matter, rather than having the attitude ‘why should I allow’, your
approach should be “what is the harm in allowing it”.

10. Record reasons for disallowing the documents

It is mandatory requirement and must be complied with. The reasons so

recorded should be communicated to the charged employee.

11. Send requisition for the additional documents to the

authority to whom the documents belong

The requisition should be addressed to the Head of the Department

having custody of the documents, and need not be routed through the
disciplinary authority. The reminders, if any, should also be sent to
such authority, direct.

12. Decide relevance of defence witnesses expeditiously

On receipt of the list of defence witnesses, their relevance should be

decided expeditiously. Reasons should be recorded where evidence of
any proposed witness is not considered to be relevant.

13. Hold regular hearings without avoidable loss of time

If you wish to defeat any dilatory tactics of the charged employee, you
have to cut delays on your part also. The date of regular hearing should

70
be fixed as early as practical and notices for the same sent out well in
time.

14. Take all steps to secure attendance of witnesses

It is the responsibility of the inquiry officer to take all necessary steps to

secure attendance of the witnesses, including defence witnesses. It will
be wrong, rather perverse, to shift the responsibility to secure the
presence of the defence witnesses in the inquiry, to the charged
employee.

15. Obtain certificate from the defence assistant that he is not

having more than two cases on hand in which he is rendering
defence assistance

If the defence assistant is a retired employee, he is not subject to any

restrictions.

16. Before regular hearings commence obtain certificate of

inspection of documents from the charged employee.

17. Conduct the hearings fairly and firmly

Provide all necessary opportunity to the charged employee to put up his

defence adequately, but at the same time reject all unreasonable
demands or dilatory tactics.

18. Record the questions disallowed by you during the cross-

examination

The Central Administrative Tribunal has held it to be an essential

requirement. Your reason for disallowing the question should also be
indicated briefly.

19. Protect the witnesses from undue harassment

The witnesses should be treated respectfully and examined courteously.

It is your duty to ensure that a witness is so treated and that no
questions are put to him with the purpose to annoy or insult him.

20. Depositions of the witnesses should be recorded and their

signatures obtained thereon.

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These depositions should also be authenticated by the inquiry officer,
and copies thereof should be supplied to the charged employee and the
presenting officer.

21. Keep record of your observations regarding demeanour of the

witnesses as they depose before you

This may be done in the deposition sheet of the witness at the time of
authenticating it. These observations are not a secret record and should
be known to both the parties. In fact, in departmental inquiries the
inquiry officer cannot maintain any secret record at all.

22. Remember, the criteria to allow ‘New evidence’ is ‘inherent

lacuna’ and not merely relevance.

Such evidence can be admitted at a particular stage only. ‘New evidence’

cannot be allowed to fill up gaps.

23. In ex-parte proceedings, allow the charged employee to

participate in any stage, he desires

But it is not necessary to recall a witness.

24. In common proceedings, continue even if any co-accused

retires from service

However, the proceedings have to be suspended if a co-accused dies or is

dismissed from service.

25. In part heard inquiries, better take up threads where they

were left by your predecessor

No doubt, you are free to take up proceedings, de novo, but this should
be done in exceptional case only. However, you may recall a witness if
considered necessary.

26. In case of ‘Court Witness’ allow cross-examination by both the

parties

A ‘Court Witness’ is a witness not cited by either party but called by the
inquiry officer. The calling of such a witness shall be governed by the
provisions relating to ‘New evidence’.

27. Do ask mandatory questions at the close of inquiry

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However, it is not mandatory where the charged employee opts to be his
own witness.

28. Allow copy of the written brief of the Presenting Officer to the
charged employee

But the copy of the written brief of the charged employee need not and
should not be supplied to the presenting officer.

29. Evaluate the evidentiary value of each piece of evidence

recorded during inquiry correctly and properly

The inquiry officer is not free to assess the value of the evidence he has
recorded, according to his own notions. There are well-set and time-
honoured norms for such evaluation.

30. Submit a full-blooded report of inquiry without any avoidable

delay

31. Submit your report of inquiry to the disciplinary authority

alongwith all original records.

You need not keep anything with you.

IMPORTANT DON’TS

1. Do not delegate function of holding of inquiry to anyone else.

2. Do not hold inquiry according to your own methods. There is a

prescribed procedure to follow.

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3. Do not continue with the proceedings (it has to be stayed) if a
representation of the charged employee, alleging bias against the
inquiry officer is pending with the Revisional authority.

4. Do not postpone preliminary hearing simply because the

charged employee could not arrange for defence assistance.

5. Do not call for the documents or examine a witness to decide

the question of their relevance.

6. Do no requisition additional documents from the disciplinary

authority. Do not ask the Presenting Officer to collect them. You have
to writ direct to the authority in whose custody or possession these
documents lie.

7. Do not question the decision of a Head of Department to with-

hold documents on grounds of public interest.

8. Do now throw responsibility of calling defence witnesses on

the charged employee.
9. Do not enter into argument with a controlling authority if it is
unable to relieve a particular employee, in the interest of public
service, to render defence assistance in the case pending before you.

10. Do not insist that witnesses may be produced in any particular

sequence before you. The order in which the witnesses may be
examined has been left to the respective parties.

11. Do not administer oath to the witness.

12. Do not question the witness extensively right at the outset.

The witnesses should be examined in accordance with the prescribed
procedure.

13. Do not interfere frequently when a witness is being examined,

cross-examined or re-examined. The salutary principle in this regard
is patience and graceful hearing. You may clear your doubts and get
clarifications from the witness at the end.

14. Do not allow leading questions, except in cross-examination.

Do not put leading questions to the witnesses, yourself.

15. Do not allow adjournments on flimsy grounds.

74
16. Do not allow ‘New evidence’ to fill up gaps. It should be allowed
if there is an inherent lacuna in the evidence already recorded.

17. Do not proceed ex-parte, if the charge sheet has not been
delivered to the charged employee.

18. Do not allow defence assistance when the charged employee is

appearing as his own witness or when he is answering the
mandatory questions, towards the close of inquiry.

19. Unless he opts to examine himself, do not examine a co-

accused in a common proceedings as a witness against the other co-
accused.

20. In a joint trial do not allow cross-examination of a defence

witness by the other charged employee. Only presenting officer can
cross-examine a defence witness.

21. Do not go for local inspection of the site of the incident except
when accompanied by the charged employee and the presenting
officer. Better, make a local inspection after the prosecution evidence
has been recorded. Do not collect information there from persons who
have not been cited as witnesses.

22. Do not supply copy of the written brief of the charged

employee to the presenting officer.

23. Do not take into consideration the written brief of the

presenting officer if filed after the expiry of the due date and receipt
of the brief of the charged employee. If you do not wish to exclude it
from consideration, you have to send a copy thereof to the charged
employee with an opportunity to file a rejoinder.

24, Do not take into consideration any matter or evidence which

was not adduced during the course of inquiry. No importance should
be given to surmises, conjectures, whims or your personal knowledge of
the matter not on record.
25. Do not delay submission of your report of inquiry.

PROCEDURE OF DEPARTMENTAL ENQUIRY UNDER RULE 27

OF CRPF RULES 1955: -

75
 This procedure is applicable to all combatised
members of the forces from followers, CTs to Subedar Major
of CRPF.
(a) On written intimation, report or PE/ COI report on any
act of commission or omission or serious misconduct
or misbehaviour, --like disobedience of order, neglect
of duty, remissness in discharge of duty, moral
turpitude, violation of any departmental rule,
instruction etc, or any act which degrades the honour
of post-an employee is holding or brings bad name to
organisation, acts unbecoming of a Govt Servant; --by
a Govt Servant which is of so serious nature that in
the eyes of competent disciplinary authority the official
complained against is required to be proceeded against
departmentally, the D.E is ordered. Here it is worth
mentioning that PE is not a pre-requisite of DE. PE
may only bring out the prima facie truth or facts about
seriousness of offence/misconduct, if any.
(b) On the basic of this report charges are framed against
the delinquent. There may be one or more than one
charges in enquiry. But it is advisable that charges
must be precise, specific, definite and distinct for
which sufficient evidences are available. They should
not be ambiguous and many in number. It should not
be vague. Multiplicity of charges should be avoided.
(c) Memorandum of Charges alongwith the Statement of
Articles of Charge framed against Govt Servant
(Annexure-1), Statement of Imputation of Charges
(Annexure-2), List of Documents by which the Article
of Charges framed (Annexure-3) and List of Witnesses
by whom the Article of Charges framed (Annexure-4)
are to be sustained are delivered to the Delinquent in
person by disciplinary authority or through any other
Govt Servant and signature of delinquent obtained
duly attested in token of acknowledgement of Memo of
Charges with date. (If not present may be sent by
registered post AD at his last known address or/ and
permanent address).
(d) The Disciplinary Authority shall require the Govt
Servant (Charged Official) to submit within such time
as may be specified but not less than ten days, a
written statement of his defence and state whether he
desires to be heard in person.

76
(e) On receipt of the Written Statement of Defence or after
the expiry of specified period the Disciplinary
Authority may drop one or some of the charges where
he is satisfied with written statements of defence.
(f) Disciplinary authority may himself enquire the
remaining charges or appoint an Enquiry Officer to
conduct DE. Enquiry Officer should be supplied with
office order for his appointment as EO alongwith a
copy of Memo of Charge with its Annexures duly
acknowledged by the delinquent.
(g) E.O will start enquiry with Preliminary Hearing only
after 48 hours of delivery of Memorandum of Charges
to the Delinquent.
(h) No warning is required to be given by EO to witnesses
and delinquent before recording their statements.
(i) During preliminary hearing, the Delinquent will be
asked by EO about the receipt of the Memo of
Charges, if he has understood it, the language Hindi or
English, which he understands for recording
statement. Then he will be asked to plead "guilty" or
"not guilty" in respect of all charges separately. If he
has not understood the charges that will be explained
to him and only after 48 hours he will be asked to
plead guilty or otherwise.
(j) Delinquent pleads "guilty" or "not guilty." Prosecution
Witnesses relied upon necessary to establish charges
will be let in. The statement of Prosecution Witnesses
will be recorded in presence of Delinquent in duplicate.
All statements made by Prosecution Witness are to be
read over, explained in the language he understands
and admitted correct by him and signed by PWs,
Delinquent and E.O.
(k) Delinquent will be given an opportunity to cross-
examine the witness. Whenever EO asks some
clarification from PWs, Delinquent will again be given
an opportunity to cross-examine PWs.
(l) After the statements , examination in chief, cross
examination and re examination . the matter is to be
read over explained and admitted correct .The EO,
Delinquent and concerned witnesses, must sign each
page. Documents produced by PWs will be taken on
record in form of exhibit –S1, S2-----.
(m) A copy of the statement is to be handed over to
delinquent and signature obtained on original copy in
token of receipt of the same then and there.

77
(n) If documents are relied upon and produced by PWs,
Delinquent will be allowed to go through it and if
possible copy of it may also be supplied to Delinquent
and sign obtained in token of inspected the same or
receipt of copy of it. It has to be recorded in proceeding
that Delinquent has inspected/received copy of
mentioned exhibits/ documents before the Delinquent
is examined.
(o) Delinquent will be examined and statement recorded
by E.O on given date. He will be asked to plead "guilty"
or "not guilty" at this stage when the statements of all
PWs are already recorded and document relied upon
are produced. Delinquent is examined in question
answer form only.
(p) If Delinquent pleads "guilty", E.O. will record his
findings and opinion in respect of those charges and
the proceedings shall be closed for orders of competent
Disciplinary Authority.
(q) If Delinquent pleads "not guilty", he shall be asked to
file a Written Statement of Defence and List of
Witnesses/ Documents as he may wish to cite in his
defence within a period not less than a fortnight (15
days). If he declines to file written statement as
aforesaid, E.O. shall again examine him on expiry of
the period. If he refuses to cite any witness etc in his
defence the fact will be recorded and proceedings will
be closed for orders of Disciplinary Authority.
(r) Otherwise DWs will be summoned by EO and the
Statements of D.Ws. will be recorded and defence
documents produced will be taken on record as
exhibit- D1,D2----, as in case of statements of PWs.
(s) Enquiry Officer may refuse to call such witnesses and
to allow such documents, which are not material to
the issue, involved but for this he must record in brief
the reason for considering evidence inadmissible.
(t) EO may “re-call” any material witness after advance
information given to delinquent. Delinquent will be
given an opportunity to cross-examine him.
(u) EO should not call any new witness unless it is felt
very necessary in the interest of justice. If new
witnesses are called the delinquent should be given
this information in advance and opportunity to cross-
examine him will also be given.
(v) E.O. will then prepare his Enquiry Report, which
contains following points.

78
 (i) It must be based on the statements recorded
and documents relied upon and produced
during the proceeding.
(ii) Each Article of Charge is to be discussed and
examined separately by E.O. in his report.
(iii) First of all he will mention a paragraph on an
introductory part consisting Order for Enquiry
and his appointment as Enquiry Officer with
reference of relevant letters. He will also quote
all the article of charges, which are levelled
against delinquent.
(iv) Then he will mention about the Participation of
C.O./ Delinquent in the Enquiry proceeding and
appointment of P.O. and D.A., if any, in the
Enquiry.
(v) Article of Charge 1 will be quoted as such.
(vi) Then he will mention if delinquent has pleaded
guilty in respect of this charge (Article-1) or
otherwise.
(vii) Next he will discuss in findings the Summary of
Statements given by P.Ws and documents in
respect of Article of Charge-1.(Supported by
witnesses and documents)
(viii) Next he will discuss the Summary of Statements
of D.Ws and Delinquent in respect of Article of
Charge-1.
(ix) Then E.O will analyse and assess the evidences
produced before him and record his findings and
opinion. If charges are proved partially proved or
not proved. It is worth mentioning here that in
D.E. the charges are not required to be proved
"beyond reasonable doubt” as in the court. The
standard of proof in D.E. is the "preponderance
of probability" and not "beyond doubt".
(x) The same sequence is followed in respect of all
Articles of Charge, one by one, separately.
(w) At the last Enquiry Officer will sign the proceeding and

submit it under a covering letter to Competent

Disciplinary Authority for final order.

(x) Before issue of final orders the disciplinary authority

provide a copy of enquiry report to delinquent and give

79
 him an opportunity to submit his representation

within reasonable time i.e. 15 days, given to him. On

receipt of reply or non-receipt of any reply within

stipulated time, the disciplinary authority will pass

final orders on DE.

(y) Delinquent may go for one appeal and one revision

against this order of Competent Authority under Rules

28 & 29 of CRPF Rules 1955.

(z) Besides above an Enquiry Officer (EO) prepares Daily

Order Sheet on
day - to -day basis. It contains the brief of the proceeding of each day. EO requires
to mention all mandatory provision of DE step by step which he follows and also
the reasonable opportunity given to delinquent at all steps on the day of
proceeding. He will also mention where he has used his discretion with reasoning.
It has to be signed by EO, Delinquent, Presenting Officers and Defence Assistant,
as applicable.

SEQUENCE OF PAPERS IN D.E. PROCEEDINGS--

(i) Index.
(ii) D.E. Proceedings Format (Annexure XII of GC/BN
OFFICERS MANUAL)
(iii) Daily Order Sheet.
(iv) Office Order for appointing E.O.
(v) Memorandum of charge with Annexures.
(vi) Preliminary Hearing, Plea of "Guilty” or "Not Guilty".
(vii) Statement of Prosecution Witnesses.
(viii) Exhibits of P.Ws.
(ix) Statement of the Delinquent. (Final Plea of "Guilty" or
"Not Guilty")/ Written Statement of Defence by
Delinquent.
(x) Statement of D.Ws.
(xi) Exhibits of D.Ws.
(xii) Written Statement of Defence by Delinquent if any
after giving him another opportunity if he wants to say
something even at this final stage.
(xiii) Report of EO giving his findings in respect of all
charges separately.

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(xiv) If E.O. is other than Disciplinary Authority then
Disciplinary Authority before reaching to any
conclusion shall give a copy of enquiry report there by
giving one more opportunity to the Delinquent to
say/represent if anything he wants.
(xv) Final order of the Competent Authority, duly
acknowledged by delinquent.
(xvi) Appeal/ Revision/ Order, if any.

THE STEPS-

(1) Receipt of intimation, complaint, and PE/COI report

regarding misconduct, misbehaviour, indiscipline or
commission/omission of departmental Rules &
regulations by a Govt. servant.
(2) Preparation of charge sheet.
(3) Delivery of charge sheet to Delinquent and
consideration of his Reply. Dropping of some of the
charges by disciplinary authority if he is either
satisfied with the written statement of delinquent or
sufficient evidences not available in respect of some of
the charges
(4) Appointment of Enquiry Officer (E.O). [& Presenting
Officer under CRPF Rules,1955].
(5) Preliminary Hearing and recording of plea of “guilty” or
“not guilty”. [Before this Defence Assistant should be
provided under CRPF Rules,1955].Rules]. Inspection of
Documents.
(6) Recording of Statement/ Evidences of Prosecution
Witnesses (P.Ws)/ State Witnesses (SWs) in presence
of Delinquent and taking the documents relied upon in
support of the charges and produced by the witnesses.
If charged official does not appear before E.O, on given
date & times, the D.E may be conducted ex parte.
(7) Delinquent will be given an opportunity to cross-
examine PWs.
(8) Examination of Charged Official (C.O). Final Plea of
“guilty” or “ not guilty”. (Copy to PO, if any appointed).
(9) Opportunity to produce DWs and Documents in his
defence.
(10) Recording of Statement of Defence Witnesses and
producing defence documents through them. The Govt
Servant may examine himself in his own behalf, if he
so prefers.

81
(11) Another opportunity to delinquent for being heard in
persons before preparation of Enquiry Reports.
[Mandatory Questions under CCS (CCA) Rules; Written
Briefs of PO and then Govt Employee through DA after
giving copy of PO’s Brief.][not applicable under CRPF
rules]
(12) Preparation of Enquiry Report.
(13) If Disciplinary Authority is not himself Enquiry Officer,
copy of report of EO is to be given to delinquest
providing one more opportunity to charged official to
represent within 15 days.
(14) Receipt of representation within specified time for
consideration.
(15) Order of Competent Authority & it’s delivery to
Delinquent with acknowledgement.

82
 D.E. PROCEDURE UNDER RULES 14 & 15 CCS (CCA)
RULES 1965

This procedure is applicable to non-combatised civilian

officers serving in force and all Gazzetted Officers of the
Organisations.

a) On written report or PE/COI/fact finding report on

commission of serious misconduct or misbehaviour by
a Govt. Servant which is of so serious nature that in
the eyes of competent disciplinary authority the official
complained against is required to be proceeded against
departmentally, the DE is ordered?
b) On this report charges are framed against the
Delinquent.
c) The Charged Official should be served with a charge
sheet together with a statement of imputations of
misconduct or misbehaviour. The receipt of the charge
by delinquent is to be acknowledged.
d) The reasonable time and opportunity is given to him to
reply to the charges or to be heard in person, but not
more than 10 days.
e) On receipt of the reply to the charges or after the
expiry of specified period, the Disciplinary Authority
may drop some of the charges & may himself
enquire the remaining charges or appoint an Enquiry
Officer to conduct DE and a copy of Memo of Charge
with its Annexures is supplied to such EO. Inquiry is
must to consider the charges refuted by Charged
Official.
f) Presenting Officer is also appointed to present the
case of the State and copy of memorandum of charges
alongwith its Annexures and documents relied upon to
sustain the case is also supplied to him. A copy of
appointment of PO is given to EO & Charged Official
also.
g) The Delinquent has a right to (i) inspect documents
referred to in the Annexure-III to the charge-sheet; (ii)
engage any other serving or retired Government
servant to assist him (as Defence Assistant) and (iii)
engage a legal practitioner, if the Presenting Officer is
a legal practitioner, or, if not, Disciplinary Authority
may permit such an engagement.
h) If at the Preliminary Hearing the Government servant
pleads guilty to any of the article of charge, the

83
 Inquiry Officer should record a finding of guilt in
respect of those Articles and hold inquiry only in
respect of the remaining Articles of Charge, if any. No
warning is to be given to charged official &
witnesses before recording of their statements.

i) The Inquiring authority shall, if the government

servant fails to appear within the specified time or
refuses or omits to plead, require the Presenting
Officer to produce the evidence by which he
proposes to prove the articles of charge, and shall
adjourn the case to a later date not exceeding thirty
days.
j) The EO will ask Charged Official to inspect the
documents relied upon in favour of charges within
the five days which may be extended for another five
days; to submit list of witnesses and to give notice
within ten days of the order or within such further
time not exceeding ten days for discovery or
production of any documents in possession of
Govt.
k) Government side has the first priority to present
the case and produce witnesses and evidence.
Enquiry officer will prepare Summon for SWs, which
will be handed over to Presenting Officer to be served
to SWs under information to Defendant and DA to
make themselves available during the proceeding on
specified date and time.
l) The statement of State Witnesses (SW) will be
recorded by E.O. in presence of Delinquent, Defence
Assistant and Presenting Officer. All statements made
by PWs are to be read over, explained and admitted
correct to witnesses and delinquent, and must be
signed by EO, PO PWs , Delinquent and Defence
Assistant. Delinquent will be given an opportunity to
cross-examine the SWs himself or through his DA.
m) A copy of the same will be handed over to
Delinquent duly acknowledged then and there.
n) If documents are relied upon and produced by
PWs/PO, the Delinquent will be allowed to inspect it
and if possible copy of it may also be supplied to
Delinquent and sign obtained in token of inspected
the same or receipt of copy of it duly recorded in the
proceedings.

84
o) If PO wants to produce new evidence or may itself call
for new evidence or recall and re-examine any witness
and EO in his discretion allows so; the Delinquent
shall be entitled to have, if he demands it, a copy of
list of further evidences proposed to be produced and
an adjournment of the enquiry for three clear days
before production of such new evidences. EO will allow
Delinquent to produce new evidence, if it is necessary,
in the interest of justice.
p) When the statements of PWs are over, the Delinquent
will be required to state his defence, orally or in
writing, as he may prefer with in 15 days. In either
case it will be reduced in writing and a copy of the
statement of defence shall be given to the Presenting
Officer appointed.
q) The delinquent will be asked to produce the list of
Defence Witnesses and documents in his defence.
The delinquent may examine himself in his own behalf
if he so prefers. The witnesses (DW) produced by the
delinquent shall then be examined and shall be
liable to be cross-examined by PO and re-examined
by the enquiry officer according to the provisions
applicable to the Prosecution Witnesses.
r) The inquiring authority may, after the delinquent
closes his case, and shall, if the delinquent has not
examined himself, generally question (Mandatory
Questions) him on the circumstances appearing
against him in the evidence for the purpose of enabling
the delinquent to explain any circumstances appearing
in the evidence against him.
s) The inquiry officer may, after the completion of the
production of evidence, hear the Presenting Officer
first and then Delinquent. Or require presenting
officer to submit his prosecution written brief, which
will be handed over to delinquent to file his defence
written brief thereafter.
t) Entire proceedings should be recorded in writing,
every page to be signed by the respective witness, the
defendant and the Inquiry Officer, and copies
furnished to the Defendant and the Presenting Officer.
u) If the Government servant, to whom a copy of the
articles of charge has been delivered, does not submit
the written statement of defence on or before the date
specified for the purpose or does not appear in person
before the inquiring authority or otherwise fails or

85
 refuses to comply with the provisions of this rule, the
inquiring authority may hold the inquiry ex-parte,
observing procedure in full.
v) On completion, the EO will submit his report
(Enquiry Report) and his findings on each Article of
Charges to the Competent Disciplinary Authority. DE
should be completed within Three months.
w) Disciplinary authority may accept/agree with the
report or disagrees (by recording reasons of
disagreement), and record his findings & make final
order.
x) Before passing final order on the report a copy of the
Inquiry Report should be forwarded to the delinquent
giving him fifteen days time to make any
representation/submission. The representation if any
submitted by the delinquent should be considered
before passing final orders.
y) Along with the final orders, the delinquent should be
supplied with-(i) a copy of the findings on each article
of charge; (ii) Where the Disciplinary Authority is not
the Inquiring Authority, a statement of the findings of
the Inquiring Authority with brief reasons for
disagreement, if any, of the disciplinary authority; (iii)
a copy of the advice, if any, given by the UPSC. (iv)
Where the Disciplinary Authority has not accepted the
advice, a brief statement of reasons for each non-
acceptance.
z) Besides above an enquiry officer (EO) prepares Daily
Order Sheet on day to day basis. It contains the brief
of the proceeding of the day. EO requires to mention
all mandatory provision of DE step by step which he
follows and also the reasonable opportunity given to
delinquent at all steps on the day of proceeding,
keeping in mind the natural justice. He will also
mention where he has used his discretion with
reasoning. It is signed by EO, Delinquent, Presenting
Officers and Defence Assistant, as applicable.

86
EX-PARTE DEPARTMENTAL ENQUIRY
PROCEDURE-

a) If the Government servant, to whom a copy of the

articles of charge has been delivered, does not submit
the reply of the Memo. of Charges on or before the date
specified for the purpose or does not appear in person
before the inquiring authority; or otherwise fails or
refuses to comply with the provision of this rule, the
inquiring authority may hold the inquiry ex-parte,
observing complete procedure for giving all reasonable
opportunity to the Delinquent at all stages of
proceedings.
b) Whenever an official continues to remain absent from
duty or overstays leave without permission and his
movements are not known, or he fails to reply to
official communication at the last known address, the
disciplinary authority may initiate action under Rule
14 of the CCS (CCA) Rules, 1965.
c) Ex-parte proceedings do not mean that findings shall
be given without any investigation. Enquiry is still
necessary, although it will be in the absence of
charged official. It does not affect the job of EO. The
only difference is that delinquent has denied himself
the opportunity of cross-examination of PWs and
producing and examining his own defence witnesses.
d) In all such cases, the competent authority should, by
a Registered A.D. letter addressed to the official at his
last known address and permanent address, issue a
charge-sheet in the form prescribed for the purpose
and call upon the official to submit a written
statement of defence within a reasonable period to be
specified by that authority.

e) If the letter is received undelivered or if the letter

having been delivered, the official does not submit a
written statement of defence on or before the specified
date or at a subsequent stage does not appear in
person before the inquiry officer so appointed, or
otherwise, fails or refuses to comply with the
provisions of CCS (CCA) Rules, the inquiring authority

87
 may hold an inquiry in absence of Charged Official,
keeping such document in Enquiry file as record.
f) The enquiring authority should record the reasons
why he is proceeding ex parte and what steps he had
taken to ask the accused official to take part in the
enquiry to avail of all the opportunities available under
the provisions of Rule 14 of the CCS (CCA) Rules.
g) The EO has to fix a date of hearing and intimate the
same to delinquent. The notice of all hearings should
be served on the CO or communicated to him unless
the first notice says that the inquiry will continue on
day -to –day basis.
h) In ex parte proceedings, the entire gamut of the
enquiry has to be gone through. The notices to
witnesses should be sent, the documentary evidences
should be produced and marked, the Presenting
Officer should produce the prosecution witnesses and
the inquiring authority may put such questions to the
witnesses as he deems to be fit.
i) In such a case, the details of what has transpired in
his absence, including depositions, should be
furnished to the accused officer.
j) During the course of enquiry, the accused is free to
put in appearance and participate in the enquiry. If he
absents him self from the enquiry at one stage, it does
not take away the right to attend the enquiry at any
further subsequent stage.
k) If the accused appears in the enquiry when some
business has already been transacted, it is not
necessary to transact the same business again unless
the accused official is able to give justification to the
satisfaction of the Inquiry Officer for not participating
in the enquiry earlier. However, if EO is satisfied, the
delinquent will be given all opportunity to be heard in
person and produce documents in his defence at all
steps by giving him the copy of proceedings already
taken place and to cross-examine witness whom he
desires.
l) The absence of the CO (Delinquent) does make it
complicated for the EO to come to a conclusion in the
absence of the explanation of CO. The EO has to
examine the records and witnesses to enable him to
reach conclusion as to the culpability of the CO based
on the evidence laid before him. He will prepare his
enquiry report as in regular DE.

88
m) The competent authority may, thereafter, proceed to
pass the final orders after following the prescribed
procedure.

COMMON PROCEEDINGS--

It is commonly known as joint proceeding (Joint DE)

also. The disciplinary authority may issue order for common
proceeding when two or more employees working in same
office make complaints against each other or commit same
offence together. Cross complaints arising out of the same or
connected incident or transaction are not uncommon. The
general principle as laid down by the Courts is that the
accused in cross cases should be tried separately and that
both the trials should be held simultaneously or in quick
succession so as to avoid conflicting findings and different
appraisal of the same evidence. On the analogy of the
criminal law practice and procedure, a joint proceeding
against the accused and accuser is an irregularity, which
should be avoided. [ G.I., M.H.A., Letter No./98/63-AVD,
dated the 13th June 1963].
A joint proceeding against Government servants
working in the same office who made complaint against each
other should be avoided.
[Para 19, P. & T Manual, Vol. III ]

DAILY ORDER SHEET (DOS)--

(1) Daily Order Sheet is the record, maintained by the IO, of

all the business transacted by him on day-to-day basis of
the conduct of the inquiry proceedings. The gist of
requests and representations made by either party and
orders passed thereon by the IO are to be incorporated in
the DOS. The following points in particular should find a
mention in the DOS:--
(a) Additional documents and the witnesses asked
for by the CO in his defence.
(b) Additional documents and the witnesses
permitted.
(c) Reasons for disallowing the remaining
documents and witnesses.

89
 (d) Whether the additional documents permitted
as relevant were made available for inspection
and were inspected by the CO.
(e) If the authority having custody of any such
document does not consent to its production,
the fact of such refusal.
(2) Daily Order Sheet is the summary of the whole
proceedings. This is the mirror of the DE proceedings.
One may come to know the correctness of the procedure
after just going through it.
(3) The DOS, which is drawn on day-to-day basis, is to be
dated and signed by the IO, the PO, the CO and the
Defence Assistant. It would be rather desirable to furnish
copies of the DOS both to PO and CO.
(4) If the CO or the PO or the DA (as applicable) refuse to
sign the Daily Order Sheet, the fact of such refusal may
be mentioned in the daily order sheet.

90
REPORT OF THE INQUIRY OFFICER

The findings of the Inquiry Officer must be based on

oral and documentary evidence adduced during the inquiry.
The inquiry officer who records the oral testimony is in the
best position to observe the demeanour of a witness and to
form a judgement as to his credibility; he should discuss the
same in his report. Taking into consideration all the
circumstances and facts, the Inquiry Officer as a rational
and prudent man has to draw inferences and to record his
reasoned conclusion as to whether the charges are proved or
not. After the conclusion of the inquiry, the Inquiry Officer
should draw up a report as provided in Rule 14 (23) (i) and
forward the same, where it is not the disciplinary authority,
to the disciplinary authority, together with the records of
inquiry constituting the documents prescribed in Rule 14
(23) (ii).

The report of the Inquiry Officer should contain –

(i) An introductory para indicating appointment of
Inquiry Officer and the dates of hearing.
(ii) Charges that were framed.
(iii) Charges that were admitted or dropped or not
pressed.
(iv) Charges actually inquired into.
(v) Brief statement of the case of disciplinary
authority in respect of the charges inquired into.
(vi) Brief statement of facts and documents
admitted.
(vii) Points for determination or issues to be decided.
(viii) Brief statement of the case of the Government
servant.
(ix) Assessment of evidence in respect of each point.
(x) Finding on each charge.

Along with the report, the Inquiry Officer should send

a folder containing the following: –
(a) List of exhibits produced by the Presenting
Officer.
(b) List of exhibits produced by the Government
servant.

91
 (c) List o prosecution witnesses.
(d) List of defence witnesses.
(e) A folder containing deposition of witnesses in
the order in which they were examined.
(f) A folder containing daily order-sheets.
(g) A folder containing written statement of defence.
(h) Written briefs of both sides.
(i) Applications, if any, filed during the course of
inquiry, and orders passed thereon, as also
orders passed on oral requests made during the
inquiry.

INQUIRY REPORT(IN BRIEF)—

1. After conclusion of the inquiry, IO has to prepare a

Report as laid down in Rule 14(23)(i) of the CCS(CCA)
Rules and forward the same to the Disciplinary
Authority together with the records of enquiry
consisting of the documents prescribed in Rule 14(23)
(ii). There is no prescribed format for writing the
Report. The Enquiry Report is to be divided into the
following parts: -
(a) Introductory
(b) DA availed of by the CO and his participation in
the enquiry.
(c) The charges and substance of imputation of
misconduct.
(d) Case of the Disciplinary Authority.
(e) Case of the Charged Officer.
(f) Analysing and Assessment of the evidence on
record.
(g) Findings and decisions on each charge.
2. The report is to be based only on the evidence on
record. The evidence has to weighed and evaluated
very carefully, intelligently, dispassionately and
impartially. The IO has to draw his inferences and
record his reasoned conclusions. The assessment of
evidence and arguments on each charge should be
done under separate headings.
3. The IO should then forward the inquiry Report to the
Disciplinary Authority.

92
DIFFERENCE BETWEEN DE UNDER RULE 27 (c)
OF CRPF RULES 1955 AND UNDER RULE 14 CCs
(CCA) RULES 1965-

The procedure to conduct DE under CRPF Rules 1955

and CCs (CCA) Rules, 1965 is similar except the following
differences: -

1) Under CCS (CCA) Rules, if Charged Official pleads

unconditional guilty in respect of one or all charges
framed against him during Preliminary Hearing; the
Disciplinary Authority records his findings in respect
of those charges. The Enquiry Officer is appointed
only to enquire into the charges for which C.O has
not pleaded guilty. Whereas under CRPF Rules 1955
the E.O has to listen the P.Ws and the documents
which are relied upon in favour of charges in presence
of Delinquent even if he pleads guilty during
preliminary hearing. The reasonable opportunity at all
steps will be given to defend him. The report of E.O.
will be submitted only at the end of proceeding, for
order of Disciplinary Authority.
2) Under CRPF Rules 1955, their is a provision that E.O.
will start proceedings only after 48 hours after receipt
of Memorandum of charges by C.O.; Whereas there is
no such provision under CCS (CCA) Rules 1965.
3) Under CCS (CCA) Rules 1965, the Presenting Officer
(P.0) is to be appointed by, Disciplinary Authority to
present the State Witnesses / P.Ws and Documents on
behalf of Disciplinary Authority, whereas this provision
is not made under CRPF Rules 1955.
4) Under CCS (CCA) Rules 1965 there is a provision for
Defence Assistant (D.A), who assists C O and defends
the case on behalf of charged official, whereas this
provision is not available under CRPF Rules 1955.
5) Under CC'S (CCA) Rules 1965, Presenting Officer
cross examines the DWs, where as under CRPF Rules
there is no such provision to cross-examine the DWs.
Under CRPF Rules 1955, prosecution never cross-
examines DWs; however, EO can examine DWs.
6) The C.0 has to appear before Enquiry Officer on such
day and time, within ten working days from the receipt
of article of charges etc., as the E.0 may by notice in
writing specify. A period of further ten days for

93
 appearing may be allowed by E.O. No such time
frame is given in CRPF Rules.
7) If the CO fails to appear before EO within specified
time or refuses or omits to plead, the EO will require
the PO to produce evidence and the case shall be
adjourned to a latter date not exceeding 30 days. EO
will record an order that CO may for preparation of his
defence inspect listed documents within 5 days of the
order and further period of 5 days may be allowed by
EO. The CO is required to submit list of witnesses,
which he wants to produce in his defence within 10
days and may further allow 10 days. No such time
frame is given in CRPF Rules 1955.
8) The copies of the statements of PWs if required by
the CO are to be furnished to him 3 days before
commencement of examination of witnesses. If E.0.
requires any other document for prosecution, which is
in possession of Govt., may also be requisitioned by
EO if it is relevant to the case. This provision is also
not available under CRPF Rules 1955 but being
practically followed in the interest of natural justice
and reasonable opportunity.
9) The Prosecution Witnesses may be examined by or on
behalf of Presenting Officer on a fixed date & time in
presence of the charged official & cross-examined by
the Charged Official or his Defence Assistant on his
behalf. Provision for cross-examination of DWs by PO
is not available in CRPF Rules 1955. Under CRPF
Rules 1955, the provision for cross-examination of
DWs & Delinquent by Prosecution is not available.
(10) When evidence of disciplinary authority or prosecution
is over, EO may allow the Presenting Officer to
produce new witness but this can be done with a
notice to Charged Official & adjournment of three clear
days. CRPF Rule is silent on this but sufficient time is
practically given only in the interest of natural justice.
(11) Under CCS (CCA) Rules, when evidence of Disciplinary
Authority is over, the Charged Official is required to
answer ‘mandatory questions’ in his defence. Then
he is to be examined by EO. If defence is made orally it
should be jotted down, a copy of such deposition will
be supplied to Presenting Officer. Like wise the defence
witnesses will be examined. Under CRPF Rules there is
no ‘mandatory question as such, but almost similar
procedure with a little difference that herein the

94
 delinquent is asked to enter a plea of guilt or otherwise
first and then give a list of DWs.
(12) When evidence of both sides is over the Presiding
Officer & Defence Assistant are required to file written
brief to their respective cases before E.O. This
provision is not available in CRPF Rules 1955.
(13) Under CCS(CCA) Rules EO and PO are separate with
distinct role, whereas under CRPF Rules EO has
somewhat a dual role to perform. He is supposed to
bring out prosecution documents as well, besides
examining the fairness and strength of the evidences.
Herein he sits in the chair of prosecution as well as
that of judge.
(14) Under CCS(CCA) Rules the Annexures pertaining to
List of Documents & PWs of the Memorandum of
Charges are not final. PO may add further during the
prosecution. But under CRPF Rules EO has to depend
mainly on these lists only unless apparently there is
some deficiency in the evidence. It shows his bias
attitude if he adds to the list of documents or PWs.

CHARGE SHEET ---

Issue of charge sheet is the first step in the

disciplinary proceedings taken against an employee with a
view to imposing a major penalty. When it is proposed to
institute a Departmental Enquiry against the member of the
force, the disciplinary authority has to draw or cause to be
drawn up the charge sheet. The charges are framed on the
basis of facts established after PE or Court of Enquiry or on
the basis of the record pertaining to the case. Charge Sheet
consists of letter or memorandum containing the proposal to
take such action and consists of the following documents, as
it’s Annexures-
 Definite and distinct Articles of Charge (Annexure-1).
 A Statement of Imputation of misconduct or
misbehaviour on which the charge is based containing
all relevant facts with full particularity including any

95
 admission or confession made by the employee
(Annexure-2).
 A list of documents by which charges are to be
sustained (Annexure-3).
 A list of witnesses by whom the charges are to be
sustained. (Annexure-4).
(i) The charge sheet must be clear, concise and contain
full particularity. The charges must be specific, precise
and definite mentioning misconduct or other act or
omission of the charged official clearly.
(ii) Charges should be framed only in respect of those
omissions and commissions in respect of which
sufficient oral and documentary evidences are
available.
(iii) Charges should not be vague, so that the delinquent
may put up an effective defence. Vague statement of
charges vitiates entire proceedings. [Tpt. Comm.
Versus ARK Moorthy (1995)1 SCC 332]. A single and
compact charge is better than three / four vague,
meaningless and irrelevant charges. The repetition of
charges should be avoided.
(iv) The substance of imputation of misconduct should be
drawn up into definite & distinct article of charge. A
statement of all relevant facts including any admission
or confession made by charged official should be
mentioned. The charge should be properly worded.
(v) The Rule or sub Rule under which the act or omission
of the charged official is a misconduct must be quoted
in the charge.
(vi) To make the charge specific, the following must be
reflected :--
a) Time/period, date and place of misconduct/
disobedience/ negligence.
b) Brief narration of the specific
misconduct/disobedience/negligence of duty etc.
c) Reference to exact abusive words if spoken,
should be made to make it more specific.
(vii) The statement recorded during Preliminary Enquiry
should not be cited as exhibit because the findings of
the PE/COI are likely to bias the mind of the Enquiry
Officer. Findings of such an enquiry must not be
mentioned as Exhibits.
(viii) The imputation should elucidate the charges in the
form of the story with a view to clearly understand the
charges.

96
 (ix) The charge must be framed in accordance with the
procedure applicable to the employee. The model for
Memorandum of Charges is given in Annexure –XII of
GC BN Manual and Circular Order 21 / 1975
(Appendix-II) for members of the force governed under
CRPF Act 1949 and CRPF Rules 1955; and in CCS
(CCA) Rules for others. Therefore the charge sheet
should be prepared accordingly.The procedure given in
CCS (CCA) Rules, is slightly different from CRPF
Rules.
(x) The Charges should be framed with impartial attitude
and it should not smack even a little vindictive or
prejudice attitude of disciplinary authority.

Following method is suggested for drafting of the

charges. Disciplinary Authority should draw a table
containing three columns, one each for the list of witnesses,
the detailed history of the incident/misconduct etc. and the
list of documents respectively as under—

WITNESSES DETAILED HISTORY OF THE DOCUMENTS

CASE
1.------------- --------------------------------------------- }1………………
-{ --------------------------------------------- }2………………..
------------------------------------------------
2. -------------------------------------------------- }3………………..
-------------{ --------------------------
--------------------------------------------- }4………………..
---------------------------------------------
---------------------------------------------
3……………{ ---------------------------------------------
--------------------------------

First of all Disciplinary Authority should write down the detailed

history of the incident as emerged during PE/COI in the middle
column in narrative form. After that he should earmark the witnesses
in the left column and documents in the right column against the
sentence/fact mentioned in the centre column. By doing this he will
be able to enlist all the misconduct by the employee and also the
witnesses and documents relevant and in support of the specific
charges without loosing sight on any of them.

97
 ( MODEL PROCEDURE FOR CONDUCTING D.E.
UNDER RULE 27 OF CRPF RULES 1955.

PROCCEDINGS OF DEPARTMENTAL ENQUIRY

CONDUCTED AGAINST NO. ..................... RANK .............
NAME ..................................................
OF ........... COY ............. BN, CRPF BY
SHRI ............................................ (RANK) OF
UNIT..................PLACE……

PRILIMINARY HEARING IN
PROCEEDING AGAINST
SHRI___________ON_______AT
__(HRS _ AT____(PLACE)
In the presence of
……………………………

Questions asked by E.O. and replies

thereto by Delinquent (date & time): -
Q.1. Have you received the copy of Memorandum of Charges
framed against you alongwith it's all Exhibits from I to IV
delivered to you by Commandant vide memo. No..................
dtd. ................. On ...?

Ans. .................................................... ........................................

...............................
(If reply is no, then the copy may be handed over to him)

Q.2. Have you understood the charges framed against you?

Ans. ............................................................. ...............................

..............................
(If reply is no, that will be explained to him and made him
understood in the language he understands. This fact be
recorded properly.)

98
Q.3. Do you know that I have been appointed E.O. vide
Comdt. ....... Bn. office order No. ...............................
Dtd. .................. ?

Ans. ........................................................ ....................................

............... .............
(If reply is no, then give copy of office order.)

READ OVER EXPLAINED AND ADMITTED CORRECT

--Sd-- --Sd--

(Signature of Delinquent with date & time) (Sig. of EO. with

date & time)

NOTE: - Minimum 48 hrs is given from the time of reading over

the charges. He will be asked to present himself
on given date and time for further Preliminary Hearing
(Plea of Guilt).

Proceeding against_________

On_______at_________Place______
In the presence of
……………………………

Question asked by EO and reply by Delinquent on ____________

(Date and Time).

Q. - Charges were read out to you on ________ (Date)

at_______(time). You should now state whether you plead
"guilty" or "Not guilty" to Article of Charge No. 1 levelled
against you?
Ans. "I plead guilty" or "I do not plead guilty"
Q- Do you plead "guilty" are "not guilty'' to Article of Charge no-
2.
Ans. "I plead guilty" or "I don't plead guilty."
(And so on in r/o other Article of
Charges..........................................)

N.B.- Charged Official has to plead guilty/not guilty in r/o all

charges separately as above

99
 READ OVER EXPLAINED & ADMITTED CORRECT

` -Sd- -Sd-
(Signature of CO with date & time) (Sign. of EO
with date & time)

NOTE~ Whether accused pleads "guilty" or "not guilty" the

Prosecution Witnesses will invariably be let in and
there statements recorded in presence of Delinquent.
Delinquent will be asked to remain present during
recording of statement of witnesses. When the
statements of PWs are over, on next given date
Delinquent will be called and again he will be asked to
plead guilty or otherwise. If he wants to produce his
DWs their Statements will also be recorded in the
same manner as in case of PWs.

Proceeding against
Shri____________

On__________at_________place___
In the presence of ……………………………

PROSECUTION WITNESS-1

Statement of No..................Rank ..........

(Name)......................of.....Coy......Bn.CRPF at (place)...............on
(date).........at (hours).........

No............(Rank)......(Name).........states as under:

"That.....................................................................................
.......................................................................................................
.......................................................................................................
.......................................................................................................
........................................"

READ OVER EXPLAINED AND ADMITTED CORRECT

-Sd- -sd- -sd-

100
(Signature of PW-1) (Signature of Delinquent)
(Signature of EO)

Questions (if any) asked by EO & reply by (PW-1) No.........(Rank

& Name).......

Question 1...............................................
Answer 1 ..................................................
Question 2...............................................
Answer 2..........................................

and so on.......
(Now opportunity to delinquent ... to cross examine PW 1 is to be
given)

Cross examination of PW-1 NO........... Rank........ Name..............

by the delinquent.

Question by delinquent...........
Answer by PW-1.........
and so on ..........
( If he declines to cross-examine the PWs, this fact will also be
recorded and signed by them.)

READ OVER EXPLAINED AND ADMITTED CORRECT.

Sd/- Sd/- Sd/-
(Sig. of PW-1) (Sig. of Delinquent) (Sig. of
E.O.)

Note:- If documents are also produced and relied upon in

support of the charge, the accused will be allowed to inspect the
same serially numbered as exhibit. A copy of the statement as
above should be given to Delinquent with its Exhibits. Witness,
Delinquent and EO must sign all pages. Following endorsement
will also be made in the proceeding "The delinquent was allowed to
inspect the following documents in the presence of EO---
(a) Letter No............Dated..........from Commandant .....Bn
CRPF addressed to.
(b)..........................................................
(c)..........................................................

READ OVER EXPLAINED AND ADMITTED CORRECT

101
 -Sd- -sd-
(Sign. of Delinquent) (Sign. of EO)

NOTE: - In the same manner the statement of all PWs are

recorded and documents taken on record.

Proceeding
against
Shri____________

On__________at_________Place____
In the presence of
……………………

EXAMINATION OF THE DELINQUENT

(Statement of Delinquent or Exam. of Delinquent by
EO
He will again be asked to plead " guilty" or Not guilty")
Question-1 Since all PWs have given their statements and relevant
documents have been produced by them in support of
the charge in your presence& you have seen all those
documents, now at this stage, do you plead "guilty" or
"Not guilty"in respect of the charges levelled against
you vide article of charge 1, 2..........?
Answer-1
------------------------------------------------------------
------------------

R.O.E.A.C.

Sd/- Sd/-
(Sign. of Delinquent with date) (Sign. of E.O with date)
Note :-

(i) If he pleads guilty again, the proceeding will be closed

and
Enquiry Report will be prepared & submitted to
disciplinary authority and if EO him self is
Disciplinary authority then he will pass his final order.

102
 (ii) If he does not plead guilty then a letter addressed to
delinquent will be written asking him to file written
statement and a list of DWs as he may like to cite in
his defence within sixteen days (Not less than a
fortnight) from the date of receipt of this letter. He will
be asked to be present on given date & time and if he
declines to file written statement and list of witnesses
he will again be examined by E.O.. He will be asked to
acknowledge the letter. (Delinquent may ask for
reasonable time extension for preparation of defence,
which should normally be given).
Proceeding against
Shri____________

On__________at_________place____
In the presence of
……………………

STATEMENT OF DW-I
(Same as in case of PWs)

(Statement to be signed by DWs, Delinquent & E

O)

R.O.E.A.C.

Sd/- Sd/- Sd/-

(Sign of D.Ws with date) (Sign of Delinquent) (Sign of
EOs with date) with date

Examination of DWs by E.O :-

Q-1 --------------
Ans. --------------

R.O.E.A.C.

Sd/- Sd/- Sd/-

(Sign of DWs with date) (Sign. of Delinquent with date) (Sign
of EOs with date)

Note :- E.O. may refuse to record the statements if not

material to the issues

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 involved but this fact must be recorded in the
proceeding with reasons
for not allowing the same. The copy of statements
recorded will be
given to delinquent duly acknowledged.

DEPARTMENTAL ENQUITY REPORT: -

1) INTRODUCTION: -
I was appointed Enquiry Officer to conduct departmental
enquiry against (name of Charged Official) vide
Commandant.......Bn CRPF Office Order No.........Dated........to
enquire into the charges framed against (Charged Official).......vide
Memorandum No..............dated…. I have since completed the
enquiry, on the basis of the documentary and oral evidence
adduced before me, I prepare enquiry report as under: -
2) ARTICLE OF CHARGES: -

Article -I
_______________________
_______________________
_______________________

Article-II
_______________________
_______________________

Article-III
_______________________
_______________________

3) PARTICIPATION BY C.O. DURING ENQUIRY,

APPOINTMENT OF P.O.
AND DEFENCE ASSISTANT

The CO Participated in the enquiry from beginning to end.

He was assisted by Shri_______________ Defence Assistant, if any
appointed by him throughout the proceeding. Disciplinary
Authority also appointed PO vide his letter No. ..........
dated ............. He was also present during the proceeding.

4) EXAMINATION AND EVALUATION OF THE CHARGES VIS-

A-VIS EVIDENCES.

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 Now I will examine the charges vis-à-vis the statements of
PWs, DWs, Delinquent and the documents produced by them one
by one: -

1) Article of Charge-I
"__________________________
__________________________"

2) Plea of Guilty or Not Guilty by Delinquent :-

_______________________________
_______________________________

3) Brief of Statements and documents by PWs:-

_______________________________
_______________________________

4) Brief of statements and documents by DWs and

delinquent-
_______________________________
_______________________________

5) Analysis & Assessment/Evaluation of evidence

(Discussing pros and cons)
_______________________________
_______________________________

6) Findings, Decision and Opinion of the EO in

respect to this charge
_______________________________
_______________________________

Note :- In the same fashion all charges are examined,

analysed and findings recorded by E.O.. in the opinion The
Enquiry Officer should mention only whether charges proved
/ not proved/ partially proved. He should not mention the
nature of punishment to or exoneration of delinquent in his
opinion. The complete proceeding will be submitted to
competent disciplinary authority under a covering letter

105
 ORDER OF DISCIPLINARY AUTHORITY

It should be elaborate and speaking. There should not

be any ambiguity or contradiction. Disciplinary authority
should come to conclusion after analysis of the evidences.
He may agree with the findings and report of EO or may not
agree. He may order de novo enquiry if the procedure is not
followed and there is miscarriage of justice in his opinion.
His order should contain following points.
1) a) Introduction
b) Article of charge
2) a) Analysis of evidences oral documentary
from both sides in respect of the
charges
b) His conclusion and opinion with
reasoning.
3) Order of punishment/exoneration as required.

Supply of the copy of order to delinquent is to be duly

acknowledged by delinquent.
(Closed)

FORMAT OF ORDER SHEET IN DE

( under CCS
(CCA) Rules)
Date Details of Proceeding Sign of Sign of
Sign. Of PO Sign.Of DA
& Time E.O. Delinquent

1. 2. 3. 4. 5.
6.

--- I received the office order --Sd-- ----

---- ----
No. . . . . . . dtd…. vide which
I have been appointed E.O

106
 to Enquire into the charges
framed against (C.O) vide
memo of charges along
with its exhibits 1 to 4 vide memo
No.------ dated-----.
I went through the memo
and issued a letter No . . .
of date to C.O to appear
before me on (date) . . . . . .
for preliminary hearing.

--- Today at 1000 Hrs (CO) --Sd-- --Sd-- --Sd--

--Sd--
appeared before me for
preliminary hearing. Preliminary
hearing was done and (CO)
was asked to plead guilty or not
guilty. He pleaded guilty in r/o
Article of charge / and not guilty in
R/O article of charge.........The date for
Next hearing was fixed and PO, delinquent
& Prosecution witnesses were informed.
Vide letter No.----------dated---------.
.......................................................

***********
NB: Above procedure is not exhaustive, but merely a guideline towards
perfection. May use it with care.

107
COMPARISION OF PE, COI AND DE
COI DE
PE
1 NO SPECIFIC ORDER IS SPECIFIC ORDER IS SPECIFIC ORDER IS
REQUIRED. REQUIRED. REQUIRED.
2 TO BE CONDUCTED BY TO BE CONDUCTED BY A TO BE CONDUCTED BY
ONE OFFICER. COURT OF MIN. 3 OFFICER.
OFFICERS.
3 AIMS TO ASCERTAIN AIMS TO ESTABLISH AIMS TO ENQUIRE INT
PRIMA-FACIE TRUTH IN BEYOND DOUBT THE SPECIFIC CHARGES AN
ALLEGATION CIRCUMSTANCES OF PROVIDE OPPORTUNIT
INCIDENCE
4 THERE IS NO THERE IS NO DELINQUENT IS THER
DELINQUENT DELINQUENT
5 ONLY GENERAL NO ALLEGATION SPECIFIC CHARGE IS T
ALLEGATIONS AGAINST ANYBODY
6 NO PWs/DWs, ONLY NO PWs/DWs, ONLY PWs/DWs ARE THERE
WITNESSES WITNESSES
7 NO PRESENTING NO PRESENTING PRESENTING OFFICER
OFFICER/DA OFFICER/DA ARE THERE IF PERMIS
8 NO CROSS NO CROSS EXAMINATION CROSS EXAMINATION
EXAMINATION THERE
9 MERELY FACT-FINDING MERELY FACT-FINDING NOT MERELY FACT-FIN
1 NOT CONCLUSIVE IN CONCLUSIVE IN NATURE CONCLUSIVE IN NATU
0 NATURE TO SOME EXTENT
1 NO FORMAL RECOMMENDATION BY NO FORMAL
1 RECOMMENDATION BY EO ONLY WHEN TERMS RECOMMENDATION B
EO OF REFERENCE IS THERE
1 GENERALLY IN GENERALLY IN THE GENERALLY IN
2 INDISCIPLINE/MISCOND CASES OF LOSS/DAMAGE INDISCIPLINE/MISCON
UCT CASES TO PERSON /PROPERTY CASES
1 NO FORMAL NO FORMAL FORMAL PUNISHMENT
3 PUNISHMENT ON THIS PUNISHMENT ON THIS THIS BASIS MAY BE
BASIS BASIS AWARDED
1 NO APPEAL/REVISION NO APPEAL/REVISION APPEAL/REVISION IS T
4 ACCORDING TO RULE
1 NON-JUDICIAL NON-JUDICIAL QUASI-JUDICIAL

108
5 PROCEEDING PROCEEDING PROCEEDING
1 NOT SUBJECTED TO NOT SUBJECTED TO SUBJECTED TO JUDICI
6 JUDICIAL REVIEW JUDICIAL REVIEW REVIEW
1 NOT SUBJECTED TO NOT SUBJECTED TO SUBJECTED TO PRINC
7 PRINCIPLE OF PRINCIPLE OF NATURAL OF NATURAL JUSTICE
NATURAL JUSTICE JUSTICE STRICTLY STRICTLY
STRICTLY
1 NOT SUBJECTED TO NOT SUBJECTED TO SUBJECTED TO PRINC
8 PRINCIPLE OF PRINCIPLE OF OF REASONABLE
REASONABLE REASONABLE OPPORTUNITY VERY
OPPORTUNITY OPPORTUNITY STRICTLY STRICTLY
STRICTLY
1 TIME LIMIT IS TIME LIMIT IS 2 Ws FOR AS EARLY AS POSSIBL
9 IMMEDIATELY AND 1ST PART AND 30 Ds FOR GIVING REASONABLE
MAX- 7 DAYS COMPLETION. FINAL OPPORTUNITY TO
DISPOSAL 3 Ms DELINQUENT. NO
DELIBERATE DELAY. M
3 Ms
2 VERY SIMPLE VERY SIMPLE A LITTLE COMPLICATE
0 PROCEDURE PROCEDURE PROCEDURE.

109