CONTENTS

PAGE

CHAPTER-1
INTRODUCTION

1.1 INTRODUCTION 1

1.2 PURPOSE OF DEPARTMENTAL ENQUIRY 3

CHAPTER-2
EVOLUTION OF DEPARTMENTAL ENQUIRY

2.1 EVOLUTION OF DEPARTMENTAL INQUIRY CONCEPT IN 6

INDIA

2.1.1 PROVISIONS GOVERNING EMPLOYMENT UNDER THE 8

UNION AND THE STATES

2.2 TERMS ‘MEMBER OF CIVIL SERVICE’, PERSON HOLDING 11

‘CIVIL POST’ AND ‘PUBLIC SERVANT’

2.3 HISTORICAL BACKGROUND OF ARTICLES 310, 311 AND 12

312 OF THE CONSTITUTION

2.4 EVOLUTION OF THE PRESENT DAY LAW REGARDING 13

ARTICLES. 309 TO 311

2.5 THE PERIOD OF TRANSITION 16

2.5.1 EFFECT OF JUDGMENT IN TULSIRAM’S CASE 19

2.6 NEED FOR A CHANGE 20

CHAPTER - 3
CONSTITUTION & DEPARTMENTAL ENQUIRY

3.1 ARTICLE 14 AND DEPARTMENTAL ENQUIRY 21

3.1.1 THERE CAN BE DIFFERENT RULES FOR DIFFERENT 21

SERVICES

3.1.2 WHEN ONE RULE IS MORE DRASTIC THAN THE OTHER, 23

THEN THERE IS DISCRIMINATION

3.1.3 NON-PROVISION OF APPEAL IN ONE RULE DOES NOT 24

MAKE IT DISCRIMINATORY

3.1.4 WHEN THERE IS NO SUBSTANTIAL DIFFERENCE IN TWO 24

RULES THEN THEY ARE NOT DISCRIMINATORY
3.1.5 UNGUIDED DISCRIMINATION SHOWS DISCRIMINATION 25

3.1.6 WHEN THE RULES ARE DISCRIMINATORY 25

3.1.7 WHEN POWER TO SUSPEND WILL BE 26

UNCONSTITUTIONAL

3.2 ARTICLE 16 AND DEPARTMENTAL ENQUIRY 27

3.2.1 ARBITRARY CHANGE IN SENIORITY LIST MAY VIOLATE 27

ARTICLE 16

3.2.2 WHETHER DEPARTMENTAL ENQUIRY AFTER ACQUITTAL 30

VIOLATES CONSTITUTIONAL GUARANTEE

3.3 ARTICLE 20(3) AND DEPARTMENTAL ENQUIRY 32

3.3.1 ARTICLE 20(3) DOES NOT REQUIRE STAY OF 32

DEPARTMENTAL ENQUIRY DURING CRIMINAL
PROCEEDINGS

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3.3.2 CONFESSION NOT BARRED BY ARTICLE 20(3)

3.3.3 ARTICLE 20(3) WHEN APPLICABLE

3.4 ARTICLE 22 AND DEPARTMENTAL ENQUIRY

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ARTICLES 77, 166 AND DEPARTMENTAL ENQUIRY

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3.5.1 ARTICLE 77 WILL NOT HOLD WHEN OFFICE IS HELD ON
PLEASURE; AUTHENTICATION OF THE ORDER TO WAIVE
ENQUIRY UNDER ARTICLE 77; COMPLIANCE OF ARTICLE
77 WHEN ORDERS ARE PASSED BY CENTRAL
GOVERNMENT; PROVISIONS OF ARTICLE 77 ARE
DIRECTIVE; COMPLIANCE WITH ARTICLE 166 WHEN
ORDERS ARE PASSED BY GOVERNMENT

3.5.2 IF POWERS AND FUNCTIONS OF GOVERNMENT ARE 36

DELEGATED TO ANY OFFICER, THEN HE CAN EXERCISE
THEPOWER
m
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3.6 ARTICLE 299 AND DEPARTMENTAL ENQUIRY

3.7 ARTICLES 309, 310 & 311 AND DEPARTMENTAL ENQUIRY 38

3.7.1 ARTICLE 77 APPLICABLE TO RULES UNDER ARTICLE 309 38

3.7.2 RULES UNDER ARTICLE 309 BINDING WHEN ACTION NOT 39

TAKEN UNDER ARTICLE 310

3.7.3 RULES UNDER ARTICLE 309 CAN REGULATE DISMISSAL 40

OR TERMINATION OF SERVICE
CHAPTER-4
NATURAL JUSTICE & DEPARTMENTAL ENQUIRY

4.1 NATURAL JUSTICE: AN INTRODUCTION 45

4.1.1 THE ORIGIN OF NATURAL JUSTICE 45

4.2 THE PRINCIPLE AND ESSNTIAL ELEMENTS OF NATURAL 50

JUSTICE

4.2.1 RULE AGAINST BIAS 54

4.2.2 AUDI ALTERAM PARTEM 62

4.3 POST DECISIONAL HEARING 82

4.4 EXCEPTIONS TO PRINCIPLES OF NATURAL JUSTICE 84

CHAPTER-5
PROCEDURE OF DEPARTMENTAL ENQUIRY AND NALCO

5 INTRODUCTION 93

5.1 BASIC CONCEPTS UNDERLYING DEPARTMENTAL 96

INQUIRIES

5.2 THE NEED FOR DI 97

5.3 IS DI A PREROGATIVE OR RIGHT OF THE EMPLOYER 98

5.4 QUANTUM OF PROOF NEEDED IN A DEPARTMENTAL 99

INQUIRY

5.5 TWIN PRINCIPLES OF QUASI JUDICIAL APPROACH AND 101

NATURAL JUSTICE

5.6 ONE DRAWBACK OF DEPARTMENTAL INQUIRIES 102

5.7 CONSIDERATIONS FOR DISCIPLINARY AUTHORITY TO 104

INITIATE ACTION & PUNISH ERRING EMPLOYEES

5.8 GOVERNMENT OF INDIA’S INSTRUCTIONS ON 104

DEPARTMENTAL PROCEEDINGS

5.9 SOME IMPORTANT TERMS USED IN DI 115

5.10 SEQUENTIAL STEPS COVERING A DEPARTMENTAL 117

INQUIRY

5.11 PENALTIES 123

5.12 PROCEDURE FOR IMPOSING MAJOR PENALTIES UNDER 124

RULE-14 OF CCS (CCA) RULES
5.13 PROFILE OF THE DISCIPLINARY AUTHORITY

5.13.1 STATUTORY RESPONSIBILITY AND ACCOUNTABILITY

5.13.2 PRE-INQUIRY ROLE OF THE DISCIPLINARY AUTHORITY - 136

PROCESSING COMPLAINT / INVESTIGATION REPORT,
DRAFTING & ISSUE OF CHARGE SHEET AND ORDERING
THE INQUIRY

5.13.3 ACTION ON RECEIPT OF REPORT OF INQUIRY OFFICER 143

5.14 PROFILE OF INQUIRY OFFICER (10) 148

5.14.1 INTRODUCTION 148

5.14.2 REPRESENTATION AGAINST BIAS IN INQUIRING OFFICER 151

5.14.3 FUNCTIONS OF THE INQUIRY OFFICER (10) 153

5.14.4 ROLE, OBJECTIVES & MISSION OF INQUIRY OFFICER 155

5.14.5 ATTITUDE OF INQUIRY OFFICER 157

5.14.6 QUALIFICATION AND KNOWLEDGE RESOURCES TO BE 158

POSSESSED BY THE INQUIRY OFFICER

5.14.7 DEFECTS, DEFICIENCIES OR ERRORS IN STATEMENT OF 160

IMPUTATIONS OR ARTICLES OF CHARGE

5.14.8 SEQUENTIAL STAGES/STEPS IN THE ROLE OF THE 161

INQUIRY OFFICER

5.14.9 GUIDELINES TO THE INQUIRY OFFICER FOR CONDUCTING 171

THE INQUIRY

5.14.10 ANALYSIS OF THE RECORDS OF INQUIRY & SUBMISSION 176

OF THE REPORT OF THE INQUIRY OFFICER

5.15 ROLE OF THE PRESENTING OFFICER 183

5.15.1 UNDERSTANDING ROLE PERCEPTION BY PO 184

5.15.2 PO'S ROLE DURING PRELIMINARY INQUIRY 193

5.15.3 PO’S ROLE DURING REGULAR INQUIRY 195

5.15.4 GUIDELINES FOR THE PRESENTING OFFICER 202

5.16 DEFENCE ASSISTANCE TO THE CHARGED OFFICER 204

5.16.1 INTRODUCTION 204

5.16.2 PROFILE OF DEFENCE ASSISTING OFFICER 208

5.16.3 GUIDELINES FOR THE DEFENCE ASSISTING OFFICER 212
WHEN DAO TO ASSUME CHARGE

5.17 PROFILE OF CHARGE-SHEETED OFFICER 215

5.17.1 GUIDELINES FOR CHARGE SHEETED OFFICER 216

CHAPTER - 6
CONCLUSION & SUGGESTION

6.1 CONCLUSION 221

6.2 SUGGESTIONS 223

6.3 A COMPARATIVE STUDY OF DISCIPLINARY PROCEDURES 231

6.3.1 DISCIPLINARY PROCEDURES IN THE UK CIVIL SERVICES 231

6.3.2 RATIONALISING DISCIPLINARY PROCEDURES IN INDIA 234