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ROLE AND FUNCTIONS OF

INQUIRY OFFICER,
PRESENTING OFFICER
AND
DEFENCE ASSISTANT
 SESSION OVERVIEW
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 STAGE OF APPOINTMENT OF IO/PO

 PROVISIONS OF CCS (CCA) RULES, 1965
 INQUIRY OFFICER
 WHO MAY BE APPOINTED
 FUNCTIONS OF IO
 OTHER ASPECTS
 PRESENTING OFFICER
 WHO MAY BE APPOINTED
 FUNCTIONS
 GUIDELINES
 DEFENCE ASSISTANCE
 WHO MAY BE ALLOWED
 CHECKLIST
 Preliminary Major or
Misconduct investigation Minor

Issue charge sheet

Appeal/revision/review
Appoint I.O. if C.O
denies charges

penalty or
exonerate I.O conducts
Inquiry.

Disc.Auth. agrees or Submits

disagrees report
PROCESS OF DEPARTMENTAL ENQUIRY
 APPOINTMENT OF IO

 Rule 14 (2): Wherever 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 ……,
an authority to inquire into the truth thereof:
 Appointment of IO

 Provided that where there is a complaint of sexual

harassment within the meaning of Rule 3-C of the
CCS (Conduct) Rules, 1964, the Complaints
Committee established in each
Ministry/Department/Office for inquiry into such
complaints, shall be deemed to be the inquiry
authority appointed by the Disciplinary Authority for
the purpose of these rules and the Complaints
Committee shall hold, if separate procedure has not
been prescribed for the Complaints Committee for
holding the inquiry into the complaints of sexual
harassment, the inquiry as far as practicable in
accordance with the procedures laid down in these
rules.
 APPOINTMENT OF PRESENTING OFFICER

Rule 14(5)(c): Where the Disciplinary

Authority itself inquire into any article of
charge or appoints an inquiring authority for
holding any inquiry into such charge, it may,
by 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.
 APPOINTMENT OF DEFENCE ASSISTANT

Rule14 (8)(a): The Government Servant may

take the assistance of any other Government
Servant posted in any office either at his HQ
or at the place where the inquiry is held, to
present the case on his behalf, but may not
engage a legal practioner for the purpose,
unless the Presenting Officer appointed by the
Disciplinary Authority is the legal practitioner,
or the Disciplinary Authority having regard to
the circumstances of the case, so permits:
 Appointment of Defence Assistant

 Provided that the Government Servant may

take the assistance of any other Government
Servant posted at 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

 Note: The Government Servant shall not take

the assistance of any other Government
Servant who has three pending cases on hand
in which he has to give assistance.
 Appointment of Defence Assistant

 Rule14 (8)(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
10 INQUIRY OFFICER
 Stage of appointment
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 Generally after reply to charge sheet has been

received and considered by DA
 Appointing before that stage may lead to a
grievance that DA had pre-judged the issue (State of
Punjab Vs. V. K. Khanna, 2000)
 Appointed by DA or by some authority if so
authorised under the rules
 IO is not subject to direction and control of DA
 Who may be appointed as IO?
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 The legal principle that the prosecutor cannot be a

judge – not strictly applicable in Depttal proceedings
 Qualities
 Impartial and free from bias (Tilak Chand V. Kamla Prasad
Shukla, 1995)
 Who is not interested in the matter
 If a witness himself, cannot be an IO ( State of Uttaranchal Vs.
Kharak Singh, 2008; State of UP Vs. Mohd Nooh, 1958)
 Complainant cannot be IO
 Precise knowledge of rules and procedures
 Higher in rank than charged officer
 Who may be appointed as IO?
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 No if there is close relationship between him and

one of the parties
 Rule of necessity: Where there is only one
authority who can conduct the proceedings as per
rules (state of UP vs. Sheo Shanker Lal Srivastava,
2006 (Lokayukta case))
 In enquiries of allegations of sexual harassment –
Complaints Committee to act as Inquiring authority
 Outsider as IO
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 Outsiders can also be appointed s IO under various

circumstances
 Technical nature of the misconduct, rules
permitting the same, at the request of the CO. Etc...
 Procedure for empanelment of Retired Officers –
DOPT instructions dated 7.1.2016 are relevant
 Procedure has been stipulated
 Terms and conditions including honorarium
indicated
Commissioners for Departmental Inquiries borne on the
strength of the CVC will enquire, in following cases:
(i) a gazetted GS involving lack of integrity or
an element of vigilance angle; or
(ii) a Board Level appointee of PSUs; or
(iii) any other case where Major Penalty
Proceedings have been initiated on the advice of the
CVC.
Requests for exemption should be submitted to the
CVC along with the name and designation of the
officer proposed to be IO.
09/07/2022
 Functions of IO
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 Basic functions:
 To conduct inquiry
 To record evidence
 To analyse evidence
 To find whether the charge is proved or not proved

 Activities fall under different stages/categories:

 Pre-hearing stage
 Preliminary hearing stage
 Regular hearing stage
 Post hearing stage
 At any stage during the inquiry
 When encountered with unusual circumstances
 Pre-hearing stage
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 Verifying appointment order and documents

 Analysing and understanding the charges
 Fixing date for preliminary hearing
 Sending communication to parties and controlling officers
of CO and PO
 Ascertaining whether CO finalised DA
 Preparation of Daily Order Sheets of activities undertaken
 Point out any patent errors in the Charge sheet or
discrepancies in the referred documents
 Analysing and Understanding Charges
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Charge

Fact 1 Fact 2

Documenta Oral Documenta Oral

ry evidence evidence ry evidence evidence
 Preliminary Hearing Stage
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 Making arrangements for hearings

 Asking mandatory questions
 Fixing dates for inspection of original documents and
submission of list of additional documents and witnesses
(CO)
 Finalisation of documents and witnesses admissible for
defence
 Taking action for procuring additional documents
 Settling issue of disputed documents
 Taking the documents on record
 Issue of certificates of attendance to parties
 Deciding on the requests for adjournment
 Regular Hearing Stage
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 Summoning witnesses
 Monitoring conduct of examination of witnesses
 Recording statements of witnesses
 Recording demeanor of witnesses
 Deciding objections about the questions raised during examination of witnesses
 Deciding requests for introducing additional witnesses
 Deciding requests for recalling witnesses
 Asking the C O to state his defence on conclusion of the case
 Putting mandatory questions on conclusion of case of defence
 Checking up from the CO as to whether he got sufficient opportunity for his
defence
 Giving directions for the submission of written briefs by the PO and C
 O
Inquiry Number of (Honorarium) (Honorariu
Officer Cases (Minimum) m)
(Maximum)
Serving 10/year & 5000 10000
2 at a time
Retired 20/year & 15000 75000
4 at a time
Retired Transport 15000 40000
Allowance
Retired Secretariat 30000 per case if no
Assistance assistance is provided by
Department.
09/07/2022
22 PRESENTING OFFICER
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 Appointment is not obligatory

 If IO is required to examine only documentary
evidence, PO may not be appointed
 Normally appointed from within the organisation
 Appointment cannot be challenged on the ground
of bias
 Functions of Presenting Officer
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 Functions of the Presenting Officer:

  Presenting the documentary evidence
 Leading oral evidence on behalf of the disciplinary authority
 Cross examining defence witness
 Preparation and presentation of the written brief
 Categorised into four phases:
 Preparatory stage
 Preliminary Hearing stage
 Regular Hearing stage
 Post hearing stage
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 To act as representative of the DA – examine all the

documents and crosscheck their service to the CO
 Establishing rapport with the IO to assist him in
bringing out facts
 Understanding, analysing the charges
 Produce listed documents
 Lead oral evidence before IO in support of charges
 Cross-examine defence witnesses
 Submit PO’s brief
Presenting Number of (Honorariu (Honorariu
Officer Cases m) m)
(Minimum) (Maximum)

Serving 10/year & 5000 10000

2 at a time

09/07/2022
27 DEFENCE ASSISTANT
Does the DA require permission for assisting the
Charged GS?

The grounds on which engagement of legal practitioner as a Def. Asstt.

has been allowed even where the PO is not a legal practitioner:
 Where the GS is, rightly of wrongly, under a reasonable
apprehension that the inquiry was the result of a
conspiracy against him ;
 Where the record of the case is voluminous and the
number of witnesses to be examined is very large ;
 Where the case is highly complicated or difficult involving
legal points, etc; and
 Where the statement of the witnesses is recorded in
English language and the CO is illiterate
09/07/2022
Defence Assistant Number of Cases

Serving Not more than 3 at a time

Retired Not more than 7 at a time

09/07/2022
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PARTICIPATION