CONDUCT & PROCEDURE OF DISCIPLINARY DEPARTMENTAL ENQUIRIES

TABLE OF CONTENTS
TABLE OF CASES......................................................................................................2
SYNOPSIS.................................................................................................................... 3
INTRODUCTION........................................................................................................4
PROCEDURE TO BE FOLLOWED............................................................................4
1. Lodging of Complaint.........................................................................................5
2. Preliminary Enquiry............................................................................................5
3. Framing of charge-sheet......................................................................................7
4. Requisites a Valid Charge...................................................................................8
5. Service of Charge-Sheet....................................................................................10
6. Reply of the delinquent to the Charge-Sheet.....................................................11
7. Scrutiny of the Reply of the Delinquent............................................................11
8. Appointment of Enquiry Officer.......................................................................11
9. Conduct of Enquiry By the Enquiry Officer......................................................12
10. Nomination of the Presenting Officer..............................................................13
11. Legal Assistance for Defence...........................................................................14
12. Attendance and Examination of Witnesses.......................................................14
13. Ex- parte Enquiry.............................................................................................15
14. Finding and Report of the Enquiry Officer.......................................................16
15. Findings of the Disciplinary Authority.............................................................17
16. Exoneration of the Delinquent.........................................................................17
17. Imposition of Minor Penalties..........................................................................17
18. Imposition of Major Penalties..........................................................................18
19. Consideration of Past Records.........................................................................18
20. Consultation with the Public Service Commission...........................................19
21. A Speaking Order.............................................................................................19
CONCLUSION...........................................................................................................20
BIBLIOGRAPHY.......................................................................................................21

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TABLE OF CASES
B. K. Chopra v. Food Corporation of India........................................10
Champaklal v. Union of India.............................................................5
G. K. Sahoo v. Calcutta Port Trust.....................................................5
Government of Tamil Nadu v. D. S. Rajadevan....................................6
High Court of Judicature at Bombay v. S. S. Patil.............................17
Kashishnath Dikshita v. Union of India..............................................4
M/s CIPLA Ltd v. Repu Daman Bharot.............................................14
Mahabir Prasad v. State of U.P.........................................................19
R. S. Manyam v. Vice Chairman.........................................................8
Satpal v. State of Haryana...............................................................13
Soma Chakravarty v. State.................................................................8
State of A.P. v. Sri Rama Rao.............................................................9
State of Punjab v. V. K. Khanna......................................................4, 9
State of U.P v. Chandrapal Singh.......................................................5
State of U.P. v. C. S. Sharma..............................................................7
State of U.P. v. M. L. Srivastava........................................................19
State of U.P. v. R. C. Mangalik..........................................................16
Swami Singh v. State of Rajasthan.....................................................8
Tapati Das v. Plassey M. B. Vidyaniketan..........................................18
Union of India v. P. C. Biswas...........................................................12
Vishwanath v. Abdul Wajid..............................................................12
Y. L. Banka v. Lt. Governor of Delhi..................................................10

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SYNOPSIS
Abstract
Departmental Proceedings mean the proceedings taken by the competent authority
against an employee, in disciplinary cases. These involve measure for enforcing discipline
among the employees. These are administrative cum legal proceedings. The Government of
India is a super employer in charge of the largest community of employees of all types,
ministerial, supervisory, executive and managerial, apart from industrial workers. As a model
employer, it has to observe all the laws of the land in dealing with its employees, right from
their recruitment to their retirement.

Research Questions
1. What is the procedure being followed to conduct Disciplinary Departmental
Enquiries under the Central Civil Service Rules?
2. What is the role of various officers being appointed as a part of the procedure and
what is the procedure concerning Charge-sheet?

Research Methodology
A descriptive and doctrinal research methodology was used for this project.
Concerned statute and books of renowned authors were looked into for the compilation of
the present study. Several websites were looked into for understanding the concept of
present study. Moreover various articles and case laws were referred inorder to clear the
law point at the present time. Referring to all the primary and secondary material
mentioned above, the present study has been compiled and presented to the concerned.

Topic Scheme
Topic 1 Introduction to the Departmental Enquiries
Topic 2 Procedure followed in disciplinary proceedings
Topic 3 Viewpoint of researcher as conclusion

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INTRODUCTION
Departmental Proceedings mean the proceedings taken by the competent authority
against an employee, in disciplinary cases. These involve measure for enforcing discipline
among the employees. These are administrative cum legal proceedings.
The Government of India is a super employer in charge of the largest community of
employees of all types, ministerial, supervisory, executive and managerial, apart from
industrial workers. As a model employer, it has to observe all the laws of the land in dealing
with its employees, right from their recruitment to their retirement. At the same time, in its
obligation to the public, the Government has to ensure that its employees behave themselves,
enforce discipline and promote loyalty for the sake of smooth conduct of public
administration, prevent corrupt practices and punish errant employees, through appropriate
disciplinary measures. It is, therefore, the prerogative of the Government to hold disciplinary
proceedings. However, this prerogative must be used for public good, in a fair and reasonable
manner.1
The basic problem of modern administration is, therefore, to maintain a balance
between safeguarding the interests of the State and providing security to its employees.
Keeping in view the complexities involved in the process, the institution of disciplinary
proceedings, a very vulnerable and unenviable task, calls for strict norms. Not being purely
an administrative matter, it involves legal concepts and a judicious application of mind. The
Government is mainly guided by the provisions of Constitution of India, in such matters. This
apart, in conducting the proceedings, it cannot overlook the basic principles of natural justice
i.e. Rule of fair hearing and the rule against biasness.

PROCEDURE TO BE FOLLOWED
Management of disciplinary proceedings is primarily, a managerial function. It is
settled law that reasonable and adequate opportunity of hearing has to be provided to the
delinquent officer, against whom the proceedings have been initiated by the Department.2
1 State of Punjab v. V.K. Khanna, AIR 2001 SC 343
2 Kashishnath Dikshita v. Union of India, AIR 1986 SC 2118

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In State of U.P v. Chandrapal Singh,3 the Honble Supreme Court observed that
inquiry proceedings are not required to be initiated by itself by the authority empowered to
dismiss or remove the delinquent, unless there is express Rule requiring to do so. Disciplinary
proceedings initiated by authority, other than appointing authority, would be valid in the
absence of any such rule.
The procedure to be followed in such proceedings ordinarily, laid down in detail, is
Service Rules and the Standing Orders made there under that is Rule 14, the Central Civil
Service (Classification, Control and Appeal) Rule, 1965. 4 (Herein after referred to as C.C.S.
(C.C.A.) Rules, 1965). The procedure so laid down is subordinated to the provisions of
Constitution of India and the principles of natural justice. It being a very detailed system,
involves the following steps:

1. Lodging of Complaint
The departmental proceeding against a government servant starts with the
lodging of complaint or making allegations of misconduct against him. On receipt of a
complaint, it is open to the disciplinary authority to hold such preliminary enquiry as to
ascertain the prima facie truth in the allegation and to know how far the allegations
levelled against the employee concerned have some substance and warrant initiation of
disciplinary action.5

2. Preliminary Enquiry
The Sole purpose of preliminary enquiry is to determine whether or not there
is a prima facie case against the employee for proceeding against him. It is to help the
disciplinary authority to make up its mind whether or not to proceed further.6

3 AIR 2003 SC 4119

4 These Rules have been framed under Article 309 of Constitution of India, in
conformity with the provisions of Article 311.
5 Champaklal v. Union of India, AIR 1964 SC 1854
6 ibid

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A preliminary enquiry is held for the purpose of collection of facts in regard to
the conduct or work of the government servant. In G. K. Sahoo v. Calcutta Port Trust,7 it
was held that the enquiry was required for the purpose of issuance of show cause or the
charge-sheet and not for the purpose of deciding upon the guilt. However it is not
obligatory.
A preliminary enquiry may be conducted in the following different ways
a) By asking for the explanation of the employee concerned; or
b) By holding an enquiry through a departmental officer; or
c) By referring the matter for enquiry to some other appropriate agency.

Nature of Proceeding in a Preliminary Enquiry

A preliminary enquiry is in the nature of fact finding enquiry. It is to be
distinguished from a regular departmental enquiry, where after the guilt of the employee
is determined. It may be even conducted ex parte, for it is merely for the satisfaction of
the concerned authority. However, there is no bar against questioning the employee for
clarification. There is no question of it being governed by Article 311, for the latter is
applicable to an enquiry held for the satisfaction of the Government to decide whether
punitive action should be taken against the concerned official.

Circumstances in which Preliminary Enquiry is Desirable

It is not obligatory in every case to hold preliminary enquiry or a fact finding enquiry. For
instance, where the government servant admits the charges or pleads guilty, there is no
need to hold any further enquiry. In Government of Tamil Nadu v. D. S. Rajadevan,8 it
was observed that the rules of natural justice also, do not require that before holding a
regular departmental enquiry, the disciplinary authority should hold a preliminary
enquiry.
It may not be possible to enumerate exhaustively, the circumstances in which a
preliminary enquiry should be held. However, it would be desirable to hold such an
enquiry in the following cases7 1999(1) SLR (Cal) 439
8 AIR 1996 SC 2634

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Where it is not immediately known as to who was responsible for a particular act or
loss;

Where it is considered desirable before initiating departmental proceedings to have

prima facie evidence against the official concerned;

Where the allegations are vague or indefinite and it is necessary to find out all the acts
of commission or omission to form the basis of the charges.

Report of the Preliminary Enquiry

While conducting a preliminary enquiry, a brief record of the proceedings
should be prepared in writing. The enquiry should conclude into a report which should
contain the findings as to whether there seems to be some substance in all or some of the
allegations and to what extend a particular employee is responsible.
After examining the report, the disciplinary authority should decide as to
whether a prima facie case exists for the initiation of regular disciplinary proceedings or
not.9 At this stage, the authority should take care not to express as far as possible, any
definite opinion on the final outcome of the case.
In State of U.P. v. C. S. Sharma,10 the disciplinary authority wrote to the enquiry officer
to conduct an enquiry but also wrote that he had heard the witnesses and was sure, he was
guilty. Such expression of opinion by the disciplinary authority was held to vitiate the
whole enquiry proceedings.

3. Framing of charge-sheet
Once a decision has been taken, after the preliminary enquiry, that a prima facie case
exists and that a formal disciplinary proceeding should be started against the concerned
governmental servant, the disciplinary authority will decide whether the proceeding
should be taken for imposing major or minor penalties.11
9 Rule 14(2), C.C.S (C.C.A.) Rules, 1965
10 AIR 1968 SC 158
11 Rule 14 and Rule 16 of C.C.S (C.C.A) Rules 1965 provides for the procedure for
holding proceedings for imposing major or minor penalties.

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The expression Charge sheet has been borrowed from criminal law. It refers to the
written and formal intimation to the concerned delinquent, about the alleged misconduct,
so that, he has full knowledge of the acts or conduct, he is accused of. There is no
specified or prescribed form in which charge sheet should be framed. It may be in a letter
form or a notice.
In R. S. Manyam v. Vice Chairman,12 it was observed that a charge- sheet is a
composite document attributing the misconduct under a particular regulation and also
setting out the facts and circumstances and the allegations to bring home the misconduct
to the delinquent servant.

4. Requisites a Valid Charge

In a disciplinary proceeding, the charge sheet is of great importance. It should be framed
with great care and competence. A faulty charge- sheet may invalidate the whole
proceeding. If on the basis of material on record, the authority can form an opinion that
the delinquent might have committed offence, it can frame the charge. Though for
conviction, the conclusion is required to be proved beyond reasonable doubt that the
accused have committed the offence.13 Following are the requisites of a valid Charge:a) The charge should not be vague The vagueness of a charge vitiates the enquiry. It is
a clear violation of the principle of natural justice. The charge must be specific,
particular and precise. It is immaterial that the delinquent knows about the whole or
any part of the charges. It would be vague if it does not give any indication of charges
against the employee. There are some misconducts which have been termed under
specific names under the Service Rules or Standing Orders, such as theft,
disobedience, the negligence of duty, misappropriation, gambling, strike violence etc.
in work place. If the misconduct falls within these specifications, it should be
mentioned clearly.
b) The language of the charge- sheet should be simple and impartial It should be
expressed in a language that can be clearly understandable. The employee be made to
understand the charges alleged against him.
12 1999(1) SLR (A.P.) 280
13 Soma Chakravarty v. State, AIR 2007 SC 2149

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c) The charges should give full details of the incident In Swami Singh v. State of
Rajasthan,14 it was held that all material relating to the charges must be brought along
with the charge sheet. The delinquent employee should be provided with all material
relating to charge to give him a reasonable opportunity to defend himself, examine
and cross examine witnesses.
d) The charge-sheet should contain a statement of allegations on which each charge is
based In State of A.P. v. Sri Rama Rao,15 it was observed that an omission of a
particular fact in the charge, does not invalidate the proceedings if the statement or
facts accompanying the charge-sheet refer to it.
e) As far as possible, the charge-sheet should not be verbiage The abbreviations, etc.
should not be used. Nothing should be left implied.
f) The charge-sheet should be based either on breach of the Conduct Rules framed from
time to time or on good and sufficient reason It is for the disciplinary authority to
decide as to what constitutes good and sufficient reason. It may include
incompetence, inefficiency, insubordination, infidelity, neglect of duty, absence from
duty etc.
g) The manner of writing the charge-sheet should not be such as to indicate pre-judged
conclusion of the guilt which might make the whole enquiry proceedings an empty
formality.
If there is an actuated motive of the employer to punish and it is ostensible or smelled
from the charge sheet, it is mala fide and is liable to be quashed.
In State of Punjab v. V. K. Khanna,16 It was held that while it is true that
justifiability of charges at the stage of initiating a disciplinary proceedings cannot
possibly be delved into by any court, pending enquiry, but it is equally well settled
that in the event there is an element of malice or mala fide motive involved in the
matter of issue of charge-sheet or the concerned authority is so biased that the inquiry
would be mere farcical show and the conclusions are well known , then and in that
14 AIR 1986 SC 995
15 AIR 1963 SC 1723
16 AIR 2001 SC 343

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event, law courts are otherwise justified in interfering at the earliest stage so as to
avoid the harassment and humiliation of a public official.
h) The concerned employee must be given a reasonably sufficient time to explain the
charges.

Authority competent to Issue Charge-Sheet

The ordinary law is that any person having power of making appointment, has also the
power to terminate the services. Obviously such person can ask his employee to show
cause. Therefore, the appointing authority or any authority higher than the appointing
authority has the right to issue charge-sheet.
Sometimes, the Departmental Rules or the Standing Orders provide for a
disciplinary authority. Some other person can be clubbed under this term. A charge
sheet may be issued by such person.
Unless the Rules provide to the contrary, any controlling authority, even
subordinate to the appointing authority can issue charge-sheet to the employee and initiate
disciplinary proceedings.17 If the charge is of major misconduct which might lead to
discharge or dismissal of the employee, it is always advisable that the charge-sheet should
be signed by the appointing authority.
Briefly speaking, an authority that is neither an appointing authority nor a disciplinary
authority, has no power to issue a charge-sheet.

5. Service of Charge-Sheet
The service of charge-sheet on the employee concerned is of utmost
importance before initiating the inquiry. In Y. L. Banka v. Lt. Governor of Delhi,18 it was
observed that unless a charge-sheet is issued, no departmental proceeding can be
contemplated.
The charge-sheet may be served personally, by post or through the Press. However, the
usual mode of service of a charge-sheet in case of departmental inquiry is by personal
service. It should be handed over to the employee concerned and his signature/thumb
17 B. K. Chopra v. Food Corporation of India, 1998 SLR 268
18 1996(7) SLR (Delhi) 62

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impression be obtained, in token of his having received the same, on the office copy. If he
refuses to sign on the office copy, an endorsement to that effect is made on it in the
presence of atleast two witnesses. If the employee is able to establish that no charge-sheet
was served, the entire disciplinary proceeding would become absolutely invalid,
ineffective and vitiated. Therefore, there should be sufficient material on record to show
the service of the charge-sheet on the employee concerned.
Further, mere delay in serving the charge-sheet would not go to invalidate the
inquiry unless the same has resulted in prejudice to the delinquent or that the delinquent
has suffered disadvantages due to the delay. However, if the charge-sheet has been served
beyond the period of limitation, it is liable to be quashed.

6. Reply of the delinquent to the Charge-Sheet

The delinquent has to submit his written reply to the charge-sheet within the
time specified, unless it is extended by the competent authority. It is a right of the
delinquent and not a compulsion to submit his explanation but the same is to be
exercised within the time specified.19 Failure of the delinquent to submit his explanation
would enable the authority to proceed ex parte. The authority is therefore, not required to
wait for the reply indefinitely.

7. Scrutiny of the Reply of the Delinquent

The scrutiny of the reply of the delinquent has to be done by the punishing authority with
utmost care. If the delinquent admits the charges or any of the charges and asks for mercy,
no enquiry needs to be held in respect of such charges so admitted.
If the explanation of the delinquent is found to be satisfactory and if the
authority decides to exonerate the delinquent and not to award any penalty, the
proceeding should be dropped.20
In respect to the rest, if in the opinion of the disciplinary authority, the imposition of a
major penalty is not warranted and that it would meet the ends of justice if some minor
penalty is awarded, then straight away an order awarding much minor penalty be passed
19 Clause (4), Rule 14, C.C.S (C.C.A) Rules, 1965
20 Govt. instruction No.4 under Rule 14, C.C.S (C.C.A) Rules 1965.

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and then, in that case, no further enquiry or show cause notice would be necessary. If
after considering the explanation, the punishing authority decides that the delinquent
deserves the imposition of a major penalty, then an Inquiry Officer should be appointed
to hold a regular departmental enquiry.

8. Appointment of Enquiry Officer

It is only when that the disciplinary authority decides to hold a regular
departmental inquiry, that it shall appoint an Enquiry Officer. While appointing an
Enquiry Officer, the following points may be borne in minda) The authority should pay due regard to the seriousness of the alleged offence and also
to the status of the delinquent official. The Inquiry Officer should be an officer who is
sufficiently senior to the delinquent, as the inquiry by a junior officer cannot
command confidence, which it deserves.
b) Care should be taken as to avoid any genuine suspension of bias. The inquiry officer
must be a person with an open and free mind, who can act objectively free from any
kind of bias.21
c) In fairness to the delinquent, as well as, to the Enquiry officer, the enquiry should not
been trusted to an officer, who was held the preliminary enquiry.
d) Unless unavoidable under special circumstances, the disciplinary authority should
refrain from being the Enquiry Officer. It is because the findings and
recommendations of the Enquiry Officer are more in the nature of a report to the
disciplinary authority to enable it to pass final orders.
Howsoever, the delinquent may move an application to the appellate/reviewing authority
against the appointment of a particular Enquiry Officer on the ground of bias. The
authority then would consider the application and decide accordingly.
In Union of India v. P. C. Biswas,22 the respondent was put under suspension
and was served with a major penalty charge-sheet under Rule 14 of C.C.S. (C.C.A.)
Rules, 1965. A retired APMG (P) was appointed as an enquiry officer by the disciplinary
21 Vishwanath v. Abdul Wajid, AIR 1963 SC
22 2008 (2) SLR 453 (Cal.)

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authority. The matter was enquired into and the Enquiry Officer filed his report to the
disciplinary authority, which after considering the report imposed the penalty of removal
from service. It was contended by the delinquent that the Enquiry Officer under the rules,
should not be a retired person. The court rejected the contention and upheld the enquiry
conducted by the retired APMG(P).

9. Conduct of Enquiry By the Enquiry Officer

The disciplinary authority shall supply to the Enquiry Officer, a copy of the charge-sheet
and the explanation of the delinquent thereto, along with all relevant records.
The enquiry to be conducted by the Enquiry Officer, being a quasi-judicial
matter, attracts the principles of natural justice. The Inquiry Officer will first serve a
notice to the delinquent, indicating the time, date and place of the inquiry, for appearing
before him. The Inquiry Officer must satisfy himself that the service of the notice to the
delinquent is in the proper manner.
The notice should be communicated at least one week before the date fixed for
the enquiry. It must disclose that in case the delinquent does not attend the enquiry, the
enquiry will be held ex-parte.
It would be expedient to adjourn the enquiry if, for any reason, the service of
notice is not affected about a week before the date of enquiry, or if the delinquent makes a
request for that purpose. The Enquiry Officer may, in his discretion, adjourn the enquiry,
if he deems it fit for any sufficient reason.
In Satpal v. State of Haryana,23 it was observed that the Enquiry Officer may
take oral evidence as may be relevant and material in regard to the charges. He is not
precluded from asking questions for clarification of the issues from any witness during
the enquiry.
The Enquiry Officer may decline to examine any witness if, in his opinion, his evidence
is not relevant and he must sign the record of the whole enquiry proceeding.

23 1998(4) SLR 151

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10. Nomination of the Presenting Officer

The disciplinary authority may nominate any person as a Presenting Officer, to
present the case of the department before the inquiry officer.
The Presenting Officer should not be equated with a prosecutor in a criminal
case. His role is merely to assist the Enquiry Officer in presenting the evidence on behalf
of the disciplinary authority, and not to establish the case of the department. The Enquiry
Officer can proceed with the enquiry if no Presenting Officer is appointed.

11. Legal Assistance for Defence

The delinquent employee is entitled to an opportunity to defend himself either
in person or through another employee. Even a retired employee of the same department
may be permitted by the Enquiry Officer to present the case of the delinquent employee.
As regards the assistance of a lawyer, it has been said that there is no Common
Law right in a party to a proceeding to be represented by a lawyer. 24 The Service Rules,
ordinarily, exclude the assistance of a lawyer in the departmental enquiry.
In M/s CIPLA Ltd v. Repu Daman Bharot,25 it was held that in the departmental
proceedings, the delinquent has no right to be represented by an Advocate and that the
proceedings would not be bad only for the reason that the assistance of an Advocate was
not provided to him.
However, in the light of the expression a reasonable opportunity of being heard in
Article 311(2) of the constitution, which deals with imposition of major penalties, it has
been ruled that reasonable opportunity must be full and effective opportunity.
Therefore, if in a particular case, keeping in view the complexity of the facts of the case,
assistance of lawyer is regarded as a reasonable opportunity, then the denial would be
violation of Article 311(2) and the principles of natural justice. Hence, no hard and fast
rule in this respect can be laid down.

24 Rule 14 (8)(a)
25 AIR 1999 SC 1635

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12. Attendance and Examination of Witnesses

In the conduct of departmental proceedings, the provisions of the Indian
Evidence Act, 1872 are not applicable and the authority conducting the proceedings is
guided by the rules of equity and natural justice. For instance in a departmental inquiry, S.
133 says there is no inhibition against placing reliance on the evidence of a co- delinquent
employee.
In departmental proceedings, the following principles of natural justice are applicablea) That the evidence of the opponent should be taken in the presence of the delinquent;
b) That the delinquent should have the opportunity of adducing all relevant evidence,
which he relies on;
c) That the delinquent should be given an opportunity to cross examine the witness
examined by that party;
d) That no material should be relied against the delinquent without giving him an
opportunity of explaining that.
In Departmental Enquiry, the department should lead evidence against the
delinquent in the first instance. Then the delinquent be given an opportunity to cross
examine the witnesses produced against him. The non examination of the complainant
and the witnesses is violative of natural justice. Therefore, he should be given an
opportunity to explain the evidence adduced against him. Therefore, a departmental
enquiry, in which the delinquent is examined in the first instance or that the defence
witnesses have been asked to give evidence before the examination of the prosecution
witnesses, shall be invalid.

13. Ex- parte Enquiry

The Enquiry Officer may hold the enquiry ex-parte to the following casesa) When the delinquent does not submit the written statement of defence i.e. written
reply to the charge-sheet, by the due date,
b) When the delinquent does not appear in person before the Enquiry Officer. 26 The
Enquiry Officer shall consider the reasons for absence of the delinquent from the
26 Rule 14(20)

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proceeding on their merit and would take a decision, whether to condone the absence
or not. If he is of the opinion that the delinquent is adopting dilatory tactics or that
there is a persistent default on his part, the enquiry Officer may proceed ex-parte, after
recording the reasons thereof.
If during the ex-parte proceedings, the delinquent appears before the Enquiry Officer, he
should be allowed to join the proceedings at that stage. But, the proceedings shall not be
held de-novo.
Therefore, even in cases where the delinquent declines to take part in the
proceedings or that the proceedings are held ex-parte, the Enquiry Officer shall follow the
prescribed procedure. Enquiry is still necessary, although it would be in the absence of the
delinquent.27 Thus, in such case, Enquiry Officer is required to scrutinize the evidence,
both verbal or recorded, and then come to a finding. Where, in case of ex parte enquiry,
the Enquiry Officer has observed the norms of conducting the proceedings, the delinquent
would not be allowed to plead, later on, that he was not given reasonable opportunity.

14. Finding and Report of the Enquiry Officer

After the conclusion of the enquiry, the enquiry officer shall draw up a report, indicating
the following1. A brief introduction leading to the appointment of the enquiry, Enquiry Officer and
the dates of hearing.
2. A statement of charges and allegations against the delinquent
3. The explanations of the delinquent
4. The oral and documentary evidence produced in support of the charges.
5. The evidence led by and on behalf of the delinquent
6. Reason for acceptance or rejection by the Enquiry Officer, of evidence led by either
party.
7. Conclusions arrived at with respect to each of the charges.
The Enquiry Officer should give clear findings on each of the charges, so that the
delinquent should know, on what grounds he has been found guilty.
27 Govt. instruction (6) under Rule 14, C.C.S (C.C.A) Rules, 1965

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In State of U.P. v. R. C. Mangalik,28 it was observed that such findings must
be supported by evidence and reasons thereof. He must take particular care to see that no
part of evidence, which the delinquent was not given the opportunity to refute, examine or
rebut, has been relied upon against him. Where no material has been obtained after the
date of hearing nor any such material has been made use of by the Enquiry Officer, there
would be no violation of principles of natural justice.
The findings of the Enquiry Officer are in the nature of a report to the disciplinary
authority, to enable him to pass final orders. These are merely to assist the authority and
are not binding on the disciplinary authority.

15. Findings of the Disciplinary Authority

The report of the Enquiry Officer is merely an enabling document which helps
the disciplinary authority in formulating his opinion and to come to a conclusion about
the guilt of the delinquent.
In High Court of Judicature at Bombay v. S. S. Patil,29 it has been held that
the findings of the Enquiry Officer are only his opinion on the materials, but such
findings are not binding on the disciplinary authority, as the decision making authority is
the punishing authority and therefore that authority can come to its own conclusions
ofcourse bearing in mind the views expressed by the Enquiry Officer.
If the disciplinary authority differs from the findings of the Enquiry Officer, he will give
detailed reasons therefore and is bound to give an opportunity to the delinquent. Though
the disciplinary authority is to record its tentative reasons for disagreement, it is not
imperative for it to discuss the materials in detail.

16. Exoneration of the Delinquent

Having regard to its own findings and on consideration of the written
submission of the delinquent, if the disciplinary authority is of the opinion, that the
charges have not been proved and that the delinquent should be exonerated, it will pass an
order to that effect and communicate it to the government servant concerned, together
28 AIR 2002 SC 1241
29 AIR 2000 SC 22

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with a copy of the report of the Enquiry Officer, its own findings thereon and brief
reasons for its disagreement, if any, with the findings of the Enquiry Officer.

17. Imposition of Minor Penalties

Where, after the receipt of the report, the disciplinary authority, after applying
its own mind to the whole case, comes to its own independent conclusions, uninfluenced
by any other person, that a minor penalty is sufficient, then a show cause notice,
indicating a particular penalty to be imposed, together with a copy of the enquiry report,
shall be served upon the delinquent. After considering his explanation thereon, the penalty
should be imposed.
Rule 15(3), C.C.S (C.C.A) Rules, 1965 says that show cause notice would be
issued if it is required under the Service Rules. Where, it is not so required, a minor
penalty may be, summarily, imposed without issue of a show cause notice.

18. Imposition of Major Penalties

If, after considering the report of the Enquiry Officer and applying its mind to
the whole case, the disciplinary authority, is of the opinion that any of the major penalties,
should be imposed on the delinquent, it would not be necessary to afford him any
opportunity of making representation on the penalty proposed to be imposed. An order
imposing such penalty can be passed straight away.30
However, where the Service Rules, so provide, the disciplinary authority should proceed
to give to the delinquent, a show cause notice, signed by the disciplinary authority,
mentioning therein the penalty proposed. The notice should be accompanied with a copy
of the report of the Enquiry Officer, along with its own findings on the charges.
In Tapati Das v. Plassey M. B. Vidyaniketan,31 disciplinary proceedings were
initiated against the petitioner, working as headmistress in the institute, by issuing chargesheet. Without following the mandatory procedure contained in Service Rules, for holding
the departmental proceedings, she was served with the show cause notice for imposing
the proposed penalty of termination from services. The Calcutta High Court quashed the
30 Rule 15(4) C.C.S (C.C.A) Rules, 1965
31 2008 (1) SLR 89

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show cause notice and directed the institute to hold a regular departmental inquiry as
required under the Service Rules.

19. Consideration of Past Records

Sometimes, the disciplinary authority, while passing the final order, makes a reference
and takes into consideration the past record of the delinquent, in order to justify the award
of severe penalty. It may be noted that if the previous bad record is proposed to be taken
into account in determining the quantum of penalty to be imposed, it should be made a
specific charge in the charge-sheet itself. Any mention of the past record in the order of
penalty, in a routine manner, without it being mentioned in the charge-sheet, would vitiate
the proceeding. Such mention should, therefore, be avoided.
However, if the past record is taken into consideration for proposing a lesser
penalty, there is no need for mentioning it in the show cause notice.

20. Consultation with the Public Service Commission

Article 320(3) of the Constitution of India provides that the Public Service
Commission shall be consulted in all disciplinary matters affecting a government servant,
working in civil capacity, including memorials or petitions relating to such matters.
However, this provision has been held to be not mandatory and its non compliance does
not afford to the employee, a cause of action.32

21. A Speaking Order

Since the disciplinary proceedings under the Service Rules, are quasi judicial in nature,
and as such, it is necessary that the order in such proceedings issued by the disciplinary
authority, should have the attributes of judicial order. It should be self contained and
reasoned order conforming to legal requirements.33
It, therefore, requires that the final order, imposing a penalty, should be a speaking order,
indicating clearly the points for consideration, the decisions thereon and the reasons on
which the decisions are based.
32 State of U.P. v. M. L. Srivastava, AIR 1957 SC 912
33 Mahabir Prasad v. State of U.P., AIR 1970 SC 1302

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Recording of reasons in support of the decision is obligatory to ensure that the
decision is reached according to law and not a result of the caprice, whims or fancy of the
authority concerned.
According to the Government Instruction (1) Under Rule 17, C.C.S (C.C.A)
Rules, 1965, the decision recorded by the disciplinary authority, at the conclusion of the
departmental proceedings, is final and cannot be varied by that authority or by its
successor in office.

CONCLUSION
A general conception among the youth and other individuals is that a Government job
in contrast to a private job ensures continuous and uninterrupted pay, perks and other service
benefits which are rare to find in the latter category of jobs. Although the statement is true to
considerable extent, the gloomy side of a Government job is that if an individual commits or
tends to commit an act which is detrimental to the interests of the concerned Government
department, he is likely to be proceeded against by the State. The State i.e. the employer is of
utmost importance as it has supreme authority and is empowered to take action against a
delinquent official.
Researcher is of the view that an organisation, whether a club, a school, an institution,
a factory, a company or an office, has to have a framework of policies, rules, regulations and
procedure to carry on its tasks. These are necessary to enable it to function in a orderly way.
These also enable its members to discharge their duties smoothly, effectively and profitably.
Discipline prevails in an organisation, when its members willingly do what they are required
to do under the rules and consciously avoid action that interferes with the rights, privileges
and duties of others. In a broader sense, discipline thus indicates the sprit and confidence with
which the members of an organisation perform their tasks

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BIBLIOGRAPHY
Books and Statues

Kumar Narender (Prof.), Law relating to Government Servants & Management of

Disciplinary Proceedings, 3rd ed., Allahabad Law Agency, New Delhi, 2012.

Majumdar P. K., Tiwari O. P., Service Laws in India, 3rd ed., Orient Publishing Co.,
New Delhi, 2007.

Ghaiye, B. R., Law and Procedure of Departmental Enquiries in Private and Public
Sectors, 3rd ed., Eastern Book Company, Lucknow, 2003.

Bhatnagar A. S.: Guide to Departmental Problems Enquiries, Punishments & Appeals

G.V. Singh : Law of Suspension, Penalties and Departmental Enquiries.

Central Civil Services (Classification, Control & Appeal) Rules, 1965.

Weblinks

http://www.persmin.gov.in/DOPT/EmployeesCorner/Acts_Rules/ccs(cca)/ccstotal1.ht
m

http://ccis.nic.in/WriteReadData/CircularPortal/D2/D02est/39034_07_2012-Estt-B15052012.pdf

http://www.gconnect.in/orders-in-brief/departmental-proceedings-againstgovernment-servants.html

http://www.rmlnlu.ac.in/webj/rajat_pradhan.pdf

http://articles.economictimes.indiatimes.com/2013-10-16/news/43107082_1_centralvigilance-commission-disciplinary-cases-departments

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