Hand book on Enquiries by Sh L.N. Mishra Dy .

Comdt
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workshop on D.E. by legal branch Dte general

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Instructions on the subject .

DRAFT Hand book on Departmental Enquiries References taken from:INDEX

Sl. no Subject Page no. 1. Definitions 1-2 2. Purpose 3 3. Conduct rules 4 4. Penalties & procedure for imposing penalties under ccs (cca) rules 5-16 5. GOI instructions on departmental proceedings 17-31 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 against officers 62-63 14. DOS & DONTS 64-70 14. Procedure of DE under CRPF rules 71-77 15. Procedure of DE under CCS ( CCA ) rules 78-81 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 rules and CCS(CCA) rules 88-90 21 Charge sheet 90-92 2 22. Model procedure of DE under CRPF rules 93-100 23. Order of disciplinary authority 101-102 24.

Comparison between PE, COI and DE 103

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) 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 Inquiring authority is one who isRule 2(g) CCS (CCA) Rules 1965 Disciplinary authority means the authority
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Presenting Officer (P.O) is appointed by disciplinary authority to present the case on behalf of Defence Assistant (D.A) is a person who is willing to help a colleague Govt servant during 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 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: enquiry informed ofthe charges against him and given a reasonable

opportunity of being heard in respect of those charges. Natural Justice6

CONDUCT RULES
As per the CCS (Conduct) Rules, normally thedepartmental enquiries against every government servant isinitiated 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 othergrounds like that of a government servant engaging in pluralmarriage 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 pecuniaryloss caused by him to the Government by negligence orbreach of orders; a) reduction to a lower stage in the time-scale of pay for aperiod not exceeding 3 years, without cumulative effect andnot adversely affecting his pension. iv)

withholding of increments of pay; Major Penaltiesv) save as provided for in clause (iii) (a), reduction to a lowerstage in the time-scale of pay for a specified period, withfurther directions as to whether or not the Governmentservant will earn increments of pay during the period ofsuch reduction and whether or the expiry of such period,the reduction will or will not have the effect of postponingthe future increments of his pay; vi) reduction to lower time-scale of pay, grade, post or servicewhich shall ordinarily be a bar to the promotion pf theGovernment servant to the time-scale of pay, grade, postor service from which he was reduced, with or withoutfurther directions regarding conditions of restoration tothe grade or post or service from which the Governmentservant was reduced and his seniority and pay on suchrestoration to that grade, post or service; vii) compulsory retirement; viii) removal from service which shall ordinarily be adisqualification for future employment under theGovernment. ix) Dismissal from service which shall ordinarily be a disqualification for future employment under the Govt. 8 Provided that, in every case in which the charge of acceptance from anyperson of any gratification, other than legal remuneration, as a motive orreward for doing or forbearing to do any official act is established, thepenalty 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.
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No order imposing any of the penalties specified inclauses (v) to (ix) of Rule 11 shall be made except after aninquiry held, as far as may be, in the manner provided inthis Rule and Rule 15, or in the manner provided by thePublic Servants (Inquiries) Act, 1850 (37 of 1850), wheresuch inquiry is held under that Act. 2) Whenever the disciplinary authority is of the opinion thatthere are grounds for inquiring into the truth of any perfection. May use it with care. 107

COMPARISION OF PE, COI AND DE

PE

COI DE 1 NO SPECIFIC ORDER IS REQUIRED. SPECIFIC ORDER IS REQUIRED. SPECIFIC ORDER IS REQUIRED. 2 TO BE CONDUCTED BY ONE OFFICER. TO BE CONDUCTED BY A COURT OF MIN. 3 OFFICERS. TO BE CONDUCTED BY ONE OFFICER. 3 AIMS TO ASCERTAIN PRIMA-FACIE TRUTH IN ALLEGATION AIMS TO ESTABLISH BEYOND DOUBT THE CIRCUMSTANCES OF INCIDENCE AIMS TO ENQUIRE INTO SPECIFIC CHARGES AND PROVIDE OPPORTUNITY 4 THERE IS NO DELINQUENT THERE IS NO DELINQUENT DELINQUENT IS THERE

5 ONLY GENERAL ALLEGATIONS NO ALLEGATION AGAINST ANYBODY SPECIFIC CHARGE IS THERE 6 NO PWs/DWs, ONLY WITNESSES NO PWs/DWs, ONLY WITNESSES PWs/DWs ARE THERE 7 NO PRESENTING OFFICER/DA NO PRESENTING OFFICER/DA PRESENTING OFFICER/DA ARE THERE IF PERMISSIBLE 8 NO CROSS EXAMINATION NO CROSS EXAMINATION CROSS EXAMINATION IS THERE 9 MERELY FACT-FINDING MERELY FACT-FINDING NOT MERELY FACT-FINDING 10 NOT CONCLUSIVE IN NATURE CONCLUSIVE IN NATURE TO SOME EXTENT CONCLUSIVE IN NATURE 11 NO FORMAL RECOMMENDATION BY EO

RECOMMENDATION BY EO ONLY WHEN TERMS OF REFERENCE IS THERE NO FORMAL RECOMMENDATION BY EO 12 GENERALLY IN INDISCIPLINE/MISCOND UCT CASES GENERALLY IN THE CASES OF LOSS/DAMAGE TO PERSON /PROPERTY GENERALLY IN INDISCIPLINE/MISCONDUCT CASES 13 NO FORMAL PUNISHMENT ON THIS BASIS NO FORMAL PUNISHMENT ON THIS BASIS FORMAL PUNISHMENT ON THIS BASIS MAY BE AWARDED 14 NO APPEAL/REVISION NO APPEAL/REVISION APPEAL/REVISION IS THERE ACCORDING TO RULES 15 NON-JUDICIAL

PROCEEDING NON-JUDICIAL PROCEEDING QUASI-JUDICIAL PROCEEDING 16 NOT SUBJECTED TO JUDICIAL REVIEW NOT SUBJECTED TO JUDICIAL REVIEW SUBJECTED TO JUDICIAL REVIEW 17 NOT SUBJECTED TO PRINCIPLE OF NATURAL JUSTICE STRICTLY NOT SUBJECTED TO PRINCIPLE OF NATURAL JUSTICE STRICTLY SUBJECTED TO PRINCIPLE OF NATURAL JUSTICE VERY STRICTLY 18 NOT SUBJECTED TO PRINCIPLE OF REASONABLE NOT SUBJECTED TO PRINCIPLE OF REASONABLE SUBJECTED TO PRINCIPLE OF REASONABLE

OPPORTUNITY VERY
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