After completion of the Inquiry Process, the disciplinary authority proceeds to decide whether the allegations in the charge-sheet against the delinquent officer are proved or not. This decision is carried out by him exercising his independent judgement, but through an objective process. The disciplinary authority, no doubt, is aided by the report of the Inquiry officer, but the findings of the IO are not invariably binding on the Disciplinary Authority. The Disciplinary Authority will accept the findings, only if the findings satisfy the following criteria, as revealed by his independent scrutiny and assessment:
If the inquiry is properly conducted, but the disciplinary authority differs with the findings of the IO, it can independently draw its own conclusions justifying the same with reasons and proceed thereafter to dispose of the disciplinary case either by awarding a punishment if warranted or exonerating the delinquent officer, if justified. However if the disciplinary authority finds that the inquiry has not been conducted properly and there are substantial omissions are violations in the process, it can either refer to the same Inquiry officer to conduct a fresh inquiry, or order a fresh inquiry through another Inquiry Officer.
Even when the Inquiry is not completed, the disciplinary authority can terminate the assignment of the Inquiry Officer, and make a fresh appointment selecting a different public servant for valid reasons.
It will be clear from the foregoing provisions that the authority of the disciplinary authority is absolute. The services of the Inquiry Officer is extended to the Disciplinary Authority to lighten the burden placed on him and not to share his powers or functions. Both PNB Officer Employees (Discipline & Appeal)Regulations, 1977 [vide Regulation No.6(2)] and CCS (CCA) Rules,1965 [vide Rule No.14(2)] empower the disciplinary authority, whenever it is of the opinion that there are grounds for inquiring into the truth of any imputation of misconduct or misbehaviour against an officer employee-
The services of the Inquiry officer are thus optionally available to the disciplinary authority and appointment of the IO is not binding on him. IO carries out merely a process and no part of the functions of the disciplinary authority is passed on him or shared by him.
However though the Disciplinary Authority, both as per CCS(CCA) Rules and DA Regulations of different Public Sector Bodies, is authorised to directly conduct the inquiry only appointing a Presenting Officer, dispensing with the appointment of an Inquiry Officer, this provision is rarely made use of, on account of distinct advantages in getting the inquiry conducted by the Inquiry Officer.
Delegating the procedural tasks to another officer retaining the power to review and to revise the findings of the Inquiry officer lends better objectivity to the process. It also substantially reduces the burden on the disciplinary authority, who may have jurisdiction over several officers and may have to attend to a dozen or more disciplinary cases at times.
Based on this criteria the Government of India have issued guidelines directing that "Unless unavoidable the disciplinary authority should refrain from being Inquiry Officer". The text of the guidelines is quoted as under:
According to Rule 14 (5) of the C.C.S. (C.C.A) Rules, 1965 the disciplinary authority may itself inquire into the charges against the accused Government servant or appoint an inquiry officer for the purpose. However it should be possible in a majority of cases, and the more serious ones at any rate, to ensure that the disciplinary authority himself does not conduct the inquiry. It may still be not practicable to ensure in all cases the disciplinary authority himself would not be the Inquiry Officer. Such a course may be necessary under certain circumstances particularly in small field formations where the disciplinary authority as well as the Inquiry Officer may be one and the same person. It has asccordingly been decided that unless it is unavoidable in certain cases as mentioned above, the disciplinary authority should refrain from being Inquiry Officer and appoint another officer for the purpose
[Source: Govt. of India, Dept. of Personnel and Administrative Reforms, Office Memorandum No.35014/1/76/-Estt.(A), dated the 29th July, 1976 ]
Can Retired Officers act as Inquiry Officer and as Defence Assisting Officer?
Appointment of Inquiry Officer under CCS (CCA) Rules
CCS(CCA) Rule 1965, in terms of Sub-Rule (2) of Rule 14, empowers the disciplinary authority to appoint "an authority to inquire into the truth" of the imputations in the charge sheet. It will be in order to appoint a competent person not connected with the organization/department to which the charged officer belongs, on a fixed remuneration by way of an ad-hoc assignment. In the case of a serving officer no separate remuneration need be fixed since he is already receiving salary and allowances. But in respect of others who are not in the employment of the Government including "retired officers" the assignment should be for a valid consideration and should specify the remuneration eligible for the job.
While it will be technically in order to appoint retired government employees as Inquiry officers, Government of India and most of the Public enterprises prefer to appoint their own serving officers, sufficiently senior to the charge sheeted officer as Inquiry Officer or entrust disciplinary inquiries with a vigilance angle to be inquired into by one of the Commissioners of Departmental Inquiries under the Central Vigilance Commission. The Government has a number of competent officers, and the inquiry procedures are lucidly explained through several guidelines issued by the Government of India. As a consequence no difficulty is experienced in completing departmental inquiries within a reasonable time.
The practice of appointing retired Government servants as Inquiry officers to conduct departmental inquiries is not therefore widely prevalent. Neither the Government of India have issued guidelines permitting such appointments. In the absence of guidelines no such appointments can be made by any Disciplinary Authority. However the Central Vigilance Commission has approved a scheme for such appointments both by Government departments in respect departmental inquiries against civil servants and by public sector bodies for such inquiries against public servants under their respective services/control.
Guidelines of Central Vigilance Commission Regarding Appointment of
Retired Officers as Inquiry Officer
The Central Vigilance Commission was concerned over the inordinate delay in the completion of inquiry proceedings in disciplinary cases involving vigilance angle under the commission's jurisdiction. In order to streamline the system it issued a number of guidelines, one of which is entrusting inquiries to retired government servants/public servants. The text of CVC circular letter No.98/MSC/23 dated 16th September 1999 addressed to all CVOs and the terms and conditions approved by CVC are appended below:
Subject: Utilising the services of retired officers for conducting
Departmental Inquiries.
As you are aware the Commission, in order to ensure that the departmental inquiries are completed in time, had advised all Departments/Organisations vide its instruction No. 8(1)(h)/98(1) dated 18.11.98 to immediately review all pending cases and appoint IOs from among retired Government Officers. In the said instruction, the Commission had inter alia stated that it would build a panel of officers for this purpose.
Accordingly, after verifying the antecedents of Retired Officers, the Commission has built a database. The details of retired officers who have been empanelled by the Commission as on date is enclosed. The terms and conditions formulated by the Commission for appointing these officers is also enclosed.
This is brought to the notice of all concerned in order to utilise the services of the empanelled retired officers of IOs.
This instruction as well as the panel of retired officers and the terms and conditions are available on the web site of CVC as http://cvc.nic.in. The panel will be updated from time to time in the web site, which can be downloaded. Those Departments/Organisations who do not have Internet facility may approach the Commission for the updated panel.
Terms and Conditions for Appointing Retired Officers as Inquiry Officers
The Retired Government Officer, hereinafter, referred to as Inquiry Officer (IO):
should not be more than 70 years of age as on the 1st July of the year of his empanelment;
should be in sound health, physically and mentally;
shall not engage himself/herself in any other professional work or service, which is likely to interfere with the performance of his/her duties as Inquiry Officer;
shall be appointed as IOs by the Disciplinary authority of the Charged Officer whose case is entrusted to him/her;
will be entrusted with the Inquiries on 'Case-to-case' basis, by the Disciplinary authority;
shall maintain strict secrecy in relation to the documents he/she receives or information/data collected by him/her in connection with the Inquiry and utilise the same only for the purpose of Inquiry in the case entrusted to him/her. No such documents/information or data are to be divulged to any one during the Inquiry or after presentation of the Inquiry Report. The I.O. entrusted with the Inquiries will be required to furnish an undertaking to maintain strict secrecy and confidentiality of all records/documents/ proceedings etc. All the records, reports etc. available with the I.O. shall be duly returned to the authority which appointed him/her as such, at the time of presentation of the Inquiry Report;
shall be paid a lump sum remuneration of Rs.5000/- (Rupees Five thousand only), per Departmental Inquiry Report, in a case, by the Department/Organisation to which the charged officer belongs;
shall be paid, in addition to the remuneration of Rs.5000/-, an amount of Rs.1000/- (Rupees One thousand only) per Departmental Inquiry Report, for clerical and Stenographic work, which the IO has to arrange by himself/herself.
will be entitled, besides the above, reimbursement of Rs.500/- (Rupees five hundred only) as Conveyance Charges, per Departmental Inquiry Report (applicable only if the place of Inquiry is a 'A' or 'B-1" class cities);
shall conduct the inquiry proceedings only in the office premises of the Department/Organisation, which engages him/her.
the inquiry proceedings are to be conducted at the headquarters of the Departments/Organisations or at the place of concentration of the charged officer(s), witnesses etc. In unavoidable circumstances where the Inquiry Officer has to undertake travel forconducting inquiry, the rate of TA/DA in such cases may be permissible to the rate applicable to the serving officers of equivalent rank;
shall be provided with a room with furniture and lockable almirahs by the concerned Department/Organisation, which engages him/her on the days of Inquiry;
shall be provided with the stationery/postage by the Department/Organisation, which engages him/her;
shall be terminated from the services of an IO at any time by the Appointing Authority, without notice and without assigning any reasons. However, the concerned authority has to intimate the Central Vigilance Commission the reasons for doing so that the Commission can take in to account those things while reviewing the panel; and
shall submit the inquiry report after completing the inquiry within six months from the date of his appointment as Inquiry Officer to become eligible for payment of remuneration as indicated at item No. 7 to 9.
Appointment of Defence-Assisting officer under CCS (CCA) Rules
The Government of India through specific guidelines have permitted delinquent officers to avail the services of retired Government servants as Defence Assistants. The text of the guidelines is appended below.
Retired Government Servants as Defence Assistants
It has been decided that Government Servants involved in disciplinary proceedings may also take the assistance of retired Government servants subject to the following conditions:-
The retired Government servant concerned should have retired from service of the Central Government .
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 C.C.S. (C.C.A.) Rules, 19675 would apply
The Government of India had earlier restricted such defence assistance in regard to the period during which retired Government servant can assist a serving Government servant involved in disciplinary proceedings and the number of cases which he may handle at any given time. These have now been totally removed.
[ Source: Govt. of India Ministry of Home Affairs (Department of Personnel), O.M.No.35014/1/77-Ests(A), dated the 24th August, 1977 and O.M.No.11012/19/77-Estt. (A), dated the 3rd, June 1978 as modified vide O.M.11012/1/83-Estt.(A), dated the 2nd May, 1984]
Following the example of Government of India public sector banks have also started permitting retired officers to be nominated as defence assistants by charge sheeted officers.
