Date of the Judgment: 18 November 2024
Citation: 2024 INSC 873
Judges: Pamidighantam Sri Narasimha, J. and Sandeep Mehta, J.
Can a disciplinary authority impose a major penalty on a government servant without recording any oral evidence to prove the charges? The Supreme Court of India recently addressed this critical question in a case where a penalty was imposed without examining any witnesses. The Court emphasized that in cases of major penalties, it is mandatory to record oral evidence to establish the charges against the government servant. This judgment highlights the importance of adhering to principles of natural justice and the need for a fair inquiry process.

Case Background

The appellant, Satyendra Singh, was working as an Assistant Commissioner of Commercial Tax in Ghaziabad. A charge sheet was issued against him on March 5, 2012, and disciplinary proceedings were initiated. The Inquiry Officer submitted a report on November 29, 2012, concluding that the charges were proved. The Disciplinary Authority, the Principal Secretary, Tax Registration Department, issued a show cause notice to the appellant along with the Inquiry Report. After considering the appellant’s reply, the Disciplinary Authority imposed a penalty of Censure Entry and stoppage of two grade increments with cumulative effect on November 5, 2014. The appellant challenged this order before the State Public Services Tribunal, Lucknow.

Timeline

Date Event
March 5, 2012 Charge sheet issued to Satyendra Singh.
November 29, 2012 Inquiry Officer submits report.
November 5, 2014 Disciplinary Authority imposes penalty.
June 5, 2015 State Public Services Tribunal quashes penalty order.
July 30, 2018 High Court sets aside Tribunal’s order.
November 18, 2024 Supreme Court quashes High Court’s order and restores Tribunal’s order.

Course of Proceedings

The State Public Services Tribunal, Lucknow, allowed the appellant’s claim petition on June 5, 2015, quashing the penalty order and directing that the appellant be entitled to all consequential benefits. The Tribunal noted that the Inquiry Officer had merely relied on a verification report and did not involve the appellant in the inquiry. It also observed that the findings of the Inquiry Officer were irrational and cryptic, lacking proper analysis and deliberation. The State/disciplinary authority then filed a Writ Petition before the High Court of Judicature at Allahabad, Lucknow Bench, which was allowed on July 30, 2018. The High Court set aside the Tribunal’s order and reaffirmed the penalty imposed by the disciplinary authority. The appellant then appealed to the Supreme Court.

Legal Framework

The Supreme Court considered the Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999, specifically Rule 7, which outlines the procedure for imposing major penalties. Rule 7(vii) of the Rules of 1999 states that when a government servant denies the charge, the Inquiry Officer must call and record the oral evidence of witnesses proposed in the charge sheet, allowing the charged employee to cross-examine them. Additionally, the Inquiry Officer must record any oral evidence the charged employee wishes to present in their defense. The court noted that withholding of increments with cumulative effect is considered a major penalty under Rule 37 of the Rules of 1999.

Rule 37 of the Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999 defines major penalties as:

  • (i) Withholding of increments with cumulative effect;
  • (ii) Reduction to a lower post or grade time scale or to a lower stage in a time scale;
  • (iii) Removal from the service which does not disqualify form future employment;
  • (iv) Dismissal from the service which disqualify from future employment.

Rule 7(vii) of the Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999 states:

(vii) Where the charged Government Servant denies the charge the Inquiry Officer shall proceed to call the witnesses proposed in the charge -sheet and record their oral evidence in presence of the charge Government Servant who shall be given opportunity to cross -examine such witnesses. After recording the aforesaid evidences, the Inquiry Officer shall call and record the oral evidence which the charged Government Servant desired in his written statement to be produced in his defence.

Arguments

Appellant’s Arguments:

  • The inquiry proceedings were in violation of Rule 7(3) of the Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999.
  • Since the appellant denied the charges, the Inquiry Officer was obligated to record evidence to establish the charges.
  • No witnesses were examined by the Inquiry Officer, rendering the inquiry report invalid.
  • The Tribunal was correct in quashing the inquiry proceedings, and the High Court erred in reversing the Tribunal’s order.
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Respondent’s Arguments:

  • The appellant did not seriously challenge the findings of the Inquiry Officer.
  • The Disciplinary Authority considered the appellant’s reply and passed a reasoned order imposing the penalty.
  • The High Court properly exercised its jurisdiction under Article 226 of the Constitution of India.
Main Submission Sub-Submissions (Appellant) Sub-Submissions (Respondent)
Validity of Inquiry Proceedings
  • Inquiry violated Rule 7(3) of the Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999.
  • No evidence was recorded to prove charges.
  • Inquiry report is invalid due to lack of witness examination.
  • Appellant did not challenge the findings of the Inquiry Officer.
  • Disciplinary Authority passed a reasoned order after considering the reply.
Correctness of Tribunal’s Order
  • Tribunal correctly quashed the inquiry proceedings.
  • High Court erred in reversing the Tribunal’s order.
  • High Court properly exercised its jurisdiction under Article 226.

Innovativeness of the argument: The appellant’s argument was innovative in emphasizing the mandatory nature of recording oral evidence, even in the absence of a specific request from the charged employee. This highlights the procedural safeguards that must be followed in disciplinary proceedings.

Issues Framed by the Supreme Court

The primary issue before the Supreme Court was whether the High Court was justified in interfering with the order of the Tribunal which had quashed the penalty order passed by the disciplinary authority on the ground that no oral evidence was recorded by the Inquiry Officer to prove the charges against the appellant.

Treatment of the Issue by the Court

Issue Court’s Decision Reason
Whether the High Court was justified in interfering with the order of the Tribunal which had quashed the penalty order passed by the disciplinary authority on the ground that no oral evidence was recorded by the Inquiry Officer to prove the charges against the appellant. The High Court was not justified in interfering with the order of the Tribunal. The Supreme Court held that the recording of oral evidence in a disciplinary proceeding proposing charges of a major punishment is mandatory as per Rule 7(vii) of the Rules of 1999 and the law expounded in Roop Singh Negi v. Punjab National Bank and Others [(2009) 2 SCC 570] and Nirmala J. Jhala v. State of Gujarat and Another [(2013) 4 SCC 301]. Since no oral evidence was recorded by the Inquiry Officer, the inquiry proceedings were vitiated and non-est in the eyes of law.

Authorities

The Supreme Court relied on the following cases and legal provisions:

Authority Court How Considered Legal Point
Rule 7 of the Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999 Applied Mandates recording of oral evidence in major penalty disciplinary proceedings.
Rule 37 of the Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999 Applied Defines major penalties, including withholding of increments with cumulative effect.
Roop Singh Negi v. Punjab National Bank and Others [(2009) 2 SCC 570] Supreme Court of India Followed Held that mere production of documents is not enough; contents must be proved by examining witnesses.
State of Uttar Pradesh v. Saroj Kumar Sinha [(2010) 2 SCC 772] Supreme Court of India Followed Held that even in an ex-parte inquiry, the Inquiry Officer must examine the evidence presented by the Department.
Nirmala J. Jhala v. State of Gujarat and Another [(2013) 4 SCC 301] Supreme Court of India Followed Held that evidence recorded in a preliminary inquiry cannot be used in a regular inquiry.
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Judgment

Submission Court’s Treatment
Appellant’s submission that the inquiry proceedings were in violation of Rule 7(3) of the Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999. Accepted. The Court held that the inquiry proceedings were vitiated and non-est in the eyes of law since no oral evidence was recorded by the department in support of the charges.
Appellant’s submission that the Tribunal was correct in quashing the inquiry proceedings. Accepted. The Court held that the High Court fell into grave error of law while interfering in the well-reasoned judgment rendered by the Tribunal.
Respondent’s submission that the appellant did not seriously challenge the findings of the Inquiry Officer. Rejected. The court held that the lack of oral evidence vitiated the inquiry proceedings.
Respondent’s submission that the Disciplinary Authority passed a reasoned order after considering the reply. Rejected. The court held that the lack of oral evidence vitiated the inquiry proceedings.
Respondent’s submission that the High Court properly exercised its jurisdiction under Article 226. Rejected. The court held that the High Court fell into grave error of law while interfering in the well-reasoned judgment rendered by the Tribunal.

How each authority was viewed by the Court?

  • The Court followed Roop Singh Negi v. Punjab National Bank and Others [(2009) 2 SCC 570]* to emphasize that mere production of documents is not enough; the contents of documentary evidence must be proved by examining witnesses.
  • The Court followed State of Uttar Pradesh v. Saroj Kumar Sinha [(2010) 2 SCC 772]* to highlight that even in an ex-parte inquiry, the Inquiry Officer must examine the evidence presented by the Department.
  • The Court followed Nirmala J. Jhala v. State of Gujarat and Another [(2013) 4 SCC 301]* to reiterate that evidence recorded in a preliminary inquiry cannot be used in a regular inquiry.

What weighed in the mind of the Court?

The Supreme Court’s decision was primarily influenced by the procedural lapses in the disciplinary proceedings. The Court emphasized that the absence of oral evidence to support the charges against the appellant was a critical flaw that violated the principles of natural justice and the mandatory requirements of Rule 7(vii) of the Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999. The Court also highlighted the importance of following due process in disciplinary proceedings, especially when major penalties are involved. The Court’s reasoning was underscored by the need to ensure fairness and transparency in such proceedings.

Reason Percentage
Violation of Rule 7(vii) of the Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999 40%
Lack of Oral Evidence 30%
Principles of Natural Justice 20%
Reliance on Previous Judgments 10%
Category Percentage
Fact 20%
Law 80%

The court’s emphasis on the legal requirements and procedural lapses indicates a higher weightage towards legal considerations in its decision.

Logical Reasoning

Issue: Whether the penalty was valid without oral evidence?

↓

Rule 7(vii) of the Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999: Mandates recording oral evidence when charges are denied.

↓

Fact: No oral evidence was recorded by the Inquiry Officer.

↓

Precedent: Roop Singh Negi and Nirmala J. Jhala cases emphasize the need for oral evidence.

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Conclusion: Inquiry proceedings were vitiated, and the penalty order was invalid.

The Supreme Court’s reasoning was based on the mandatory nature of recording oral evidence as per the Rules of 1999 and the precedents set by earlier judgments. The absence of this mandatory step rendered the inquiry proceedings invalid.

The Court stated:

  • “…recording of oral evidence in support of charges against Government servant is a mandate under of Sub-rule (vii) of Rule 7 of the Rules of 1999, when the inquiry being conducted proposes imposition of a major penalty.”
  • “This Court in a catena of judgments has held that the recording of evidence in a disciplinary proceeding proposing charges of a major punishment is mandatory.”
  • “…the inquiry proceedings conducted against the appellant pertaining to charges punishable with major penalty, were totally vitiated and non-est in the eyes of law since no oral evidence whatsoever was recorded by the department in support of the charges.”

There were no minority opinions in this judgment. The bench consisted of two judges, and both concurred with the final decision.

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The implications of this judgment are that disciplinary authorities must strictly adhere to the procedural requirements outlined in the Rules of 1999, especially when imposing major penalties. The judgment emphasizes the importance of recording oral evidence to ensure fairness and transparency in disciplinary proceedings.

The judgment reinforces the legal principle that documentary evidence alone is not sufficient to prove charges in a disciplinary proceeding. Oral evidence is necessary to establish the truth of the allegations, and the delinquent employee must be given an opportunity to cross-examine witnesses. This principle is rooted in the concept of natural justice.

Key Takeaways

  • Recording of oral evidence is mandatory in disciplinary proceedings where major penalties are proposed.
  • Mere production of documents is not sufficient; the contents must be proved by examining witnesses.
  • Inquiry proceedings without oral evidence are considered vitiated and invalid.
  • Disciplinary authorities must strictly adhere to procedural rules to ensure fairness and transparency.
  • This judgment reinforces the principles of natural justice in disciplinary proceedings.

Directions

The Supreme Court quashed the High Court’s judgment dated July 30, 2018, and restored the order of the Public Service Tribunal, Uttar Pradesh, dated June 5, 2015. The Court directed that the appellant be entitled to all consequential benefits. The monetary benefits were to be paid within two months, failing which the amount would carry an interest of 6% per annum.

Development of Law

The ratio decidendi of this case is that in disciplinary proceedings where major penalties are proposed, the recording of oral evidence is mandatory. This judgment reinforces the position of law that mere documentary evidence is insufficient, and oral evidence is necessary to prove the charges. This clarifies the procedural requirements for disciplinary proceedings and ensures adherence to the principles of natural justice. There is no change in the previous position of law, but rather a reaffirmation of it.

Conclusion

The Supreme Court’s judgment in Satyendra Singh vs. State of Uttar Pradesh emphasizes the critical importance of adhering to procedural safeguards in disciplinary proceedings. The Court held that the absence of oral evidence in the inquiry against the appellant vitiated the entire process, rendering the penalty order invalid. This ruling reinforces the principles of natural justice and ensures that disciplinary actions are based on proper evidence and fair procedure.

Category

Parent Category: Service Law

Child Categories: Disciplinary Proceedings, Major Penalty, Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999, Rule 7, Rule 37, Natural Justice, Evidence, Oral Evidence

Parent Category: Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999

Child Categories: Section 7, Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999, Section 37, Uttar Pradesh Government Servant (Discipline and Appeal) Rules, 1999

FAQ

Q: What is a major penalty in government service?
A: A major penalty includes actions like withholding increments with cumulative effect, reduction to a lower post or grade, removal from service, or dismissal from service.

Q: What does the Supreme Court say about oral evidence in disciplinary proceedings?
A: The Supreme Court has mandated that oral evidence must be recorded in disciplinary proceedings where major penalties are proposed. This is to ensure that charges are properly proven.

Q: What happens if an inquiry officer does not record oral evidence?
A: If an inquiry officer fails to record oral evidence, the inquiry proceedings are considered invalid, and any penalty imposed based on that inquiry can be quashed.

Q: Can a disciplinary authority rely only on documents to prove charges?
A: No, a disciplinary authority cannot rely solely on documents. The contents of the documents must be proven by examining witnesses.

Q: What are the implications of this judgment for government employees?
A: This judgment ensures that government employees are protected from unfair disciplinary actions. It emphasizes the importance of following due process and recording oral evidence to prove charges.

Source: Satyendra Singh vs. State of Uttar Pradesh