The Legislative Character and Constitutional Limits of Rules Framed under the Proviso to Article 309 of the Indian Constitution

The Legislative Character and Constitutional Limits of Rules Framed under the Proviso to Article 309 of the Indian Constitution

1. Introduction

Article 309 of the Constitution of India empowers the appropriate legislature to regulate “recruitment and the conditions of service of persons appointed” to the Union and State services. Its proviso confers an interim rule-making power upon the President or the Governor, “until provision in that behalf is made by or under an Act of the appropriate legislature.” The dual structure— statutory regulation on the one hand and executive legislation on the other— has generated a rich jurisprudence on the nature, scope and limits of rules framed under the proviso. This article provides a critical appraisal of that jurisprudence, synthesising leading authorities from the Supreme Court, High Courts and service tribunals, and evaluating the doctrinal tensions between Article 309 and the neighbouring constitutional provisions, particularly Articles 14, 16, 310 and 311.

2. Constitutional Context

2.1 Textual Architecture

The substantive part of Article 309 establishes legislative supremacy: Acts of Parliament or State Legislatures are the primary source of service law. The proviso delegates a plenary though provisional legislative power to the executive head of the Union or the State.[1] Importantly, both the substantive clause and the proviso are prefaced by the words “Subject to the provisions of this Constitution,” rendering the field subordinate to fundamental rights and to the pleasure doctrine of Article 310 as circumscribed by Article 311.[2]

2.2 Functional Rationale

The framers recognised that legislatures would often be slow to enact comprehensive service codes; the proviso therefore ensures administrative continuity. Yet the constitutional choice to confer “rule-making” rather than “rule-drafting” power means that such rules have the force of law and are “legislative in character” (as repeatedly affirmed by the Supreme Court).[3] Consequently, they bind not only the executive but also employees and courts, until overridden by statute.

3. Legislative Character and Retrospective Operation

In Chandrakant Sakharam Karkhanis v. State of Maharashtra the Bombay High Court held that rules framed under the proviso partake of “plenary legislative power,” which includes the capacity for retrospective operation unless restricted by the Constitution itself.[4] The Supreme Court endorsed this view in Raj Kumar v. Union of India, observing that “constitutional rules, not like rules under a statute,” may validly take effect retroactively.[5]

However, retrospective amendments cannot impair vested rights protected by Articles 14 and 16. The Court so held in Ex-Capt. K.C. Arora v. State of Haryana, striking down a retrospective alteration of seniority that upset legitimate expectations of ex-service officers.[6] This line of reasoning was reiterated in P.D. Aggarwal v. State of U.P., where seniority rules promulgated under the proviso were invalidated for arbitrarily displacing long-serving engineers.[7]

4. Subordination to Articles 310 and 311

4.1 The Pleasure Doctrine (Art. 310)

Because Article 309 is expressly subject to Article 310, a service rule cannot undermine the President’s or Governor’s pleasure, save where the Constitution itself imposes limits. The Supreme Court clarified this hierarchy in State of Himachal Pradesh v. Raj Kumar, holding that any provision in a rule that restricts the pleasure beyond what Articles 311(1) and 311(2) prescribe is ultra vires.[8]

4.2 Procedural Safeguards (Art. 311)

Union of India v. Tulsiram Patel recognised that rules may incorporate the second proviso to Article 311(2), permitting dismissal without inquiry in three exceptional cases. When a rule faithfully mirrors the constitutional text, it is valid; when it purports to extend the exceptions, it is void.[9] The Court applied the same logic in Satyavir Singh v. Union of India, striking down a rule that authorised removal without inquiry beyond the constitutionally permissible situations.[10]

Conversely, rules that impose additional safeguards are constitutionally benign. In State of U.P. v. Babu Ram Upadhya the majority held that Police Regulation 486— made under the proviso—was mandatory; non-compliance invalidated the dismissal, notwithstanding the pleasure doctrine.[11]

5. Judicial Review and Key Doctrinal Developments

5.1 Binding Force and “Occupied Field” Doctrine

As early as Gurdev Singh Sidhu v. State of Punjab, the Court equated rules under the proviso with statutory provisions for purposes of construction and challenge.[12] When a competent legislature subsequently enacts a statute covering the same field, the executive power under the proviso is “totally displaced” (Subhash Chandra Sharma  v. State of U.P.).[13]

5.2 Allocation of Rule-Making Competence

In B.S. Yadav v. State of Haryana the Supreme Court rejected the High Court’s attempt to prescribe a rotation principle for judicial seniority, emphasising that service conditions fall within the Governor’s rule-making domain under Article 309, not the High Court’s control under Article 235.[14]

5.3 Merit versus Seniority

Although Sant Ram Sharma v. State of Rajasthan did not directly hinge on Article 309, it illustrates the Court’s deference to administrative discretion in selection posts where the underlying rules (framed under the proviso) emphasise merit over seniority.[15] The decision underscores that rules may validly prefer merit provided they do not infringe equal-protection guarantees.

5.4 Evolving Policy and Retrospectivity

Service rules are not frozen in time. The Supreme Court in BSNL v. Mishri Lal upheld a policy shift that replaced promotion by officiation with a Limited Internal Competitive Examination, reiterating that rules under Article 309 can be prospectively or retrospectively amended, subject to non-arbitrariness.[16]

5.5 Disability Pension and Beneficial Rules

The Armed Forces Tribunal decision in N.S. Bindra v. Union of India—while centred on disability pension—exemplifies how tribunals interpret service rules (here, the Entitlement Rules and Pension Regulations) in the light of constitutional equality and Supreme Court precedent (Union of India v. Ram Avtar). The ruling reflects an emerging judicial trend to construe service rules purposively to advance welfare objectives.[17]

6. Contemporary Challenges

  • Multiplicity of Instruments: Fragmented rule-making across departments creates inconsistencies; codification by statute would enhance coherence.
  • Digital-Age Employment: Gig-like contractual engagements within government entities test the traditional binary of “service” and “post,” requiring adaptive rule-making.
  • Retrospective Regularisation: Cases such as A.K. Bhatnagar v. Union of India demonstrate continued litigation over ad hoc appointments; clarity on cut-off dates and equitable criteria is needed.[18]
  • Pension Withholding: The validity of pension-withholding clauses under rules such as West Bengal Rule 10(1) (upheld in State of W.B. v. Haresh C. Banerjee) must be balanced against the right to livelihood post-retirement.[19]

7. Conclusion

Rules promulgated under the proviso to Article 309 occupy a unique constitutional space—executive in origin, legislative in character, and provisional in tenure. The judiciary has consistently affirmed their binding force while simultaneously policing their boundaries through the lenses of fundamental rights, the pleasure doctrine and procedural fairness. Emerging jurisprudence signals a calibrated approach: deference to legitimate policy choices, intolerance of arbitrariness, and a readiness to strike down rules that transgress constitutional limits. As public employment models evolve, principled rule-making under Article 309, coupled with vigilant judicial oversight, will remain indispensable to India’s administrative state.

Footnotes

  1. Bhagvan Singh Guleria v. Union of India, Delhi HC (2011).
  2. State of Himachal Pradesh v. Raj Kumar, (2022) SCC.
  3. Raj Kumar v. Union of India, AIR 1975 SC 1116.
  4. Chandrakant S. Karkhanis v. State of Maharashtra, Bombay HC (1976).
  5. Raj Kumar v. Union of India, supra.
  6. Ex-Capt. K.C. Arora v. State of Haryana, (1984) 3 SCC 281.
  7. P.D. Aggarwal v. State of U.P., (1987) 3 SCC 622.
  8. State of Himachal Pradesh v. Raj Kumar, supra.
  9. Union of India v. Tulsiram Patel, (1985) Supp 2 SCC 651.
  10. Satyavir Singh v. Union of India, (1985) Supp 1 SCC 197.
  11. State of U.P. v. Babu Ram Upadhya, AIR 1961 SC 751.
  12. Gurdev Singh Sidhu v. State of Punjab, AIR 1964 SC 1585.
  13. Subhash Chandra Sharma v. State of U.P., Allahabad HC (2000).
  14. B.S. Yadav v. State of Haryana, (1981) SCC (L&S) 343.
  15. Sant Ram Sharma v. State of Rajasthan, AIR 1967 SC 1910.
  16. CMD, BSNL v. Mishri Lal, (2011) 14 SCC 739.
  17. N.S. Bindra v. Union of India, 2019 SCC OnLine AFT 8566.
  18. A.K. Bhatnagar v. Union of India, (1991) 1 SCC 544.
  19. State of W.B. v. Haresh C. Banerjee, (2006) 7 SCC 651.