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Union Of India And Others v. N.N Prajapati

Gujarat High Court
Jul 18, 1985
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Structured Summary of the Opinion

Factual and Procedural Background

Two Letters Patent Appeals (LPA No. 38 of 1985 and LPA No. 125 of 1985) and one Special Civil Application (SCA No. 395 of 1985) arose from departmental disciplinary proceedings. The two letters patent appeals challenged an order of the learned Single Judge (R.C. Mankad, J.) which had allowed special civil applications contesting penalties imposed by the respective disciplinary authorities (the Postal Department and the Surveyor General's Office). In LPA No. 38 of 1985 the employee had been dealt with departmentally and given a minor punishment; in LPA No. 125 of 1985 the employee had been dealt with departmentally and removed from service. The SCA No. 395 of 1985 involved an employee of the Postal Department who had been punished by reduction to a lower time scale for five years.

The learned Single Judge had allowed the petitions on the ground that the disciplinary authorities failed to supply the inquiry officer's detailed report to the delinquent employees while the authorities themselves relied substantially on those reports in reaching conclusions of guilt. The present matter is an appeal from that order.

Legal Issues Presented

  1. Whether a disciplinary authority which substantially relies on an inquiry officer's report in reaching a conclusion regarding an employee's guilt must furnish that report to the delinquent and afford an opportunity to respond (in the light of principles of natural justice).
  2. Whether amendments to Article 311 of the Constitution of India removed any requirement to furnish the inquiry officer's report to the delinquent when the disciplinary authority relies upon it.
  3. Whether a certificate of fitness under Article 133 of the Constitution of India should be granted for appeal to the Supreme Court in these matters.
  4. What relief is appropriate where the disciplinary authority failed to furnish the inquiry officer's report but relied upon it in reaching a penalty.

Arguments of the Parties

Disciplinary Authority (represented by Mr. S. D. Shah)

  • Contended that after the amendment of Article 311 of the Constitution the requirement of giving a second show-cause notice at the conclusion of the first phase of inquiry was dispensed with, so that the inquiry officer's report had become of little importance.
  • Argued that earlier judicial pronouncements requiring furnishing of the inquiry officer's report were no longer good law after the Article 311 amendment.
  • Relied upon an Andhra Pradesh High Court judgment reported in 1983 (3) SLR 319 (324) and on certain observations in a previous Division Bench decision in Letters Patent Appeal No. 295 of 1984 to support the non-furnishing of the report in some circumstances.
  • Orally requested (1) a certificate of fitness under Article 133 and (2) continuation of the interim order for a period of five weeks to enable authorities to approach the Supreme Court.

Petitioners / Employees (as reflected in the Single Judge's decision)

  • Contended (and the Single Judge found) that the disciplinary authorities relied extensively upon the inquiry officer's report but did not furnish that report to the delinquent employees nor afford them an opportunity to respond to the inquiry officer's assessment; that failure was a breach of natural justice.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
S. T. Dasadia v. Commissioner, Surat Municipal Corporation, 24(1) GLR 770 Earlier authority relied upon by the learned Single Judge concerning the furnishing of inquiry reports (a time when Article 311 was not amended). The court noted the case was from the period before the Article 311 amendment but observed that its ratio is on a different plane — reinforcing that disciplinary authorities must reach independent conclusions and, where they rely on inquiry reports, those reports should be furnished to the delinquent.
1983 (3) SLR 319 (324) (Andhra Pradesh High Court) Invoked by the disciplinary authority as supporting non-furnishing of the report in certain circumstances. The court held that this judgment does not fit with the Division Bench view in the present High Court: where an inquiry officer's report is favorable to the delinquent or forms part of the defence, failure to furnish it is significant and the Andhra Pradesh view does not commend itself here.
Letters Patent Appeal No. 295 of 1984 (Division Bench, earlier) Earlier observations (including non-ratio comments) concerning giving of the inquiry officer's report when disciplinary authority agrees with the inquiry officer. The court clarified that certain observations in that judgment were not ratio decidendi and that the question was left open; the present court set out the correct principle regarding furnishing when the report is substantially relied upon.
Central Bank of India Ltd. v. Prakash Chand Jain (Supreme Court) One of the Supreme Court authorities relied upon by this court in determining whether to grant a certificate under Article 133. The court stated its view was based on this Supreme Court judgment (and others) and therefore refused to grant a certificate of fitness in these matters.
State of Gujarat v. R.G. Teredesai and Anr. (Supreme Court) Supreme Court authority relevant to the issue of granting a certificate under Article 133. Referenced as part of the Supreme Court authorities on the subject; contributed to the court's conclusion to refuse a certificate of fitness.
State of Maharashtra v. Bhaishankar Avalram Joshi and Anr. (Supreme Court) Another Supreme Court authority considered on the question of a certificate under Article 133. Used by the court in deciding not to issue a certificate of fitness under Article 133.

Court's Reasoning and Analysis

The court analyzed the matter in these principal steps:

  1. Rejected the disciplinary authority's primary contention that amendment of Article 311 made the inquiry officer's report unimportant and that earlier judicial requirements to furnish the report were no longer good law. The court found this submission unsustainable on the facts before it.
  2. Distinguished prior authorities: although some earlier cases (including S. T. Dasadia) were from the pre-amendment period, the court held that their ratio concerned a disciplinary authority's obligation to make its own assessment. The present question turned on whether the disciplinary authority relied substantially on the inquiry officer's report when arriving at its decision.
  3. Examined the record in the three cases and observed that the disciplinary authorities repeatedly stated they had considered and ultimately concurred with the inquiry officer's conclusions. The authorities did not conduct a substantive, independent discussion of the oral and documentary evidence; rather, they largely adopted or relied upon the inquiry officer's assessment.
  4. Identified the natural justice concern: when a quasi-judicial disciplinary authority bases its decision substantially (or wholly) on the inquiry officer's report — a document that contains the inquiry officer's assessment and emphasis — the delinquent must be furnished with that report and given a reasonable opportunity to respond (which may be in writing and need not be oral). If such a report is not furnished while it is substantially influencing the authority, the principle of natural justice is breached and the disciplinary order is vitiated.
  5. Clarified the limiting principle: the court expressly stated it was not laying down a rule that the inquiry officer's report must be given in every case. If the disciplinary authority forms its own independent assessment and does not rely on the inquiry officer's report (and the delinquent does not demand it), furnishing the report is not obligatory. However, if the authority takes the report into consideration for reaching its conclusion, furnishing the report is indispensable.
  6. Addressed the Andhra Pradesh High Court decision and the earlier Division Bench observations: the court concluded that the Andhra Pradesh view was not persuasive in the present factual context, and that certain observations in the earlier Division Bench decision were not ratio decidendi and therefore did not alter the principle stated above.
  7. On the certificate of fitness under Article 133, the court relied on certain Supreme Court authorities and concluded that no case was made out to grant a certificate; the oral request was refused.
  8. Permitted an extension of the interim relief for five weeks (on request) to enable the authorities to approach the Supreme Court, but warned no further time would be granted.

Holding and Implications

Holding (core rulings):

  • Both Letters Patent Appeals are dismissed with costs.
  • The Special Civil Application No. 395 of 1985 is allowed and the order of penalty in that case is quashed; the rule is made absolute with costs.
  • The court refused to grant a certificate of fitness under Article 133 in all three matters.
  • The interim position is continued for a period of five weeks from the date of the judgment to enable the authorities to approach the Supreme Court; no further extension will be given.
  • The time previously granted by the Single Judge for completing any restarted inquiry in the two letters patent appeals is extended by the same period from the date of this judgment.

Implications (direct effects and scope):

  • On the direct effect: the disciplinary orders in the three matters stand vitiated where the disciplinary authority substantially relied on the inquiry officer's report but did not furnish that report to the delinquent and did not afford an opportunity to respond; remedial relief follows as stated above (dismissal of appeals, quashing of penalty in the SCA, and extension of time for any re-started inquiries).
  • On the legal principle: the court clarified that furnishing an inquiry officer's report is not an absolute requirement in every departmental inquiry. It becomes mandatory only where the disciplinary authority uses the report as a substantial basis for its conclusion. The judgment therefore articulates a situational rule aimed at protecting the principles of natural justice where the inquiry report "looms large" in the disciplinary decision.
  • The court noted (in respect of LPA No. 125/85) the particular factual sensitivity of reinitiating an inquiry after a protracted period (seven years) and suggested the authorities consider whether to reinitiate the inquiry from the stage found vitiated, given the employee's prolonged ordeal and procedural history.
  • The court's refusal to grant a certificate under Article 133 means that no immediate special leave to appeal to the Supreme Court was certified from this Bench; the parties were permitted to use ordinary copies of the judgment and the interim protection was preserved briefly to permit an approach to the Supreme Court if desired.

Note: This summary is strictly limited to the matters, arguments, authorities, reasoning and orders as they appear in the provided opinion. No additional facts or external materials have been introduced.

Show all summary ...

1. The two letters patent appeals are directed against the order of the learned Single Judge of this Court, our brother R.C. Mankad. J. who was pleased to allow the special civil applications challenging the orders passed by the respective respondents i. e. the Postal Department and the Surveyor General's Office. In the Letters Patent Appeal No. 38 of 1985, the employee was dealt with departmentally and punished with minor punishment; whereas the employee in the Letters Patent Appeal No. 125 of 1985 was dealt with departmentally and removed from service. The Special Civil Application No. 395 of 1985 is filed by an employee of the Postal Department who, at the close of the departmental proceedings, has been visited with punishment of reduction to lower time scale for a period of five years.

2. The learned Single Judge allowed the two petitions only on one ground, namely, non-supply of the inquiry officer's report by the disciplinary authority who extensively relied upon his assessment of evidentiary material, both oral and documentary, in the said report for the purpose of his reaching the particular conclusion of guilt. In both these cases the departmental inquiry was entrusted to the inquiry officer before whom evidence, oral and documentary, was led and who had on the close of the said inquiry proceedings, had submitted his detailed report to the disciplinary authority which forthwith proceeded to decide the matter without affording any opportunity of audience to the concerned petitioner-employee. Similar is the case in the substantive Special Civil Application No. 395 of 1985, the third matter in this group.

3. The Learned Counsel Mr. S.D. Shah appeared for the respective disciplinary authority in all the three matters. The gravamen of his submission was that after amendment in Article 311 of the Constitution of India, by which amendment the requirement of giving a second show cause notice at the conclusion of the first phase of the inquiry was dispensed with, the inquiry report assumed little importance and, therefore, the earlier judicial pronouncements of the Supreme Court and of this High Court which provided for the furnishing of such an inquiry report were no longer good law. In our view, this argument of Mr. Shah is unsustainable. It is no doubt true that the judgment of the Supreme Court was relied upon by the learned Single Judge, and also by me sitting as a Single Judge, in the case of S. T. Dasadia v. Commissioner, Surat Municipal Corporation 24(1) GLR 770. The cases are of time when Article 311 was not amended. However, the ratio decidendi of these cases is on a different plane altogether. When the disciplinary authority, who itself is not an inquiry officer conducting the departmental proceedings, sits to decide the question about the alleged guilt or default of the concerned employee, it is required to assess the entire material on its own and reach its own independent conclusion. We find that in all the three matters, more than once, the disciplinary authority has observed that it had considered the inquiry officer's report in the light of other materials (which he did not specify, but which only casually and loosely adverted to) and had ultimately agreed with the inquiry officer's conclusion. It specifically states that it concurred with the conclusion of the inquiry officer. So it is not in any way difficult to say that for a substantial part, if not wholly, the inquiry officer's report loomed large in the mind of the disciplinary authority for the purposes of reaching its conclusion. We reiterate that there is no discussion of evidence, both oral and documentary. It is only a verbal homage given to the material in a sentence or. two. A bald statement has been made that other documentary evidence had been considered by it, but, however, in what manner it did is left conspicuously absent. When an authority, which is expected to act quasi-judicially bases its decision substantially, if not wholly, on the report of an inquiry officer which report obviously would contain his assessment of the material through his eyes and his angle and when by the very nature of things he would highlight the points which are appealing more to him and by human weakness would try to tone down the facets of arguments and pleas advanced by the delinquent, the disciplinary authority is expected to give report to the concerned delinquent and afford him an opportunity to have his say, may be in writing and not necessarily oral, as to the appreciation of the evidentiary material at the hands of the inquiry officer. If such a report Which is substantially acting on the minds of the disciplinary authority in the process of its reaching the conclusion, is not furnished, one of the basic principles of natural justice stands violated. We, therefore, agree with the views of the learned Single Judge and hold that in the facts and circumstances of these three cases the concerned disciplinary authority had erred at law in not furnishing the alleged delinquents with the inquiry officer's detailed report and therefore, its conclusion stood vitiated.

4. We are not to be understood to have stated that in all cases the report is to be given. If the report is not relied upon and the disciplinary authority on its own assesses the evidentiary material and reaches its conclusion the report is certainly not to be given, unless the delinquent demands it for his purposes. We, however, would hasten to add that if the disciplinary authority takes the report into consideration for the purpose of reaching its conclusion the furnishing of the report is indispensable, and any departure from this principle would strike at the roots of the conclusion itself.

5. In this connection Mr. S. D. Shah invited our attention to one judgment of the Andhra Pradesh High Court reported in 1983 (3) SLR 319 (324). This judgment does not fit in with the view of the Division Bench of this High Court to which I was a party. It is a judgment given by the Division Bench in the Letters Patent Appeal No. 295 of 1984 dismissed by us by a speaking order dated 24-7-1984. In that case, as it was in the case before the Andhra Pradesh High Court, the disciplinary authority disagreed with the conclusion reached by the Inquiry Officer but never afforded an opportunity to the delinquent to have the benefit of his assessment or his view of the evidentiary material contrary to the view of the inquiry officer who had held in favour of the delinquent. In such a case the inquiry officer's report favourable to the delinquent forms an important link in the armour of defence. The contrary view, therefore, of the Andhra Pradesh High Court, with respects does not commend itself to us.

6. Mr. Shah, however, leaned very heavily on our observations in that judgment in the Letters Patent Appeal No. 295 of 1984. There we have stated as follows:

The other observations of the learned Judge regarding giving of the Enquiry Officer's report even when one disciplinary authority agrees with the Enquire Officer's unwarranted in this case and is not to be treated as the ratio of the Judgment.

Mr. Shah wants this to mean the ratio of the Division Bench that if the disciplinary authority agrees with the inquiry officer, the copy of the report-is not lobe given. This is not the ratio there. The question was left open because the learned Judge had made certain observations which were not germane to the facts of the case and that is why that question was left open. We, therefore, hold that where an inquiry officer's report is made the whole or a substantive or substantial part of the material relied upon by the disciplinary authority for the purpose of reaching its conclusion regarding the guilt of the delinquent this report becomes an important document regarding which the delinquent must be afforded a reasonable opportunity of having his say in that regard, and if in such a situation the report is not given the important aspect of the principle of natural justice stands not complied with resulting into vitiation of the order of penalty. The result is that both the letters patent appeals stand dismissed with costs. The special civil application is allowed by quashing the order of penalty in question. Rule is accordingly made absolute in that case with costs. The time granted by the learned Single Judge in these two letters patent appeals for completing the inquiry if restarted stands extended by the very period from today which was granted by the learned Single Judge.

7. At this stage Mr. Shah made an oral request for a certificate of fitness under Article 133 of the Constitution of India in all the three matters. As our view is based on the judgment of the Supreme Court in case of Central Bank of India Ltd. v. Prakash Chand Jain , in the case of State of Gujarat v. R.G. Teredesai and Anr. and the case of State of Maharashtra v. Bhaishankar Avalram Joshi and Anr. , we do not think that any case is made out for a certificate. The oral request is, therefore, rejected. At this stage Mr. Shah requested that the interim order passed by this High Court should be continued for a period of five weeks to enable the authorities to approach the Supreme Court and seek appropriate orders. The request is granted The situation that prevails today shall continue to operate for a period of five weeks from today with a warning that no further time will be given under any circumstance. It will be open to these appellants in the two matters and the respondent in the third matter to avail themselves of the ordinary copy of the judgment.

8. We hope that in the case of the delinquent In the Letters Patent Appeal No. 125/85,the authorities will consider whether after seven years of the ordeal of the delinquent they should reinitiate the inquiry from the stage from whereit has been found to be vitiated, particularly when he was once removed, the appellate authority set aside the removal followed by reinstatement and suspension and followed by removal from service which was decided by the Single Judge of this High Court. The civil application stands disposed of in view of our judgment. Rule discharged in the Civil Application.