Roles of IA/EO/PO/DR

Principles of Natural Justice

Two latin maxims Nemo Judex Causa Sua (No one should be a judge in his own cause)

Audi Alteram Partem (Hear the other side) Principle of Prejudice & Doctrine of Bias

TOPIC FOR DISCUSSION

When can IA be appointed?

What is the nature of appointment?

Is IA subject to the control of DA?

Who can be appointed as IA?

Essential requirements for EO/IA?

Change of IA during the proceedings

What is De novo enquiry?

When can IA be appointed?

When decision to hold the enquiry has been taken by the DA

After the Chargesheet has been issued After the written statement of defence

What is the nature of appointment?

Quasi Judicial in nature. The EO/IA should be : Independent Objective

Departmental Enquiry
The presiding officer, generally an officer , is known as Enquiry Officer or Inquiry Authority. While he is not a professional in conducting enquiries, he is expected to be unbiased. Oath taking is not necessary while conducting a departmental enquiry.

Departmental Enquiry
The EO/IA does not possess power to summon any witness for giving a deposition. We do not generally allow lawyers to be engaged in a Departmental Enquiry. However, if the Presenting Officer is a legally trained mind or where the case is a complicated one requiring expert handling, a lawyer may be engaged with the permission

Departmental Enquiry
In a departmental enquiry no members of public are allowed. The enquiry is a private affair, attended by only those having a direct relevance to the proceedings. In a departmental proceedings, the standard of proof is not very rigorous and the findings are made on the principle of preponderance of probability The EO/IA is a delegate of the Disciplinary Authority, and has no power to impose penalty. He is not even expected to suggest the type or quantum of penalty

Is IA subject to the control of DA?

EO/IA is A delegate of the DA And not his agent

Who can appoint IA?

The disciplinary authority
The appointing authority Any higher authority

WHO CAN BE EO/IA

Be related to any party to the enquiry Be an eye witness Have any personal interest/ bias Prejudge the issue Import personal knowledge into the enquiry

Not

SOME QUESTIONS AGAIN

Can an outsider be appointed as the Inquiry Authority ? If there is a charge of bias against the IA what is the recourse ?

Can the IA/EO be changed midway ?

What enclosures should normally be enclosed

with the order of appointment of IA/EO ?

Role of Inquiring Authority

To document, analyse and come to a conclusion whether a charge has been proved or not. To hold in depth enquiry To bring out correct facts To ensure impartial enquiry To ensure fair hearing To hold enquiry in accordance with the prescribed procedure.

INQUIRY PROCESS
Issue of notice Holding of preliminary Inquiry Holding of regular Inquiry Examination of documents Adjournments Ex-party Inquiry Submission of oral/written brief

Examination of witnesses

Findings and submissions of Report

Functions of Inquiring Authority

To record testimony of management and defense witnesses verbatim & obtain acknowledgement at the end To analyse the evidence To facilitate inspection of documents by CSE/CSO To bring on record all documents in support of the charges. Ensure that there are no leading questions . Questions should be relevant, pertinent & focussed. Questions should be understood by CSE/CSO To get clarifications but not cross examine

Functions of Inquiring Authority

To make proper assessment of the evidence, furnish the CSE/CSO with a list of witnesses To write a reasoned report of enquiry(Relation between imputations, evidence & conclusions should be spelt out logically & have probative value.) To furnish findings as to the charges To report as to the disputes during the enquiry Has no power to compel attendance of witnesses but can request unit heads to depute.

Presenting Officer
Is an agent of the DA Has to present management case to establish charge Is junior to the IA Must have a proper and full briefing from DA Be given all documents, information & details of the case. He should be briefed adequately on controversial points

Presenting Officer
Be calm and composed & prepare carefully Meet the witnesses in advance, study all documents & decide which evidence is necessary Reconstruct each step of the case & study each incidence of misconduct attributed

The Presenting Officer

Should be cogent and logical, not show animosity Not permit deviations which may delay the process Present his arguments either orally or in writing highlighting the evidence of the prosecution witnesses Point out contradictions and fallacies of the evidence of the other side

Presenting Officer- Questions

Can the presenting officer be a witness ? Can the PO collect evidence/documents etc. from any source or should it be only from the Branch ? Can the IA/EO collect evidence on his own in addition to the evidence presented by the PO ? Can the PO produce evidence not included in the list?

Defence Representative
A DR should always keep a copy of the conduct rules and rules governing disciplinary proceedings. Have complete file of the case on hand for ready reference. Check charge sheet for inherent defects, contradictions etc. Ensure that the IA/EO is not biased Accompany CSP during inspection of documents, files etc.

Defence Representative
Be present throughout the period of enquiry. Get his legitimate objections recorded in the proceedings and raise objections when leading questions are put up by the PO. Cross examine the management witness properly, resist new evidence after the enquiry is closed. Ensure to get a copy of the written brief from the PO before submitting the CSPs written brief. Keep abreast with the laws relating to the issues involved and departmental enquiries.

Thank You