Diverse Roles of IO in the Inquiry Process as Course Director and Moderator

Unlike the PO and CO, the Inquiry officer is not a direct field player in a departmental inquiry. As a presiding officer, he is normally a silent listener during the inquiry, an occasional moderator and a keen observer. In other words he acts as an umpire. In a tangle or difficult situation he is decisive and delivers his ruling on spot, which is final and binding on both parties as far as the inquiry proceedings are concerned. He is an independent open-minded statutory authority. He accepts no orders from any administrative authority. He need not even have to report daily proceedings to the disciplinary authority. He cannot delegate his statutory functions (that are derived from the DA Regulations) to others. He may appear as a restrained listener, but his authority with reference to the inquiry, is decisive. He can direct his own independent questions to any prosecution or defence witness at any stage. He can call for additional witnesses or documents, or recall any witness, who has already deposed for additional examination . He has reserve powers under DA Regulation 6(14) and under Explanation and Proviso after sub section (d) of Regulation 6(21) - (reference to PNB DA Regulations). Broadly the inquiry officer's functions are as under:

• He fixes the date for the preliminary Inquiry after receipt of order of appointment and conducts the proceedings as per DA Regulations prescribed therefor.

• When the process of giving material details to the charged officer as needed by him for his defence are completed, he fixes the date(s) for regular enquiry at the place and time decided by him.

• He can adjourn proceedings thereafter from time to time as decided and considered expedient by him.

• presides over the inquiry proceedings and ensures that the rules of the inquiry are strictly observed.

• He attentively listens to the evidences presented by both parties to the Inquiry and records everything relevant. At the end he objectively analyses the evidences presented and submits the Report of the Inquiry Officer to the disciplinary authority [DA Regulation 6(21) sub sections (a) to (d).]

• He acts as moderator or umpire and pronounces his rulings on spot, whenever there surfaces a deadlock or any discord in the smooth flow of the proceedings.

• In specific contingencies, where there is a need, he reveals his hidden powers. To fathom the credibility of any wavering witness (prosecution or defence) he may put pertinent questions from his side at any point. He can recall any witness from either side at any time for additional examination. He can call technical experts, or persons well versed in particular areas of banking to clarify any procedural or technical point [Regulation 6(14)]. The power under this regulation can be invoked by the Inquiry Officer to bridge gaps or reconcile inconsistencies in the evidence produced or to clarify purely technical or procedural matters on complex topics, which happen to be of relevance for proper understanding of the issues inquired into.

• Where the contingency arises he can invoke his powers under "Explanation" and "Proviso" after sub section (i) (d) of DA Regulation 6(21) to modify the articles of charge sheet and give his findings on substituted articles of charge, after adhering to the formalities mentioned thereunder. This happens when the investigation conducted is not perfect. Due to improper investigation conducted or on account of any other reasons, though the charged officer has committed grave errors of commission and omission, these are not correctly specified in charge sheet, but surface out for the first time during inquiry. In such a case the situation develops that the charged officer is not guilty of the charges imputed, but guilty of a different misconduct, for which he has not been charge-sheeted. A fresh charge sheet or a memorandum of corrigendum to the existing charge sheet cannot be considered at this stage. The enabling provision in the DA Regulations provides for such contingency. However before the finding on such substituted imputations, or articles are made, the Inquiry Officer should give ample opportunities to the charged officer to cross examine the witnesses, impeach the records produced, in addition to scope for producing his own evidences, if any, as desired by him with reference to the substituted imputations/articles of charge.

• Though the Inquiry Officer is primarily concerned only with the allegations against the charged officer, he is well within his rights to include in his report adverse remarks or strictures on the following connected persons for further action by the competent authority-

  • Any witness who has given perverse evidence (making a statement of fact knowing that it is a lie) and is detected, caught and confesses on being recalled.

  • Gross omissions by the investigating officer, which results in false/incorrect charge sheet having been drafted.

  • If the allegations are not proved against the charged officer, and appears to have been committed by some other officer, the name(s) of such officer(s).

In other words he acts like a quasi-judicial judge or magistrate and discharges identical functions, except that the report of the inquiry officer is a fact-finding report and not a judicial or quasi-judicial order binding on the parties and to be executed directly. The report of the inquiry officer is the basis for further action by the Disciplinary Authority.

Basically the functions of the inquiry officer after appointment consist of

1. Organising the inquiry process and

2. Conducting the inquiry, which in turn covers two sub-functions

   • Analysing documents & records submitted as evidence, and

   • Monitoring the recording/testimony of witness on either side

Profile of IO consists of five more pages. Pages- 1 and 2 relate the initial steps needed to be taken for organising the inquiry, while Page-3, narrates how the inquiry is to be conducted. Page-4 examines how documents/records are to be analysed, and final report of the inquiry officer compiled, while page-5 gives an insight into how to monitor and regulate the testimony of oral witnesses.