Having understood the basic principles governing departmental inquiries and the essence of the role of the presenting officer therein, we proceed further in this page, about setting forth on the job by the PO immediately on his appointment and making the essential pre-enquiry preparations. In other words we intend to explain how the PO would start his work to initiate the inquiry process?

The first step is to collect the relevant records for conveying the management case and proving the imputations of misconduct.(Recover and hold the complete data needed by you). The complete records of the disciplinary case should be taken possession of by the PO. Some records may have been received from the Disciplinary Authority along with appointment letter, but these need not be exhaustive. In particular copy of the charge sheet and the reply to the charge sheet submitted by the Charged officer in the pre-enquiry stage to the disciplinary authority would have been received. As per guidelines to the Bank, by the CVC the list of documents and list of witnesses through which the charges are intended to be proved should also be attached to the charge sheet served to the charged officer. If this requirement is complied with, these documents would also have been received.

Many charge sheets are issued without recognizing a vigilance angle by the bank and these are not referred to the CVC for advisory opinion. However when it is issued recognizing a vigilance angle, the 1st stage advisory opinion of CVC has to be obtained by the Bank before serving the charge sheet in respect of charge sheets against officers in Scale III and above. CVC has now advised the Bank to furnish a copy of their opinion also with the charge sheet to the charged officer vide their circular No.99/VGL/66 dated 28th September 2000. This is to be complied. PO Should verify that the advisory opinion is received and supplied to the charged officer. It is necessary in that case that the charged officer also receives a copy of the opinion and goes through the same.

Who took the decision to serve and charge sheet and who submitted the draft charge sheet to the Disciplinary Authority? In PNB charge sheets are initiated at the end of a process, after going through a staff side case, where the decision to charge sheet an employee is initiated and recommended/endorsed by the Regional Manager/Zonal Manager. But then, how a staff side case happened to be initiated?

At the starting point there may be a complaint, on the basis of which an investigation would have been conducted. The investigating officer (IO) is to submit his report. The IO would have identified specific lapses/omissions on the part of the officer, who has subsequently been charge sheeted. IO is also required to include the list of records and oral witnesses needed to prove the charges. But very few charge sheets pertain to this category.

In majority of cases the competent authority (Inspection & Control Section, Head Office) identifies specific items of the regular inspection report of the branch conducted periodically as serious omissions to be followed for enforcement of accountability under a procedure referred as 'staff side case'.

In either way the staff side case is initiated by calling for the remarks of the delinquent officer. These are analyzed and put up to the Regional Manager/Zonal Manager by an appropriate section of the Regional office/Zonal Office (Inspection/audit section or DAC section). Based on the merits of the explanation of the delinquent officer, the final authority (RM/ZM) takes a decision to drop the item, to advice caution to the officer concerned, or to recommend to the appropriate Disciplinary authority to initiate a disciplinary case. If the recommendation is for initiating a disciplinary action it should be specified whether it is for minor or major penalties. If the recommendation is for major penalty, the charge sheet is issued under Regulation No,6(3). In this case the actual misconduct implying specific non-adherence to the Conduct Regulation is mentioned in the articles of charge, enclosed as Annexurwe-1 to the charge sheet. The details of the specific incidents detailing the misconduct or leading to the non-observance of the conduct rules are explained in the Statement of Imputations of Misconduct and enclosed as Annexure II. An oral inquiry has to be compulsorily conducted, in this procedure, and major penalties listed in Regulation No.4 (e to h) can be awarded, if the charges are held as proved. However based on the gravity of the misconduct as per findings in the Inquiry, the Disciplinary Authority can also award only a minor penalty, as listed in Regulation No.4(a to d), even though the charge sheet was issued under major penalty procedure.

If the recommendation is for initiating action for awarding a minor penalty specified on Regulation 4 (a to d) charge sheet without the articles of charge, but with only the statement of imputations of misconduct is served under Regulation No.7 (1). It is not compulsory, but an oral enquiry may still be conducted, if the Disciplinary authority so decides. Such an inquiry can be conducted in terms of Regulation No. 7(2).

The tasks to be attended by the PO at this phase are as under:

1. Examine the whole history of the disciplinary case involving the process of staff side case consideration, and understanding how the preliminary process was carried out. If however there is an investigation report, it would have been followed by a further process of staff side case. The PO must study both the files, i.e. Report of the Investigating officer and the subsequent correspondence relating to staff side case consideration. In respect of Institutions other than PNB the PO must get access to the preliminary investigation and other connected files that had resulted in the issuing of the charge sheet and study the same.

2. Examine the charge sheet and confirm it contains no material discrepancy or deficiency. In this context please refer detailed guidelines in the web page How to Draft a Charge Sheet

3. Visit the Branch where the alleged misconduct was perpetuated and verify the original records and ensure that there is no discrepancy in the understanding of material facts involved in the preliminary process. In other words the charge sheet is factually based on the evidences on record

4. If the case history (case dairy) is held but not properly made, update the same after verifying the source records.

5. Locate documents of evidence. Take three sets of photocopies and retain safely the originals at the Branch preferably under joint custody of two officers.

6. Decide if oral witnesses are required. Examine these witnesses and record their statements. Make out three copies of the same.

We will now consider these steps in more detail. The allegations mentioned in the charge sheet have occurred at a specific place(s) (normally Branch) and at a fixed time (or duration). This should be mentioned in the charge sheet. Check and confirm that the charged officer was present and on duty at that time at this branch by visiting the branch and examining the original records.

Check the articles of charges and confirm that the misconduct as per provisions of the Conduct Regulation is correctly specified.

Examine the statement of imputations and ensure the veracity of all the allegations from original records and also confirm that they are in conformity with the articles of charge alleged.

In case there are chronological or other errors in the charge sheet, take up officially in writing with the Disciplinary Authority and the Administrative Authority (RM/ZM) for issue of a corrigendum, to the charge sheet to set right the omissions.

Thereafter read the submissions of the charged officer in his written statement of reply to the charge sheet submitted to the disciplinary authority to acquaint yourself with the possible line of defence.

Prepare an accurate case history (case dairy) of the Management case from the original records. This is purely for your information and quick reference during inquiry. This provides the possible line of defence the charged officer will be making. It will enable you to ensure that your case preparation is total and there are no gaps. This will also help you later to easily compile the brief of the PO.

However in a criminal investigation, as per Sec.172 of Cr.P.C. an investigating Police officer has to follow the statutory requirement of maintaining a Case Dairy. Though the accused cannot demand access to the dairy normally, the trial court, as per sub Section (2) of the aforesaid Section " may send for the Police diaries of a case under inquiry or trial in such court, and may use such diaries, not as evidence in the case, but to aid it in such inquiry or trial"

However in a Departmental Inquiry, though under no obligation the investigating officer (while investigating a complaint) and the presenting officer while reviewing the case may maintain a dairy for better performance of their respective jobs and as a convenient future reference source.

With this task completed the PO having prepared the case of the management completely, the next step is to approach the inquiry authority for fixing the date for preliminary inquiry.

You are to prove each and every imputation before the inquiry authority during the inquiry. What evidences will be needed and what records are available? The records relied upon, as evidence should have emanated within the period and place (where charged officer was working and as referred in the charge sheet) in the ordinary course of business and in the course of the functioning of the charged officer. These are the original and unquestionable records. Inspection reports/investigation reports do not conform to this standard, as they are post-facto sources by persons not connected with the branch. These reports are in turn prepared from source records from the branch. The source records can only be produced as direct evidence. Inspection reports/investigation reports if already mentioned as evidence in an Annexure and served to the charged officer with the charge sheet, you may however file the same as secondary or supporting evidence along the source records. The relevant departmental circular(s) or extract from Book of instructions making it incumbent on the charged officer to invariably follow a prescribed course of action, which he has violated is also to be filed as evidence to establish the misconduct of the delinquent officer. In short records must prove conclusively:

• The Action of the delinquent officer, which are being questioned. It is to be proved that CO committed these actions.

• The right course prescribed for its performance by the employer. Produce extract of official instructions/guidelines.

• The deviations alleged and its adverse consequences, if any occasioned.

When a single letter from a file of correspondence is deemed as evidence the original must be kept in tact in the file and the entire file must be carefully preserved. A file contains sequence of letters chronologically preserved on a single subject. Letters are not preserved individually at the branch but as part of respective files subjectwise. The charged officer may demand opportunity to peruse the entire file, from which individual letter or letters are selected and produced as management evidence. This is a bonafide request, as the file is deemed a unit of record, and CO to be given access to peruse the entire file. However only the concerned letter alone may be filed as evidence in the inquiry.

It should be remembered that the responsibilities of the charged officer in a Departmental Inquiry is much wider than under a proceeding in a court of law, where he stands as an accused. Before Law the prosecutor has to prove the allegations beyond reasonable doubt. The level of evidence required is total and in case of 99% probability, the accused may still go Scot-free on the basis of the benefit of 1% doubt in the discretion of the court. The court is prepared to forbear a few criminal escapes the law, but never wants that an innocent should be punished erroneously.

This is not so in a departmental inquiry. Here when allegations about the conduct of an officer is questioned, he has to explain and establish his good conduct. "The ingredients of misconduct/ delinquency in criminal prosecutions and departmental proceedings as well as the quantum of proof required in both cases are not identical. In criminal cases, the proof required for conviction has to be beyond reasonable doubt, whereas in departmental proceedings proof based on preponderance of probability is sufficient for holding the charges to have been proved"

Consequently the charged officer has to be provided a reasonable opportunity bordering to a liberal approach in respect of his request to access different records to discover his evidence from the same. The PO has to keep this in mind and make available the entire correspondence files, whenever requested to by the CO or his Defence Assistant.

It is ideal to prove much of the allegations through documentary evidence. However some records may not be readily available. Some of the documents filed may need explanation/clarifications. In these circumstances it is necessary to supplement documentary evidence with oral evidence of a material witness. An ideal witness is one who was present at the place and time the transactions relating to the allegations were put through and has direct knowledge and competency to testify.

There is a particular advantage of oral evidence, which is not provided by filing the records. Records are dumb and they do not physically talk. The Inquiry Authority has to spend precious time later to read and grasp them. During the inquiry they are not read. And the evidence in them does not unfold at the spot spontaneously and recognized. The evidence remains in store. But oral evidence or depositions of a witness is a source for quick and spot understanding of the facts and the entire material produced is instantly conveyed to the inquiry authority. It is a mode of communication through voice channel between the speaker and the one who hears and consequent understanding of the subject being total or 100%. The case is developed along with the progress of inquiry. It is therefore customary for many POs to bring to the fore the contents of crucial documentary evidence through an oral witness to represent and pinpoint the core issues and carry the inquiry authority with the progress of the management case as he develops and present the case. For this purpose it is necessary to arrange the oral presentation by the witness in logical sequence, in tune with the course of events, which took place originally.

This is a good procedure followed by investigations conducted by the CBI, which have to maintain the Dairy under Sec.172 of Cr.P.C. It has several advantages as under:

1. PO and all concerned with the inquiry know the testimony of the witness, before it is produced. The PO in particular is able to view the totality of the effect of the evidences presented by him.

2. The charged officer has an understanding of the material against him as would be presented through oral witnesses and this enable him to prepare his case in advance properly. Thus this fulfills an essential element of natural justice.

3. As per DA Regulation NO. 6(5)(iv) copy of the statements of witnesses is to be tendered in the inquiry to the Disciplinary Authority in advance.

4. It is easier for the witness to leisurely refer all material records and refresh his memory and testify in advance and have it recorded either by the investigation officer or presenting officer. This record is a quick source for him, when he is called to tender evidence subsequently and he will not suffer from memory gaps and furnish a defective or deficient testimony. The recorded testimony is a source for quick refreshing of the memory.

5. Such advance recording of the testimony of the witness does not preclude the PO from putting supplementary questions during inquiry to the same witness. But PO cannot change the earlier testimony. This, however, should be deemed a good discipline and in accordance with the objectivity of the departmental inquiry.

The case preparation by the P.O. is now completed. You now know all relevant facts and hold material evidence in your custody and have also ensured the veracity of the allegations made in the charge sheet. You are in a position to present the case effectively. You may therefore request the inquiry officer to fix a suitable date for Preliminary Inquiry