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PO's Role During Preliminary Inquiry
This is a simple and straightforward procedure complying a process intended to serve two purposes. These are expressed in Sub-regulation Nos. (l0)(a) and (10)(b) of Regulation No.6 of PNB DA Regulations. These two purposes are as under:
Communicate in its entirety the case of management in support of the charge sheet to the charged officer. Allow time and facilities to the charged officer "for the purpose of preparing his defence"
The detailed procedure for the preliminary inquiry is set in regulation Nos. 6(8)(b) to 6(12). The preliminary inquiry is intended to make the inquiry process above board, objective and fair. The concept of extending natural justice to the charged officer is in-built in this formality. While it is the duty of inquiry authority to record the relevant orders in the preliminary inquiry, it is the duty of the PO to take steps for getting the orders of the inquiry authority given practical shape and all facilities for preparing his case extended to the charged officer, within the time schedule.
In this context reference is sought to sub-regulation 10(b)(iii) of Regulation No.6 prescribing the Inquiry Authority to record an order that the CO may be:
" be supplied with copies of statements of witnesses, if any, recorded earlier and the inquiring authority shall furnish such copies not later than three days before the commencement of the examination of the witnesses by the inquiring authority."
The period mentioned is to be taken as the outer limit. It is advisable to hand over these copies at the time of the PE itself, before the CO is to submit his list of documents and witnesses that he wants for his defence. This will facilitate the CO to include evidences that he may deem for rebutting the testimony of the management witnesses, and will eliminate the contingency of his coming up with a supplementary list, after getting the copies of the testimony.
Facilities to be Provided to the Charged Officer to Prepare his Defence
| Sub-regulation of Regulation No.6 |
Facility to be Provided |
Procedure for compliance |
| 10(a) |
To furnish a list of documents by which, and a list of witnesses by whom, the articles of charge are proposed to be proved |
To be furnished at the inquiry itself |
| 10(b)(I) |
Inspection of listed document |
To be arranged by PO immediately after the PE on the dates specified. The original records for which photocopies are supplied will be inspected by the CO. The CO, if so demands should be permitted to inspect the entire contents of files, from which specific document or documents are taken as evidence. If the investigation was conducted by the CBI, the CO can also demand and inspect all the documents seized by the CBI from the Branch, as per Seizure record, even if part of such records are not produced as evidence in the inquiry |
| 10(b)(ii) |
List of defence documents and defence witness to be submitted by CO, who must also state the relevancy of such documents for the purpose defending himself against the charge sheet |
He may submit this after the inquiry to the inquiry authority with a copy to the PO. The list will be scouted by inquiry authority as per stated relevancy of each document and witness. PO may not interfere and accept the rulings of the inquiry authority, unless there are specific grounds for the PO to prevent delaying tactics and attempts of the CO to drag extraneous matters within the inquiry by seeking farfetched records with little relevance to his genuine defence. In such a case, PO to quickly submit his objections in writing to the inquiry authority under copy to the charged officer before the inquiry authority records its order on the defence evidences |
| 10(b)(iii) |
Copies of recorded statement of management witnesses to be supplied to CO |
These can be submitted, if such statements are recorded. In the first place. This formality is generally complied by default (non-observance) by the bank. This is not good for the inquiry; to the management or the charged officer. Availability of recorded statements of witnesses will prove and indicate that a bonafide investigation has been conducted before a charge sheet is issued |
| 10(b)(iv), 11 &12 |
Issue order for discovery of the additional documents listed by the charged officer within a prescribed period and further issue order to the custodians of such documents for the production of the documents for the purposes of the inquiry |
The needful action for the compliance of this order must be initiated and attended by the PO for the due satisfaction of the CO. Copies of sensitive documents may not be furnished by custodians of such documents. But on this score if the charged officer is not able to establish material facts of this case, it is equally bad for the inquiry. The matter to be tactfully handled and harm to either side prevented. Generally records at the branch should not suffer this limitation. But if the charged officer requests for the records at the controlling offices, which are not normally accessible to the branches, the difficulty may arise. |
It is the duty of the presenting officer to complete all necessary steps so that the charged officer
has the complete information about the case of the management secures the total of additional information needed by him. This is despite the elaborate guidelines in the Regulation speaking about the inquiry officer sending information to the custodian of the documents etc. In practice the Inquiry officer will only pass the necessary orders permitting the charged officer approval of his list of documents and witnesses. It is for the presenting officer, as the representative of the disciplinary authority at the field to arrange inspection and production of defence documents
All records either produced on behalf of the management or the charged officer and all witnesses, whether they testify on behalf of the management or the charged officer must be treated as records/witnesses of the inquiry. Evidence is evidence, whether submitted by PO or CO and they both serve the same purpose in the inquiry, that of establishing the truth or otherwise of the allegations against the charged officer. One healthy practice sometimes followed by CDI of CVC is to refer to management evidence as listed records/witnesses and defence evidence as additional records/witness.
In terms of Conduct Regulation No.10 officers are prohibited from giving evidence in enquiries other than those specifically permitted. Giving evidence in departmental enquiries is exempted from this regulation. However summons for additional witnesses of the defence should also be issued by the inquiry authority. It is the obligation of the bank authorities to make available its officers, summoned on behalf of the defence by the inquiry authority, as they make available management witnesses. A different approach or attitude is not indicative of a bonafide inquiry.
When all the formalities for enabling the charged officer to prepare his case is completed the regular inquiry can be started.
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