Summarized Flow Chart of Inquiry Proceedings (For DA/IA)
1. Either DA may hold inquiry himself or DA may appoint IO. If DA appoints IO, the IO should examine order of appointment. Check relevant papers including charge-sheet along with list of allegations, witnesses, evidences etc.
2. Send notice of inquiry to CE and PO.
3. If CE present, start inquiry. Advise him about the right to take assistance of DR. If CE absent, provide one chance, adjourn and notify CE and PO.
4. In the presence of CE, DR and PO, read articles of charge or statement of imputation of lapses.
5. Ensure that CE understands charges. Ask him if he pleads guilty or not on each charge.
6. For charges to which CE pleads guilty, do not inquire into those charges and make your findings accordingly. For charges to which CE does not plead guilty, adjourn and provide CE lists of documents and witness received from DA. Also ask CE for discovery and inspection.
7. Forward to concerned authority notice of discovery and inspection when received from the CE for production of documents or showing cause why they cannot be produced.
8. Ask the PO to present the case in support of charges.
9. Ask the PO to present his first witness. If PO has no witness to produce, note it. Ask PO to present documentary evidence; take documents on records as exhibits.
10. If PO has witness to produce, ask PO to examine first witness.
11. Ask CE/DR to cross-examine witness.
12. After cross-examination of the witness by CE/DR, ask PO to re-examine if he wants to.
13. Ask questions to witness for clarification of evidence, if necessary.
14. For further witnesses, follow steps as mentioned above 10 – 13.
15. When case in support of the charge is closed by the PO, ask CE/Dr to state his defence and note the same. Ask the defence to produce witnesses, if any. If CE/DR has no witness to produce, note it. Ask the CE/DR to produce documentary evidence. If CE/DR produces documentary evidence, take documents on records as exhibits.
16. IF CE/DR has witnesses to produce, ask him to examine defence first witness.
17. Ask PO to cross-examine witness.
18. After cross-examination of defence witness by the PO, ask CE/DR to re-examine, if he wants to.
19. Ask questions to witness for clarification of evidence, if necessary.
20. For further defence witnesses, follow steps as mentioned above 16 – 19.
21. If necessary, question CE generally on circumstances appearing against him and in case he has not got himself examined as a witness such general questioning should be done.
22. Ask PO and CE/DR to submit their respective written briefs. If CE/DR ask written brief of the PO before filing written brief of defence, ask PO to send copy of the same to CE/DR to provide PO’s written brief to CE/DR.
23. If DA and IO different, IO should send findings to DA containing gist of articles of charge, statement of imputations of misconduct or gist of imputations of lapses, gist of CE’s defence charge-wise, assessment of evidence and findings with reason charge-wise.
With best wishes,
Keshav Ram Singhal
IO = Inquiry Officer / Enquiry Officer / Inquiring Authority
PO = Presenting Officer
DR = Defence Representative
CE = Charged Employee / Charged Officer
DA = Disciplinary Authority
AA = Appellate Authority
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You may visit following blogs:
- 'Quality Concepts and ISO 9001:2008 QMS Awareness' at http://iso9001-2008awareness.blogspot.in/
- 'ISO 9001 QMS Awareness' Blog in Hindi at http://iso9001awareness.blogspot.in/
- 'EMS Awareness' Blog at http://emsawareness.blogspot.in/
- Blog on 'Forthcoming ISO 9001:2015 QMS Awareness' at http://qmsawareness.blogspot.in
With best wishes,