FREQUENTLY ASKED QUESTION - 14

Who is competent to hold departmental inquiry?

The person to be appointed as IO must be independent and unbiased so that the employee proceeded against may have confidence in him. This is based on two time-hounoured principles of public policy, namely, (i) that no man should be a judge in his own case, and (ii) that justice should not be done but manifestly and undoubtedly seem to be done. In other words, if a person is acting judicially, he should be free from bias, financial or otherwise either in favour or against a party to a dispute. He should not bring himself to a position where bias can be reasonably inferred to exist.

With best wishes,

Keshav Ram Singhal

Abbreviation

IO = Inquiry Officer / Enquiry Officer / Inquiring Authority
PO = Presenting Officer
DR = Defence Representative
CE = Charged Employee / Charged Officer
DA = Disciplinary Authority
AA = Appellate Authority

FREQUENTLY ASKED QUESTION - 13

What do the 'principles of natural justice' imply in departmental inquiry?

The basic concept of natural justice so far as departmental inquiries are concerned is that no man should be condemned unheard. He should be informed of the allegations or the basis upon which action detrimental to him is proposed to be taken and he given an opportunity of making his representation or presenting his case in regard to those allegations and consideration of that representation or viewpoint before action detrimental to him is taken.

With best wishes,

Keshav Ram Singhal

Abbreviation

IO = Inquiry Officer / Enquiry Officer / Inquiring Authority
PO = Presenting Officer
DR = Defence Representative
CE = Charged Employee / Charged Officer
DA = Disciplinary Authority
AA = Appellate Authority

Short Note - The Inquiry Report

Whether the Inquiry Officer should provide a copy of the inquiry report to the charged employee?

Before an employee is punished in a departmental inquiry, a copy of the inquiry report should be furnished to the charged employee. In many cases, it was held that not furnishing the report amounts denial of natural justice.

With best wishes,

Keshav Ram Singhal

Abbreviation

IO = Inquiry Officer / Enquiry Officer / Inquiring Authority
PO = Presenting Officer
DR = Defence Representative
CE = Charged Employee / Charged Officer
DA = Disciplinary Authority
AA = Appellate Authority

Natural Justice in Departmental Inquiry

It is always emphasized upon the necessity of observance of the principles of natural justice in the conduct of departmental inquiry by the employer. The rules of natural justice oblige the employer's management to follow certain pre inquiry procedures like informing the employee of the charges levelled against him, providing him the list of witnesses and documents having nexus with the incident to be relied upon in the departmental inquiry so that the CE and his DR can cross check its authenticity and veracity and thereby the CE should be provided with an opportunity to cross examine the contents and discredit their testimonies if required, fair opportunity to cross-examine witnesses and examine witnesses, including himself, in support of his defense and unbiased and proper recording of the evidences adduced by the CE. As such the IO should follow principles of natural justice, so that justice is done with the inquiry proceedings.
With best wishes,

Keshav Ram Singhal

Abbreviation

IO = Inquiry Officer / Enquiry Officer / Inquiring Authority
PO = Presenting Officer
DR = Defence Representative
CE = Charged Employee / Charged Officer
DA = Disciplinary Authority
AA = Appellate Authority

FREQUENTLY ASKED QUESTION - 12

Should Inquiry Officer administer oath to witnesses?

Departmental inquiries need not be conducted in accordance with the technical requirement of criminal trials, but they must be fairly conducted and in holding them, considerations of fair play and natural justice must govern the conduct of the IO. In departmental inquiry the Inquiry Officer should not administer oath to witnesses. Please read General Tips - 15 of this blog.

With best wishes,

Keshav Ram Singhal

Abbreviation

IO = Inquiry Officer / Enquiry Officer / Inquiring Authority
PO = Presenting Officer
DR = Defence Representative
CE = Charged Employee / Charged Officer
DA = Disciplinary Authority
AA = Appellate Authority

FREQUENTLY ASKED QUESTION - 11

Whether in all cases charge-sheeted employees would be allowed to be represented by lawyers in departmental inquiries? If not, when would a refusal to allow an employee to be represented by a lawyer in a departmental inquiry amounts to violation of the principles of natural justice?

The question as to whether the rules of natural justice entitle an employee to be represented by a lawyer or by a union representative as his defence representative in departmental inquiry proceedings is not free of difficulty. In fact, initial view was that retention of the simplicity of procedure was necessary in departmental inquiries as such, the involvement of lawyer in such proceedings was strongly disapproved because it was felt that it would contribute increased formality and delayed hearings. Though legal representation is not an essential element of natural justice in all cases and even the courts generally do not actively encourage participation by lawyers in departmental inquiries. Courts in many cases held the view that denial of legal representation to a charge-sheeted employee would not vitiate the inquiry. The courts also observed that where in a departmental inquiry the charge-sheeted employee is pitted against a legally trained mind, if the charge-sheeted employee seeks permission to appear through a legal practitioner the refusal to grant this request would amount to denial of reasonable request to defend him and the essential principles of natural justice would be violated. As such, though ordinarily courts discourage the involvement of legal practitioners in departmental inquiries in order to avoid delay and complexities, nonetheless, the court cannot ignore that in exceptional cases a representation by lawyer is necessary, for otherwise there may be failure of the inquiry itself and a denial of a proper and effective defence. Sometimes in departmental inquiries, charges made against the charge-sheeted employee are very serious in nature viz. charges of misappropriation, fraud, etc. Offences of misappropriation and fraud are not so simple in nature and involve serious question of law that require to be properly dealt with. Therefore, the adequate adjudication of the question will necessitate the help of persons who are legally trained and if the delinquent employee is not permitted to be represented in the departmental inquiry by a lawyer, he will be prevented from making an effective and proper defence and thereby, ultimately, the principles of natural justice will be violated.

With best wishes,

Keshav Ram Singhal

Abbreviation

IO = Inquiry Officer / Enquiry Officer / Inquiring Authority
PO = Presenting Officer
DR = Defence Representative
CE = Charged Employee / Charged Officer
DA = Disciplinary Authority
AA = Appellate Authority

FREQUENTLY ASKED QUESTION – 10

What should be guidelines for suspension?

It is not necessary that a delinquent employee be suspended after being served with a charge sheet. Where charges are of serious nature, the employee may resort to suspension pending inquiry. There is no hard and fast rule that service of charge-sheet must precede the suspension order. If the misconduct alleged is of very grave nature and the employee is apprehended at the spot of the commission of the offence, the employer in such circumstances may forthwith suspend the employee and then serve the charge-sheet.

In exercising the power of suspension, it has to be exercised with circumspection, care and after application of mind. The DA must make a fair and proper assessment of the matter in the given circumstances and ascertain that prima facie there exist grave and compelling circumstances which in the light of the material available and collected during the primary investigation point to the likelihood of removal or dismissal of the employee from the service. A proper judgement exercised would prevent unnecessary harassment and humiliation of suspension.

With best wishes,

Keshav Ram Singhal

Abbreviation

IO = Inquiry Officer / Enquiry Officer / Inquiring Authority
PO = Presenting Officer
DR = Defence Representative
CE = Charged Employee / Charged Officer
DA = Disciplinary Authority
AA = Appellate Authority