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Important: Every effort has been taken to provide relevant and up-to-date information, however I do not take any responsibility for any action taken on the basis of the tips/write-ups in this blog.

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,

Tuesday, April 10, 2012

GENERAL TIPS – 16

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

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

Monday, April 9, 2012

GENERAL TIPS – 15

TIPS FOR THE INQUIRY OFFICER - 4

Please do not administer oath to the witnesses.

Please do not allow leading questions in the examination-in-chief, except in cross-examination. You should not also put leading question to the witnesses.

While allowing adjournments, examine the grounds on which it has been sought. Please do not allow adjournments on flimsy grounds.

Do not allow the DR when the CE appears as his own witness or when he is answering the mandatory questions, at the close of inquiry.

You should not supply copy of the written brief of the CE to the PO.



Please do not collect information from persons who have not been cited as witnesses unless you declare them as ‘court witness’. In case you declare any person as ‘court witness’, then you should allow cross-examination of such witness by both parties i.e., by the PO and the DR.

Please do not take into consideration any matters or evidence which were not adduced/produced during the course of the inquiry.

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