GUIDELINES FOR HOLDING AN ENQUIRY.

In private employment, a domestic enquiry is that of mistrust which arises essentially because the charge-sheet is given by the employer and the enquiry is also held by an officer or an outsider appointed by the employer. The employer, as such represents both, the prosecutor and the Judge. A suspicion of bias is inevitable in such a situation. This is the main reason that the delinquent employees do not have faith in the enquiry officer.
They participate reluctantly and take every possible step to frustrate the enquiries. They raise number of objections right from the validity of the appointment of enquiry officer. They also demand to be represented either by a lawyer or the union leader. They ask for a number of documents whether relevant or not. Also, the delinquent employees or their representatives do not restrict the cross-examination of the witnesses and the enquiry officer has to take a decision under the given circumstances.
Even when the enquiries are held by top bureaucrats or the judicial officer, one flaw or the other can be found which vitiates the whole enquiry.
An attempt is made to clarify various aspects which should be taken care while holding an enquiry.
  1. A domestic enquiry is held by an Enquiry Officer who is not a judge but at the same time the principles of natural justice have to be complied with so that proper opportunity is given to the charge-sheeted employee, e.g., to be heard, to cross-examine the witnesses, to produce his document, with witnesses and himself.
  2. The enquiry officer should neither be the Disciplinary Authority nor in any way connected nor witness to the misconduct(s).
  3. An advocate can also be appointed as an enquiry officer.
  4. When an enquiry officer is appointed from the establishment, he should preferably be superior in status of the charge-sheeted employee.
  5. The notice for holding of enquiry with time, date and venue of enquiry be sent by the Enquiry Officer to the charge-sheeted employee and to the Management by Registered A.D. Post as well as under certificate of posting. A personal delivery of the notice through a messenger can be appropriate when the charge-sheeted employee has not been placed under suspension.
  6. While fixing the hearing of enquiry, the charge-sheeted employee be given reasonable time for appearance so that he could prepare his defence.
  7. First of all, the attendance of the parties including the Enquiry Officer, charge-sheeted employee and the management representative are to be recorded and duly signed by them to this effect in the proceedings or the order sheet, if made separately.
  8. The whole procedure be carried out in good faith and without any bias or intent of malice.
  9. For the sake of brevity, the abbreviations are used as EO (Enquiry Officer), CE (Charge-sheeted Employee), MR (Management Representative), CER (Charge-sheeted Employee's Representative) and MW (Management Witness) 1, 2 and so on. The documents which are produced are to be exhibited as Exhibit. No. 1, 2 and so on. Management documents also should be exhibited like that. 
  10. The Enquiry Officer should refrain from asking leading or probing questions to the charge-sheeted employee.
  11. The Management Representative be asked by the Enquiry Officer to produce the list of witnesses along with documents which should be duly exhibited (by exhibition of the documents it means it is construed that they form part of the proceedings in the enquiry).
  12. The enquiry proceedings be recoded in triplicate, e.g., one copy for the Enquiry Officer, one for the charge-sheeted employee and the third copy for the Management Representative.
  13. The representation in the enquiry by a lawyer is not permitted unless the Service Rules or the Standing Orders or Regulations of the establishment so provide whereas the charge-sheeted employee can be advised to be represented by any of his co-employees.
  14. If the Management Representative is a legally trained person, the charge-sheeted employee can have representation through a lawyer of his choice.
  15. The charge-sheeted employee and/or his representative be given an opportunity to cross-examine the witnesses and the evidence should be recorded as produced by the Enquiry Officer. Thereafter, the charge-sheeted employee be asked to produce his witnesses and himself. The Management Representative be given an opportunity to cross-examine the witnesses of the Management.
  16. Every page of the proceedings be signed by EO, CE and MR. If there is any objection either by the CE or MR, it should be dealt by asking the comments of the other party.
  17. The next date and time for recording of evidence be duly recorded in the enquiry proceedings or the order sheet, if made separately, and signatures of both, e.g., CE and MR be obtained at the enquiry proceedings.
  18. The adjournment, when sought by the CE or CER, be given by the CO even if the requests to this effect are opposed by the MR.
  19. The Management should be asked to cross-examine the witness(es) and if he cross-examines the witness(es), the enquiry officer should record this in the following manner: "The MR does not want to cross-examine the witness(es) of the CE, despite an opportunity given to him to this effect".
  20. In an enquiry, no arguments are required to be advanced by either of the parties after producing evidence for or against. The Enquiry Officer should, therefore, submit his written findings to the Management.
  21. After the enquiry proceedings are concluded, the Enquiry Officer should give his findings of the facts, evidence oral as well as documentary, by dealing with the salient features of the evidence on the record. The Enquiry Officer should give findings as to whether the charge has been proved or not or partly proved, as the case may be. 
  22. The Enquiry Officer should not recommend  any punishment to be imposed upon the charge-sheeted employee by the Disciplinary Authority.
  23. The charge-sheeted employee be allowed to cross-examine the Management witnesses and call his own witnesses.
  24. The charge-sheeted employee be given ample interpretation facilitates if the language of enquiry is not his own.
Who can be an Enquiry Officer?
After the disciplinary authority decides to order an enquiry, it may hold the same itself or appoint an enquiry officer for that purpose in the absence of a provision to the contrary in the service or discipline rules concerned. The Enquiry Officer functions only as a delegate of the disciplinary authority, whose conclusions and recommendations may or may not find favour with the disciplinary authority.
The pre-requisites of a person to be Enquiry Officer may thus be summarised as under:
  • The appointment of the Enquiry Officer should be made by an authority competent to take disciplinary action against the workman concerned;
  • Before making the appointment of a person to act as Enquiry Officer, it must be seen that he is a person with open mind, a mind which is not biased against the workman concerned;
  • A person to be Enquiry Officer must be a Responsible Officer or High Status commanding respect from the workmen. He should not be a person of lower status and should not be a judge in his own case.
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