Detail Guideline Regarding Inquiry under D & AR

 Detail Guideline Regarding Inquiry under D & AR

A. The departmental Inquiry should be conducted by an officer who is sufficiently senior to the officer whose conduct is being inquired into.

(Railway Board Letter No. E (D&A) 2000 RG 6-24dt. 20-02-2001)

B. The details to be given to the Inquiry officer (IO) by the disciplinary Authority as per Rule 9(6) is given below -

a. Charge Memorandum in SF5 Format with a copy of Articles of Charge and the statement of the imputations of misconduct.

b. Evidence providing the delivery of the documents.

c. A copy of the listed witness if any.

d. A copy of the appointment order of Presenting Officers, if any.

e. One set of Relied upon Documents in original or attested. (Relied upon Documents supplied to charged official and Inquiry officer should be identical).

C. Inquiry Officer to Do

1. The inquiry officer shall verify the documents received from the Disciplinary Authority and confirm that all the documents required are available before conducting the DAR Inquiry.

2. Missing documents, if any, are to be collected from the disciplinary authority before the commencement of Inquiry.

3. The Inquiry officer should ensure that intimation has been sent well in time to the delinquent employee and others regarding the place, time, and date of Inquiry.

4. The accused be asked to submit a list of defence witnesses if he has not done so.

5. He should also make necessary arrangements for stenographic assistance for the time to time recording of the proceedings (If Necessary).

D. The basic stage of DAR Inquiry

1. Administration’s side

a) Inquiry officer.

b) Presenting officer.

c) Prosecution / Administrative witness and documents to prove the misconduct misbehaviour of the delinquent Railway servant.

2. Delinquent employee side-

 i) Delinquent Railway employees.

 ii) Defence Counsel if any.

 iii) Defence witnesses and documents to prove the Innocence of delinquent railway servants.

 

3. The Dar Inquiry Has Two Basic Stages

i. Preliminary Inquiry.

ii. Regular Inquiry.

 

E. Homework to be done by Inquiry officer

i. Verifying the documents to confirm whether they are sufficient to complete the inquiry. Otherwise, action may be taken to ask for the same from the Disciplinary Authority.

ii. Index Relied upon Documents for better identification, communication, and Recording.

iii. Verify the list of witnesses and conform to their proper address (es) and plan for their sequence in the Inquiry.

iv. Arrangements at the venue, proper sitting arrangement, typing facility, etc. are to be taken care of.

F. Procedure of Inquiry

(a) Preliminary Inquiry

I. Preliminary Inquiry is only to create a better platform for the charged Employee, presenting officer (PO) and the Inquiry officer (IO) to go ahead with the regular inquiry systematically and smoothly. Normally no witness will be examined during the preliminary inquiry.

II. During the preliminary inquiry if some or all charges are not admitted by the delinquent and it became necessary to proceed with inquiry, inquiry an officer  should frame the issue, draw a time table in consultation with the delinquent and Presenting Officer about sitting of inquiry, days to be allotted for prosecution, witness examination, defence witness examination, etc. and should adhere to it.

III. During the preliminary sitting, the inquiry authority shall check and ensure that

a. The charge is proper embodying the correct rules mentioned therein.

b. The charge sheet is complete with all its enclosures.

c. The delinquent has been furnished the opportunity to inspect and take copies of the relied upon documents quoted in the charge sheet.

d. All other documents have been furnished to the inquiry officer.

 

IV. A model question, an Inquiry Officer may ask during the Preliminary inquiry (not exhaustive), will be as under

Question 1. Please introduces you to a name, designation, and office in which working?

Question 2. Have you received Charge Memorandum No. _____ Dated _____ issued by the?

Question 3. Have you been issued with order No. _____ Dated _____ appointing Shri _____ as Inquiry Officer?

Question 4. Have you nominated your Defence Helper/ Counsellor?

Question 5. Have you taken the inspection/ extract of the document listed in Annexure III?

Question 6. Have you replied to the charge memorandum?

Question 7. Have you understood the charges framed against you and if so, do you plead guilty to the same or not?

Question 8. Have you asked for any additional documents?

Question 9. Do you wish to call any defence witness in your case? If so show their relevance?

Question 10. Do you wish to say anything more in this case?

Preliminary Inquiry concluded.

(Signature of all attended will be obtained on completion of the day and copy of same will  be given to the delinquent under acknowledgment every day)

 (Signature)   (Signature) (Signature) (Signature)

Inquiry officer Charged employee Defense helper Presenting officer

(b) Regular Inquiry

A regular inquiry needs the followings stage:

I. Proper Communication of date-time & venue.

II. Conducting of the inquiry.

III. Concluding the inquiry.

IV. Charged official’s brief.

V. Presenting officer briefly.

VI. Inquiry officer’s Report with proper findings.

G. Action to be taken by the Disciplinary Authority after completion of Inquiry by IO.

I. Agreement / Disagreement with the Disciplinary Authority.

II. Serving a copy of the Inquiry Report to the delinquent after acceptance by DA.

III. In vigilance related cases, serving a copy of the Inquiry report to delinquent after acceptance by vigilance /CVC.

IV. Representation from the delinquent on the inquiry report.

V. Speaking order of the disciplinary authority.

VI. Penalty order/ NIP (Notice of Imposition of a Penalty)

 

H. Regular Inquiry proceedings.

The Inquiry officer should make sufficient homework before starting the regular inquiry.

A list of leading questions, its sequence, and the order in which the witnesses are examined, etc. are to be planned well in advance.

Examination of Prosecution Witness 1 (Questions are continued from preliminary Inquiry onwards)

Question 1. Please introduce to you about the name, designation, and office in which working.

Question 2. Are you aware of the charges framed against Shri ____________

Question 3. Please explain how are you connected to this?

Question 4. You may peruse Article No. _____ Please explain did you _____ etc.

Examination of Prosecution Witness 2, 3, etc. can be continued.

When the charged official and his defence helper ask questions that are not relevant, not appropriate, the Inquiry officer can give his ruling stating that “charged official and his defence  helper may restrict his question around the article of charge.

I. Type & Roll of  Witnesses & Guidelines Regarding Witnesses

1. Type & Roll of  Witnesses in DAR inquiry- The witnesses play a major role in the DAR inquiries to arrive at the proper conclusion.

i. Prosecution witness- is one who is called upon by the administration to prove the charges on its behalf.

ii. Defence witness- is one who is nominated by the delinquent official to depose and disapprove of the case of administration.

iii. Expert witness- is one who has a special knowledge of a subject, such as a handwriting expert, fingerprint expert, medical practitioners, etc.

iv. Inquiry officer’s witness- A person who has not been cited in the charge the memo,  the inquiry officer at his discretion allows the P.O. if any to produce evidence not included in the list given to the Railway Servant. Delinquent the employee will be permitted to cross-examine him.

v. Hostile witness- is a witness who is summoned by one party but does not depose in his favor. The party summoned shall declare him as hostile and instead of examining him, may cross-examine him and a certificate to this effect should be recorded by the Inquiry Officer.

vi. Illiterate witness- in the case of such a witness their statement must be read out to them and a certificate to this effect should be recorded by the inquiry officer.

vii. Non- Railway Witness- Where the delinquent cites non-railway men as his witness, it will be his responsibility to ensure their attendance during the inquire.

viii. Irrelevant Witness- The delinquent may cite a large number of witnesses with an  inclination either to cause delay or confuse the issue. He has to mention the relevance of all the witnesses cited by him. It is open to the Inquiry Officer to summon only those whom he considers relevant.

ix. The staff of SPE as a witness- There is no bar to call the staff of SPE, even though they had conducted a preliminary inquiry.

x. Retired railway servant as Witness: Passes may be issued to the retired railway servant as witnesses.

2. The witnesses which have already been examined etc. may be recalled for examination, cross-examination, and re-examination

a. By the succeeding inquiry authority, in case of change of the inquiring authority, or

b. By the disciplinary authority, if he has himself not held the inquiry if he on receipt of the inquiry report considers/ deems it necessary.

3. Guidelines to Witnesses- No Government servant can refuse to act as a witness in a departmental inquiry otherwise, He / She is liable for disciplinary action. Further, it does not depend upon one’s own choice whether to act as a defence  witness or prosecution witness. The Inquiry Officer should try to make the witnesses feel comfortable. The witness must be polite, humble, and modest in their behavior.

• The cross-examiner will try to impeach the credit of the witness. This should not be disheartening.

4. Disciplinary action against witness

[1]Where witnesses give a different statement during the preliminary inquiry and the regular inquiry, or the court of law, they are guilty of deliberate prevarication with the object of spoiling the case of the Railway administration, and as such the disciplinary action can be taken against them.

(Ref. Rly. Bd’s No. E (D&A) 71 RG 6-57 date 07-02-

1972). This fact should also, be brought to the notice of all witnesses say PW and DW.

J. The role of inquiry officer

a. The inquiry officer is not a prosecutor.

b. It should not be his duty to somehow prove the charge(s).

c. He has to assist the Disciplinary Authority in taking a correct and impartial decision based on the evidence on record.

d. Inquiry officers must have an impartial approach.

e. She/he can play a vital role in finalizing the DAR cases early or within the prescribed time limit.

f. Official not having a personal interest in the case is to be appointed as an Inquiry Officer.

g. A departmental inquiry is inherently different from judicial proceedings in a court of law and need not be carried out rigidly following the rules applicable to judicial proceedings.

h. The inquiry officer should ensure that reasonable opportunity is given to the charged official for defending his case in the course of the inquiry.

i. The Inquiry Officer should ensure that intimation has been sent well in time to the charged official, presenting officer (if any), and witness, etc. regarding the date, place, and time of inquiry.

j. Once the date is fixed for hearing, it should not be postponed on flimsy grounds.

k. Request for the additional documents which are not mentioned in the list of documents (Annexure-III) sent to him along with the charge sheet will be considered by the inquiry officer. (At the request of the charged official when the inquiry officer has decided to call for additional documents, the authority having custody or possession of the documents may decide, that the production of such documents would be against public interest or security of the state).

l. The reason for rejecting the employee’s request for producing a witness and or a document shall be recorded.

m. If any person refuses to sign a statement of evidence, it should be read out to him in full and should be signed by the inquiry officer that it is a true record of the evidence given by the accused or witness.

K. Points to be taken care of by Inquiry Officer; (Master Circular No.67)

a. A preliminary hearing should invariably be held first after giving due notice, as specified in Rule9 (ii). Formal notice has to be sent to all concerned for all the regular hearing too.

• During the preliminary hearing, the charged official should be asked by the inquiry officer whether he has received the charge sheet, understood the charges against him, and whether he accepts those charges.

• The charge official should also be asked if he has inspected the documents listed  in the charge sheet, whether he wants some additional documents and whether he wishes to produce some defence  documents/witnesses.

• If any of the defence witnesses are not found to be relevant, the Inquiry Officer may disallow their evidence and advise the charged official accordingly.

• The relevance of any witness may be considered by the Inquiry officer from the charged official's point of view.

(Ref. Railway Board Letter No. E (D&A) 70 RG 6- 5dt.08.12.1970)

b. If the C.O. requests for production of additional documents during the inquiry and if in the opinion of the inquiry officer, some or all of the documents are not relevant to the case, then the Inquiry Officer has to record in writing his reasons for refusal to requisition for production of such documents, as provided in Rule 9(15) of RS (D&A) Rules and advised the charged official about the decision.

c. The inquiry officer has to maintain a daily order sheet which is the record of all the business transacted by him on day to day basis of the conduct of the Inquiry.

• The facts relating to notices sent, taking on record the documents,request/representations made by either party or decision of the inquiry/officer

thereon and the examination/ cross examination undertaken should find a mention in the daily order sheet.

• The daily order sheets should be dated and signed by the inquiry officer and serially-numbered.

• The daily order sheets should indicate whether a reasonable opportunity has been given to the charged official, whether the procedure prescribed in the rule has been adhered to etc.

d. In addition to the Daily Order Sheet, the Inquiry Officer has to maintain the record of the inquiry proceedings in detail.

• It should contain the date of the proceedings, the officials present, and the examination/cross-examination of the witnesses in form of questions and answers (reproduced in verbatim) and any decision was taken by the inquiry officer during the proceedings regarding dropping of a witness, allowing/ rejecting the requests of the C.O. for production of additional documents, witnesses, etc. these should be signed by I.O., P.O., C.O., D.C., and Witness present during the hearing.

• Copy of proceedings should be given to the delinquent employee at the end of each day’s proceedings.

• The record of proceedings can either be in Hindi or English. Principles of natural justice require that the delinquent officer must have a reasonable opportunity to defend himself.

• The inquiry officer should explain the proceedings to the charged official in a language known to him and it should be ensured that he understands and   accepts the same before his signature is obtained. (Railway Board Letter No. E (D&A) 66 RG 6 - 7 date 30-12-1968)

e. During the inquiry, the evidence on behalf of the Disciplinary Authority has to be produced first.

• It would be incorrect to examine the charged official first, as this would deprive the C.O. of the opportunity of effective defence .

• All the documents listed in the charge memorandum have to be taken on record and marked as Exhibit No. ---- and signed by the Inquiry Officer.

• All the witnesses listed in the charge memorandum have then to be examined one by one in the presence of the charged officials.

• After examination of each prosecution witness (also called examination in chief) the charged official has to be allowed to cross-examine the witness.

• After cross-examination of the prosecution witness, the inquiry officer may put such questions to the witness as he thinks fit.

• If any of the witnesses had either given any statement during the investigation, fact-finding inquiry, etc. he should be asked during the inquiry to confirm the said statement before it is taken on record as evidence.

• If the statement is quite comprehensive, a mere confirmation of the statement by the witness should suffice during the inquiry instead of a de novo examination of the witness.

• The presenting officer, if any can also re-examine the prosecution witness after the cross-examination, on any point on which the witness was cross-examined but if the re-examination by the presenting officer is on a new point, then the permission of the inquiry officer has to be obtained for the same.

• If re-examination by the presenting officer is allowed on any new matter, then an opportunity should be given for further cross-examination of the witness concerned on such new matter.

• If any of the prosecution witnesses to be dropped due to some reason, this  should be done during the proceedings in the presence of the charged official

and this fact should also be recorded formally by the Inquiry Officer in the inquiry proceedings.

(Rule 9(20) of RS (D&A) &Bd’s letter no. E (D&A) 70 RG6-14dt.15.01.1971and E(D&A)80RG 6-47 dt.25.05. 1981)