1.

Theft, fraud or dishonesty in connection with the

business or the property of the Company.
2. Taking or giving bribes or any illegal gratification.
3. Possession of property disproportionate to the
known sources of income.
4. Furnishing false information at the time of
employment or during employment.
5. Willful insubordination or disobedience.
6. Habitual late or irregular attendance.
7. Neglect of work or negligence in duty.
8. Damage of any property of the Company.
9. Tempering with any safety devices installed in the
Company.
10. Drunkenness or indecent behaviour in the premises
of the Company.
11. Gambling within the premises of the establishment.
12. Smoking within the premises of the establishment
where it is prohibited.
13. Collection of any money without the permission of
the Competent Authority.
14. Sleeping while duty.
15. Purchasing properties from or selling properties to
the Company without express permission in writing
from the Competent Authority.
16. Misuse of any advance.
17. Indulging in any act of sexual harassment to any
woman at work place.
◦ Framing of Charge Sheet
◦ Issue of Charge Sheet
◦ Vetting of Reply of Charge Sheet
 Reply if found satisfactory- Charges
dropped
 Reply if found unsatisfactory- DA
issues punishment order
◦ Departmental Enquiry necessary
◦ Issue of charge memorandum
 Statement of imputation
 List of documents
 List of witnesses
◦ Vetting of reply to charge memorandum
 Reply, if satisfactory, charges dropped
 Reply, if un-satisfactory, constitution of enquiry
committee
◦ Enquiry proceedings
 Copy of report provided to CSE with views of DA
 Charges not proved- DA may/ may-not exonerates
 Charges proved- DA issues punishment order
 MINOR PENALTY CHARGE MEMO
i. STATEMENT OF IMPUTATION
ii. FORWARDING MEMO

 MAJOR PENALTY CHARGE MEMO

i. ARTICLE OF CHARGE (Annex. I)
ii. STATEMENT OF IMPUTATION (Annex. II)
iii. LIST OF DOCUMENTS (Annex. III)
iv. LIST OF WITNESSES (Annex. IV)
v. FORWARDING MEMO
 It is a quasi-judicial proceeding which is held
to ascertain the truth or otherwise of the
allegations. It forms the basis on which the
Disciplinary Authority has to take a decision
regarding the penalty, if any, to be imposed.

 Characteristics of Enquiry Proceedings

◦ Principle of Natural Justice
◦ Conducting in Unbiased and Fair manner
 Under trial
Defense
Defense
lawyer

Violation of
laws Cr Pc / JUDGE Judgement
IPC

Public
Prosecution
Prosecution
Govt.
Prosecution
 Charge-sheeted
employee

Defense
Defense
Assistant

INQUIRY Disciplinary
Misconduct Final Order
OFFICER Authority

Presenting
officer
Prosecution
Management
Prosecution
 In criminal cases, the proof required for conviction
has to be beyond reasonable doubt. Whereas in
Departmental proceedings, proof based on
preponderance of probability is sufficient for
holding the charges as proved.
 Hearsay evidence is strictly prohibited in criminal
trials. However, there is no bar against the
reception of hearsay evidence by domestic
tribunals. What value is to be attached to such
evidence depends upon the facts and
circumstances of each case.
 In domestic inquiries, a relaxed procedure is
adopted for allowing circumstantial evidence.
 Constitution of
Issue of Appointment of
Defense reply Inquiry
Charge-sheet IO/PO
Committee

Denial of Intimation to
Preliminary
Regular Hearing charge(s) in 1st CSE regarding
Enquiry
sitting 1st Sitting

Click

Examination of Examination of
Court witness, if
Prosecution Defense witness Final PO Brief
any
witness (MWs) (DWs)

Issue of Final Submission of

Final Defense
Punishment representation Enquiry Report
Brief
Order by Defense to DA
 Appointment of Inquiry Authority (IA)
 IA is of higher grade than CSE
 Appointment of Presenting Officer (PO)
 A copy of Enquiry Committee constitution
order is given to IA and PO. Copy of the
Chargesheet and its reply is also given to IA.

 IA issues 1st Notice to CSE and PO for

Preliminary Hearing for a particular date.
 IA asks three (03) mandatory questions to
CSE

 Whether CSE has received the chargesheet or

not
 Whether CSE has understood the charges &
given the reply
 Whether CSE accepts the charges or not
 If CSE accepts the charges, the enquiry
concludes

 If CSE does not accept the charges, enquiry

continues with instruction to PO to present
the case in 2nd sitting and CSE is asked to
bring co-worker in next sitting.
 PO presents the case with 3 sets of Management
Documents and List of Management Witnesses
 All present signs on all the pages of Management
Documents verifying with the original
 Management Documents are marked MD-1, MD-2,
……..
 Management Witnesses are marked MW-1, MW-2,
……..
 One set of MD & MW is given to IA, PO & CSE, each
 CSE is advised to bring Defence Documents (DD) and
List of Defence Witnesses (DW) in next sitting
 CSE submits Defence Documents marked as
DD-1, DD-2, ………, and List of Defence
Witnesses marked as DW-1, DW-2, ………

 All present signs on all the pages of Defence

Documents

 One set of DD & DW is given to IA, PO & CSE,

each
 PO produces 1st Management Witness (MW-1)

 Examination & Cross-examination of MW-1

 Examination by PO
 Cross-examination by CSE / Co-worker

 Brief of events and Examination & Cross-

examination are recorded in Daily Order
Sheet
 PO produces his next witness
 Examination and Cross-examination is done

 Same process is followed till the Examination

and Cross-examination of all the MWs is
completed

 CSE is advised to bring his Defence Witness in

the next sitting
 CSE produces 1st Defence Witness (DW-1)
 Examination & Cross-examination of DW-1
 Examination by CSE / Co-worker
 Cross-examination by PO
 Same process is followed till the Examination
and Cross-examination of all the DWs is
completed
 Brief of events and Examination & Cross-
examination are recorded in Daily Order
Sheet
 PO is advised to submit the final PO brief
 CSE submits his brief after receiving the final
PO brief
 IA submits the Inquiry Report to DA
considering MDs, MWs statement, DDs, DWs
statement, PO brief and Defence brief.

 Charges are Proved or Not Proved

 On the basis of Inquiry Report, DA decides
whether penalty is to be imposed or not

 Before issuing Punishment Order, CSE is

served with a Memo for final representation

 CSE may Appeal against the Punishment

Order to Appellate Authority.
 Basic purpose of appointment of Inquiry Officer is to
inquire into the truth of the imputations of
misconduct or misbehavior against a public servant.
 IO has to perceive the charge sheet based on the
Charge – Fact – Evidence corelation.
 After the conclusion of the Inquiry, report shall be
prepared and it shall contain the:
◦ A gist of the articles of charge and the statement of the
imputations of misconduct or misbehavior;
◦ A gist of the defense of the employee in respect of each
article of charge;
◦ An assessment of the evidence in respect of each article of
charge;
◦ The finding on each article of charge and the reasons thereof.
 During Preliminary Hearing, IO is required to perform the following
actions:
(a) Making arrangements for conducting the hearing
(b) Setting the stage for smooth conduct of hearing
(c) Asking the statutory questions
(d) Finalisation of the question of Defence Assistant
(e) Fixing dates for Inspection of the originals of the documents
(f) Fixing dates for the submission of the list of additional documents and
witnesses required by the CSE for the purpose of his defence
(g) Finalisation of the documents and witnesses admissible for defence
(h) Taking action for procuring the additional documents required for the
defence.
(i) Settling the issue of disputed documents
(j) Taking the documents on record
(k) Issue of certificates of attendance to the parties. This will be done
during regular hearing stage also.
(l) Deciding on the requests for adjournment
 During Regular Hearing stage, IO will continue to prepare and issue Daily
Order Sheets and certificate of attendance as was being done earlier. In
addition, IO will be performing the following activities:
a) Summoning witnesses
b) Monitoring the conduct of the examination of witnesses
c) Recording the statements of the witnesses
d) Recording the demeanor of the witnesses
e) Deciding objections about the questions raised during examination of
witnesses.
f) Deciding requests for introducing additional witnesses.
g) Deciding requests for recalling witnesses
h) Asking the CSE to state his defence on conclusion of the case of the
Disciplinary Authority.
i) Putting the mandatory questions on conclusion of the case of the defence
j) Checking up from the CSE as to whether he got sufficient opportunity for
his defence.
k) Giving directions for the submission of the written briefs by the
Presenting Officer and the CSE.
 PO is appointed for the purpose of presenting the case of the DA
so that charges can be proved in the enquiry.
 Either a SAIL employee or a Legal Practitioner may be appointed as
Presenting Officer. An officer who made the preliminary
investigation or inquiry into the case should not be appointed as
Presenting Officer.
 Functions of the PO:
◦ Presenting the documentary evidence.
◦ Leading the oral evidence on behalf of the disciplinary authority.
◦ Cross examining the defense witness.
◦ Raise objections, where necessary, during cross examination of
Management Witness.
◦ Preparation and presentation of the written brief.
 PO should consider himself as an officer under IO assisting the
latter to ascertain the truth. Immediately on receipt of the
appointment order, the PO should get in touch with the IO and
assure him of his co-operation.
 CSE or Charge Sheeted Employee need to attain
hearings as informed by the IO. If he can not
be present in any sitting, prior intimation to be
sent.
 CSE may avail the opportunity of appointing
Co-Worker for defending his case.
 Functions of CSE:
◦ Receive the charges and understand its gravity.
◦ Prepare his defense plan and course of activity.
◦ Ask for the original document verification.
◦ Seek additional document, if required, with relevancy.
◦ Ensure presence of Co-Worker
◦ Produce his Defense Witness in scheduled meeting.
 Co-Worker acts as the Defense Lawyer in
Departmental Enquiry.
 He present the case from Defense side and raises
issue for the sake of defending his client.
 Functions of Co-Worker:
◦ Understanding the charges leveled against the CSE.
◦ Go through the documents and witnesses.
◦ Prepare defense plan and course of activity.
◦ Prepare for cross-examination of Management witness.
◦ Briefing the Defense Witness for examination-in-chief
and Cross examination.
◦ Guide the CSE during the course of departmental
enquiry.
◦ Helping the CSE in submitting Defense Brief.
 A workman on whom any of the penalties is imposed
shall have the right of appeal to the authority notified
in this behalf. The appeal shall be submitted within
30 days of receipt of the order of the punishing
authority. The appellate authority shall dispose off
the appeal within 30 days of receipt of the appeal.

 Appellate Authority for Non-Executives for minor

punishment and major punishment (other than
Dismissal / Discharge / Removal ) will be the
executive next above the level of authority imposing
the punishment.

 Appellate Authority for major punishment of

Dismissal / Discharge / Removal will be the authority
higher than the Appointing Authority.
 Daily Order Sheet –
◦ Should record the happenings
◦ Must record who were present in the instant sitting
◦ Must contain the signatures of all the members present i.e.,
IA, PO, CSE, Defense Assistant, Witnesses.
◦ Must mention the next sitting date, place & timing
◦ Must contain the next day plan of action.
 Defense Assistant / Co-Worker
◦ Application by CSE, written consent from the Co-Worker.
◦ Maximum 3 pending cases as Co-Worker.
◦ Normally from the same organization, can be State Govt./
other PSU employee if allowed by IA.
◦ Legal Practitioner is not allowed unless the PO is from Law
background.
◦ IA may seek the approval of the Controlling Authority of the
Co-Worker regarding sparing him w.r.t. enquiry.
 Additional Document –
◦ List of additional documents sought by the CSE will be
scrutinised by IA with respect to their relation to the
case. Not related documents / documents which are
with other organisation / agency may not be
entertained by IA.
◦ IA sends requisition to the custodian of the document
◦ Additional documents not to be arranged by PO.
 Document Verification –
◦ It is preferred to complete document verification in
preliminary hearing, before recording of all the
evidences.
 PO can not be cross-examined at any stage.
 Only if, the CSE opts as Defense Witness, he is
subjected to regular hearing (Examination-in-
chief & Cross-Examination).

 It is the sole responsibility of the CSE to ensure

that his Co-Worker participates in the Enquiry
Committee. His absence from the sitting should
not be a hindrance in conducting the sitting of
the Enquiry.

 The relevancy of the Defense Witness (DW) and

Additional documents to be indicated.
 PO can object to irrelevant questions (not related to
charge or to the witness in any case) by CSE / CW and
get it recorded in the Daily Order Sheet. Irrelevant
questions should not be entertained by IO.

 PO to ensure that his witness is not subjected to verbal

harassment and protest to IO in case of any such event.

 In case CSE/CW fails to appear in 02 consecutive sittings,

IO should strictly warn them in writing that any such act
in future by them would compel him to carry out the
Enquiry Ex – Parte.

 As per the Guidelines specified in Gazette Notifications

and circulated by CVC, the Enquiry should be completed
within 06 months from the date of appointment of
IO/PO.
 Giving adequate chance to the CSE to defend his case.
 Allowing Defense Assistant to defend the case on behalf
of the CSE.
 Giving ample opportunity to produce documentary
evidences and witnesses.
 Any demand of Additional document or document
verification or witness presentation from Defense side
can not be simply ruled out without proper justification.
 Opportunity for cross-examination of MWs.
 Opportunity for cross-examination in case of Re-
examination.
 Starting of oral enquiry of Defense witness after
completion of Prosecution side.
 Asking leading questions to MWs by the CSE during
Cross-Examination.
 Permitting submission of fresh evidence before issuing
punishment order.
THANK YOU