Chapter 8 -  Conducting of Enquiry Proceedings

1. General Principles – Standard of Proof

Departmental proceedings are quasi judicial in nature and rules of evidence as laid down in the Indian Evidence Act and the Criminal Procedure Code are not applicable to the extent specifically indicated in the relevant rules. The proceedings of a criminal trial are different from the proceedings in a departmental action. The spirit of these enactments should, however, be followed in Departmental Enquiries. The Enquiry Officer should afford reasonable opportunity to both the sides to present their respective cases including full opportunity for cross-examining witnesses. The proof required in a Regular Departmental Action is not the same as required in a court trial. The standard of proof required in a disciplinary enquiry is that of preponderance of probabilities and not proof beyond reasonable doubt.

2. Circumstantial Evidence and Inference of Guilt


Since, in a departmental enquiry, the proof required is that of preponderance of probabilities, if there are reasonable grounds that a misconduct was committed, it would be sufficient for initiation of Disciplinary Proceedings against a delinquent official. As long as there is sufficient evidence to draw a reasonable inference of guilt, the inquiry process will not be vitiated. Although circumstantial evidence can be relied upon to return a finding of guilt, the mode of evaluating evidence is important.

If an official/employee is to be found guilty on the basis of circumstantial evidence, these circumstances, must lead to an inference of guilt.If there are any missing links in such evidence, the finding of guilt will have to be justified otherwise.

The conclusions of an Enquiry must be rested on the evidence and not on matters outside the record, as such, mere suspicion should, in no way, be allowed to be treated as proof. Suspicion, however reasonable, is not sufficient to hold an employee guilty.

3. Emphasis On Facts


The Enquiry Officer has to rely heavily on the facts of the case during the conduct of proceedings. Whatever he does should be “lawful”, but should not be “legalistic”. The legal principles which the Enquiry Officers are primarily concerned are only the principles of natural justice. The laws and procedures are also relaxed in so far as Departmental Enquiries are concerned.

Since, the EO relies heavily on facts and evidences in a departmental inquiry; he can obtain all information and material relevant to the charges from any source. To overcome objections against, he should provide an opportunity to the Charged Official against whom it will be used to defend himself against such an evidence.

The EO, however, should not call upon the prosecution to adduce oral/documentary evidence in addition to what has been chosen to be placed at the inquiry.

If in the written statement of defence, the CO had admitted any facts, without admitting the charges, it may not be necessary for the PO to lead any evidence to prove such facts.

4. Burden Of Proof

4.1
Admission Of Charge

The charged officer may decide to plead guilty to any of the charges during the inquiry. In that case, the EO may accept the plea and record his findings. He should nonetheless, continue the case to its logical conclusion, if the admission is conditional or only relates to part of the charges.

Before the close of the case on behalf of the Disciplinary Authority the EO, in his discretion, may allow the PO to produce evidence not included in the list given to the CO, or may himself call for new evidence, or recall and re-examine any witness. In such situations, the CO would be entitled to have a copy of such evidence, an adjournment of at least three clear days, and an opportunity for inspecting the relevant document. The EO, however, should not allow such evidence for filling up any gap in the evidence on record but only when there has been an inherent lacuna or defect in the evidence originally produced.

4.2 Denial Of Charge


If the CO denies the charge, it would be for the prosecution to adduce evidence to prove it. The prosecution has the right to produce any evidence, oral or documentary, which has relevance to the charges. The Enquiry Officer must ensure that the CO is granted an opportunity to defend himself.

5. Material Evidence


The witnesses and documents that are essential for proving the charges and whose place cannot be filled by others are material evidences. If such material evidence is not produced then the charge is likely to fail. For example, if a cheque has been fraudulently paid, the cheque in question is a material evidence.

6. Production of Document/Witness

6.1
The application for production of a document/witness by the Charged Official must be considered on its merits by the EO. The CO has to convince the EO, their relevance to his defence.   The EO should pass an order recording the reasons why he considers it necessary to allow/disallow the production of the document/witness.

6.2 The EO may disallow witnesses for any of the following reasons:


i) Irrelevant to the charge sheet.
ii) Absconding/not available in India/not possible to communicate or for any such reason.
iii) Reducing the number of witnesses due to similarity of evidence to be tendered when it is left to the CO to select the persons from the list who should depose.The EO will have to exercise his discretion carefully; he should not be arbitrary in his decision. Unless, however, there are reasonable grounds to indicate prejudice on the part of the EO, his action or merely disallowing some witnesses on grounds of irrelevancy or repetition, cannot be said to violate the principles of natural justice.


6.3 It is the responsibility of the prosecution to make efforts and ensuring full cooperation for production of the documents in their custody and witnesses who are under their employment, when the EO passes orders for their production. If the witnesses are outsiders, the EO would make an attempt to get their attendance by writing to them but primarily the PO/CO are responsible to take steps to produce their respective witnesses.

7. Privileged Documents


If, in the considered opinion of the authorities concerned, the production of certain documents required by CO will be against the interest of the Bank, the authority having custody or possession of these documents may claim ‘privilege’ and advise the EO accordingly for non-production of such documents such as :

a) Investigation report, preliminary/detailed reports by Police/CBI etc.
b) File of correspondence relating to the case.
c) Any other document/record the production of which, in the opinion of the DA, is considered to be against the interests of the Bank.

In the above situation, the EO should not question the plea/opinion of the authorities concerned having custody or possession and should not summon the documents in respect of which privilege is claimed.

8. Departmental action and Prosecution


Where the suspect officer is primarily accountable for conduct which legitimately lends itself to both criminal prosecution in a court of law as well as RDA, as a general rule, both should be launched simultaneously after consultation with the CBI or other investigating agencies charged with conducting the prosecution. Such simultaneous conduct of RDA and criminal prosecution should be resorted to especially if the prosecution case is not likely to be adversely affected by the simultaneous conduct of RDA. Keeping RDA in abeyance should be an exception rather than rule. The copies of all the relevant documents authenticated by the charged employees may be retained, for the purpose of RDA, before the original documents are sent to the Court. If the documents have already been sent to a Court of Law for the purpose of criminal proceedings, certified copies may be procured for the purpose of RDA. Care, however, should be taken to draft the charge sheet for the purpose of RDA in such a manner that it makes the suspect official accountable for violation of various provisions of Conduct Rules without reference to criminal misconduct. No Bipartite Agreement should stand in the way of disciplinary action continuing parallel with the criminal investigation/trial.

9. Statement of Witness recorded earlier


It may be legally permissible and in accordance with the principles of natural justice to take on record the statements made by the witnesses during preliminary enquiry/investigation at oral enquiry, if the statement is admitted by the witness concerned on being read out to him. There is no need for PO to lead evidence ‘de novo’ and the defence can commence cross-examination straightaway. A copy of the said statement should, however, be made available to the CO sufficiently in advance.

As regards the statements recorded by the investigating officer of the CBI which are not signed, these statements will be read out to CO and a certificate will be recorded thereunder that these have been read out to the person concerned and have been accepted by him.

Care should be taken by the Prosecution to ensure that the statements of those witnesses, which are required, are those referred to in the charge sheet. (The Investigation Report as such should not be referred to or produced in the inquiry).

10.
Hearsay evidence (statements of persons not called as witnesses but repeated by third persons), though not acceptable, will need to be evaluated in the same manner as the assessment of any other evidence and relied upon only when justified.

11.
Written statements by persons are not admissible unless the defence has been given an opportunity to cross-examine the persons on their respective statements.   If the PO expects to rely on these statements recorded prior to the inquiry, he must produce these persons at the inquiry to depose the facts in those statements.

12.
Statements in a document are also no substantive evidence unless the document itself is introduced and the person who makes the entries in the document is also produced for cross-examination.   For instance, if a charge of bribe is to be substantiated on the basis of an entry in a diary made by the borrower, the diary and the borrower have to be produced for examination/cross examination.

13.
If the authorship of any document introduced by either party is disputed by the other, then the signature on the document or the handwriting in which it is written has to be proved.

14.
Suspicion expressed by witnesses to the effect that in their opinion, a particular person may have committed a particular misconduct/offence is not admissible.

15.
The opinion of a witness not supported by facts/evidence is not relevant unless it is of an expert or of a person having specialised knowledge in a particular field.

16. On technical issues, a technical expert employed by the Bank may be examined as a witness but he will not be allowed to assist the PO in the examination of other witnesses.

17.
A witness may read out his evidence from notes, but in such cases only the oral statements recorded in the proceedings are valid.

18.
The EO should caution the PO/CO/DR against   putting to the witnesses any leading question (one which itself is suggestive of the answers, which the person putting it wishes to receive).

19.
The EO should not allow the formal conduct or the general reputation of a witness to be the subject matter of examination.   But certified copies of any past conviction of the witness which reflect on the credibility of his deposition may be entertained.

20. Examination of the Witness


20.1 Venue


Normally deposition of a witness should be made at the venue of the hearing but in extraordinary circumstances like illness, etc. and where the deposition of a particular witness is extremely relevant/important, the EO may at his discretion permit examination/cross examination of such particular witness at his residence.

20.2 Procedure


20.2.1
In the inquiry the procedure for examination of a witness is flexible and equitable at the same time.   It consists of ‘examination-in-chief’, ‘cross-examination’ and ‘re-examination’.   The first examination by the party which produces the witness is called the ‘examination-in-chief’.   The examination of that witness by the other party is called’cross-examination’.   Cross-examination has to be permitted after the examination-in-chief of each witness.

20.2.2
Examination and cross-examination must relate to relevant   facts. Cross-examination can also relate to facts (provided they are relevant to the charge-sheet), which the witness may not have testified during the examination-in-chief. Cross-examination in Departmental Enquiries should as far as possible conform to the accepted principles of cross examination under the Evidence act.

20.2.3
After cross examination of witnesses by both the parties, both parties may be allowed ‘re-examination’ of their respective witnesses but such ’re-examination’ should   not be on any new matter and must be restricted to the explanation of matters referred to in ‘cross-examination’.

20.2.4
If, however, the EO deems it proper, new points can be introduced in re-examination by any party when the other party will have the right to cross-examine the witness on those new points.

20.2.5
Recalling of witnesses by either parties is generally not admissible.   But the EO may allow it when there is an inherent lacuna or defect in the evidence originally adduced.

20.2.6
The CO, if he so desires, may offer himself as his own witness to be examined by DR and cross-examined by the PO.   He in deposing as a DW or in answering questions put to him by PO will not be allowed to consult DR.

20.2.7
The EO should ensure that during the examination, the questions are relevant and are properly understood by the witness.   He has the power to disallow questions asked or disallow examination of witnesses, if in his opinion such questions or witnesses are irrelevant to the inquiry.

20.2.8
He may also put questions to any witness to bring out the truth or to clarify matters only for the purpose of his own understanding of the issues.   He should not, however, attempt to fill in gaps in cross-examination either by the PO or the defence.   This aspect, therefore, needs circumspection on his part.   While making any query, the EO should keep in mind that his duty is to find out the truth and he should always act in an impartial way.   The questions thus put by the EO to any witness are subject to cross-examination by both the parties.

20.2.9
The EO should not put a question to the CO or any witness which would be indicative of his personal knowledge of the case.   His question should have relevance and confined to what has been deposed by the witnesses both in examination-in-chief and in cross-examination.

21 . Conduct Of Inquiry (Oral Inquiry)

21.1 Preliminary Steps


On receipt of his appointment order and the relevant documents,   the EO should carefully study the documents and get a clear understanding of the case.   He should note down points if any for seeking clarifications at the Preliminary Hearing (PH) which he should arrange to hold within 15 days of his receipt of the appointment order.

21.2
He should select a venue, which is convenient to all the parties, and where the misconduct was committed/records pertaining to the Enquiry and witnesses are available.

21.3 Next, he   should send notice to all the concerned parties clearly stating the date, time and the venue of the inquiry. The EO, in the notice to the PO should ask him to bring with him copies of the lists of documents and statements of witnesses and in his notice to the CO, he should ask him to name the Defence Representative.

21.4
On receipt of the name of DR from the CO, the EO should inform the fact to the DA and also should intimate the fact to the controlling authority of the DR with a request to suitably relieve him for the purpose.
The EO should arrange to maintain the following two records:

22. Daily Order Sheet


The EO should maintain a daily order sheet to record in brief the business transacted on each day of the hearing. Requests and representations by either party should also be dealt with and disposed of in this sheet. Copies of the recorded order sheets will be given to the PO and CO with their signatures thereon, if they are present. If they are not present, these will be sent by post.

23. Record of Proceedings

23.1
It is necessary for the EO to record the detailed proceedings of the inquiry which will be analysed by him to prepare the report wherein to record his findings of the Enquiry. He is free to record the proceedings either verbatim or in a narrative form. In the event of a narrative form being adopted, the EO has to adopt and signify the relevant portions of the proceedings and take care to see that no pertinent point brought out either by the PO or the Defence particularly in favour of the defence, is omitted to be recorded.

23.2
If either party expresses a desire that portions of the deposition should be recorded verbatim and justifies his request to the satisfaction of the EO, such a request may be acceded to.    There may also be occasions where depositions recorded in a narrative form cannot bring out certain aspects in their proper perspective, which will be discernible, if such deposition had been recorded verbatim.In such contingencies, the depositions needing verbatim recording may be so recorded.

23.3
The evidence recorded will be read out to every witness and his signature obtained on every page along with those of PO, CO and /or DR and that of EO. As soon as the deposition of each witness is completed, the EO will record a certificate as under:
“Read over to witness in the presence of CO and admitted correct/objection of witness recorded”.
The witness should be asked to sign on every page of the depositions. If any person refuses to sign, the fact also will be recorded by the EO and signed by all the rest.

23.4
The deposition of each witness should be on a separate sheet, at the head of which the name and other details of the witnesses must be mentioned for complete and clear identification.

23.5
For the sake of convenience, the prosecution witnesses (of the Presenting Officer) may be numbered as MW-1, MW-2 and so on and that of the defence witnesses as DW-1, DW-02 and so on.   Similarly, documents admitted as exhibits on behalf of PO can also be numbered as ME-1, ME-2 and so on and those of defence as DE-1 or DE-2 and so on.

23.6
If a witness deposes in a language other than English but the depositions are recorded in English, a translation in the language in which the witness deposed should be read to the witness by the EO. He should also record a certificate that the deposition was translated and explained to the witness in the language in which the witness deposed. Copies of the depositions should be made available at the close of the enquiry each day to the Presenting Officer as well as to the Charged Officer.

23.7
It is also not necessary to hold an inquiry in a vernacular language as long as there is evidence on record to show that the proceedings were explained to the charged official in a language he understood.

24. Preliminary Hearing (PH)


24.1
If either the PO or DR does not attend the PH or despite EO giving reasonable opportunity to him, they do not attend the proceedings, the EO should   hold the enquiry ex-parte and proceed as per regulation 6 of the D&A Regulations. Depending upon the parties present, he should:

i) Commence the hearing by calling upon the PO to present the evidence in support of charges.
ii) Record the fact of the parties present/absent in the daily order sheet.
iii) Pass an order asking the CO to inspect the listed documents and to submit the list of defence documents/witnesses.
iv) The EO may cross-examine the witnesses himself to test the veracity of their statements in the absence of CO.
v) Complete the day’s proceedings.
vi) Announce the date/time and venue of the regular hearing (RH) and record those facts in the daily order sheet.
vii) Send information to the absenting party along with copies of depositions, proceedings, daily order sheets at his last available address and advising him of the PH having been held and particulars of RH as indicated in (iv) above. A copy of the written briefs submitted by the PO may also be sent to him giving him reasonable time to submit his defence briefs.
viii) Allow the CO to participate in the proceedings at any stage but it shall not be necessary to repeat the proceedings already conducted. However, copies of proceedings should be supplied to the CO, if not already given. Nobody can be allowed to profit by his own mistakes.

Points having bearing on the ex-parte proceedings

a) Personal attendance of CO is mandatory in a departmental enquiry. When the DR is present but the CO is absent, the EO should not hold the proceedings. However, before proceeding ex-parte, the EO should ensure that a reasonable opportunity has been given to the CO to present himself in the enquiry.
b) It must be ensured that charge sheet and order instituting the enquiry has been delivered to the CO.
c) The CO must be provided with reasonable opportunity to be heard. Once reasonable opportunity has been afforded, the CO cannot be allowed to stultify the enquiry by non-cooperation, without sufficient cause.

24.2 If both the parties are present, the EO should proceed as under:

I)   The EO will read out the charges to the CO and ask him whether he is guilty or has any defence to make.
II)   If the CO pleads guilty to any of the articles of charge, the EO will record the pleas, sign the record and obtain the signatures of the CO thereon. The EO will then return a finding of guilt in respect of those articles of charge to which the Co pleads guilty.
III)   If the CO pleads NOT guilty, the EO will proceed to
  a) ask the CO whether he accepts the authenticity of the various documents in the list submitted by the PO and shown to him.
  b) Record the admitted fact.
  c)   (1)    If all the parties agree, commence the regular hearing immediately i.e. without any adjournment.
  (2)    If any party needs an adjournment for perusal/production of documents/witnesses (which is more likely), the EO should grant minimum reasonable time by way of an adjournment and fix the date for RH to commence within a maximum period of 30 days of the PH.
IV)   The EO will ask the CO to submit a list of documents and witnesses to be examined on his behalf with their addresses and to indicate the relevance/purpose.
    The EO will arrange for the production of the above documents/witnesses if found relevant by him and will fix a date, place and time for the inspection of documents by the CO.   The CO will inspect and may take notes in the presence of the PO or any other authorised official of the bank.

Points to remember

As far as possible, the EO should write the proceedings of Enquiry in his own handwriting. In case the services of steno are available, the same may be got typed and pasted in the proceedings register.

  1. The EO should always insist on marking of attendance by all the concerned parties at the start of proceedings itself.
  2. All the parties must sign on each page of the proceedings register beneath the last line of proceedings.
  3. Proceedings should be recorded simultaneously when they take place.

25. Regular Hearing (RH)

Once all the preliminaries are over, the EO should fix the dates and venue of regular hearings.   He should, as a rule, hear the case from day to day and not grant any adjournments, save in unavoidable and exceptional circumstances.   Admitted documents may be taken on record straightaway and admitted facts, if any, be taken note of in the order sheet.

26. Presentation of Prosecution Case


26.1
In the First instance, the PO would be asked to present his case.   He should introduce un-admitted/disputed documents through relevant witnesses.   He should in the examination-in-chief, examine his witnesses in such a way that brings out the case in a logical manner.

26.2
The EO should ensure that the witness understands the question properly. He should protect him against any unfair treatment, disallowing questions, which are leading, irrelevant, oppressive or dilatory in nature. As far as possible, all evidence should be recorded in narrative form. Previous statements admitted by the witness should also a taken on record.

26.3
After the examination of a witness is over, the witness may be cross-examined by the CO or his DA to bring out further facts, remove discrepancies, or throw light on the reliability of the witness. After the cross examination, the PO may re-examine the witness on any point on which he had been cross examined but not on any new matter unless specifically allowed by the EO. In the latter case, the CO would have a right to further cross-examine the witness. The EO may also put such questions to a witness, as he thinks fit, at any time during the inquiry, to bring out the truth and for the emergence of a fair and clear understanding of the case. With this end in view, he may allow both sides to cross-examine such a witness on any question   put by him.

27. Statement of Defence


After the PO closes the presentation of case on behalf of DA, the EO should ask the CO to state his defence. If it is made orally, it shall be recorded and the CO will be required to sign the record. If he submits his defence in writing, he should sign every page of it. In either case, a copy of the statement of defence will be given to the PO. If the CO does not make his statement of defence, the EO should not wait but proceed further to record the defence case.

28.   Presentation of Defence Case

The EO should then ask the defence to lead his evidence and the procedure followed will be the same as for the prosecution.

The EO, at the end of the production of evidence on either side, may examine the CO generally to enable the latter to give any further explanation regarding the circumstances appearing against him.

29. Final Hearing


After the completion of the production of evidence on both sides, the EO may hear the PO and the CO to permit them to file their written briefs, if they so desire. The EO should first take written brief from the PO and supply copy to CO and then take brief in reply from the CO. In the written briefs, both the PO and CO should restrict themselves to points brought out at the inquiry. The EO should ignore new facts/extraneous matters in considering the briefs.

30. Change Of EO & De Novo Enquiry


Whenever for any reason the EO is changed and a new EO is appointed to continue the inquiry, he shall take into account the evidence recorded or partly recorded by his predecessor. If he is of the opinion that further examination of any of the witnesses whose evidence has already been recorded is necessary in the interest of justice, he may recall, examine, re-examine and cross-examine such witness.

31. Inquiry Report


After considering the oral and documentary evidence adduced during the enquiry, the EO may draw his own inferences, as a rational and prudent person and record his findings on each charge. He should rely only on such facts as the CO had the opportunity to refute.   It is clarified that the PO is not expected to prove malafides in cases where the act itself speaks of dishonest motive.

31.1
While assessing the evidence, the EO should also bear in mind the quasi-judicial nature of the proceedings and the fact that the standard of proof required is that of preponderance of probability and not proof beyond reasonable doubt.

31.2
The EO should confine his conclusion only upto the stage of recording whether the charge is proved, or partly proved or not proved. The conclusion should be derived from the facts and circumstances of the case and not from extenuating aspects. The EO becomes “functus officio” as soon as he submits the report and cannot make any change thereafter.

The report of the EO should contain:

i) A reference to the order of his appointment as EO.
ii) Articles of charge in brief indicating those which are dropped or admitted or have been inquired into.
iii) For each charge inquired into,
a) The case in support of the charge
b) The case of defence
c) Assessment of evidence; and
d) The findings.
e) A brief summary of the findings.

31.3 The report should be accompanied by essential documents, viz., the charge sheet, depositions of witnesses recorded during the inquiry, daily order sheets, list of exhibits and the correspondence files of the IA.

The EO must complete the inquiry proceedings and submit his report to the DA within a period of six months from the date of his appointment.

32. Report of The Commissioner for Departmental Enquiries


In all the cases where the inquiry is conducted by CDI, the inquiry report together with all the enclosures is submitted by CDI to the DA, with an extra copy meant for the charged officer.   A copy of the report of the CDI will also be sent to CVC.   The DA will forward his comments on the EO’s report through the Chief Vigilance Officer within 30 days from the receipt of EO’s report to the Commission for their second stage advice.

33. Observance of the time limits in conducting Investigations and Departmental Enquiries :


Delays in disposal of disciplinary cases are a matter of serious concern to the Government and the Commission.   Such delays also affect the morale of the delinquent employee and others in the organization. Therefore, in order to ensure that disciplinary cases are disposed of quickly, the following time limits are to be strictly adhered to :

S. No.

State of Investigation or Inquiry Time Limit
1. Decision as to whether the complaint involves a vigilance angle. One month of receipt of the complaint.
2. Decision on complaint, whether to be filed or to be entrusted to CBI or to be taken up for investigation by departmental agency or to be sent to the concerned agency or to be sent to the concerned administrative authority for necessary action. -do-.
3. Conducting investigation and submission of report. Three months
4. Department's comments on the CBI reports in cases requiring Commission's advice. One month from the date of receipt of CBI's report by the Disciplinary Authority.
5. Referring departmental investigation reports to the Commission for advice. One month from the date of receipt of investigation report.
6. Reconsideration of the Commission's advice, if required. One month from the date of receipt of Commission's advice.
7. Issue of charge sheet, if required. (i) One month from the date of Commission's advice.(ii) Two months from the date of receipt of investigation report.
8. Time for submission of defence statement. Ordinarily ten days.
9. Consideration of defence statement. 15 (Fifteen) days.
10. Issue of final orders in minor penalty cases. Two months from the receipt of defence statement.
11. Appointment of EO/PO in major penalty cases. Immediately after receipt and consideration of defence statement.
12. Conducting departmental inquiry and submission of report. Six months from the date of appointment of EO/PO.
13. Sending a copy of the EO's report to the CO. for his representation. (i) Within 15 days of receipt of EO's report if any of the Articles of charge has been held as proved.(ii) 15 days if all charges held as not proved. Reasons for disagreement with EO's findings to be communicated
14. 14. Consideration of IO's representation and forwarding IO's report to the Commission for second stage advice. One month from the date of receipt of representation.
15. Issuance of orders on the Enquiry report. (i) One month from the date of Commission's ad-ice.(ii) Two months from the date of receipt of EO's report if Commission's ad-ice was not required.

16.

Reconsideration of CVC's second stage advice. Two months of receipt of its advice

ANNEXURE

  MODEL ORDER APPOINTING ENQUIRY OFFICER/PRESENTING OFFICER
PUNJAB NATIONAL BANK

ZONAL OFFICE
O R D E R

     PLACE OF ISSUE :     
   DATED :
WHEREAS it has been decided to hold an enquiry under Punjab National Bank Officer Employees (Discipline & Appeal) Regulations, 1977 (Clause 6), to look into the truth of imputations of lapses on the part of Shri (Name, designation & place of posting ) as contained in the chargesheet dated         served upon him.
AND WHEREAS the undersigned considers that an Enquiry Officer should be appointed to look into the truth of imputations of lapses against the above officer employee.
AND WHEREAS the undersigned also considers that a Presenting Officer should be appointed to present the case on behalf of the Bank before the Enquiry Officer.
NOW, therefore, the undersigned as the Disciplinary Authority appoints Shri   (name, designation & place of posting) as the Enquiry Officer and Shri (name, designation & place of posting) as the Presenting Officer in the above case.
This order may be communicated to all the constituents of the enquiry and the concerned officers / departments.
   
    
ZONAL MANAGER
   
(NAME OF ZONE)
    
DISCIPLINARY AUTHORITY

CC:    Shri (name, designation & address of Charge Sheeted officer). His attention is invited to clause 6.7 of PNB Officer Employees (D&A) Regulations 1977 as modified vide Personnel Div. Circular No.567 dated. 2.3.81. In case he proposes to take the assistance of any officer employee, he may advise the name of such officer employee to the Enquiry Officer within 7 days from receipt of this order. He shall not take the assistance of any other officer employee who has two pending disciplinary cases in hand in which he has to give assistance.

CC:    Shri (name, designation & address of Enquiry Officer). He is advised to take the enquiry in hand immediately in terms of Regulations 6 of PNB Officer Employees (D&A) Regulations 1977. After fixing the preliminary hearing, he may conduct the regular enquiry proceedings on day to day basis. The process of enquiry proceedings should be completed and report submitted in quadruplicate within a maximum period of 6 months, in terms of Regulation 6.21 of PNB Officer Employees (D&A) Regulations 1977.

CC:    Shri (name, designation & address of Presenting Officer). He is advised to collect and supply the documents required in terms of regulation 6.5 of PNB Officer Employees (D&A) Regulations 1977 to the Enquiry Officer immediately(positively within 15 days) on receipt of this order, under intimation to this office so that the process of enquiry proceedings may be initiated by the Enquiry Officer without any dalay.

CC:    Sr. Regional Manager, (Region) – For information. He is requested to give assistance to the Presenting Officer in collecting and supplying necessary documents to the Enquiry Officer so that the process of enquiry proceedings may be initiated without any delay.

CC:    DGM/AGM, HRD Division, HO New Delhi for information with reference to their file no.                       

CC:    AGM, Vigilance Cell, HO New Delhi for information with reference to their file no.

  ANNEXURE

MODEL ORDER CHANGING ENQUIRY OFFICER/PRESENTING OFFICER
PUNJAB NATIONAL BANK

ZONAL OFFICE
  ORDER

     PLACE OF ISSUE :   
   DATED :
WHEREAS vide order of the undersigned dated (Date of original order), it had been decided to hold departmental enquiry under Punjab National Bank Officer Employees (Discipline & Appeal) Regulations, 1977 (Clause 6), to look into the truth of imputations of lapses on the part of Shri (Name, designation & place of posting), as contained in the Charge Sheet dated              served upon him.
AND WHEREAS (Shri/Smt. Name, designation and place of posting) and (Shri/Smt. Name, designation and place of posting) were appointed as Enquiry Officer & Presenting Officer respectively in the above case, vide the above order.
AND WHEREAS the undersigned, as the Disciplinary Authority, finds it expedient to change the Enquiry Officer/Presenting Officer in the aforesaid enquiry.
NOW, therefore, the undersigned as the Disciplinary Authority appoints Shri (name, designation & place of posting) as the Enquiry Officer in place of (Shri/Smt. Name, designation and place of posting) and Shri (name, designation & place of posting) as the Presenting Officer in place of (Shri/Smt. Name, designation and place of posting) in the above case.
This order may be communicated to all the constituents of the enquiry and the concerned officers / departments.
   
    
ZONAL MANAGER
   
(NAME OF ZONE)
    
DISCIPLINARY AUTHORITY

CC:     Shri (name, designation & address of Charge Sheeted officer) for information.  

CC:     Shri (name, designation & address of new Enquiry Officer). He is advised to take the enquiry in hand immediately in terms of Regulations 6 of PNB Officer Employees (D&A) Regulations 1977. After fixing the preliminary hearing, he may conduct the regular enquiry proceedings on day to day basis.   The process of enquiry

ANNEXURE
MODEL LETTER TO MANAGEMENT/DEFENCE WITNESS
REGISTERED POST
 
Shri ____________
Dated :
Address_________
 

Departmental enquiry into Charge Sheet dated                 served upon Shri                               (designation) Punjab National Bank, BO:
Your name has been cited as Management / Defence witness in the above mentioned Departmental Enquiry being conducted by the undersigned in terms of the orders of the Disciplinary Authority. Your evidence is considered material.
As such, you are requested to appear before the undersigned on -----------(date)----------at------------(time)--------------------at------------------(place) for the purpose of recording of your oral evidence.
     
 
     (                  )    
 
ENQUIRY OFFICER
 
DESIGNATION
 

ADDRESS

CC:     The Branch Manager /Regional Manager /Zonal Manager,(controlling authority) for information please with request to permit Shri------------------- to attend the enquiry on the above date.


 
     (                  )    
 
ENQUIRY OFFICER
 
DESIGNATION
 

ADDRESS

 

 

     MODEL NOTICE FOR HOLDING PRELIMINARY ENQUIRY
Memorandum
PLACE OF ISSUE :           
Dated :
 
Departmental enquiry into chargesheet dated ---------------- served upon Shri-------------------------(name)---------------------, (designation)-----------------,-----------------------------------(place of posting)
The undersigned has been appointed as Enquiry Officerby -------------------------------------------------, Disciplinary Authority, to look into the truth of charges as contained in the charge sheet dated ------------------served upon Shri-----------------------, vide orders dated -------------------------------------.
The undersigned will hold preliminary hearing on -----------------------at------------AM/PM at the office of ----------------------(venue)---------------.
All the parties viz. Presenting Officer and Charged Officer (alongwith his Defence Asstt., if any,   are advised to attend the enquiry on the aforesaid date, time and lace. If any party fails to attend the enquiry, the same shall be conducted ex parte.
            
 
     (                  )    
 
ENQUIRY OFFICER
 
DESIGNATION
 

ADDRESS

Registered Post

Shri ------------(Charged Officer)---------------, for necessary action please.

Registered Post

Shri----------------------(Presenting Officer)----------------, Manager/Sr. Manager (Presenting Officer), --------------------(Address)--------------, for necessary action please

The -------------( Disciplinary Authority)-------------for information please.

The Zonal Manager/Regional Manager for information.

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