DOMESTIC ENQUIRY

INTRODUCTION

MANAGEMENT OF DISCIPLINARY ACTION

 Disciplinary action should be preceded by proper

domestic enquiry

Improper domestic enquiry

Scrutiny by Labour or Higher Courts

Defective

 Domestic Enquiry should be free from flaws

Important aspects of Domestic Enquiry

• Documentation
• Foolproof Action
• Knowledge of Principles
• Adherence to Correct Procedure
• Mode of Adducing Evidence
 What Is Domestic Enquiry?

DOMESTIC = Something of Home or Family Affairs

ENQUIRY = 1. The act of inquiry; seeking for information

by asking questions; Interrogation

2. Search for truth, Information or knowledge,

Investigation into the facts or principles

DOMESTIC ENQUIRY:
The in-house act of department in search for truth or
information as to some affairs or happenings of the
house or dept. involving departmental employee.
It is a proceeding of quasi-judicial nature to be
conducted in a manner to ensure a fair deal to the
accused employee.

DOMESTIC ENQUIRY is an enquiry into the conduct

of an employee. Charges are framed and after
observing the principles of Natural Justice an order of
punishment or otherwise is passed by the competent
authority.
OBJECTIVES OF DOMESTIC ENQUIRY

1. To ascertain truth against alleged acts – whether

an employee is guilty of delinquency
2. To impose penalty according to the degree of
culpability

TO FIND OUT
i) Who is responsible
ii) How the offence was committed
iii) Whether such conduct could have been
avoided had the standing instructions on
the subject been properly followed by the
incumbent.
PRINCIPLES OF NATURAL JUSTICE

1. Derived from the Romans who believed that some

legal principles were ‘ NATURAL’ OR self-evident and
did not require a statutory basis.

2. Two basic legal safeguards govern all decisions by

judges or in quasi judicial exercises

 AUDI ALTERAM PARTEM (The right to be heard)

 NEMO JEDEX IN PARTE SUA (No person should

be judge in his own case)

PRINCIPLES OF NATURAL JUSTICE

The following principles are the cardinal principles of
Natural Justice:
• The person/s who is the subject of concern must
know all the allegations in relation to his behaviour
• They must have full opportunity to put their case
• All parties to the complaint must have the right to be
heard
 COMPLAINT

Complaint is report containing allegations – main weapon of the

prosecution

Letter of complaint is the key to the launching of enquiry

Complaint should reflect the truth and the actual situations,

witnesses and evidences as the burden of proof lies on the
employer

Unambiguous

C O M P LAI N T Transperant

Should contain all

Details like, place,
Witnesses,
Evidences etc.

PRELIMINARY ENQUIRY

It is fact-finding enquiry into the allegations against an employee, which

satisfies the disciplinary authority to frame his mind to go ahead with
disciplinary action

The objectives of PE = To see whether a prima facie case exists

and the extent of evidence suggests that a formal disciplinary
enquiry may be started into the conduct of the employee.

Preliminary Enquiry enables disciplinary authority to come to the

conclusion whether the matter needs to be proceeded

Preliminary enquiry is not regular disciplinary enquiry

No legal stipulation to hold preliminary enquiry by the Presenting

Officer
FRAMING OF SHOW CAUSE AND CHARGES

PRELIMINARY ENQUIRY DISCLOSES PRIMA FACE CASE

SHOW CAUSE – Letter seeking explanation from the

employee regarding alleged improper conduct or act

 Date ,time and place of alleged offence

 Nature of offence
 Written complaint and other documents to be attached

Show cause to be issued only when

 There is strong evidence of prima-facie case

 Evidence may lead to proof of guilt
 Evidence does not reflect any serious doubt as to the
involvement of the accused employee

CHARGE SHEET

WHEN

1. Written explanation found unsatisfactory

2. Written explanation not submitted ……….

Chargesheet specifying the clauses of the standing orders under which

the accused employee is charged, need not be issued if the evidence is
utterly inadequate, incomplete, untrue, incredible, false or absurd

Charge sheet is a document containing specific allegation. The word ‘

Charge’ means ‘definiteness in accusation’

Chargesheet consists of

i) Statement of relevant facts together with clauses of Standing

Orders setting out the charge/s
ii) List of documents and witnesses by whom the articles of
charge are to be sustained.
iii) Contains information about date, time and place of enquiry

Formation of Enquiry Committee

UNIQUE FOUR -MEMBER ENQUIRY COMMITTEE

 2 representatives selected by and from workmen in the

department
 1 Manager or his authorised representative
 1 Officer in whose section the accused workman is working
NOTICE

1. Notice inviting names of workmen representatives is issued by the

deptl. Manager
2. Notice intimating formation of Enquiry Committee is issued with or
without names of workmen representatives

ROLE OF CONSTITUENTS OF THE ENQUIRY COMMITTEE

Burden of determination ( finding the truth ) lies on the Enquiry

Committee
Enquiry Committee

Clause 19(b)
1. the Manager or any other officer authorised by the
Management
Role - Sr.Enquiry Officer
 Steers the progress of Enquiry
  Sees and ensures that all rights of the Accused
employee are honoured and adhered to
 Ensures that principles of natural Justice are adhered
to
 Ensures impartiality and fairness; also determines
whether matter brought before the Enquiry is relevant
or irrelevant
 Required to submit findings after enquiry

Remaining 3 Members of the Enquiry committee

(i) 1 officer in whose section the accused is
employed
(ii) 2 representatives selected by and from
workmen in the deptt

 All have equal status

 All are Enquiry Officers conducting the Enquiry
process
 Tries to find facts logically ,prudently with unbiased
attitude& with an open mind

Presenting Officer has to be appointed with a letter of authority by

the Management
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Presenting Officer is an agent of the Disciplinary Authority; his job is to prove
his case by leading evidence to help arrive at appropriate conclusion

Burden of proof lies on Presenting Officer

Presenting Officer is the representative of the management

Presenting Officer not a prosecutor . He should be unbiased. He should not
be interested in the case in any way or should not be witness to the case. His
duty is to assist the Enquiry Officer in arriving at the truth by presenting facts
and records connecting the case

PROCEDURE OF DOMESTIC ENQUIRY

First step – Documentary Evidence

 • Explain composition of the Committee including presence of writer /
interpreter / presenting officer
• The Sr. Enquiry Officer then explains how the enquiry is proposed to
be conducted
• Statement of case by the Presenting Officer
 Circumstances leading to receipt of a written complaint
 Prima facie investigation
 Issuing of Show cause letter and chargesheet
Object of production of documents

(iii)To show bonafide

(iv) To show proof
(v) To give opportunity to delinquent to prepare his
defence
Therefore only valid and reliable documentary evidence should be
produced. The Dy. Manager ( Sr. Enquiry Officer) refers to the
exhibits and gets confirmation or corroboration of the same by the
accused employee

Second Step
Leading evidence:Presentation and Examination of Company’s
witnesses by Presenting Officer
Principles – Burden of proof lies on Presenting Officer
 Presenting Officer has to produce Company’s witnesses and
examine them one by one in presence of accused employee
 Witnesses are persons who have seen ,who know and who
have heard and can depose – witness/es should be credible
 Presenting Officer not supposed to ask leading questions or
lead his witnesses
Third Step
o Cross – examination of witnesses ( by the accused
workman)
o Basic rule of fair play – opportunity must be given
o More important when facts or charges are disputed
o Cross – examination is important to discover the truth of
what is stated in the documents / complaints / statements
Statement of the accused Employee in his defence

1. Accused employee should not be asked ‘ Do you plead guilty’?

2. He should be given the opportunity to state his case without any
hindrance
3. The accused employee may be cross – examined by the
Presenting Officer
Production of Witnesses and / or Documents by the accused
employee

1. Formal introduction of witnesses

2. Examination by the accused employee

Cross Examination by Presenting Officer

Presenting Officer to cross-examine accused employee’s witnesses

Conclusion of the Enquiry

1. Sr. Enquiry Officer repeats the opportunity of allowing statement or

producing document by the accused employee for the second time
2. He has to obtain confirmation as to whether all reasonable opportunities of
defence given to accused
3. The Sr. Enquiry Officer reads entire proceedings in vernacular and gets a
confirmation from the accused that he has understood the record of
proceedings and that it has been correctly recorded. This has to be
embodied also in the proceedings
4. All members, accused and Presenting Officer to sign at the bottom of all
pages
5. All Enquiry Committee members are required to give their findings after
conclusion of enquiry; must not recommend punishment

Some do ’s and Don’ts

Do’s
1. Copies of all documentrs to be used against the accused employee should
be furnished to him beforehand along with show cause and Chargesheet
2. Name of all present at the Enquiry must be recorded in each page of
proceedings and their signature obtained
3. Formal authorisation letter to the Enquiry Officers to be kept in the file
4. Opportunity of cross-examination of company’s witnesses must be given
to the accused
5. Opportunity of making statement in defence and the opportunity to
produce witness and / or documents must be given to the accused
6. Proceeding should contain signature of accused stating that he has
understood the entire record of proceedings
7. All members , Presenting Officer, accused employee,witnesses and writer
/ interpreter must sign at the bottom of all relevant pages
8. Copies of proceedings to be handed over to accused as well as Enquiry
Committee members after conclusion of day’s proceedings on each day
9. Examination of witness must be done in presence of the accused