Guidelines for the Defense Assisting Officer
DAO should not assume charge of the assignment only after receipt of intimation to the CO from the Disciplinary Authority to name his DAO, while appointing the inquiry officer and the presenting officer. The charged officer should approach the prospective-DAO when an investigation becomes imminent, and the dark clouds of a charge sheet looms large, threatening to emerge in the times ahead. Defense assistance will be more effective if arranged at the earliest possibility before the problem develops and confronts. Initially the role of the DAO is informal, but it is material and effective. It may be an invisible and silent role. The arrangement is one exclusively between the charged officer (though not yet charge sheeted he is being referred as the CO for easy reference) and the DAO (not yet designated as such) and the relationship is not given publicity or recognition.
of the Problems likely to Emerge
The first job of the defense-assisting officer on acceptance of a role or assignment is to effect a moral booster and prepare the charged officer to meet the problem with courage, determination and firmness.
DAO would be briefed by the charged officer about the events that had taken place so far. But he should also conduct an independent investigation and collect all the relevant facts. He can examine records, contact the customers, colleague officers, as part of this exercise. This lends objectivity and the DAO is able to assess the general view or "Authorities view" of the events under controversy, that is to eventually culminate into the charge sheet. Charged officer cannot perform the task with as much ease and perfection as the DAO. This exercise conveys, who are the well-wishers to the charged officer, and who are hostile. As per the duty of one who conducts an objective investigation, the DAO is to maintain a dairy and compile a brief report, which may be named as the Initial Status Report. An Action chart is to be compiled based on this report, listing the points, where efforts towards remedial steps are urgently needed to strengthen the hands of the charged officer. As further progress develops, the Status Report and Action Point Chart are to be updated.
The first tasks of the DAO are to assess the situation and set the emergency steps on move. This helps to substantially dilute the regular investigation, when conducted subsequently. This is also will be discussed in the profile of the charged officer as the pre-emptive stage next posts. When the investigator steps in, he finds that there is more smoke and less fire, and he finds that there is nothing new for him to detect and report and the entire picture is transparent and brought to the notice of the competent authorities. When this is achieved this is the most effective part of the defense strategy.
Focus attention of the authorities towards the problem confronting the Department and the quick steps needed for trouble shooting and make them pay no attention for settling score with the employee-officer at this stage. This is possible, by a vibrant system of taking quick successive steps and reporting progress achieved.
The DAO in this phase will look ahead and project the coming events. If there is an investigation, what are the core points that may reflect adversely about the charged officer? How best these could be mitigated or at least made lighter or diluted?
Where on a quick analysis, certain decisions/actions of the charged officer appear apparently as defective, analyze and find why did the CO took them? Is it due to carelessness or was he misinformed, or is it due an error of judgement. This diagnostic analysis will help to pin-point and define the "risk-prone" areas to be dealt with appropriately. Those actions which cannot be justified explicitly as according to rules or norms, can only be explained and burden lessened.
Various suggestions which will be made in the guidelines to the charged officer in upcoming articles, under heading "Pre-emptive Strategies" have to be attended, without acting against the conduct rules governing the Charged Officer and the DAO. This is possible and the strategy is properly explained in the guidelines to the charged officer.
Every day there should be mutual consultation and review of progress. The charged officer to look after steps to be attended, which are possible from within the branch itself, while the DAO may look after visiting places outside the branch and attending to such work, which are oriented outside the branch.
DAO should again foresee possible outcome of the investigation report and charge sheet to advise follow-up action wherever feasible to lesson the gravity of issues affecting the charged officer.
of the departmental Manuals, Rules and Guidelines
The relevant quoted rules from manuals and conduct rules must be thoroughly cross-checked to ensure their correct applicability to the facts as narrated and that the interpretation of these rules has been appropriately applied. This exercise will help provide a clear picture of the charge sheet and form a sound basis for challenging it on technical grounds.
It is the duty of the DAO to guide and regulate actions of authorities and other officers, in times of crisis. This may be called preventive counseling. If some mishaps takes place at one point the DAO must study how it has happened, and alert other officers to follow preventive steps and get the benefit of the knowledge learned from each failure of someone or other.
But the second part of the function of the DAO is to ensure that systems benefits and safeguards provided in conducting departmental inquiries reach the charged officer undiluted. That the principles of natural justice are not denied, or are not made an empty formality, and that the inquiry is conducted bonafide by all concerned, i.e. the disciplinary authority, the inquiry officer and the presenting officer.
If the charge sheet issued does not conform to the rules of the Department, it should be taken up immediately with the disciplinary authority.
If the Inquiry Authority is not appointed of a person capable of an objective, unbiased and open mind, DAO should raise objection, immediately on receipt of order of appointment and submit representation to the disciplinary authority, with a copy to the inquiry officer. If the disciplinary authority ignores the representation, and the inquiry officer proceeds with the oral inquiry, the objection should again be re-stated at the opening of the inquiry, and second time the objection should be sent to the disciplinary authority by Registered Post, with a copy to the appellate authority. In the copy intended for the appellate authority, it should he pointed out that the objection was originally raised before the disciplinary authority earlier vide letter dated....... and that the representation was not responded and actually ignored by the disciplinary authority on account of default of a proper response. Disregarding the objections the oral inquiry is commenced, which is grossly irregular and illegal. Hence the copy is being endorsed to the appellate authority. In all your representations, you may also request for personal hearing of your case before the disciplinary/appellate Authorities. If still the inquiry continues, no more action from your side for the present is needed, but participate in the inquiry holding under reserve your rights to act appropriately for the violations.
Violations of inquiry procedures, denial of facilities to the charged officer should be represented at the earliest, i.e. as and when they occur. Normally the Inquiry Officer must give his ruling, and where he does not comply with us, he must cite all your representations in the daily order sheets. If this is not done, this should be pointed out separately, as objection for the correctness of the order sheet and your written representation sent to the disciplinary authority also. Copies of all such representations may also be given to the PO, if he requests for it.
Despite all such provocation, your efforts should be to continue participating in the inquiry, with firm resistance at each and every stage and should not boycott the inquiry, as this provides them an opportunity to conduct the inquiry ex-parte.
Gross Abuse and violation of Inquiry Process - Acts of Malefide, Malice and Victimization
These are extreme cases, when the top authorities is corruption ridden and stoops to any level, to preserve and perpetuate its hold. It is the duty of the DAO to stand firm with the charged office and not to desert him at this critical point. Separate guidelines will be provided, how to handle such situations, in a series of web-pages, commencing Today.
DAO should also peruse the various guidelines provided and will be provided to the charged officer and treat them as part of his own additional guidelines.
