Introduction

Discipline &Appeal Rules and

Annual Confidential Reports are the most effective tools to

control the subordinates

D&AR should be the last remedy to control the staff

Apply full logical mind before going for the D&AR option.

No remedy should be left but for resorting to D&AR action

Educate/coach/motivate the staff in the areas of their working and update their skills.

Warn/written displeasure to be tired in the normal situations

If no scope of improvement or involved in a serious case come to a logical conclusion

After full APPLICATION OF MIND ABOUT MINOR OR MAJOR PENALTY

THERE SHOULD NOT BE ANYSITUATION OF GOING FOR A

DAR ACTION IN HURRY WITHOUTAPPLICATION OF MIND

ONCE AGAINGO THROUGH THE RULES

IF NOT SO SURE

Rule 11PROCEDURE FOR IMPOSING MINOR PENALTIES

INFORM IN WRITING OF INTENTION TOTAKE ACTION. STATEMENT OF IMPUTTIONS

OF MIS-CONDUCT OF MIS-BEHAVIOURTO BE MADE AVAILABLE

REASONABLE OPPORTUNITY OF MAKINGREPRESENTATION

HOLD INQUIRY AS PER RULE 9(6) TO (25)IN CASE D.A. IS OF THE OPINION THAT

INQUIRY IS NECESSARY (use SF 11/b)

RECORD FINDINGS ON EACH IMPUTATIONS OF MIS-CONDUCT

OR MISBEHAVIOURWherever needed consult

UPSC

In case punishment withholding of increments(1)with cumulative effect, (2) for a period morethan 3 years and (3) adversely affecting pension

DAR inquiry – sub rules (6) – 25 of Rule 9

Take decision by passing reasoned speaking order giving basis for the findings of the

Disciplinary authority in respect ofeach charges

MINOR PENALTIES

(i)Censure(ii) Withholding of promotion for a specified period

(iii) Recovery from pay of the whole or part of any pecuniary loss caused to the Government or

Railway administration by negligence or breachof orders

(iii-a) Withholding of the Privilege Passes or Privilege Ticket Orders or both;

(iii-b) reduction to a lower stage in the time scale of pay for a period not exceeding three years,

without cumulative effect and not adverselyaffecting his pension

(iv) Withholding of increments of pay for a specified period with further direction as to whether on the

expiry of such period, this will or will not have the effect of postponing the future increments of pay

MAJOR PENALTIES

(v) Save as provided for in clause (iii-b), reduction to a lower stage in the time-scale of pay for a specified period, with further directions as to whether on the expiry of

such period, this will have or not have the effect of postponing the future increments

of pay

(vi) Reduction to a lower time scale of pay,grade, post, or service, with or without further directions regarding conditions of restoration to

the grade or post or service from which theRailway servant was reduced and his seniority and pay on such restoration

to that grade, post of service;

(vii)Compulsory retirement;

(viii) REMOVAL from service which shall not be a disqualification for future

employment under the government or Railway administration

(ix) Dismissal from service which shall ordinarily be a disqualification for

Future employment under the Government of Railway administration

Rule No.1

Short time and commencement

(1) These rules may be called THE RAILWAY SERVANTS (Discipline & Appeal) RULES 1968

(2) THEY SHALL COME INTO FORCE ON THE 1ST DAY OF OCTOBER, 1968

AMENDMENTS HAVE BEEN MADE FROM TIME TO TIMELAST BEING NO.E(D&A)2001 RG6-29 DATED 31-10-01 GSR/617 DT 24/11/01

RULE NO.2 DEFINITIONS

APPOINTING AUTHORITYAUTHORITY EMPOWEREDTO MAKE APPOINTMENT

TO THE GRADE OR SERVICE ; OR AUTHORITY WHICH APPOINTED TO THE GRADE, POST

OR SERVICEWHICHEVER AUTHORITY IS HIGHEST AUTHORITY

(if no proof regarding appointment of a Group “C” or “D” employee GM becomes appointing authority)

Commission means Union Public Service Commission

DISCIPLINARY AUTHORITYAUTHORITY COMPETENT TO IMPOSE THE PENALTY

Authority competent to impose any of the penalties as specified in rule 6 on gazetted officers

Non-gazetted staff in relation to rule 9 those authorities who Is competent to impose any of the major penalties

Non-gazetted staff in relation to rule 11 those authorities whois competent to impose any of the minor penalties

Head of the Department

Railway ServantsService means a service under the

Ministry of RailwaysSCHEDULE means a schedule

appended to these rules

Rule 3 - APPLICATION

APPLIES TO ALL RAILWAY SERVANTSE X C E P T ANY MEMBER OF ALL INDIA SERVICERPF PERSONNEL ANY PERSON ON CASUAL EMPLOYMENTANY PERSON FOR WHOM SPECIALPROVISIONS EXISTS

PRESIDENT EMPOWERED TO EXCLUDEANY RAILWAY SERVANT FROM THE

OPERATION OF ALL OR ANY OF THESE RULES

RULE NO.4AUTHORITIES COMPETENT TO PLACE RLY. EMPLOYEES UNDER SUSPENSION

SPECIFIED IN SCHEDULES I, II and IIIEXCEPTIONAL CIRCUMSTANCES ANY AUTHORITY SPEFICIED IN ANYOF THE

SCHEDULES MAY PLACE ANY SUBRODINATE RAILWAY SERVANTS

SPEFICIED THERE IN UNDER SUSPENSION

SUCH AUTHORITY FORTHWITH REPORT REPORT TO THE AUTHORITY COMPETENT

TO PLACE SUCH RAILWAY SERVANTS UNDER SUSPENSION, CIRCUMSTANCES

IN WHICH ORDER WAS MADE AND OBTAIN HIS APPROVAL

COMPETENT AUTHORITY SHALL BE DETERMINED WITH REFRENCE TO

OFFICIATING POST AT THE TIME OF TAKING ACTION ON RLY. SERVANT

SUSPENSION : USE : S.F. 1DEEMED SUSPENSION: USE : SF-2CERTIFICATE FROM SUSPENDED RAILWAY EMPLOYEE: USE : SF-4

REVOCATION: USE : SF-4

SUSPENSION SUSPENSION WHAT IS SUSPENSION ?WHY DO WE SUSPEND AN EMPLOYEE ?

SUSPENSION may BE RESORTED TOONLY ON THE FOLLOWING GROUNDS :-

* WHEN DISCIPLINARY PROCEEDING IS CONTEMPLATED OR PENDING.

* INVOLVED IN ACTIVITIES THAT ARE PREJUDICIAL TO THE SECURITY OF THE STATE.* INVESTIGATION OR UNDER TRIAL FOR AN CRIMINAL OFFENCE.

ORDERS EFFECTIVE after ACKNOWLEDGEMENT

DEEMED SUSPENSIONDEEMED SUSPENSION

WHAT IS DEEMED SUSPENSION ?IS IT DIFFERENT FROM SUSPENSION ?

DEEMED SUSPENSION RESORTED TO IF :

- IN CUSTODY FOR A PERIOD BEYOND 48 HRS.- CONVICTED/IMPRISIONED BEYOND 48 HRS.- REINSTATED on APPEAL, REVISION, REVIEW OR BY ORDERS OF CAT OR COURT

BOARDS LETTER NO; E(D&A)85RG 6-15 OF 16.4.85 AND E(D&A)86 6-19 OF 21.3.86 VERY CLEARLY SAYS THAT SUSPENSION SHOULD BE FOLLOWED BY A MAJOR PENALTY OTHERWISE THE ENTIRE PERIOD IS TO BE

TREATED AS DUTY FOR ALL PURPOSE.

ENTITLEMENTS DURING ENTITLEMENTS DURING SUSPENSIONSUSPENSION

SUB .ALLOWANCES

• SUBSISTENCE ALLOWANCE.• REVIEW (1ST AFTER 3 MTHS). • D.A. ON SUBSISTENCE ALLOWANCES.• PASSES - 1/2 Numbers FOR GAZ. and 1 TO N.G., IF NOT AVAILED.• P.L.B. - PAYABLE ON RESUMPTION.• MEDICAL FACILITIES INDOOR AS WELL AS OUTDOOR.• CAN ACT AS DEFENSE COUNSEL.• CAN BE ELECTED AS OFFICE BEARER OF A UNION.• CALL FOR SELECTIONS/ TR ADE TEST NON- SELECTIONS - RESULTS - SEALED COVER• CAN LEAVE HQRTS - WRITTEN PERMISSION • NO TYPE OF LEAVE TO BE GRANTED

SUBSISTENCE ALLOWANCESUBSISTENCE ALLOWANCE SURVIVAL

EQUAL TO HLAPDEDUCTIONS

MINIMUMCOMPULSORY

OPTIONA L NON-DEDUCTABLE

.

OVERPAYMENTS - DISCRETIONARYREPORT TO DUTY ONLY AFTER ISSUING SPECIFIC

REVOCATION ORDERS - FORM NO:- 4

Rule No.7 – Disciplinary authorities

Rule No.8 – Authority to institute proceedings

President or any other authority empowered by him, by general or special order may

(a) Institute disciplinary proceedings against any Railway Servant

(b) Direct a disciplinary authority to institute disciplinary proceedings against any Railway servant

Before issuing a CHARGESHEET ensure you are in possession of

SSWW OO RR DDFFENDER ULES VIOLATEDOCUMENTS

RELIED UPONTATEMENTS OFALL WITNESS

Statement of Article of chargesStatement of imputations of misconductor misbehaviour(mention any admissions)

LIST OF RELIED UPON DOCUMENTS

LIST OF WITNESSSIGNSIGN EACH AND EVERY EACH AND EVERY

PAGE ATTACHED TO THE CHARGESHEETPAGE ATTACHED TO THE CHARGESHEET

ITNESS

THE 4 ANNEXURES OF A CHARGESHEET ARETHE 4 ANNEXURES OF A CHARGESHEET ARE

FRAMING OF CHARGESHEETFRAMING OF CHARGESHEETLANGUAGE (C.S.P.F.)

RULES OR ORDERS VIOLATEDSEPARATE CHARGES

AVOID TO INCLUDE MATTER DECIDEDCORRECT NAME AND DESIG.OF CHARGED OFFICER ANDDISCIPLINARY AUTHORITY

Charge sheet can be prepared in Hindi or English

Rule No.9Procedure for imposing MAJOR PENALTIES

Rule No.9 and 10 and

Public Servants (Inquiries) Act 1850.

1. DA inquire into the charges2. Appoint Board of Inquiry

(Senior member to be Presiding officer, None shall be subordinate to another member)

3. Appoint an Inquiring authority

Give 10 days time to C.O. for submission of defence. If the authenticated copies of RUDs not supplied with

the charge sheet allow C.O. to peruse within 10 days Of receipt of charge sheet and 10 more days time for submission of defence. Can take assistance of Asstt. Railway Employee at this stage itself

CO can demand for (1) Witnesses to be examined from his side(2) Further documents to be examined

(CO has to indicate the relevancy/custodian of documents)

If the charges are admitted at the defence stageDisciplinary to record findings of each charge,Can take further evidences, if circumstances Warrants. Deal further as per rule No.10

If convinced drop the charges and intimate within1 month

If partly convinced about innocence and partlynot either go ahead with Inquiry or Inflict anyMINOR PENALTY not attracting provisions of sub-rule (2) of Rule No.11

No defence Order ex-parte Inquiry

Appoint IO – standard form No.7Appoint PO (Optional) – Std.Form No.8

INQUIRYINQUIRY

LETTER TO C.O.- ATTEND WITH D.C. C/- WITNESS, C.O., D.A - ONLY 2 POSTPONMENTS. GIVE D.P.T

MAKE C.O. FEEL AT EASE - 5 COPIES OF D -D-P SIGNED BY C.O., I.O. & D/C AND P.O, IF ANY

INFORM D.A ABOUT PROGRESS OF THE CASE.

POINT OUT REPLIES GOING AGAINST CHARGED OFFICER BEFORE CONCLUDING THE INQUIRY .SUBMIT FINDINGS - 3 COPIES ( 2- D.A 1- O.C.) - INCLUDE ADDITIONAL CHARGE ONLY IF OPORTUNITY GIVEN TO DEFEND that CHARGE

PROCEDURE FOR CONDUCT OF PROCEDURE FOR CONDUCT OF INQUIRYINQUIRYP.A.

WITNESSC.O

I.OD.C

PRELIMINARY INQ. I.O. TO C.O 5 QUESTIONS - EXHIBITS PW/PD

EXAMINATION-IN-CHIEF I.O TO WITNESS - SHOW s STATEMENT AND INTRODUCE DOCUMENTS as EXHIBITS SAY IN OWN WORDS. REQUESTS FOR ADDLITIONAL DOCUMENTS OR WITNESSES TO BE CONSIDERED IF RELEVANT OR REFUSE ON FORM 6

X’EXAMINATION CO/DC TO WITNESS I.O. TO NOTE ANSWERS FOR AND AGAINST

RE-EXAMINATION , IF ANY

INQUIRY NOT NECESSARY - when ?INQUIRY NOT NECESSARY - when ?

1. CHARGES ADMITTED - WITH OUT QUALIFICATION

2. ON CONVICTION ON A CRIMINAL CHARGE - 14 (i)

3. WHERE D.A. IS SATISFIED THAT

- IT IS NOT REASONABLY PRACTICAL TO HOLD INQUIRY

- REASONS TO BE RECORDED - 14 (ii)

4. WHERE PRESIDENT IS SATISFIED THAT - IN THE INTEREST OF SECURITY OF STATE, IT IS NOT EXPEDIENT TO HOLD AN INQUIRY - 14 (iii)

DIALATORY TACTICS BY C.O. & D.C.DIALATORY TACTICS BY C.O. & D.C.1. REP. AGAINST BIAS - SUBMIT TO Revisionery Authority.2. NON-AVAILABILITY OF D.C. IN PRE. - DEFENCE WILL NOT BE PREJUDICED3. NOT GIVING PARTICULARS / DOCUMENTS FOR INSP. - INSIST ON FULL PARTICULARS AND RELEVANCE4. GIVING NAME OF D.C. WITH OUT ACCEPTANCE CERT. - INSIST ON CERTIFICATE 5. ASKING FOR ADJOURNMENTS ON FILMSY GROUNDS - BE REASONABLE BUT FIRM6. DELAY in submitting WRITTEN BRIEFS - STICK TO PRESCRIBED DATE7. RESORT TO COURT PROCEEDINGS - PROCEEDINGS TO BE STAYED ONLY ON STAY by Court/CAT8. GROUNDS OF ILLNESS - VERIFICATION OF GENUINENESS9. NON ATTENDANCE OF D.C. - REASONABLE LIMITS BUT NOT FOR CONVENIENCE