AWORKSHOP

ON

Discipline & Appeal RulesBy

MOHANDAS PAsst. Professor. (Personnel Management)

National Academy of Indian Railways (N.A.I.R)VADODARA

TOPICS COVEREDTOPICS COVERED

FormsAuthorities

Suspension

Penalties

Charge sheet

Inquiries

Speaking Orders

DAR in brief

Spl. Privileges

Review

Revision

Appeals

Brochure on D&ARConduct Rules Ex Parte Inquiry

• In exercise of the powers conferred by the proviso to Article 309 of the Constitution of India the President hereby makes the following rules

The Railway servants

Discipline and Appeals (Rules)

1968

Constitutional Provisions

Article 309

D.A.R. 1968

Discipline and Appeal Rules

DAR

WHOMBOTH - HE & MEHE UNDERSTOOD;

BUT Y ME ?YES, Because I fail to follow the laid down

PROPER PROCEDURE

1968 because segregated from IREM ON 1ST OCT. 1968

Y?

Hey! Look at Yourself in the Mirror – It never Lies So Remember Initiate D&AR only To punish the guilty and not to improve an Employee. D&AR

involves a lot of time and money. Roughly estimated on an average each Charge Sheet

costs the administration about Rs.50,000/=Come on Lets us commence our journey on D&AR now………………

HOW CAN I ? NO BOOK -

NO TEACHING

1st Question - DO I KNOW THE RULES ?

Will this help ? No ! Y ? Cause I have an ARMI

Acts Rules Manuals InstructionsThis is UR ARMI with which U have to run THE RAILWAYS

A.O.M. Application Of Mind

PROS CONS

RESULTS

WHAT IS Application Of Mind ?

ANALYSIS

AOM “AOM” has its source in your NAVEL whereas all other words in the world have their source in the GULLET. “Analysis” is “OM”

THE ONLY SOLUTION TO GET RID OF

WHY IS D.A.R. NECESSARY ?SHOULD IT BE USED AS A TOOL TO IMPROVE

OR ONLY TO PUNISH THE OFFENDER ?

WHY DO WE LOOSE CASES IN C.A.T?

* BECAUSE OF DEFAULT PROCEDURE !* BECAUSE OF DENIAL OF NATURAL JUSTICE !

ANY CASE WHICH WE HAVE LOST BECAUSE OF PUNISHMENT

IMPOSED?

WHAT ARE WE SUPPOSED TO DO AS AN OFFICER INVESTED WITH POWERS TO

PUNISH THE GUILTY ?

Forms USED IN DAR DEALINGSS.F. 1 SUSPENSIONS.F. 2 DEEMED SUSPENSIONS.F. 3 UNEMPLOYMENT CERTIFICATES.F. 4 REVOCATION

S.F. 5 MAJOR PENALTY CHARGESHEETS.F. 6 REFUSAL OF ADDL.DOCUMENTSS.F. 7 APPOINTMENT OF INQUIRY OFFICERS.F. 8. - DO - OF PRESENTING OFFICER

S.F.10 C\SHEET IN COMMON PROCEEDINGS.F.10A APPT. OF I.O. IN -DO-S.F.10B APPT. OF P.O. IN -DO-

S.F.11 MINOR PENALTY CHARGESHEETS.F.11A INQUIRY IN MINOR PENALTY C\S.S.F.11B TO CONVERT MAJOR INTO MINOR

SF 9 A-C CANCELLED DURING 1972 And 1975

Check Details

AUTHORITIESDisciplinary Authority Issue

C/sheetFor N G One who can impose a penalty as

per SOP that is only Minor OR Both and if can impose any major penalty.For Gazetted - One who can impose any of

the penalties under Rule 6 of DARAppointing Authority

The Authority that appointed the employee in the present grade in which workingand not the initial appointing authority

Controlling AuthorityUnder whose control the employee

is working including heirachy

Issue promotion orders by the lowest competent authority

Check D

etails

1. The decision of the Disciplinary Authority is very important in

DAR.

2 The decision of the Disciplinary Authority is to be judicious ,

ohterwise decision can be modified / amended by

Appellate / Revising Authorities.

3 Disciplinary Authority’s powers are discretionary, but not

supreme and not ultimate.

Disciplinary Authority ?

SUSPENSION WHAT IS SUSPENSION ?

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

Cont.

WHY DO WE SUSPEND AN EMPLOYEE ? Depriving one of his powers.

To keep him away from office premises – calling his Attendance daily is illegal

DEEMED SUSPENSION

WHAT IS DEEMED SUSPENSION ?How IS IT DIFFERENT FROM SUSPENSION ?

DEEMED SUSPENSION MAY BE RESORTED TO IF :- IN CUSTODY FOR A PERIOD BEYOND 48 HRS.- CONVICTED/IMPRISIONED BEYOND 48 HRS.- REINSTATED on APPEAL, REVISION, REVIEW OR - REINSTATED DUE TO THE ORDERS OF CAT OR COURT

BD”s NO; E(D&A)85RG 6-15 OF 16.4.85 AND E(D&A)86 6-19 OF 21.3.86 SUSPENSION SHOULD BE FOLLOWED only BY A MAJOR

PENALTY OTHERWISE THE ENTIRE PERIOD IS TO BE TREATED AS DUTY FOR ALL PURPOSE.

Cont..

Suspension is effective from orders received – Deemed Suspension from retrospective effect

ENTITLEMENTS DURING SUSPENSION

SUB .ALLOWANCES

• NO TYPE OF LEAVE TO BE GRANTED

Cont.

• SUBSISTENCE ALLOWANCE• REVIEW (1ST AFTER 3 MTHS). • D.A. ON SUBSISTENCE ALLOWANCES• PASSES - GAZ 1/2 N0s. - N.G. 1, IF DUE.• 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 but obtain WRITTEN PERMISSION

SUBSISTENCE ALLOWANCE SURVIVAL

EQUAL TO HALFDEDUCTIONS

MINIMUMCOMPULSORY

OPTIONA L NON-DEDUCTABLE

IF SUBSISTENCE ALLOWANCE IS NOT PAID TO THE EMPLOYEE EX-PARTE DECISION CANNOT BE TAKEN- S.C.

OVERPAYMENTS - DISCRETIONARYREPORT TO DUTY ONLY AFTER ISSUING SPECIFIC

REVOCATION ORDERS - FORM NO:- 4

Not a penaltyyet BAD

REPURCUSSIONS

Details Pl.

PENALTIES - RULE 6TWO TYPES OF PUNISHMENTS - MINOR AND MAJOR

(i) CENSURE(ii) WITHHOLDING OF PROMOTION(iii) RECOVERY OF PECUNERY LOSS(iii) a WITHHOLDING OF PASSES/PTOs(iii) b REDUCTION IN TIME SCALE(3 CLAUSES)(iv) STOPPAGE OF INCREMENTS

(v) REDUCTION IN TIME SCALE(vi) REDUCTION TO LOWER SCALE(vii) COMPULSORY RETIREMENT(viii) REMOVAL FROM SERVICE(ix) DISMISSAL FROM SERVICE

CPR - PRI - RR - CRD

MINOR PUNISHMENTS

MAJOR PUNISHMENTS - (311 C.O.I)

Details Pl.

Constitutional ProvisionARTICLE 311

PRINCIPLES OF NATURAL JUSTICE1. NO ONE SHOULD BE JUDGED IN HIS OWN CAUSE2. HEAR THE OTHER SIDE3. THE DECISION SHOULD BE IN GOOD FAITH

1. NO CIVIL SERVANT SHALL BE DISMISSED OR REMOVED BY AN AUTHORITY SUBORDINATE TO THAT BY WHICH

HE WAS APPOINTED.2. NO SUCH PERSON SHALL BE DISMISSED OR REMOVED OR REDUCED EXCEPT AFTER AN INQUIRY IN WHICH:

a) HE IS INFORMED OF THE CHARGES AGAINST HIM andb) GIVEN A REASONABLE OPPORTUNITY OF BEING HEARD

IN RESPECT OF THESE CHARGES.

Details Pl.

CHARGESHEETWHAT IS A CHARGESHEET ?

WHEN THERE IS A PRIMA FACIE EVIDENCE

Cont..

WHEN DO YOU PROPOSE TO ISSUE A

CHARGESHEET ?

-A DOCUMENTSHOWING CHARGES ALLEGED

withVIOLATION OF AN ORDER OR RULES

WHAT DO YOU GET FROM PRIMA FACIE EVIDENCE ?pr

ima

faci

eev

iden

ce

VIOLATION OF RULE / ORDER

GRAVITY OF OFFENCE

MAJOR OR MINOR PENALTY

SUSPENSION desired or NOT

INVOLVEMENT

Cont..

Before issuing a CHARGESHEET ensure you are in possession of :

OFFENDER

RULES VIOLATED

DOCUMENTS RELIED UPON

STATEMENTS OF ALL WITNESS

WITNESS

Cont..

THE 4 ANNEXURES OF CHARGESHEET ARE

FRAMING OF CHARGESHEET

Use LANGUAGE i.e. CSFP

RULES OR ORDERS VIOLATED

SEPARATE CHARGES

AVOID TO INCLUDE MATTER DECIDED

CORRECT NAME & DESIG. OF CHARGED OFFICER & DISCIPLINARY AUTHORITY

Cont..

(Use Clear, Simple. Precise Factual language Always Indicate Date Place & Time of Offence

Indicate the Correct Rule for each charge leveled

Don’t Multiply or club charges

Refrain from including charges for which already penalizedCan’t hang a man twice for the same offence

He may refuse to accept the charge sheet on this ground

Lack of devotion to duty

Unbecoming of Rly. Servant

Integrity

CORRIGENDUM TO THE CHARGESHEET

 a)       If it is found after the issue of Charge Sheet that additional documents/ witnesses have to be added to the lists, a suitable corrigendum to the Charge Memorandum should be issued.

b)       If a charge sheet is found to be faulty due to any reason like (i) it has not been issued by the appropriate Disciplinary Authority, (ii) the charges require modification/addition (iii) a major penalty charge sheet needs to be issued instead of a minor penalty charge sheet etc., the correct procedure would be to cancel the charge sheet issued indicating the reasons for such cancellation and stating categorically that the cancellation is “without prejudice to the right of the administration to issue a fresh charge sheet”.[Board’s order No: E(D&A)93 RG6-83 dt.1.12.93 (RBE 171/1993)]

CORRIGENDUM TO THE CHARGESHEET

 c)       In cases where only minor changes are required to be made in the Articles of Charges or when Annexure II, III and IV need to be modified, instead of resorting to cancellation and issue of a fresh charge-sheet, a corrigendum to the charge-sheet may be issued. This aspect has to be specifically kept in view in cases where the employee is due to retire shortly or has retired.Note: After retirement, a charge-sheet can be issued only with President’s approval and that too only if the time limit of 4 years prescribed in the Pension Rules has not expired. (Rule 9 of Pension Rules 1993)d)       The corrigendum should   be signed by the Disciplinary Authority himself.Copies of Relied Upon Documents mentioned as Annexure should be issued to the charged official along with the Charge Memorandum. (Rule 26)

WITHIN 90 DAYS OF SUSPENSION

HAND DELIVERY - send 3 people

IF REFUSES - 2 WITNESSES

REG.POST A.D. - UNDELIVERED RTA/ANK PASTE ON NOTICE BOARD

DO’NT OPEN THE UNDELIVERED REGISTERED LETTER.

ISSUE OF CHARGESHEET

If suspension is not revoked

But not through SUBORDINATE

Of the 3 two will sign as witness to refusing to accept C/sheet

Don’t forget to give file No. on A/D card

Keep on DAR file as record of having made attempts to deliver

AFTER SERVICE OF C/SHEET AWAIT DEFENSE - 10 DAYS/ACK.

NOT RECEIVED - CONFIRM FROM SUPERVISOR / UNIT-IN-CHARGE

ACCEPT - DROP - IMPOSE PENALTY DEPENDS ON PUNISHMENT IMPOSED ( ENSURE INQUIRY REQUIRED OR NOT)

APPOINT INQUIRY OFFICER

CHECK PROGRESS OF THE CASEAPPOINT INQUIRY OFFICER

MAY APPOINT I O/P.O. while ISSUING SF 5 SO THAT THE CHARGED OFFICER being AWARE OF WHO THE INQUIRY OFFICER is CAN REPRESENT IF so DESIRES in his defense.

Details Pl.

INQUIRY

Every inquiry proceeding is to be conducted in terms of

Rule 9 of the D&A Rules, 1968.Make 3 copies of findings- 1 for DA, 1 for CE and 1 for IO

Remember there is a vast difference between theInquiry done in a Court and done Departmentally.

In Courts one is acquitted due to benefit of doubtWhereas in Departmental Proceedings one can beHeld guilty based on pre preponderance of doubt

• Orders of appointment (SF7) issued by the Disciplinary Authority.

BEFORE COMMENCING INQUIRY ENSURE

• Charge sheet, original relied upon documents, acknowledgement of charge sheet, Initial defense, etc. received or not

• Availability of statements of all witness mentioned in C/sheet

• To call the charged employee for a preliminary hearing within 30 days of appointment as Inquiring Authority• During preliminary inquiry to ensure the charged employee has received / inspected the relied upon documents / taken extracts or obtained copies thereof. • During Inquiry to check whether Charged employee pleads guilty

or not guilty. If admits all the charges unconditionally, ask to submit Written Brief. No further proceedings of inquiry would be necessary. In case he pleads non-guilty or accepts the charges conditionally, proceed inquiry.

• Ask the charged employee whether he would present his case himself or requires the assistance of Defense Counsel, if requires the assistance of D.C. obtain willingness of Defense Counsel.

• Also find out whether he would require any additional documents, and whether would want to examine any defense witnesses.

• Fix mutually a convenient date, time and place for holding of a regular inquiry.

• Ensure all additional documents relevant to the charge demanded have been examined thereafter commence the regular inquiry.• All proceedings done in presence of Charged Employee and his D.C.,if nominated.

• The prosecution side’s case should be presented first. Opportunity

for cross-examination of each witness should be afforded to the Charged Employee and be allowed to put up leading questions.

Procedure cont…..

• After all witnesses mentioned in the C/sheet have been examined and case of prosecution side is closed, the Charged Employee can introduce the defense witness/documents• Thereafter ask to submit a defense taking into account what has been brought out by the prosecution/defense witness. The defense side should be allowed to present its own case. • If the charged employee desires to appear as a defense witness in his own case, he should be examined first before allowing examination of any other defense witness.

Procedure cont…..

• After defense concludes its submissions, question on the points going against him

• Now pen the findings to be forwarded to the DA.

• After general examination ask to submit brief orally or in writing. In case submits orally, the same should be got recorded by IO.

INQUIRY

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

Cont..

PROCEDURE FOR CONDUCT OF INQUIRY

P.A.WITNESS

C.O

I.OD.C

PRELIMINARY INQ. I.O. TO C.O 5 QUESTIONS - DC Not permitted

EXAMINATION-IN-CHIEF I.O TO WITNESS - Shows STATEMENT AND INTRODUCE DOCUMENTS as EXHIBITS - NARRATE INCIDENCE IN OWN WORDS. IF DOES NOT ACCET STATEMEMT GIVEN EARLIERADDLITIONAL DOCUMENTS OR WITNESSES allowed IF RELEVANT OR REFUSE ON FORM 6

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

RE-EXAMINATION , IF ANY Cont..Details Pl.

INQUIRY NOT NECESSARY - when ?

Cont..

What is Ex-parte

Inquiry ?

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 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.1. REP. AGAINST BIAS - SUBMIT TO Revisionary 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

ACTION ON COMPLETION OF INQUIRY BY I.O.

ALL P.W.s/D.W.s EXAMINED Go FOR SELF EXAMINAION OF THE Charged Official

INTRODUCE Charged Official’s STATEMENT AND DRAWATTENTION TO REPLIES GIVEN BY PWs & DWsGOING AGAINST HIM – any thing he has to say about it.

Give him time to submit his Written Brief within 10 days

Note if there is a PO then PO will first submit his Brief, give A copy to C.O. and then ask him to submit his WB

Take all correspondence in to consideration and pen your Findings – Best findings is the one which does not requireReferring to any other document while reading it. Details Pl.

ACTION AFTER INQUIRY

ENSURE PROPER PROCEDURE FOLLOWED OR NOT IF NOT REINQUIRY-SAME I.O. OR A FRESH I.O. OR OWN FINDINGS BASED ON EVIDENCE ON RECORD.

IF ACCEPTED SEND COPY TO CHARGED OFFICER.

ON RECEIPT OF FINAL DEFENSE CONSIDER ALLCORRESPONDENCES RIGHT FROM ISSUE OF CHARGESHEET TO FINAL DEFENSE AND DECIDE THECASE I.E. DROP THE CASE OR IMPOSE PENALTY.

ENSURE ENTRY OF PUNISHMENT IN SERVICE SHEET IN RED INK under OWN’s SIGNATURE / DESIGN.FORWARD COPIES OF NIP TO ALL CONCERNED AND OBTAIN ACKNOWLEDGEMENTS.

Cont..Details Pl.

SPEAKING ORDERSWHAT IS A SPEAKING ORDER ?* VERY IMPORTANT DOCUMENT - INDICATES PUNISHMENT IMPOSED ON THE EMPLOYEE* AN ORDER AGAINST WHICH AN APPEAL LIES

* SHOULD BE UNDERSTOOD.

1

WHO HAS BEEN CHARGESHEETED2

WHAT FOR CHARGESHEETED

3

HOW CHARGES PROVED OR NOT

4

WHICH PENALTY IMPOSED

5

WHY THIS PENALTY IMPOSED

6 7

wherewhen

Details Pl.

WHAT IS APPEALABLE ?ANY SERVICE MATTER

SUBSISTENCE ALLOWANCE.

SUSPENSION IF NO CHARGESHEET IS ISSUED WITHIN 90 DAYS AND THESUSPENSION IS NOT YET REVOKED

WHAT IS NOT APPEALABLE ?ORDERS ISSUED BY THE PRESIDENT

ORDERS OF INQUIRYOFFICER ISSUEDDURING THE INQUIRY PROCEEDINGS

INTERLOCUTORY NATURE ORDERS

Cont..Details Pl.

DEALING WITH APPEALSDEALING

CLERKDISCIPLINARY

AUTHORITYAPPEALLATE AUTHORITY

Within time limit or not

Correct Address of A A

Correct Address of C Or

Respectful &Polite Language

Material related to case.

Brief History of Case

Para Wise Remarks

DAR Case in original

Service sheet of C.E.

C.R.s of C.E.

W.T.L/N

C.A.A.A

C.A.C.O.

C.R.P.L.

R.M.F.C

B.H.O.C.

P.R.O.A

D/C.I.O

S.S.O.E

C.R.O.E

C.P.F/N

O.B.E.R

C.G.O.O.

M.E.R.P

S.Orders

Procedure followed or not

Orders backed by evidences

Penalty commensurate

Maintain.Amend Retain

Give Speaking Orders

R E V I S I O NALL STEPS AS IN DEALING WITH APPEALS WILL BE FOLLOWED EXCEPT THAT THE PUNISHMENT CAN BE ENHANCED WITHIN 6 MONTHS AND REDUCED WITHIN 1 YEAR FROM THE DATE OF THE ORDERS AGREIVED AGAINST.

AT ANY STAGE IF THE PUNISHMENT IS ENHANCED THE EMPLOYEE SHOULD BE INFORMED OF THE

PROPOSED ACTION BEFORE ITS IMPLEMENTATION

Details Pl.

THE PRESIDENT OF INDIACAN REVIEW A CASE AT ANY TIME.

REVIEWREVIEW IS NOT AN EMPLOYEE’S RIGHT

HOWEVER, HE CAN REQUEST FOR REVIEW ONLY IN CASE IF IS ABLE TO INTRODUCE A NEW EVIDENCE THAT WAS LOST SIGHT OF

IN THE PAST STAGES .

SPECIAL PRIVILEGES TO N.G. STAFF

BEFORE CONSIDERING APPEAL TO GIVE A PERSONAL HEARING IN CASE OF

REMOVAL,DISMISSAL OR COMPULSORY RETIREMENT

of A N.G. EMPLOYEE

CAN REQUEST TO REFER HIS CASE TO R.R.T. - LOOSES CHANCE OF

REVISION AND REVIEW

R.R.T

Details Pl.

NOW I AM SUREYOU WILL SAY

I WILL TEACH MY STAFF & OTHERS

WHAT IS D.A.R&

WHAT IS A.O.M.