2. 1. Introduction:-
Constitutional Provisions: Article 309 of the
Constitution.
Under Article 311(1) no civil servant shall be removed
or dismissed from service by an authority subordinate
to the authority who appointed him.
Under Article 311(2) no civil servant shall be removed
or dismissed from service or reduced in rank without
an inquiry in which he is informed of the charges
against him and is given a reasonable opportunity to
be heard about the charges.
3. 2. Application:- Rule 3 (1)
These rules shall apply to every Railway Servant, but
shall not apply to –
(a) any member of the All India Service,
(b) any member of the Railway Protection Force,
(c) any person in Casual employment.
4. 3. Principles of Natural Justice:
There are two corner stones of Natural Justice.
(i) No one should be judge in his own cause.
(ii) Decision after reasonable hearing or Hear the other
side.
Every Railway servant shall maintain at all times Railway
services (conduct) Rules 1966.
Rule 3 (1) (i) Absolute integrity
Rule 3 (1) (ii) Devotion to duty
Rule 3 (1) (iii) Do nothing which is unbecoming of a
Railway servant.
Breach of Conduct Rules lead to disciplinary action under
RS(D&A)Rules 1968.
5. 4. Drafting of Charge
Memorandum:
(i) Each charge should be in express, clear and precise
terms and not in vague terms.
(ii) Separate charge for each allegation,
(iii) Multiplication or splitting up of charges on the same
basis or the same allegation should be avoided.
(iv) The wording of charge sheet should not appear as
expression of opinion as to the guilt of the accused.
(v) The charge should not relate to matter which has
already been the subject matter for an inquiry and decision.
(vi) Violation of extant rules/orders only should be referred
and not those which have been overruled.
6. b. The articles of charges and the statement of imputations in
support of the articles of charges should not be identically
worded. While the article of charge should be concise, the
statement of imputation should contain details, references etc.
relating to the charges and should generally give a clearer idea
about the facts and circumstances relating to the alleged act of
commission or omission. Specific rules/instructions which may
have been violated by the charged official should also be
mentioned in the statement of imputation.
Where intention is to bring out the gravity of the charge in a
particular case due to the fact that punishments in the past have
not resulted in better conduct on the part of the charged official,
then the previous record should be brought out in the Charge
Memorandum itself to enable the charged official to defend
himself with reference to these factors also. Otherwise,
Disciplinary Authority cannot take into account the previous
misconducts while taking a decision in regard to the present
case.
7. The list of documents by which and the list of
witnesses by whom the charges are proposed to be
sustained should be comprehensive and drawn up
with due care taking into account the relevance of each
document/witness in establishing the articles of
charges, their availability and ease of being produced
during the inquiry etc.
If the Charged Official desires to inspect the original
documents, this should invariably be
allowed. (standard form No.2 )
8. 5. Basic documents need to be
procured and placed in Annexure
III.
(a) Absentee cases:
An attested copy of Attendance Register, Monthly Absentee
Statement, copy of salary bills, warning memos issued if
any, representations received from sections etc.
In Gazetted cases, where there is no Attendance Register to
exhibit, a statement from the concerned Authority,
Absentee Statement given to Bills Section, Salary Bills, any
alternative arrangements made during his/her absence
period etc. to be taken as proof.
It shall be ensured that, the period of absence figured in
Charge Memorandum shall not be regularized during the
course of the DAR proceeding.
9. (b) Assault Cases:
Report given by the Section In-charge, Statement given
by the eye-witnesses, Medical Report if any, report
about the damages made, Complaint given by the
affected person, Police compliant given, if any etc.
10. (c) Trap cases:
The details about the Decoy money, Statement from
Independent witnesses, details about the time and
venue, Chemical Analysis Report, Log book of the
vehicles used, Authority for conducting medical
examination if any, authenticity/ authority of Audio /
Video equipments used etc.
In all the above cases, the list of Witnesses should be
carefully selected and placed in Annexure IV. ( ie. the
name of HOD, PHOD etc. may be avoided as far as
possible)
11. 6. Preparation of Charge
Memorandum & Annexure.
(i) As per Rule 9(6), the Disciplinary Authority shall draw
up the charge sheet. Standard Form No. 5 for major penalty
and Standard Form No.11 for minor penalty.
Preparation of Charge Memorandum is a very important
task of Disciplinary Authority. A defect in Charge
Memorandum may even lead to cancellation of entire
disciplinary proceedings. The charge memorandum must
have substance, clarity about the specific charges
supported by the documents, witness and should be signed
by the appropriate Disciplinary Authority with date.
12. If the Disciplinary Authority wishes to refer the past
conducts lead that to punishments, if any, it should be well
thought of and should mention it in the Charge
Memorandum itself. In case if it is not included in the
charge memorandum, then the Disciplinary Authority
should not take into account of the previous bad records
and punishments, while determining the penalty.
In the charge sheet no mention to be made about the
penalty which may be awarded ultimately.
The authority issuing the charge sheet is also competent to
amend or modify it if some defect or lacuna was detected
after the charge sheet was issued. The disciplinary
authority will be within his rights to amend or to withdraw
the charge sheet altogether and issue a fresh one.
13. (ii) Vigilance Cases:
Reference to report of SPE/Vigilance/CBI should be strictly
avoided in Charge Memorandum, because once mentioned
such documents will have to be produced in inquiry.
Normally, in vigilance referred DAR cases, Presenting
Officer will be from vigilance department. Vigilance
Inspectors appointed as Presenting Officer will co-ordinate
with inquiry related activities and for safe custody of Relied
Upon Documents etc.
Since the Relied Upon Documents will be within the
custody of Vigilance department, it shall be ensured that
the list of Relied Upon Documents mentioned in Annexure
III of the charge Memorandum is readily available for
inspection by the charged Official.
14. 7. Corrigendum to the Charge
Memorandum:
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.
15. 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 chargesheet, a corrigendum to the chargesheet 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 chargesheet 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)
16. 8. Routing of Charge
Memorandum through PHODs:
Charge sheets issued to officers, where GM is the
Disciplinary Authority, need not be routed through the
concerned PHODs.
In vigilance related cases, where General Manager is the
Disciplinary Authority, Personnel Branch will route the
DAR case to GM through SDGM who will put up case to the
GM with Vigilance comments.
In case, the DA (GM) wants to take the opinion of PHOD,
he may seek his views but as a matter of practice, the
charge sheet should not be routed through the PHODs.
Like wise, it is not necessary to serve the charge sheet
through the PHODs.
17. 9. Serving of Charge
Memorandum:
(i) The Charge Memorandum should be served on the charged
official (CO) either in person or through Registered Post to his
permanent address or last address intimated by him. If returned
undelivered with the observations of the Postal Authorities like
Door Locked, left without notice, refused to accept etc, it can be
deemed as a good service. The envelope returned undelivered,
should not be opened by the office & must be kept in sealed
condition and preserved.
Pasting the Charge Memorandum on the door of the last known
residence with two witnesses, if the door is locked when the
official visited for delivering the Charge Memorandum, and also
putting the Charge Memorandum on the Notice Board of the
work spot where he worked on the last working day is also
permissible. (Though it is not a good option)
18. 10. Serving of Charge
Memorandum to Running Staff:
The Railway employees concerned with the running of
trains should not be served with charge sheet when
they are going to start their duty, but only when they
are going to sign off duty.
19. 11. Disciplinary proceedings after
retirement:
Initiating disciplinary cases after retirement requires the sanction of
the President. A duly authorized officer of the Railway Board signs the
chargesheet in such cases, on behalf of President.[ This is done under
Rule 9 of the Railway Service Pension Rules 1993]
Note: Here President means Minister of Railways acting in the name of
President.
If an employee was under suspension on the date of his retirement and
Charge Sheet is issued at a later date, sanction of the President is not
necessary. The departmental proceedings are deemed to be instituted
on the date he was suspended and in such cases, the Charge
Memorandum can be issued by the Disciplinary Authority who would
have issued the Charge Memorandum had the charged employee been
in service. And in the same way, if a charge memorandum was already
issued before the retirement of the charged official and continued till
the retirement, the same will continue after the retirement also by the
same Disciplinary Authority. But no penalty can be imposed by any
authority except the President in such cases.
20. The President is the only authority for imposing cut in
pension and / or gratuity. All the other processes up to
the conclusion of the inquiry proceedings will be done
by the disciplinary authority under provisions of Rule
9 of D&A Rules 1968, and if the penalty of cut in
pension is warranted, papers will be processed for
consideration of the President under Rule 9 of Railway
Services(Pension ) Rules 1993. In such cases, the
complete DAR case file in original & Relied Upon
Documents in original/authenticated are to be
forwarded to the Railway Board along with UPSC
format duly filled up & opinion of concerned P/CHOD
& CPO.
21. 12. Who can be a Disciplinary
Authority? Rule 2(c)
(i) in relation to the imposition of penalty on a Railway Servant,
the authority competent under these rules to impose on him that
penalty.
(ii) in the case of Gazetted Railway Servant, an authority
competent to impose any of the penalties specified in Rule 6,
(iii) In the case of Non Gazetted Railway Servant, in relation to
Rule 9 an authority competent to impose any of the major
penalties specified in Rule 6,
(iv) In the case of Non Gazetted Railway Servant, in relation to
Rule 11 an authority competent to impose any of the minor
penalties specified in Rule 6.
(v) Disciplinary Authority shall not be subordinate to the Officer
one who had conducted the fact finding enquiries, except
Accident, Audit, SPE inquires.
22. (vi) Officers performing current charge of duties
of a post:
An officer appointed to perform the current duties of
an appointment can exercise administrative or
financial powers vested in the full-fledged incumbent
of the post, but he cannot exercise statutory powers in
D&A Rules.
23. 13. What is expected
from Disciplinary Authority?
The decision of the Disciplinary Authority is very
important in DAR. The decision of the Disciplinary
Authority is to be judicious and it can be modified /
amended by Appellate / Revising Authorities.
Disciplinary Authority’s powers are discretionary, not
supreme and it is not ultimate.
24. Disciplinary Authority shall take
care of the following:
1) He should be the appropriate Disciplinary authority.
2) To study the case in depth before initiating disciplinary proceedings.
3) To decide whether major penalty or minor penalty proceedings is to
be initiated.
4) To verify whether the documents available are appropriate or not.
When the Disciplinary Authority is identified / decided, it will be the
duty and responsibility of the Disciplinary Authority to issue the
Charge Memorandum in the Prescribed Standard Form.
Disciplinary Authority shall exercise his powers and decide whether to
issue the major or minor charge memorandum, based on the gravity of
the offence committed by the charged employee.
25. For one unpleasant or negligent act of the employee /
officer, where the Controlling Official desires to take
suitable action under Railway Servants (Discipline and
Appeal ) Rules 1968, he / she has to confirm first whether
he / she is the competent authority. Otherwise, the
controlling authority has to identify the proper
Disciplinary Authority.
If it is decided to issue a minor penalty Charge
Memorandum the Charge Memorandum will be in
Standard Form Number 11 with an Annexure showing the
Statement of Imputations of misconduct / misbehavior
committed by the charged employee. Ten days time will be
given to the charged employee from the date of receipt to
reply the Charge Memorandum and the same can be
finalised without losing any further time.
If it is decided to issue a major penalty Charge
Memorandum, the Charge Memorandum will be in
Standard Form Number 5 with Annexures I to IV as under.
26. 1) Article of Charge (s)
2) Statement of imputations of misconduct / misbehaviour committed
by the charged employee
3) The Relied Upon Documents by which the Article of Charges are to
be sustained.
4) The witnesses through whom the charges are going to be proved.
Rule 9(7) : The Disciplinary Authority shall deliver or cause to be
delivered to the Railway servant a copy of the Articles of Charge, the
statement of the imputations of misconduct or misbehavior and a list
of documents (RUD) and witnesses by which each article of charge is
proposed to be sustained and shall require the Railway servant to
submit a written statement of his defence within ten days of such
further time as the disciplinary authority may allow.
If copies of documents have not been delivered to the Railway servant
along with the articles of charge and if he desire to inspect the same for
the preparation of his defence, he may do so, within 10 days from the
date of receipt of the articles of charge by him and complete inspection
within ten days thereafter and shall state whether he desires to be
heard in person.
27. 14. Reply Statement to Charge
Memorandum:
On receipt of the reply statement, it is crucial time for Disciplinary Authority
to take a decision in the progress of the DAR case.
1) If the explanation is not satisfactory and it is observed that the charged
employee is on prima-facie responsible for the offence, the Disciplinary
Authority will order for an inquiry duly appointing the Inquiry Officer &
Presenting Officer (in Vigilance referred cases).
2) If the explanation though not fully convincing, is observed that the charged
employee is not fully responsible for the offence, the Disciplinary Authority is
having full powers to impose any suitable minor penalty, without cancelling the
major penalty Memorandum.
3) If the explanation is not fully satisfactory and it is observed that the charged
employee is partially responsible for the offence, and the Disciplinary
Authority desires to “Warn” the charged employee, he/she shall drop the
charges and issue Memorandum of Warning separately. (If the charges are not
dropped, the charges will remain pending).
4) If the explanation is satisfactory and it is observed that the charged
employee is not at fault, the Disciplinary Authority is having powers to “Drop”
the charges and close the DAR case.
28. 15. Procedure for imposing
Minor Penalties: (Rule 11)
(1) Subject to the provisions of sub-clause (iv) of clause (a) of sub-clause (9) or
Rule 9 and of sub-rule (4) of Rule 10, no order imposing on a Railway Servant
any of the penalties specified in clauses (i) to (iv) of Rule 6 shall be made
except after –
(a) informing the Railway Servant in writing of the proposal to take action
against him and of the imputations of mis-conduct or mis-behaviour on which
it is proposed to be taken and giving him a reasonable opportunity of making
such representation as he may wish to make against the proposal;
(b) holding an inquiry in the manner laid down in sub rules (6 to (25) of Rule
9, in every case in which the disciplinary authority is of the opinion that such
inquiry is necessary;
(c) taking into consideration the representation, if any, submitted by the
Railway servant under clause (a) and the record of inquiry, if any, held under
clause (b).
(d) recording a finding on each imputation of misconduct or misbehavior and
29. (e) consulting the Commission where such consultation is
necessary.
(2) Notwithstanding anything contained in clause (b) of
sub-rule (1), if in a case, it is proposed, after considering the
representation, if any, made by the Railway Servant under
clause (a) of that sub-rule to withhold increments of pay
and such withholding of increments is likely to affect
adversely the amount of pension or special contribution to
Provident Fund payable to the Railway Servant or to
withhold increments of pay for a period exceeding three
years or to withhold increments with cumulative effect for
any period, an inquiry shall be held in the manner laid
down in sub-rules (6) to (25) of Rule 9, before making any
order imposing on the Railway any such penalty.
Notice of Imposition of Penalty shall be issued duly
indicating the provision for Appeal with the Designation of
Appellate authority and the stipulated period of 45 days.
30. 16. The role of Disciplinary
Authority:
The decision of the Disciplinary Authority is very important as this will change
the entire proceedings. After receipt of the written statement of defence from
the charged employee, the Disciplinary Authority has to go through the same
carefully and decide whether
(1) inquiry is to be conducted or not,
(2) to drop the charges framed against the charged employee,
(3) to impose any minor penalty.
Where all the Article of Charges have been admitted by the Railway Servant,
Disciplinary Authority shall record its findings straight away and deal with
similar to the Inquiry Report. He shall decide the penalty if he is competent or
forward the same with his tentative opinion to the competent authority for
imposing suitable penalty.
If the Disciplinary Authority has not received any written statement of defence
within the prescribed period of 10 days, he may extend the period on request
from the charged employee as it may deemed fit .
When the charged Railway servant has not submitted any written statement of
defence the Disciplinary Authority shall not presume that he has admitted the
charges.
31. 17. Appointment of Inquiry
Officer: Rule 9 (2)
Whenever the Disciplinary Authority is of the opinion that there
are grounds for inquiring into the truth of any imputation of
misconduct or misbehaviour against a Railway servant, it may
itself inquire, or appoint the Inquiry Officer or a Board of
Inquiry, to inquire into the truth thereof. ( Standard Form No 7)
One who had conducted Fact Finding Enquiry may be appointed
as a member of the Inquiry Committee. But Disciplinary
Authority, who had ordered for a departmental inquiry may not
be member of the Inquiry Committee. However where
circumstances warrants he can himself conduct the inquiry.
No order imposing any of the penalties specified in clauses (v) to
(ix) of Rule No 6 shall be imposed by an authority other than
Appointing Authority.
32. 18. Cases of sexual harassment:
Whenever the Disciplinary Authority is of the opinion that there are
grounds for inquiring into the truth of any imputation of misconduct
or misbehaviour against a railway servant, it may itself inquire into, or
appoint under this rule or under the provisions of the Public Servants
(Inquiries) Act, 1850, as the case may be, a Board of Inquiry or other
authority to inquire into the truth thereof.
Provided that where there is a complaint of sexual harassment within
the meaning of Rule 3C of the Railway Services (Conduct) Rules, 1966,
the Complaints Committee established for inquiring into such
complaints, shall be deemed to be the Inquiring Authority appointed
by the Disciplinary Authority for the purpose of these rules and the
Complaints Committee shall hold, if separate procedure has not been
prescribed for the Complaints Committee for holding the inquiry into
the complaints of sexual harassment, the inquiry as far as practicable in
accordance with the procedure laid down in these rules
33. 19. Minor Penalty cases with
inquiry:
In the following minor penalty cases, conducting of inquiry is
mandatory under Rule 11(1) (b)/ 11(2). In these cases, Standard Form
No. 11(b) will have to be issued duly canceling the Minor penalty charge
sheet already issued with an indication “without prejudice to right of
department to issue a new charge Memorandum”.
1. If the increment is to be withheld permanently (having cumulative
effect) for any period, whatsoever.
2. If increment is to be withheld temporarily for a period exceeding 3
years.
3 If the withholding of increment (cumulative or non cumulative)
irrespective of period or nature, is likely to affect adversely the amount
of pension or special contribution to Provident Fund payable to the
delinquent.
There is no bar for the immediate Superior of the delinquent Railway
servant for holding the inquiry.
34. 20. The role of Inquiry Officer:
Inquiry Officer is not a Prosecutor. It should not be his duty to
somehow prove the charge(s). He has been appointed to assist
the Disciplinary Authority in taking a correct and impartial
decision on the basis of the evidence on record. Inquiry Officer
must have impartial approach. He / she can play a vital role in
finalizing the DAR case early or within the prescribed time limit.
Officials not having personal interest in the case is to be
appointed as Inquiry Officer.
A departmental inquiry is inherently different from judicial
proceedings in a court of Law and need not be carried out rigidly
in accordance with the rules applicable to judicial proceedings.
The Inquiry Officer should ensure that reasonable opportunity is
given to the charged official for defending in the course of
inquiry.
35. The inquiry Officer should ensure that intimation has
been sent in time to the charged official, Presenting
Officer, if any, witness etc. regarding the date, place
and time of inquiry.
Once the date is fixed for hearing he should not
postpone the hearing on flimsy grounds.
Request for the additional documents which are not
mentioned in the list of documents sent to him with
the charge sheet will be considered by the Inquiry
Officer. (Even when the Inquiry Officer has decided to
call for additional documents, the authority having
custody or possession of the documents may decide,
that the production of such documents would be
against public interest or security of the state).
36. 21. The details to be given to the Inquiry
Officer by Disciplinary Authority: Rule 9 (6)
(1) Charge Memorandum in Standard Form 5 with a copy
of Articles of Charge and the statement of the imputations
of misconduct.
(2) A copy of statement of witnesses, if any,
(3) Evidence providing the delivery of the documents,
(4) A copy of list of witnesses, if any,
(5) A copy of appointment order of Presenting Officer, if
any.
(6) One set of Relied Upon Documents in original or
attested.
(Relied Upon Documents supplied to Charged Official and
Inquiry Officer should be identical)
37. Inquiry Officer shall verify the documents received from
the Disciplinary Authority and confirm that all the
documents required are available before conducting the
DAR Inquiry. Missing documents are to be collected from
the Disciplinary Authority before the commencement of
Inquiry.
The Inquiry Officer should ensure that intimation has been
sent in time to the delinquent employee regarding place,
time and date of inquiry. The accused be asked to submit a
list of witnesses if he has not done so.
38. 22. Appointment of Presenting
Officer:
(i) In Vigilance related DAR cases, as soon as the Charge Memorandum is
issued, the Presenting Officer is to be nominated. Appointment Order of
Presenting Officer will be issued by Disciplinary Authority in Standard Form
No. 8
(ii) Presenting Officer in CBI cases:
The presence of Presenting Officer will be helpful if (1) evidence is properly
marshaled, (2) witnesses are effectively examined and cross- examined etc.
In CBI cases, the Presenting Officer can be nominated by CBI/SPE from their
own persons.
Where Presenting Officer from CBI / SPE is considered a must, then
justification should be sent to the CVC to take the matter with CBI.
(Railway Board’s order E (D&A) 75 RG 6-32dated 23-08-1975 & No. 2005/VI/
CVC/ 1/ 15 OF 20-01-2006)
39. 23. The role of Presenting
Officer:
The Disciplinary Authority may by an Order in writing
(Standard Form No.8) appoint a Railway servant as
Presenting Officer on his behalf. When no Presenting
Officer is appointed, the Inquiry Officer himself will
perform the functions of Presenting Officer.
40. 24. Time limit for DAR cases:
i) Minor Penalty:
(a) Receiving written statement of defence = 10 days
(b) Inspection of Documents if requested by the
employee = 15 days
(c) Submission of reply after (b) = 10 days
(d) If the inspection (b) is not agreed to, then within
10 days of refusal.
Now finalizing the case is within the duty of the Disciplinary
Authority and if the case is delayed, the delay also will be on
account of Disciplinary Authority.
41. ii) Major Penalty:
(a) Receiving written statement of defence =
10 days
(b) Inspection of Documents if requested by
the employee = 15 days
(c) Submission of reply after (b) = 10 days
(d) If the inspection (b) was not agreed, then
within 10 days of refusal.
(e) final defence from charged employee = 15
days,
42. iii) The time limit prescribed by
Railway Board is as under:
Sl.
No.
Steps description Model time schedule
CVC/CBI
cases
Rly
Vig cases
Dept.
cases
1 Issue of Charge Memorandum 30 30 20
2 Service of Charge Memorandum 10 10 10
3 Inspection of relied upon documents 30 20 To be
given With
SF 5
4 Submission of written defence with list
of witnesses
20 20 20
5 Decision to hold enquiry after receipt of
the defence
30 20 10
43. 6 Nomination of IO & PO 45 20 20
7 Appointment IO & PO 20 05 05
8 Completion of inquiry and
submission of report
180 180 60
9 Obtaining CVC’s second stage
advice after receipt of Inquiry
Report
45 – –
10 Supply of copy of inquiry report
to the delinquent
10 10 10
44. 11 CO’s submission of final
defence
15 15 15
12 Submission of cases of
Disciplinary Authority
10 10 10
13 Decision of Disciplinary
Authority
20 20 20
14 Issue of NIP 05 05 05
TOTAL 470 365 205