Indian Railways study material

2. A
WORKSHOP
ON
Discipline & Appeal Rules
By
MOHANDAS P
Asst. Professor. (Personnel Management)
National Academy of Indian Railways (N.A.I.R)
VADODARA

3. TOPICS
COVERED
Forms
Authorities
Suspension
Penalties
Charge sheet
Inquiries
Speaking Orders
DAR in brief
Spl. Privileges
Review
Revision
Appeals
Brochure on D&ARConduct Rules Ex Parte Inquiry

4. • 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

5. D.A.R. 1968
Discipline and Appeal Rules
DAR
WHOM
BOTH - HE & ME
HE 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?

6. 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………………

7. 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 Instructions
This is UR ARMI with which U have to run THE RAILWAYS

8. 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

9. 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 ?

10. Forms USED IN DAR DEALINGS
S.F. 1 SUSPENSION
S.F. 2 DEEMED SUSPENSION
S.F. 3 UNEMPLOYMENT CERTIFICATE
S.F. 4 REVOCATION
S.F. 5 MAJOR PENALTY CHARGESHEET
S.F. 6 REFUSAL OF ADDL.DOCUMENTS
S.F. 7 APPOINTMENT OF INQUIRY OFFICER
S.F. 8. - DO - OF PRESENTING OFFICER
S.F.10 CSHEET IN COMMON PROCEEDING
S.F.10A APPT. OF I.O. IN -DO-
S.F.10B APPT. OF P.O. IN -DO-
S.F.11 MINOR PENALTY CHARGESHEET
S.F.11A INQUIRY IN MINOR PENALTY CS.
S.F.11B TO CONVERT MAJOR INTO MINOR
SF 9 A-C CANCELLED DURING 1972 And 1975
Check Details

11. AUTHORITIES
Disciplinary Authority Issue C/sheet
For 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 DAR
Appointing Authority
The Authority that appointed the employee
in the present grade in which working
and not the initial appointing authority
Controlling Authority
Under whose control the employee
is working including heirachy
Issue promotion orders by the lowest competent authority

12. Disciplinary Authority ?

15. SUSPENSION
WHAT IS SUSPENSION ?
SUSPENSION may BE RESORTED TO
ONLY 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

16. 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.
Suspension is effective from orders received – Deemed Suspension from retrospective effect

17. ENTITLEMENTS DURING SUSPENSION
SUB .
ALLOWANCES
• NO TYPE OF LEAVE TO BE GRANTED
• 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 WELLAS 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

18. SUBSISTENCE ALLOWANCE
SURVIVAL
EQUAL TO HALF
DEDUCTIONS
MINIMUM
COMPULSORY
OPTIONA L
NON-DEDUCTABLE
IF SUBSISTENCE ALLOWANCE IS NOT PAID TO THE
EMPLOYEE EX-PARTE DECISION CANNOT BE TAKEN- S.C.
OVERPAYMENTS - DISCRETIONARY
REPORT TO DUTY ONLY AFTER ISSUING SPECIFIC
REVOCATION ORDERS - FORM NO:- 4
Not a penalty
yet BAD
REPURCUSSIONS
Details Pl.

19. PENALTIES - RULE 6
TWO 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.

20. PENALTIES - RULE 6

21. Constitutional Provision
ARTICLE 311
PRINCIPLES OF NATURAL JUSTICE
1. NO ONE SHOULD BE JUDGED IN HIS OWN CAUSE
2. HEAR THE OTHER SIDE
3. 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 and
b) GIVEN A REASONABLE OPPORTUNITY OF BEING HEARD
IN RESPECT OF THESE CHARGES.
Details Pl.

22. CHARGESHEET
WHAT IS A CHARGESHEET ?
WHEN THERE IS
A PRIMA FACIE EVIDENCE
Cont.
WHEN DO YOU PROPOSE
TO ISSUE A
CHARGESHEET ?
-A DOCUMENT
SHOWING CHARGES ALLEGED
with
VIOLATION OF AN ORDER OR RULES

23. WHAT DO YOU GET FROM PRIMA FACIE EVIDENCE ?
VIOLATION OF RULE / ORDER
GRAVITY OF OFFENCE
MAJOR OR MINOR PENALTY
SUSPENSION desired or NOT
INVOLVEMENT
Cont..

24. Before issuing a CHARGESHEET ensure
you are in possession of :
OFFENDER
RULES VIOLATED
DOCUMENTS RELIED UPON
STATEMENTS OF ALL WITNESS
WITNESS

25. THE 4 ANNEXURES OF CHARGESHEET ARE

26. 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 penalized
Can’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

27. 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

28. 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 CASE
APPOINT 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.

29. 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

30. Remember there is a vast difference between the
Inquiry done in a Court and done Departmentally.
In Courts one is acquitted due to benefit of doubt
Whereas in Departmental Proceedings one can be
Held guilty based on pre preponderance of doubt

31. • 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.

32. • 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…..

33. • 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.

34. 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. FEELAT EASE - 5 COPIES OF D -D-P
SIGNED BY C.O., I.O. & D/C AND P.O, IF ANY
INFORM D.AABOUT 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..

35. PROCEDURE FOR CONDUCT OF INQUIRY
P.A.
I.O
D.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 EARLIER
ADDLITIONAL 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.

36. INQUIRY NOT NECESSARY - when ?
Cont..
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)

37. 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 PREJUDICED
3. NOT GIVING PARTICULARS / DOCUMENTS FOR INSP.
- INSIST ON FULL PARTICULARS AND RELEVANCE
4. GIVING NAME OF D.C. WITH OUT ACCEPTANCE CERT.
- INSIST ON CERTIFICATE
5. ASKING FOR ADJOURNMENTS ON FILMSY GROUNDS
- BE REASONABLE BUT FIRM
6. DELAY in submitting WRITTEN BRIEFS
- STICK TO PRESCRIBED DATE
7. RESORT TO COURT PROCEEDINGS
- PROCEEDINGS TO BE STAYED ONLY ON STAY by Court/CAT
8. GROUNDS OF ILLNESS
- VERIFICATION OF GENUINENESS
9. NON ATTENDANCE OF D.C.
- REASONABLE LIMITS BUT NOT FOR CONVENIENCE

38. 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 DRAW
ATTENTION TO REPLIES GIVEN BY PWs & DWs
GOING 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 require
Referring to any other document while reading it. Details Pl.

39. 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 ALL
CORRESPONDENCES RIGHT FROM ISSUE OF
CHARGESHEET TO FINAL DEFENSE AND DECIDE THE
CASE 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.

40. SPEAKING ORDERS
WHAT 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
where
when
Details Pl.

41. WHAT IS APPEALABLE ?
ANY SERVICE MATTER
SUBSISTENCE ALLOWANCE.
SUSPENSION IF NO CHARGESHEET
IS ISSUED WITHIN 90 DAYS AND THE
SUSPENSION IS NOT YET REVOKED
WHAT IS NOT APPEALABLE ?
ORDERS ISSUED BY THE PRESIDENT
ORDERS OF INQUIRYOFFICER ISSUED
DURING THE INQUIRY PROCEEDINGS
INTERLOCUTORY NATURE ORDERS
Cont..
Details Pl.

42. DEALING WITH APPEALS
DEALING
CLERK
DISCIPLINARY
AUTHORITY
APPEALLATE
AUTHORITY
Within time limit or not
Correct Address of AA
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

43. R E V I S I O N
ALL 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.

44. THE PRESIDENT OF INDIA
CAN REVIEW A CASE AT ANY TIME.
REVIEW
REVIEW 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 .

45. 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
Details Pl.

46. NOW I AM SURE
YOU WILL SAY
I WILL TEACH MY STAFF & OTHERS
WHAT IS D.A.R
&
WHAT IS A.O.M.