This document outlines the rules and procedures related to disciplinary action and appeals for railway employees in India. Some key points include: - Discipline & Appeal Rules (D&AR) and Annual Confidential Reports are tools to control subordinates, but D&AR should only be used as a last resort. - Educate, coach, and motivate staff before considering D&AR. Warnings or expressing written displeasure should be tried in normal situations. - For D&AR action, the disciplinary authority must apply their full logical mind and ensure no other remedy is available before proceeding. - The document details the procedures for minor and major penalties, conducting inquiries, framing chargesheets,

1. 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 ANY
SITUATION OF GOING FOR A
DAR ACTION IN HURRY WITHOUT
APPLICATION OF MIND
ONCE AGAIN
GO THROUGH THE RULES
IF NOT SO SURE

2. Rule 11
PROCEDURE FOR IMPOSING MINOR PENALTIES
INFORM IN WRITING OF INTENTION TO
TAKE ACTION. STATEMENT OF IMPUTTIONS
OF MIS-CONDUCT OF MIS-BEHAVIOUR
TO BE MADE AVAILABLE
REASONABLE OPPORTUNITY OF MAKING
REPRESENTATION
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 MISBEHAVIOUR
Wherever needed consult
UPSC
In case punishment withholding of increments
(1)with cumulative effect, (2) for a period more
than 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 of
each charges

3. 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 breach
of 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 adversely
affecting 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

4. 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 the
Railway 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

5. 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 TIME
LAST BEING NO.E(D&A)2001 RG6-29 DATED 31-10-01 GSR/617 DT 24/11/01

6. RULE NO.2 DEFINITIONS
APPOINTING AUTHORITY
AUTHORITY EMPOWEREDTO MAKE APPOINTMENT
TO THE GRADE OR SERVICE ; OR
AUTHORITY WHICH APPOINTED TO THE GRADE, POST
OR SERVICE
WHICHEVER 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 AUTHORITY
AUTHORITY 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 who
is competent to impose any of the minor penalties
Head of the Department
Railway Servants
Service means a service under the
Ministry of Railways
SCHEDULE means a schedule
appended to these rules

7. Rule 3 - APPLICATION
APPLIES TO ALL RAILWAY SERVANTS
E X C E P TANY MEMBER OFALL INDIA SERVICE
RPF PERSONNELANY PERSON ON CASUAL EMPLOYMENTANY PERSON FOR WHOM SPECIAL
PROVISIONS EXISTS
PRESIDENT EMPOWERED TO EXCLUDE
ANY RAILWAY SERVANT FROM THE
OPERATION OF ALL OR ANY OF THESE
RULES

8. RULE NO.4
AUTHORITIES 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. 1
DEEMED SUSPENSION: USE : SF-2
CERTIFICATE FROM SUSPENDED
RAILWAY EMPLOYEE: USE : SF-4
REVOCATION: USE : SF-4

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

10. DEEMEDSUSPENSION
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.

11. ENTITLEMENTS DURING SUSPENSION
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

12. SUBSISTENCE ALLOWANCE
SURVIVAL
EQUAL TO HLAP
DEDUCTIONS
MINIMUM
COMPULSORY
OPTIONA L
NON-DEDUCTABLE
.
OVERPAYMENTS - DISCRETIONARY
REPORT TO DUTY ONLY AFTER ISSUING SPECIFIC
REVOCATION ORDERS - FORM NO:- 4

13. 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

14. Before issuing a CHARGESHEET ensure you are
in possession of
SW O R DFFENDERULES VIOLATED
OCUMENTS
RELIED UPON
TATEMENTS OF
ALL WITNESS
Statement of Article of charges
Statement of imputations of misconduct
or misbehaviour(mention any admissions)
LIST OF RELIED UPON DOCUMENTS
LIST OF WITNESS
SIGN EACH AND EVERY
PAGE ATTACHED TO THE CHARGESHEET
ITNESS
THE 4 ANNEXURES OF A CHARGESHEET ARE

15. FRAMINGOF CHARGESHEET
LANGUAGE (C.S.P.F.)
RULES OR ORDERS VIOLATED
SEPARATE CHARGES
AVOID TO INCLUDE MATTER DECIDED
CORRECT NAME AND DESIG.
OF CHARGED OFFICER AND
DISCIPLINARY AUTHORITY
Charge sheet can be prepared in Hindi or
English

16. Rule No.9
Procedure for imposing MAJOR PENALTIES
Rule No.9 and 10
and
Public Servants (Inquiries) Act 1850.
1. DA inquire into the charges
2. 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 stage
Disciplinary 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 within
1 month
If partly convinced about innocence and partly
not either go ahead with Inquiry or Inflict any
MINOR PENALTY not attracting provisions
of sub-rule (2) of Rule No.11
No defence
Order ex-parte Inquiry
Appoint IO – standard form No.7
Appoint PO (Optional) – Std.Form No.8

17. 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

18. PROCEDURE FOR CONDUCT OF INQUIRY
P.A.
I.O
D.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

19. 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)

20. 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 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