U C Bodake, IRPS

Sr. DGM (HR)

MAHA-Metro, Pune
Article 309 of the Constitution of India.

President or such person as he may direct in the case of services and posts in
connection with the affairs of the Union, and for the Governor of a State or such
person as he may direct in the case of services and posts in connection with the affairs
of the State, to make rules regulating the recruitment, and the conditions of service of
persons appointed, to such services and posts until provision in that behalf is made by
or under an Act of the appropriate Legislature under this article, and any rules so
made shall have effect subject to the provisions of any such Act.
Article 311 in The Constitution Of India 1949

311. Dismissal, removal or reduction in rank of persons

employed in civil capacities under the Union or a State
(1) No person who is a member of a civil service of the
Union or an all India service or a civil service of a State or
holds a civil post under the Union or a State shall be
dismissed or removed by a authority subordinate to that by
which he was appointed
(2) No such person as aforesaid shall be dismissed or
removed or reduced in rank except after an inquiry in
which he has been informed of the charges against him
and given a reasonable opportunity of being heard in
respect of those charges Provided that where it is proposed
after such inquiry, to impose upon him any such penalty,
such penalty may be imposed on the basis of the evidence
adduced during such inquiry and it shall not be necessary
to give such person any opportunity of making
representation on the penalty proposed:
Article 311 in The Constitution Of India 1949
Exceptions to Article 311 (2)
Provided further that this clause shall not apply
(a) where a person is dismissed or removed or reduced in
rank on the ground of conduct which has led to his
conviction on a criminal charge; or
(b) where the authority empowered to dismiss or remove a
person or to reduce him in rank is satisfied that for some
reason, to be recorded by that authority in writing, it is not
reasonably practicable to hold such inquiry; or
(c) where the President or the Governor, as the case may
be, is satisfied that in the interest of the security of the
State, it is not expedient to hold such inquiry
(3) If, in respect of any such person as aforesaid, a
question arises whether it is reasonably practicable to hold
such inquiry as is referred to in clause (2), the decision
thereon of the authority empowered to dismiss or remove
such person or to reduce him in rank shall be final
 Introduction

Discipline &Appeal Rules

and
Apply full logical mind the
Educate/coach/motivate before
staff in the
Annual Confidential Reports
AreasIf of
nogoing
D&AR
their for the
should
working
scope of D&AR
be the
and
improvement option.
lastto
updateor their skills.
involved
are the most effective tools
aNo
in There remedy
remedy
Warn/written
serious case
should
control the
should
come
not bebe
todispleasure
control to
anyleft
the
subordinates
buttired
staff
ato be
logicalfor
situation in the
conclusion
of going
resorting
After normal
full
for to ONCE
D&AR
aAPPLICATION
DAR actionAGAIN
action
situationsinOF MIND
hurry
GO THROUGH
ABOUT MINOR
APPLICATIONOR MAJOR THE
OF RULES
PENALTY
MIND
IF NOT SO SURE
 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
 RULE NO.2 DEFINITIONS
APPOINTING AUTHORITY

AUTHORITY DISCIPLINARY
EMPOWERED TO MAKE AUTHORITY
APPOINTMENT
TO THE GRADE OR SERVICE ;
Commission means
 Authority competent Head of the Department
OR
to impose any of the penalties as specified
Union
AUTHORITY
ServicePublic
inmeans
rule
Service
WHICH APPOINTED Commission
TO
a service
6 SERVICE
on gazetted
THE GRADE, POST
under the
officers.
SCHEDULE OR means a schedule
 Non-gazetted staff in relation to rule 9 those authorities who
Ministry
WHICHEVER AUTHORITY IS of Railways
HIGHEST AUTHORITY
are Railway Servants
competentappended
to impose to
any ofthese
the rules
major penalties.
(If no proof regarding appointment of a Group “C” or “D” employee
 Non-gazetted staffappointing
GM becomes
in relation to rule
authority) 11 those authorities who
are competent to impose any of the minor penalties
 Rule 3 - APPLICATION

APPLIES TO ALL RAILWAY SERVANTS

MEMBER E XOF
ANYPRESIDENT
RPF C EALL
P TINDIA SERVICE
EMPOWERED
PERSONNEL TO EXCLUDE
ANYANY
ANY PERSON
PERSON FOR
ON CASUAL
RAILWAY WHOM SPECIAL
EMPLOYMENT
SERVANT FROM THE
PROVISIONS
OPERATION EXISTS
OF ALL OR ANY OF THESE
RULES
 RULE NO.4
AUTHORITIES COMPETENT TO PLACE RLY.
EMPLOYEES UNDER
SUSPENSION

SPECIFIED IN SCHEDULES
Such authority I, II and
forthwith III to the
report
Exceptional circumstances
competent authority any authority
to place such
specified
RAILWAY in any of the schedules
SERVANTS under may
suspension,
Competent authority
 SUSPENSION: S.F. shall
1 be determined
place any subordinate RAILWAY
circumstances SERVANT
with
 reference
DEEMED to officiating
SUSPENSION: post
SF-2 at the time
specified In
there in UNDER
which order SUSPENSION
was made and
of taking action on
 Non-Employment certificateRLY. SERVANT
: SF-3
OBTAIN HIS
 REVOCATION: APPROVAL
SF-4
 A. When 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 CRIMINAL
OFFENCE.

Orders effectives after ACKNOWLEDGEMENT

 DEEMED SUSPENSION

What is DEEMED SUSPENSION ?

Is it different from SUSPENSION ?
DEEMED SUSPENSION RESORTED TO
• In custody for a period
IF beyond
: 48 Hrs.
• Convicted/ imprisoned 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 SUSPENSION
• Subsistence Allowance.
• Review (1st after 3 months).
• D.A. on Subsistence Allowance.
• Passes - 1/2 Numbers For GAZ.
and 1 to N.G., if not availed.
• P.L.B. - Payable on Resumption. SUB .
ALLOWANCES
• Medical Facilities Indoor as well as outdoor.
• Can act as defense counsel.
• Can be elected as office bearer of a union.
• Call for selections/ trade test non-selections-Results-
Sealed cover.
• Can leave HQRTS -WRITTEN PERMISSION
• No type of leave to be granted.
 SUBSISTENCE ALLOWANCE
SURVIVAL
EQUAL TO HLAP
DEDUCTIONS MINIMUM
COMPULSORY
OPTIONA L
NON-DEDUCTABLE

OVER PAYMENTS - DISCRETIONARY

REPORT TO DUTY ONLY AFTER ISSUING SPECIFIC REVOCATION
ORDERS - FORM NO:- 4
 MINOR PENALTIES

(iii) Recovery from pay of the whole or part of any

(iii-b) (i)Censure
(ii)reduction
Withholding
pecuniary
(iv) loss
Withholding to
(iii-a)ofWithholding
Railway payafor a
a of promotion
lower
caused
of to stage
the
increments
of the
specified
period
administration period
not
in
of
Privilege
for
thefor
Government
pay
exceeding
by negligence
time
Passesa scale
or
specified
oryears,
three
or breach
period with further
Privilege Ticket direction
Orders asboth;
or to whether on the
without
expiry cumulative
of such of effect
ordersthis
period, and
will or not
will adversely
not have the
affecting the
effect of postponing his pension
future increments of pay
 MAJOR PENALTIES

(v)
(vi)Save as provided
Reduction for intime
to a lower clause (iii-b),
scale of pay,
reduction
grade, post,tooraservice,
lower stage
withinorthe time-scale
without further
of pay for aregarding
directions specified period, withoffurther
conditions restoration
directions
to
such (viii)Compulsory
the gradeasortopost
(vii)REMOVAL
period,
Railway this
whether
servantwill have
was
on the
or service
from or
expiry
from
service
not
reduced have
and
(ix) Dismissal from service which shall
of the
which
which shall
the
his
effect ofnot
seniority beand
a disqualification
postponing pay the
on future
such for future
increments
restoration
ordinarily be a disqualification for
retirement;
employment
toFuture of
that grade, under
pay
post the
of government
service;
employment under the
or Railway administration
Government of Railway administration
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 that
you are in possession of Annexures

 ANNEXURES OF A CHARGESHEET

 Statement of Article of charges: Annexure -I

 Statement of imputations of misconduct

or misbehavior(mention any admissions): Annexure-II
 List of relied upon documents: Annexure-III

 List of Witnesses : Annexure-IV

SIGN EACH AND EVERY

PAGE ATTACHED TO THE CHARGESHEET
 FRAMING OF CHARGESHEET
LANGUAGE .
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
 Rule No.9
Procedure for imposing MAJOR PENALTIES

Give 10 days time to C.O. for submission of defence.

1. DA
Rule
inquire
No.9into
and the
10 charges
If the authenticated copies of RUDs not supplied with
2. CO can
Appoint and
Boarddemand for
of Inquiry
the charge sheet allow C.O. to peruse within 10 days
If
(1)the
(Senior
Public charges
Witnesses
Servants
member are
to admitted
tobebeexamined
(Inquiries) at the
Presiding
Act fromdefence
1850. stage
his side
officer,
Of receiptIfof charge sheet and 10 more days time for
None shall be subordinate to another member) partly
(2) partly
Disciplinary
Further convinced
to record
documents about innocence
findings
to be of each
examined and
charge,
If convinced
submission not of
eitherdrop
defence.
go the charges
Can
ahead take
with and intimate
assistance
Inquiry within
ofInflict
or Asstt. any
Can take
(CO further
has to evidences,
indicate
3. Appoint an Inquiring No the if circumstances
relevancy/
authority
defence
Railway Employee
MINOR at this1stage
Appoint
PENALTY IOmonth
not itself
– attracting
standard form No.7
provisions
Warrants. Deal
custodian further
ofOrder as
documents) per rule
ex-parte Inquiry No.10
Appoint
of sub-rule (2)POof (Optional)
Rule No.11– Std.Form No.8
 INQUIRY

LETTER TO C.O.- ATTEND WITH D.C. Copy to/- WITNESS,

C.O., D.A - ONLY 2 POSTPONMENTS.

MAKE C.O. FEEL AT EASE - 5 COPIES OF 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 INQUIRY
I.O
P.A. D.C
WITNESS
C.O

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 ?

1. CHARGES ADMITTED - WITHOUT 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)
Rule 11: PROCEDURE FOR IMPOSING MINOR PENALTIES

INFORM IN WRITING OF INTENTION TO

TAKE ACTION.
HOLD STATEMENT
INQUIRY OF IMPUTTIONS
AS PER RULE 9(6) TO (25)
REASONABLE
OFIN CASERECORD
MIS-CONDUCT
D.A.OPPORTUNITY
IS FINDINGS
OF
OF ONOFEACH
MAKING
MIS-BEHAVIOUR
THE OPINION THAT
In case punishment
REPRESENTATIONwithholding of increments
Take decision
Wherever
IMPUTATIONS
TO BE MADE
INQUIRY by
IS passing
needed
OF reasoned
consult
MIS-CONDUCT
AVAILABLE
NECESSARY speaking
(1)with cumulative effect, (2) for a period more
order giving
OR basis for the findings of the
UPSC
MISBEHAVIOUR
(use SF 11/b)
than 3 years and (3) adversely affecting pension
Disciplinary authority in respect of
DAR inquiry – sub rules (6) – 25 of Rule 9
each charges
DIALATORY TACTICS BY C.O. & D.C.
1. REP. AGAINST BIAS - Submit to Revisionary Authority.
2. Non- Availability of D.C. in PRE.
- Defense will not be prejudiced.
3. Not giving particulars/ documents for Insp.
- Insist on full particulars and relevance.
4. Giving name of D.C without acceptance
- Insist for Certificate
5. Asking for adjournments on flimsy 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 limit but not for convenience.
 Findings with Reasons  Based on
oral/documentry /
Circumstantial
evidence on the record
of Inquiry.
 Article of Charge  Proved or not proved
 Report to DA
 May/ may not agree with the findings
 If disagree with the findings, IO report to CO with

reasoned disagreement note for submitting final

defence.
If find any technical lacuna-may order for further

enquiry
 If agree with the findings- report to CO for final

defence
 Reasoned speaking order for imposing of penalty
 Reasoned speaking order for dropping the charges.
 Communication of order
 45 days time for appeal