• THE RAILWAY SERVANTS (DISCIPLINE AND APPEAL ) RULES 1968

[Link]

APO/G/TPJ

• DAR

Revision of DAR rules 1 to 31

Master circular 64 (Suspension)

[Link]. 66(Penalities) ,

[Link]. 67(Points to handle DAR Cases)

Disciplinary Authority, Enquiry Officer

Defense Helper, Speaking order

Suspension / Subsistence Allowance

Major and Minor penalties

Procedure for Implementation

Combination of various penalties.

Schedule of Powers, Ex-parte action

Appeal against Penalty, Revision & Review

Effect of penalty on service career

Procedure for imposing penalty on retired person

DAR is the tool to improve the performance of the employee and not to punish.

Supervisors and Officers have an important role in maintaining discipline.

•
Constitutional Provisions

• Article 309 recruitment and conditions of service of persons serving the union or state
subject to the provisions of the constitution President to make rules to regulate the working
conditions.

• Article 310 accepts the principle that Central Government employees hold their positions
during the 'pleasure' of the President, who is in control of their discipline.
 •
Constitutional Provisions

• Article 3II (1) No civil servant shall be removed or dismissed from service by an authority
subordinate to the authority who appointed him.

• 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 those charges.

•
Principles of Natural Justice:

• Principles of Natural Justice are the principle which lay down and elaborate the reasonable
opportunity which should be given to the charged employee.

• Punishment should be imposed only after a complete and systematic inquiry.

• No body can be a judge in his own cause.

• None should be condemned without being heard.

• All decisions should be made in good faith.

•
Principles of Natural Justice

1. The hearing Must be impartial.

2. Reasonable opportunity should be given to

defend the case.

3. Reasons for decisions should be made

known to the accused.

4. The charges should be intimated in

advance.

5. Justice should not only be done, it should

also appear to have been done.

Introduction to DAR
The Railway Servants (Discilpline & Appeal) Rules, 1968

(effective from 1-10-1968)

contains

7 – PARTS

31 – RULES

3 - SCHEDULES

• Rules Break up

•
DAR Rule No. and Subjects

1. Short title and commencement.

2. Definition

3. Application

4. Authorities competent to place a Railway servant under Suspension.

5. Suspension

6. Penalties.

•
DAR Rule No. and Subjects

7. Disciplinary Authorities.

8. Authority to institute Proceedings

9. Procedure for imposing Major penalties.

10. Action on the inquiry report.

11. Procedure for imposing minor penalties.

12. Communication of orders.

•
Railway Servants (Discipline and Appeal) Rules, 1968

13. Common proceedings.

14. Special provision in certain cases.

15. Provisions regarding Railway

servants lent to state Governments etc.

16. Provisions regarding officers

borrowed from central or state

Government etc.

17. Orders against no Appeal lies.

18. Orders against Appeal lies.

•
Railway Servants (Discipline and Appeal) Rules, 1968

19. Appellate Authorities.

20. Period of limitation of Appeal

21. Form and contents and

submission of Appeal.

22. Consideration of Appeal

23. Implementation of orders in

Appeal

•
Railway Servants (Discipline and Appeal) Rules, 1968

• 24. Special provisions for non-gazetted staff.

• 25. Revision. 25/A. Review.

• 26. Service of orders, notices etc.

• 26/A.. Service of orders, notices etc on behalf of Railway Board or President.

27. Power to relax time and to condone delay.

• 28. Supply of copy of Commission’s advice.

29. Repeal and saving.
30. Removal of doubts.

• 31. Right to submit petition to President

 • DAR 1968

Rule No. 1 , Short title and commencement.

(1) The rule may be called as

“THE RAILWAY SERVANTS (DISCIPLINED

AND APPEAL) RULES 1968.

(2) Come into force on 1st October 1968

• AUTHORITIES under DAR

• DISCIPLINARY AUTHORITY.

• APPELLATE AUTHORITY.

• REVISIONARY AUTHORITY.

• REVIEWING AUTHORITY.

• APPOINTING AUTHORITY.

• INQUIRY AUTHORITY (IO)

• Rule No.2 Definition

Appointing Authority

• (2) (a) Appointing Authority: The authority empowered to make appointments to the service
of which the Railway servant is, for the time being, a member or to the grade of the service.

• No Authority other than AA, order the Removal / Dismissal / CR from service

• Rule No.2 Definition

DISCIPLINARY AUTHROTY

• (2) ( C) Disciplinary Authority: (Gaz). In relation to Rule 9 and clauses (a) and (b) of sup-rule
(1) of Rule 11 in the case of any Gaz. Railway servant, an authority competent to impose any
of the penalties specified in Rule 6.

• Disciplinary Authority: ( Non- Gaz) In relation to Rule No.9 in the case of any non-gaz. Railway
servant, an authority competent to impose any of the major penalties specified in Rule No.9.
• In relation to Clauses (a) and (b) sub-rule (1) of Rule 11, in the case of Non-gaz., an authority
competent to impose any of the penalties specified in Rule No.6

• INQUIRY AUTHORITY

• The official nominated by the D.A to conduct disciplinary enquiry is the Inquiry authority. It
could be the Disciplinary Authority itself or a single officer/supervisor or a committee of two
or more officers. Not lower than the C.O

• Where there is a case of sexual harassment, the Complaints Committee established for
enquiring into it shall be deemed to be the inquiring authority.

• Defence Counsel

• Defence Counsel could be another employee or a retired Railway employee or a Trade union
official of a recognized union who is assisted to charged employee in inquiry proceedings.

• Head of the Department means clause 21 of Rule 103 IREC ”any authority which the President
may by order declare to be the head of a department for the purpose of these Rules”.

• Commission means UPSC

• Service means a service under the Ministry of Railways.

• DEFENCE HELPER.

•
Appointment of Presenting Officer

• The disciplinary Authority may when consider necessary nominate any Railway Servant as
presenting officer, to present the case in support of charges before the Inquiry Authority. The
presenting officer is mainly appointed in complicated cases where the employees of different
departments are involved (common proceeding) or in serious vigilance cases. Nomination of
Presenting Officer is done on SF8.

• Appeallate Authority

• The Authority immediate Higher authority to Disciplinary Authority. In case the penalty raised
during the Appeal then the next higher authority is called Appellate Authority (Rule 19)

• Revisionary Authority means the authority higher than the Appellate Authority but not below
the [Link]. (Rule 25)

• Reviewing Authority : President ( Rule 25.A)

• Def.
 • Commission means the UPSC

• Head of department as defined in IREC Rule 103 clause (21) “Head of a department means any
authority which the President may by order declare to be the head of a department for the
purpose of these Rules.

• Railway servant as defined in IREC Rule 103 clause (43)Railway servant means a person who is
a member of a service or holds a post under the administrative control of the Railway Board.

• Service means a service under ministry of Railways

• Schedule means a schedule appended in the rules

• Rule 3 APPLICATION

This rules shall apply to every Railway servant but shall not apply to

• ANY MEMBERS OF ALL INDIA SERVICES

• ANY MEMBERS OF RLY. PROTECTION FORCE

• Any members in casual employment – DAILY RATE

• ANY PERSON WITH SPECIAL PROVISIONS IS MADE BY WITH THE APPROVAL OF PRESIDENT

• PRESIDENT MAY BY ORDER EXCLUDE ANY CLASS OF RAILWAY SERVANTS FROM THESE RULES

• Rule No.4 Authorities competent to place a Railway servant underr suspension.

• It is available in schedules I, II, III

• In exceptional circumstances, any authority specified in any of the schedules may place any
subordinate railway servants specified therein, under suspension and report to the authority
concerned, with the circumstances and obtain his approval.

• SUSPENSION

• Kinds of suspension 1) suspension 2) deemed suspension

• Suspension is not a penalty.

• Suspension is not a permanent one.

• Suspension maximum for 90 days, it necessity to extend the committee including suspending
authority review before completion of 90 days and extend upto 180 days. Further extension
before completion of 180 days to next 180 days.
 • Suspension should be restored / revoked.

• Debar a employee do to his / her duty for a temporary period

• Suspension Rule 5.1

• A Railway servant may be placed under suspension by issuing S.F.1

• Where a disciplinary proceedings against him is contemplated or is pending ; or

• Where, in the opinion of the authority competent to place a Railway servant under
suspension, he has engaged himself in activities prejudicial to the interest of the security of
the state; or

• Where a case against him in respect of any criminal offence, is under investigation, inquiry or
trial

• Deemed Suspension Rule 5.2

• A Railway servant shall be deemed to have been placed under suspension by an order of the
competent authority by issuing S.F.2

• With effect from the date of his detention, if he is detained in custody, whether on a criminal
charge or otherwise, for a period exceeding forty-eight hours.

• With effect from the date of his conviction if, in the event of a conviction for an offence, he is
sentenced to a term of imprisonment exceeding 48 hours, and is not forthwith dismissed or
removed or compulsorily retired consequent to such conviction.

• Suspension 5.3…

5.3 Where a penalty of dismissal, removal, CR imposed upon a Railway servant under suspension is
set aside in appeal / revision review, modified by the AA/RA and the case remitted back for fresh
enquiry or modified the period from the date of order to date of reinstate is deemed suspension

• Suspension 5.4…

5.4 Where a penalty of dismissal, removal, CR imposed upon a Railway servant is set aside by the
court of law, and the DA on consideration to hold further inquiry from the date of original order of
dismissal/ removal/CR shall continue to remain under suspension until further orders

• Suspension may be desirable in the circumstances also.

• Any offence or conduct involving moral turpitude

• Corruption, Mis -appropriation of funds, disproportionate of assets, misuse of powers fro

personal gain.
• Dissertation to duty.

• Deliberate failure refusal to carry out the written orders of supervisors.

• Serious negligence considerable loss to Railways.

• Caught in Red hand while accepting bribe.

• Arrested due to dowry death.

• Eligibility during Suspension

 Rule 1342 A Railway servant under suspension or deemed suspension shall be entitled to the
following payment.

 A subsistence Allowance an amount equal to LHAP pay plus DA for the same

 When the suspension exceeding 3 months the authority to revise the subsistence allowance

 Increased not exceeding 50% of subsistence allowance

 Reduced not exceeding 50% of the subsistence allowance

 Any other compensatory allowance admissible

 Sub – Rule No.2 No payment shall be made unless the Railway servant furnishes a certificate
the he is not engaged in any other employment. (Non Employment Certificate)

• Revocation of Suspension RBE 95/2006

 Suspension may continue up to 90 days , unless it should be reviewed by the competent

authority as recommended by the committee for extension of suspension.

 Such extension of suspension shall be for a period not exceeding 180 days at a time

 The committee will ordinarily be constituted by the appellate authority and would comprise of
the suspending authority and two officials not lower in rank than the suspending authority.

 The committee will submit its recommendation to the authority which constituted the
committee who will then take a decision in the matter;

• Revocation of Suspension RBE 95/2006

 The Review Committee may take a view regarding revocation/continuation of the suspension
keeping in view the facts and circumstances of the case and also taking into account that
unduly long suspension, while putting the employee concerned to undue hardship, involve
payment of subsistence allowance without the employee performing any useful service to the
Government and make its recommendation.
  However, in case the official is in police/judicial custody or is accused of a serious crime or a
matter involving national security, the Review Committee may recommend the continuation
of the suspension of the official concerned

•
PENALTIES Rule 6 [Link]

MINOR PENALTIES

MAJOR PENALTIES

• MINOR PENALITIES

(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 Govt. or

Railway Administration by negligence or

breach of orders;

• MINOR PENALITIES

• (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.

• MINOR PENALITIES

(iv) Withholding of increments of pay for a specified period with further directions as to whether on
the expiry of such period, this will or will not have the effect of postponing the future increments of
pay.

• MAJOR PENALITIES

(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, the reduction will
or will not have the effect of postponing the future increments of his pay;

• MAJOR PENALITIES
 (vi) Reduction to a lower lime 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 or service;

• MAJOR PENALITIES

(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 or Railway Administration.

(NOTE: In case removal/dismissal /CR order for compassionate allowance / Pension &Gratutity have
to be given RBE No.79/05 & 164/08)

• MINOR PENALTY BECOME MAJOR

• Rule11(2) provides that notwithstanding the fact that withholding of increments is a minor
penalty, an inquiry has to be held under Rule 9 which has been prescribed for major penalties,
if the penalty of withholding of increments is for a period exceeding three years or is with
cumulative effect or adversely affects the pensionary benefits.

• Misconduct Before appointment

Disciplinary action can be taken against an employee in respect of misconduct committed before his
employment if the misconduct is of such a nature as has rational connection with his present
employment and renders him unfit and unsuitable for continuing in service.

• Special Provisions

In cases of persons found guilty of passing Railway Signals at danger, one of the penalties specified
in clauses (v) to (ix) of Rule 6 (viz One of the major penalties) shall ordinarily be imposed.

• Special Provisions
 • In case of persons found guilty of having accepted or having obtained from any person any
gratification, other than legal remuneration, as a motive or reward for doing or forbearing to
do any official act, one of the penalties specified in clauses (viii) or (ix) of Rule 6 (viz. Removal
or Dismissal) shall ordinarily be imposed.

• In all the three types of cases mentioned above, where the specified penalty is not imposed,
the reasons therefor shall be recorded in writing.

•
Court's powers to interfere with penalties

The Central Administrative Tribunal does not have the power to interfere with the decision of
the competent authority in so far as quantum of penalty to be imposed is concerned.

The Tribunal cannot interfere with the findings of the Inquiry Officer or competent authority
unless they are illogical or bad

•
Court's powers to interfere with penalties

If there has been an enquiry consistent with the rules and in accordance with the Principles of
Natural Justice, what punishment would meet the ends of justice is a matter exclusively within the
jurisdiction of the competent authority.

If a penalty can be lawfully imposed and is imposed on the proof of misconduct, the Tribunal has no
power to substitute its own discretion. The adequacy of the penalty, unless it is malafide is not a
matter for the Tribunals to be concerned with.

• CENSURE

If at the end of the proceedings, it is found that some blame attaches to a Railway Servant, warning/
Govt. Displeasure/ Counseling which are not recognized penalties, should not be imposed. In such
cases, at least the penalty of Censure should be imposed.

•
Withholding of promotion

• Even though withholding of promotion is a specified penalty under Rule .6 non-promotion

during the currency of the penalty of withholding of increment etc., will not amount to
imposition of two penalties.

• A denial of promotion in such circumstances is not a further penalty but a necessary

consequence of his conduct.
 •
Recovery of Loss:

In cases of loss caused to the Government by negligence, breach of orders, etc., on the part of an
employee, it would be open to the competent authority to inflict, in addition to the penalty of
recovery from pay of the loss caused, any one of the penalties specified in Rule 6 (i), (ii). iii(a), iii (b),
(iv) and (vi) of RS (D&A) Rules, 1968, by way of one and the same order and in pursuance of one and
the same proceedings.

It would not amount to double punishment.

•
Recovery of Loss:

In the case of large sums of recovery of losses, the installments can be so fixed as not to cause undue
hardship to the Railway Servant and his family.

• Withholding of Passes/PTOs:

The penalty of withholding of Passes/PTOs for a period of less than one year should be restricted to
very minor offences as it may not prove to be an effective punishment, except for the slight
inconvenience that may be caused during the period of the punishment since the employee can avail
of all the Passes/PTOs due in the calendar year as soon as the period of punishment expires.

•
Withholding of Passes/PTOs:

In order to make the penalty of withholding of Passes/PTOs effective, the penalty should be imposed
in terms of sets instead of for a specified period. In cases where the employee has already taken all
the Passes/PTOs due in the calendar year, the withholding may be against the next year's account.

Though no ceiling, but should not withhold more number of sets .

Post-retirement complimentary Passes cannot be withheld as a penalty

• Withholding of Increment:

If a Railway Servant becomes due for promotion after the penalty of withholding of increment is
imposed, he should be promoted only after expiry of the penalty. However, where the penalty of
withholding of increment is to become operative from a future date, the employee should be
promoted in his turn and the penalty imposed in the promotional grade for a period which would not
result in a greater monetary loss.

• Withholding of Increment
 • The penalty of withholding of increments can be operative only to the increments to which
the employee has not become entitled on the date on which the penalty order is issued.

• An increment, to which the employee had already become entitled (but which was not
actually drawn) on the date of imposition of the penalty, cannot be withheld. Specified
periods only.

•
Reduction to a lower stage in the same scale of pay

The penalty of reduction to a lower stage in time scale should indicate:

• a. The date from which it will take effect and the period for which the penalty will be
operated,

• b. The stage in the time scale (in terms of rupees) to which the pay is reduced and

• c. The extent (in terms of years and months), if any, to which the period, referred to in (a)
above should operate to postpone future increments,

•
Reduction to a lower stage in the same scale of pay

The reduction to a lower stage in a time scale for an unspecified period or as a permanent measure is
not permissible under the rules. When the pay of an employee is reduced to a particular stage, his pay
will remain constant at that stage for the entire period of reduction.

If the penalty of reduction to a lower stage in time scale is not to operate to postpone future
increments the employee shall be allowed, on expiry of the penalty, the pay which he would have
drawn had he not been reduced.

• Reduction to a lower stage in the same scale of pay

Where the reduction to a lower grade or post is for a specified period, the employee should be re-
promoted automatically, on expiry of the penalty, to the post from which he was reduced. Such an
order of reduction should clearly specify; The period of reduction; and Whether on re-promotion,
the Railway Servant will regain the original pay and seniority in the higher grade from which he was
reduced.

• Compulsory Retirement

Compulsory retirement is different from premature retirement under Rules 1802, 1803 and 1804 of
IREC. The latter is not a penalty and is ordered as an administrative measure.

The penalties of dismissal, removal and reduction in rank, compulsory retirement has been included
as a major penalty in the Rules and is less severe than the penalties of removal and dismissal.
 • Compulsory Retirement

• A Railway Servant who is compulsorily retired from service as a penalty may be granted
pension/ gratuity in terms of provisions contained in Rule 64 of Railway Services (Pension)
Rules, 1993 not less than 2/3rd of the original pension / gratuity.

• Dismissal & Removal

• A Railway Servant who is dismissed or removed from service forfeits his pension and gratuity.
However, the authority competent to dismiss or remove him from service may, if the case is
deserving of special consideration, sanction a compassionate allowance in terms of Rule 65 of
Railway Service (Pension) Rules, 1993.

• The compassionate allowance not more than 2/3rd of the pension / gratuity. The should
record whether he is entitled for compassionate allowance or not.

• Compassionate allowance RBE 164/2008

• DA not sanctioned compassionate allowance at the time of removal he cann’t reopen the
case.

• The AA/RA can sanction compassionate allowance if DA not sanctioned.

• The 10 years Q.S, DAR file / SR / LC necessary for considering the facts.

• If the competent authority is decided to sanction compassionate allowance after the death of
the employee, he can sanctioned family pension from the date of death of the deceased
employee.

• Entitled during Removal/dismissal

Removal / Dismissal

• Provident Fund

• Group Insurance

• Removal /Dismissal

• Compassionate Allowance (If sanctioned - to the extent of a maximum of 2/3 rd of

Pension/Grautity as decided by the Disciplinary Authority & PRCP ) . (Rule 65 RSPR 1993)

• In case of Compulsory Retirement – compulsory Retirement Pension will be sanctioned not

less than 2/3 rd of Pension and Gratuity. (Rule 64 RSPR 1993)

• SCHEDULE OF POWERS
 • SCHEDULE OF POWERS

• SCHEDULE OF POWERS

• SCHEDULE OF POWERS

No

Institution of disciplinary proceedings simultaneous with criminal proceedings:

• Disciplinary proceedings under the Railway Servants (Discipline & Appeal) Rules can be
initiated and concluded even if court proceedings are pending since the ingredients of
misconduct and the standard of proof required are different in the two types of proceedings.
Initiation and conclusion of departmental action in such cases will not amount to a contempt
of court unless an order is given by a court of law staying the departmental proceedings

• Rule 7 Disciplinary Authority

• The President may impose any penalties.

• The Authority as mentioned in Schedule to impose penalties.

• Railway servant officiating in higher post, the disciplinary authority decided according to the
officiating post.

• Rule.8 Authority to institute Proceedings

• Any authority competent to impose any of the penalties given in Sch. Can institute
proceedings. At the end of the proceedings, if the penalty proposed to impose not with his
power , he will forward the inquiry proceedings to the appropriate authority for imposing the
penalty.

•
Rule No.9 [Link]
Procedure for imposing major penalties

CHARGE SHEET – [Link].5

Anx. I – Articles of Charge

Anx. II – Statement of imputations

Anx. III – List of Documents

Anx. IV – List of Witnesses

• CHARGE SHEET

DOCUMENT IN A STANDARAD FORM STATING THAT ACTION IS PROPOSED TO BE TAKEN FOR

LAPSES OR MISCONDUCT

NO PENALTY CAN BE IMPOSED WITHOUT ISSUE OF CHARGE SHEET

• FRAMING OF CHARGE SHEET

• CHARGE IS AN ACCUSATION

• COMMUNICATED TO THE EMPLOYEE

• IN SIMPLE LANGUAGE

• RELATING TO THE FACT

• INDICATING THE RULES VIOLATED

• CHARGE FOR EACH ALLEGATION

• SIGNED BY DISCIPLINARY AUTHORITY

• CORRIGENDUM – MINOR CHANGES

• FRESH CHARGE SHEET

•
DELIVERY OF CHARGE SHEET

• THROUGH IMMEDIATE SUPERVISOR

• REFUSED – N.B. WITH TWO WITNESSES

• ABSENT – SENT BY RPAD

• DELIVERED – DEFENCE STATEMENT

• REFUSED – N.B. WITH TWO WITNESSES

• UNDELIVERED – FILED w/o OPENING

• RUNNING STAFF – ‘SIGNING OFF’

 • [Link].5 CONTAINS

• Purpose is to hold inquiry

• Inspect documents

• Can engage Defence Helper

• Reply within 10 days after perusal/Records

• Admit or Deny each Articles of Charge

• Inquiry on Charges not admitted

• Warning – no influence

• No reply – ‘ex parte’ decision

•
DEFENCE STATEMENT

• Inspect and take extracts from Records

• Admit or Deny each Charges

• Submit list of defence witnesses

• Within 10 days after perusal / Records

• CONDUCTING

INQUIRY

or

EX-PARTE INQUIRY

• Major penalty proceedings

• Preliminary inquiry

• Suspension if necessary

• The existence of a prima face charges, justifying the initiation of regular DAR proceedings.

• Serve the charge sheet with ack.

• Charge sheet consists article of charges/ imputation of charges, RUD, and list of witness

• Major penalty proceedings

• The reply of defence statement with in 10 days.

• Allowed further 10 days if requested for inspection of documents

• C.O submit defence statement and his witness

• D.A shall consider and decide whether inquiry shall be proceed.

• Appoint I.O behalf of D.A to inquiry the charges not admissible

• Major penalty proceedings

• Whether all the charges are admitted by CO. DA can record its findings of each charges.

• DA decide to not to impose major penalty , he ordered for drop the charge sheet or impose
minor penalty.

• Appointment of P.O to present the case

• Forward the file to I.O including nomination of P.O

• Major penalty proceedings

• I.O Communicate C.O about the date of preliminary inquiry and advice to appear before I.O
on such a day and time.

• The C.O can present the case with the help of D.H for the Preliminary hearing for inspection of
RUD

• Major penalty proceedings

• The date of Regular inquiry will be fixed with in 1 month P.H for regular hearing .

• In regular hearing examination of Admn. Witness by P.O/I.O cross examine by D.H

 Examination of C.O by D.H or I.O defense witness and cross examine by I.O or P.O

 All DAR proceedings are type and signed by all daily in every pages of inquiry.

 Submission written brief by P.O, copy to C.O. Preparation of C.O brief and handed over to I.O
copy to P.O

• Major penalty proceedings

• Inquiry report shall be prepared by I.O about article of charges, defence statement by C.O,
evidence of each article of charges and his findings

• Forward the inquiry report to D.A with enclosures.

• D.A if convinced deliver speaking order and determine the penalty.

• Not convinced order for re-inquiry

• Issue the penalty with acknowledgement, the name of the A.A and time limit for appeal

• Implement the penalty . Personal hearing for removal/Dismissal / cases.

•
Ex parte Inquiry

• All the procedures as laid down will be followed except that the employee does not present
himself and does not respond to communications.

• It may be done when the charged employee refuses to participate despite repeated sittings,
but not when he is submitting Medical Certificate of sickness.

• Speaking Order

• The Disciplinary Authority imposing the penalty must apply his /her mind to the facts,
circumstances and records of the case and then record its findings on each imputation of
misconduct or misbehaviour.

• The Disciplinary Authority should give brief reasons for the findings to show that it has applied
its mind to the case. The reasons recorded by the Disciplinary Authority shall be helpful to the
affected employee to prefer an appeal.

• Speaking Order

• When the explanation of the delinquent has not been considered, the reasons for rejecting
must be recorded.

• The Authority must be very careful while passing the penalty order. The term reduction in
stage, scale, grade, pay, post, seniority etc are to carefully and clearly used.

• Orders passed by DA/AA/RA have to be reasoned speaking orders and cannot be one line
orders with application of mind.

• No other officials other than DA/RA/AA can sign the orders under these rules.

• Rule No.10 Action on inquiry report

• Forward the inquiry report to C.O to get the explanation with in 15 days.

• Proceedings may be dropped

• May impose ‘minor penalty’ by issuing speaking order.

• Proceed further inquiry for the Charges not proved by the same I.O or any other and forward
the Case File to Inquiry Officer.

• ACTION ON THE INQUIRY REPORT

• He may impose the major penalty by issuing speaking order. If the penalty is not under his
power forward the file to appropriate authority

• Record his findings

• Impose penalty with appropriate speaking order

• Penalty Advice to the Employee

• Appeal within 45 days – Appellate Authority

• Rule o.11 PROCEDURE–MINOR PENALTY

• Charge Sheet – [Link].11

• Informing the Railway servant in writing of the proposal to take action against him for the
statement of imputations

• Reply within 10 days – Accept / Deny

• Consideration by D.A.

• Inquiry may be ordered by D.A.

• D.A. record his findings & impose penalty

• Speaking Order – reason for penalty

• Penalty Advice

• No reply – ‘ex parte’ decision

• Appeal within 45 days to Appellate Authority

• Rule 12 Communication of orders

• Orders made by the D.A shall be communicated to the Railway servant through proper
channel with ack.

• Absent through Register post with last known address.

• Running staff issued while Signing OFF

• Rule :13 Common Proceedings.

• Where two or more railway servants are concerned in any case, the highest D.A to impose the
penalty of dismissal may institute the proceedings

• Rule 14. Special procedure in certain cases

• 14. (i) where any penalty is imposed on a Railway servant on the ground of conduct which has
led to his conviction on a criminal charge; or

• 14 (ii) where the disciplinary authority is satisfied, for reasons to be recorded by it in writing,
that it is not reasonably practicable to hold an inquiry in the manner provided in these rules;

• 14 (iii) where the President is satisfied that in the interest of the security of the State, it is not
expedient to hold an inquiry in the manner provided in these rules; the disciplinary authority
may consider the circumstances of the case and make such orders thereon as it deems fit:

• Rule 14. Special procedure in certain cases

• Provided that the Railway servant may be given an opportunity of making representation on
the penalty proposed to be imposed before any order is made in a case falling under clause (i)
above:

• Provided further that the Commission shall be consulted where such consultation is necessary,
before any orders are made in any case under this rule.

• Charges are admitted without any qualification but inquiry to be conducted if the D.A decided
to impose the penalty of Compulsory Retirement Removal / Dismissal .

• Rule 15 Provisions regarding Railway servants lent to State Governments etc..

• Borrowing authority can place the servant under suspension and conduct disciplinary
proceedings and inform the lending authority.

• At the end of the proceedings he can impose minor penalties specified up to (iv) after
consultation with lending authority.

• In case Major , submit to lending authority or replace his services and send back to lending
authority.

• Rule 16 Provisions regarding Railway borrowed from Central or State Govt..

• can place the servant under suspension and conduct disciplinary proceedings and inform the
lending authority.

• At the end of the proceedings he can impose minor penalties specified up to (iv) after
consultation with lending authority.
• In case Major , submit to lending authority or replace his services and send back to lending
authority with inquiry proceedings.

• Part.V Rule 17-24 APPEALS

• APPEAL

• SECOND APPEAL

• REVISION Rule 25

• REVIEW Rule 25.A

• ORDERS AGAINST NO APPEAL - RULE 17

• Any order of the President.

• Any order of an interlocutory in nature or of the nature of step-in-aid of the final disposal of
disciplinary proceedings othen than an order of suspension.

• Any order passed by the I.O during the course of inquiry.

• ORDERS AGAINST WHICH APPEAL LIES (Rule-18)

• Any order of Suspension.

• Payment of subsistence allowance.

• Any order imposing the penalty under rule.6

• Treatment of suspension period.

• Penalty and enhancement of penalty.

• An order denies or varies from the conditions.

• An order interpreted to the disadvantage.

• An order of reversion otherwise than as penalty.

• Any order enhancing the penalty

• An order with holding / with drawl of pension.

• Rule 19 APPELLATE AUTHORITY

• Means an authority is immediate higher authority who impose the penalty (D.A) except in
some situations stipulated .
 • Where a penalty enhanced, either in appeal or on revision, that authority will become D.A and
the charged official have the right to made an appeal / revision accordingly

• Once the authority acted as DA , he never took the case as Appellate Authority or Revisionary
authority.

• Rule 20
PERIOD OF LIMITATION FOR APPEAL
With in 45 days

The A.A may entertain the appeal, after the expiry of the said period, if it is satisfied that the
appellant had sufficient cause for not preferring the appeal in time. (Condone of delay)

•
Rule 21. FORM, CONTENTS AND SUBMISSION OF APPEAL

• BY THE APPELLANT IN HIS NAME.

• IN THE FORM OF AN ARGUMENT.

• DISRESPECTFUL AND IMPROPER LANGUAGE NOT TO BE USED.

• COMPLETE IN SHAPE.

• CORRECTLY ADDRESSED.

• To be signed by the employee and not by DH.

• Rule 22. CONSIDERATION OF APPEAL

• If the appeal is against suspension the authority shall consider the circumstances and decide
whether suspension is justified or not.

• If the appeal is against a penalty the authority shall consider : –

- Whether the procedures have been Complied with.

- Whether the findings are warranted by evidences on record.

- Whether the penalty is adequate.

• Disposal of Appeal

Pass an order of –

- Confirmation, enhancement, reduction, modification of the penalty or

- Set aside the penalty or

 - Remit the case to the same authority or to other authority with direction as deems fit or

- Any other order as deems fit.

• After –

- Consultation.

- Conduct of enquiry.

- Giving reasonable opportunity.

Wherever considered necessary.

• Rule 23 Implementation of orders in Appeal

• The Authority which made the order appealed against, shall give effect to the orders passed
by the Appellate Authority.

Second Appeal

• No second appeal lies against the orders of the appellate authority (i) upholding the penalty
already imposed or (ii) reducing the penalty already imposed.

• However where the penalty has been enhanced by the Appellate

• Part VI – Rule 25 - REVISION

• By President

• By Railway Board.

• By General Manager

• By Divisional Railway Manager in case where no appeal has been preferred, or.

• Any other authority not below the rank of Deputy Head of Department in the case of Railway
servant serving under his control.

• Part VI – Rule 25 - REVISION

-may at any time, either on his either on own or otherwise, call for the records of any inquiry
and revise any order made under these rules or under the rules repealed by Rule 29, after
consultation with the commission, where such consultation with the commission and may,

•
 • By an authority higher than the appellate authority.

• The authority has not already dealt the case.

• Commence after disposal of appeal where appeal is preferred.

• Commence on expiry of 45 days time allowed for making appeal where appeal is not intended.

• Reasonable opportunity is to be given to represent.

• Consultation with the UPSC is necessary where ever provided.

• Enquiry is to be conducted where ever warranted.

• Time limitations applicable.

• Review Rule 25.A

• President at any time either on their own or otherwise can review any order passed already.

- Only when a new material or evidence which could not be produced or was
not available earlier and is capable of changing the order already passed.

- Provisions on giving reasonable opportunity to represent, consulting the

commission, conduct of enquiry etc. are applicable where ever necessary.

• Sealed Cover Procedure.

• The term sealed cover means the procedure in which the assessment of departmental
promotion committee and granting award by it to the government servant against whom
DAR / Criminal Court Case proceedings is pending.

• The report is kept in sealed cover and shall not be opened till the termination of DAR/Court
case. The procedure adopted in the matter from Group B to A and with in Group A
promotions. Under Suspension, Major penalty SF5 pending, Criminal case pending.

• DAR PROCEEDING SHOULD BE STOPPED WHEN THE DELIQUENT EMPLOYEE DIED.

• COMMUTATION OF PENSION NOT ELIGIBLE, IN CASES WHERE PROCEEDINGS ARE DROPPED

ON ACCOUNT OF DEATH OF THE RAILWAY SERVANT .(RBE45 /2002)

• DAR PROCEEDINGS CAN INITIATE AFTER RETIREMENT ALSO WITH IN 4 YEARS FROM THE DATE
OF RETIREMENT OR OCCURANCE

• A retired DAR pending employees is entitled for Provisional Pension, PF, GIS, Medical facilities
RELHS

• RBE No. 119/2015

• in some instances, the penalties of dismissal, removal or compulsory retirement were
imposed on a Railway servant by an authority lower than the authority which had actually
ordered the appointment/promotion of the Railway servant.

• It is therefore reiterated that a lower authority who has merely issued/signed the order
regarding appointment/promotion which has been ordered by a higher authority, is not
competent to impose the penalty or dismissal, removal or compulsory retirement from service
on such Railway servant. Such action is not only violative of the RS(D&A) Rules but also
unlikely to withstand judicial scrutiny.

• Master circular 67 (important points)

• DAR-quasi judicial in nature . DAR framed by President under the mandate of Art. 309.

• Charge sheet singed by DA as per Schedule.

• DA should be controlling officer

• DA also can recall the witness & examine after submission of I.O report.

• C.O can represent against I.O report within 15 days from the date of receipt.

• AA & RA consult Vigilance / Safety Officer for reducing the penalty major to minor.

• In respect of ADRM and DRM, AGM and GM who have concurrent powers under [Link].
DRM/GM cannot act as R.A if appeal was disposed by ADRM/AGM

• Master circular 67 (important points)

• AA should be disposed within one month.

• Enhancement of penalty during appeal a notice to be served to C.O if inquiry not holding , to
conduct inquiry.

• C.O can seek personal hearing with D.H to Appellate Authority (Non – gaz.).

• Revision within 45 days. Suo-motto beyond the time limit, it can be done by G.M. Beyond 6
months from the date of the order to be revised in case where it is proposed to increase
penalty. Beyond one year from the date of the order to be revised in case where it is
proposed to cancel the penalty only suomoto & not by revision.

• Master circular 67 (important points)

• A show cause notice to be served for enhancement of penalty.

• A group D employee submit revision petition directly to DRM.

• No second Revision. In Revisionary authority revise and can submit an appeal before
Revisionary authority.

• If the penalty revised the completed part of penalty can be taken in to consideration by
Revisionary Authority.

• Revision / Review should complete before retirement.

• DAR Proceedings after retirement, if suspension continue or charge sheet served before
retirement no need to get approval from president.

• Master circular 67 (important points)

• President proposal cut in pension should recommended by PHOD & CPO.

• Charge sheet retired employee cannot be given in respect of any offence which had taken
place more than 4 years before issue of charge sheet.

• President is vested with the right of with holding / with drawing of pension / gratuity.

• Proceedings were initiated one year or more prior to the date of retirement of C.O, the
proposal should be sent with in 3 months from D.O.R.

• Initiated with in the last year the proposal be sent with in 6 months from DOR.

• DAR

• How many part are there in D&A rules – 7 parts

• How many rules are there in D&A rules – 31 rules

• Who is the appointing authority for Group B officers- GM

• Form to submit for grant of Subsistence allowance - SF.3

• Form for use sow cause notice action is proposed under Rule 14 (1) - S.F.12

• Refusal for permission to inspect documents - SF.6

• Authority empowered to place Gr. A&B – [Link] DAR

• The decision / enquiry of Complaints Committee under Rule 3C RS conduct rules 1966 shall
be deemed for completion of enquiry proceedings under - Rule.9

• DAR

• Who is the authority for D & AR rules under Art. 309 - President

• Annexure I and II of SF.5. - Article of charges and Statement of imputation of charges.

 • Rule 25.A deals with Review

• No major penalty shall be imposed without holding inquiry specified under Rule .9 &10

• Time limit for submitting revision petition - 45 days.

• Suspension should not exceed _ days unless it should review by the committee up to ____
days. 90 days / 180 days.

•
THANK YOU

All the best

Preparation of charge sheet

and CONDUCTING

OF INQUIRY

(Rule 9 to 11 DAR 1968)

 Conducting Inquiry (Rule 9 to 11)

 WHEN INQUIRY REQUIRED

 TO IMPOSE MAJOR PENALTY

 TO IMPOSE MINOR PENALTY WHEN WITH HOLDING OF INCREMENT, Exceeding 36 months

or Cumulative Effect or Affecting pension

D.A feels that Withholding of increment more than certain years (i.e 36 months) with cumulative
effect.

 PURPOSE OF INQUIRY

 TO ASSIST THE D.A.

 TO DECIDE - GUILTY OF CHARGES

 WHICH CALLS FOR DAR ACTION

 IN-HOUSE EXERCISE

 QUASI-JUDICIAL PROCESS
  REASONABLE OPPORTUNITY under PNJ

 CONSTITUTIONAL PROVISION

 WHO IS TO
CONDUCT INQUIRY

 D.A. HIMSELF

 BOARD OF INQUIRY

 INQUIRY OFFICER

 Rule No.14 Special Procedure in certain Cases

(Inquiry not necessary)

Not withstanding anything contained in Rules.9 to 13

i) Where any penalty is imposed on the ground of conduct which has led to his conviction on criminal
charge except consumer act..

ii) DA satisfied that reasons to be recorded in writing, that it is not reasonably practicable to hold an
inquiry in the manner provided in these rules or

 Rule No.14
Special Procedure in certain Cases

iii) Where the President is satisfied that in the interest of security of the state it is not expedient to hold
an inquiry in the manner provided in these rules .

 Charges are admitted without any qualification

 Steps in conducting inquiry

 Steps in conducting inquiry

 Steps in conducting inquiry

 Steps in conducting inquiry

 Steps in conducting inquiry


Step.1 Identification of competent D.A

 In case where no records to find out the appointing authority then the General Manager is the
Disciplinary Authority in that case.
  If the supervisor not a D.A he must put to a note to the appropriate authority with the remarks
of the charges and mentioned that I am not competent to take disciplinary action for imposing
major penalty. For orders please.

 The charges not obeying order / not doing the assigned work / absconding from work spot /
unauthorized absent etc.,

Step.1 Identification of competent D.A

 The D.A should decide Major or Minor. He is unable to decide based on the note he nominate a
supervisor to conduct fact finding inquiry . After receipt of the report he may decided SF.5 or
SF.11.

 The staff against whom disciplinary pending / criminal case pending , should not normally
transferred from one Railway / Division to another.

 In case transferred the new controlling officer will become D.A and the entire case file should
transfer to him and he will continue the proceedings

 SCHEDULE OF POWERS

 SCHEDULE OF POWERS

 SCHEDULE OF POWERS

 SCHEDULE OF POWERS

No

 [Link]

No

 [Link]

No

 MINOR PENALITIES

(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;

 MINOR PENALITIES

(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 directions as to whether on the

expiry of such period, this will or will not have the

effect of postponing the future increments of pay.

 MAJOR PENALITIES

(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, the reduction will or will not
have the effect of postponing the future increments of his pay;

 MAJOR PENALITIES

(vi) Reduction to a lower lime 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 or service;

 MAJOR PENALITIES

(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 or Railway Administration.

 Step.2

 1) Fact finding inquiry is ordered, if necessary to find out the truth. This is mainly to find out
prima facie, whether there is any case.

 2) In D.A’s opinion if there are grounds for inquiring into the imputations of misconduct, he
decides to do so.

 3) D.A shall decide whether the delinquent railway servant is to be placed under suspension or
not.

 4) D.A to decide Major or Minor


Step.3 Preparation of charge sheet Standard Form 5 by the D.A
  After identification of D.A and his decision to issue charge sheet, preparing the charge sheet is
the next step for conducting the inquiry.

 It is very important since the defective charge sheet may lead to even cancellation of entire
disciplinary proceedings.

 It must have the basic aspects viz. Substance, clarity about the specific charges supported by the
documents and witnesses and should be signed by the appropriate D.A with date. D.A has to
avoid signing on behalf of some other officers.


Step.3 Preparation of charge sheet

D.A decide that the charges are more serious he can order to issue major penalty charge sheet S.F.5
Otherwise he can issue minor penalty charge sheet S.F.11


The initial stage in DAR before inquiry

 A. Preparation, Issue of Charge Memorandum & Acknowledgement Charge Memorandum

(Charge Sheet) shall be prepared with maximum care and to be signed by the competent
authority with a date.

 The charges should be specific and supported by proper document(s) and witness (es), Charges
must be specific and should be specific.


The initial stage in DAR before inquiry

 I. The lapses or misconduct like habitual late attendance, insubordinate, failure to maintain
integrity, or devotion to duty, including in an act of unbecoming of a public servant are should
be spelled out.

 II. If by the lapses attributed to him, he had contravened any rule or order or provisions in the
conduct rule applicable to him, then such rule or order or provision must be mentioned in the
charge after giving the factual allegation.

 Preparation of Charge sheet

In the charge sheet mention of IPC (Indian Penal Code) or any other law may not be made because
the employee is to be tried for violation of Railway Rules and they should only be mentioned.

a) Annex. I – Article of charges-

The charges should be drawn up in clear articles of charges, separate for each alleged act of omission
or commission. • The charge must be specific and not vague
  The initial stage in DAR before inquiry
Annexure .II

Statement of imputations in support of Article of charges-

 The Article and the Statement of imputations in support of the charges should not be identically
worded.

 While the Article of charges should be concise, the imputations should contain details,
references, etc. relating to the charges and should generally give a clear idea about the facts and
circumstances relating to the alleged act.

 Specific rules/instructions which may have been violated should be also being mentioned in the
statement of imputations, factual allegation.

 Preparation of charge sheet

 Annex. III- The list of documents in support of the charges-

 Documents relevant for substantiating the charges need to be listed out.

 Anonymous/pseudonymous report should not be mentioned.

 The vigilance inspector investigation report should not be included as a relied upon document.

 Annex. IV- List of a witness by which the Article of charges is proposed to be sustained-

 Witnesses relevant to substantiating the charges need to be included.

 Serving charge memorandum

 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 good as served.

 The envelope returned undelivered, should not be opened by the office & must be kept in
sealed condition and preserved.

 Serving of Charge Memorandum to running staff

The Railway employees concerned with the running of trains should not be served with charge sheets
when they are going to start their duty, but only when they are going off duty.


MAJOR PENALTY Charge sheet SF.5
 [Link].5 Contains

Anx. I – Articles of Charge

Anx. II – Statement of imputations

Anx. III – List of Documents

Anx. IV – List of Witnesses

 Framing of Charge Sheet

 Charges: OS/Bills of Personnel Branch claimed salary for the absented employee more than 6
months and not even recover the over payment till checking by the Staff and Welfare Inspector:

 What is the penalty to be given Major or Minor?

 Who is the Disciplinary Authority ?

 What is the rule violated?

 What is the RUD?

 Who are witness in this case?

 Model S.F.5

 Preparing charge sheet correctly

1) Identify the exact misbehaviour / misconduct

2) How he is violated the conduct rule or violated

any written instructions

3) For Example, if an employee is unauthorized absented for a long time, the unauthorized absence is
the misconduct. As per conduct rules, should not have absented himself for a long time without proper
sanction of leave. So he violated rule 3 (1) (ii) failure to maintain devotion to duty.

 Preparing charge sheet correctly

4) Example: “Technician assaulting a Supervisor”

Every Railway Servant should behave politely, Courteously with his colleagues and friends and
obediently with his supervisor. So it is unbecoming of a Railway servant under conduct Rule 3(1)(iii).

5) Driver passing signal at Danger _ Devotion to duty 3(1)(ii)

6) Some times single act of misconduct might have violated more than one conduct rule 3(1)(i) absolute
integrity and 3(1)(iii) unbecoming of Railway servant

 ABSOLUTE INTEGRITY

1) Used metal pass / DCP while on leave.

2) Accompanying a lady, under the disguise of wife while using privilege (medical / pass).

3) Used Railway’s money in possession for his personal purpose (i.e) misappropriation of government
money etc.,

4) Claiming of additional increment / additional allowance in bill for the benefit of certain employees.

5) Using his official position to give undue advantage of certain people.

 “Devotion to duty”

1 ) Every railway servant is expected to maintain devotion to duty in his assigned job at all time.

2) The work is not completed on time. Welfare inspector not finalised Pension Adalt case before Adalt.

3) The work is completed but not to the required quality and quantity (JE/SSE/[Link] failed to inspect
the packing of track – result derailment.

4) More mistake in the assigned job caused engine failure / brake failure in loco / carriage

5) While preparing a charge sheet state clearly which rule has violated.

 “Unbecoming of a Railway Servant”

1 ) Railway servant involved in Public crime.

2) Bigamy (marriage more than a wife)

3) Assaulting a Supervisor / Colleagues .

4) Involved chit fund activites / money lending.

5) Cheating others.

Due to these acts the name of the organisation also spoiled, resulted unbecoming of a Railway
servant.

Content of the charge sheet S.F.5

1) the substance of the imputations of misconduct or misbehavior into definite and distinct articles of
charges.

2) A statement of the imputations of misconduct or misbehaviors in support of each article of charge

which shall contain

a) a statement of all relevant facts including any admission or confession made by the Railway servant.

b) A list of documents by which , and a list of witness by whom, the article of charges are proposed to be
sustained. The witness are called “administrative witness / prosecution witness”.

Content of the charge sheet S.F.5

1) Article of charges Annexure .I - D.A has to relate, as explained the misbehavior or misconduct with
the conduct rules and convert them in to a definite articles of charges Article of charge means charge of
violating of a conduct Rules, i.e say that he has violated Rule 3(1)(i) of Railway Services (Conduct) Rules
1966, by committing theft (Absolute integrity), he has violated by 3(1)(ii) of Railway Services (Conduct)
Rules 1966 by remaining unauthorizedly absented for 8 months.

2) Statement of imputation of charges [Link] : A statement is prepared explaining the misconduct

so as to substantiate the article of charges with evidence of documents and witnesses.

Content of the charge sheet S.F.5

3)List of Documents Annexure .III - Relied Upon Documents. The charges must proved in the inquiry
proceedings based on the documents – Exampled Absented – Muster roll – i.e documents to prove his
unauthorized absent.

4) List of Witness Annexure .IV : The witness to be examined at the time of inquiry to prove the
charges. In the above case absented the list of witness immediate supervisor and Leave clerk.

5) The charges explained must be precise, definite and convey the charged official the exact nature of
the alleged misconduct. And signed by the competent D.A with date.


Contact Rule and Violation

1) Assaulting a supervisor

Rule 3 (1) (iii) unbecoming of a Railway servant

Rule 3 (A) (a) in the performance of his official duties, act in a discourteous manner

2) Misusing of Privilege Pass

Rule 3 (1)(i) Failed to maintain absolute integrity

Rule 3 (1)(iii) Unbecoming of a Railway servant.

3) Received money for false claim of allowances

Rule 3 (1)(i) Failed to maintain absolute integrity

Rule 3(1) (ii) Failed to maintain devotion to duty.

Rule 3 (1)(iii) Unbecoming of a Railway servant.


Charge sheet

Charges : Long absent more than 200 days

Article of Charges Annexure. I : XXX while working as XXX has unauthorised absented from duty for
200 days continuously from 01.07.2020 to 16.01.2021 without prior sanction of leave or production of
proper Railway Medical Certificate. He has thus failed to maintain devotion to duty thereby violating
Rule 3(1)(ii) of the Railway Services (Conduct) Rule 1966.

Statement of Imputation Annexure .II : It is reported from the SSE that you are absented yourself from
duty for 200 days continuously from 01.07.2020 to 16.01.2021 without prior sanction of leave or
production of proper Railway Medical Certificate.

RUD Annexure 3 : Attendance and Leave statement

 SSE letter

List of Witness : Leave clerk / SSE

 Step.4 Delivery of Charge sheet

 D.A shall arrange to deliver the charge sheet to the delinquent railway servant with
acknowledgement

 Charge sheet to be delivered to employee through his immediate supervisor.

 For running staff it should be deliver while signing OFF duty.

 If absented sent to last known address through Registered post with acknowledgement.

 Undelivered cover should not be opened.

 Paste the charge sheet in the office notice board with two witness of employees.

 Step.5 Reply statement

 Fair and reasonable opportunities are to be given to the delinquent employee for the
preparation of reply statement of defence which includes permitting the railway servant to take
copies from records (or perusing records related to the case.

 The reply of defence statement to be submitted with in 10 days. Allowed further 10 days if
requested for inspection of documents after inspecting

 If inspection of documents refused the D.A should communicate the same with reason and
allowed further 10 days time

 The delinquent employee may submit his documents and witnesses (Persecution witness)

 Step.6 Consideration of Defence statement

 Consideration of written statement of defence by D.A and decide either to conduct inquiry or to
drop the charges framed (or) to decide for imposing minor penalty.

 Whether all the charges are admitted by CO. DA can record its findings of each charges. In case
of Compulsory Retirement / Removal and Dismissal inquiry to be conducted even though
charges are admitted by the deliquent employee.

 D.A decided to conduct inquiry either by himself or nominated inquiry officer

1.


Step.7 Defence statement not received
  If written statement of defence is not received D.A should decide whether to conduct inquiry
either by himself or appointed inquiry office and inform the same to delinquent employee.

 Ex-Parte Decision to be taken duly consider all the relevant facts and awarding more chances /
Reasonable opportunities to delinquent employee to prove his innocence.


Step.8 Appointment of Presenting Officer

 Disciplinary Authority may appoint Presenting Officer to presenting the case on its behalf .

 The disciplinary Authority may when consider necessary nominate any Railway Servant as
presenting officer, to present the case in support of charges before the Inquiry Authority. The
presenting officer is mainly appointed in complicated cases where the employees of different
departments are involved (common proceeding) or in serious vigilance cases. Nomination of
Presenting Officer is done on SF8.

 Step.9 Inquiry Officer

 After D.A has decided to nominate the inquiry officer , he advices the inquiring authority in
writing.

 The official nominated by the Disciplinary authority to conduct disciplinary enquiry is the Inquiry
authority. It could be the Disciplinary Authority itself or a single officer/supervisor or a
committee of two or more officers.

 This authority should be impartial, unconnected with the case and not lower in rank to the
charged employee or the officer who held the fact finding enquiry except in
Accident/Vigilance/SPE cases.

 Where there is a case of sexual harassment, the Complaints Committee established for
enquiring into it shall be deemed to be the inquiring authority.

 The officer who is a witness

 Any official who has to give evidence in the inquiry should not be nominated as a member of the
inquiry committee or in any way associated with the disposal of proceedings of that committee.

Subordinate as Inquiry Officers

Board of Inquiry may consist of a gazetted officer or Sr. Subordinates. However, gazetted and non
gazetted officers shall not sit together on one board. The member of the Inquiry Board should not be
subordinate to one another or lower in rank than the accused.

 Inquiry Officer
 The departmental Inquiry should be conducted by an officer who is sufficiently senior to the officer
whose conduct is being inquired into.

 Step.9 &10

Step.9 : Forwarded all the relevant records and documents related to the case to the inquiry officer. A
copy of nomination of I.O to be forwarded to C.O to appear before I.O

Step.10 Inquiry Authority will advise the delinquent railway servant for preliminary inquiry within 10
working days . After his appointment as Inquiry officer

 The details to be given to the Inquiry officer {IO} by the disciplinary Authority Rule 9(6)-

i. Charge Memorandum in SF5 with a copy of Articles of Charge and the statement of the imputations of
misconduct.

ii. Evidence providing the delivery of the documents.

iii. A copy of the listed witness if any.

iv. A copy of the appointment order of Presenting Officers, if any.

v. One set of Relied upon Documents in original or attested. (Relied upon Documents supplied to
charged official and Inquiry officer should be identical).

 Duties of Inquiry Officer

 The 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, if any, are to be collected from the disciplinary authority before the
commencement of Inquiry.

 The Inquiry officer should ensure that intimation has been sent well in time to the delinquent
employee and others regarding the place, time, and date of Inquiry.

 The accused be asked to submit a list of defense witnesses if he has not done so.

 He should also make necessary arrangements for stenographic assistance for the time to time
recording of the proceedings.

 The basic stage of DAR Inquiry

Administration’s side

a) Inquiry officer.

b) Presenting officer.
 c) Prosecution /Administrative witness and documents to prove the misconduct misbehavior of
the delinquent Railway servant.

 The basic stage of DAR Inquiry

Delinquent employee side

i) Delinquent Railway employees.

ii) Defence Counsel if any.

iii)Defence witnesses and documents to prove the Innocence of delinquent railway servants.

 THE DAR INQUIRY HAS TWO BASIC STAGES

i. Preliminary Inquiry.

ii. Regular Inquiry.

iii. Drawing conclusion

charges Proved or not

iv. Inquiry Report.

 Step.11

If the Railway servant fails to meet the inquiry officer . Advise the presenting officer to produce the
documents , witnesses etc., so as to prove the article of charges and shall adjourn the case a later date
not exceeding 30 days, and give 10 days time to the delinquent employee for preparing defence
statement

 Step.12 & 13

Step.12 The delinquent railway servant may request documents , if any and send his request to the
inquiry authority.

The delinquent employee also intimate the details of defence counsel, his documents and witness

Step.13 : I.O fixes date for inquiry and advices the charged employee.


Defence Councel

 The charged employee may present his case with the help of another person who is known as
Defence helper or Defence Councel.

 Defence Councel could be another employee or a retired Railway employee or a Trade union
official of a recognised union.
  He should not be a legal practitioner and should not be associated with the case in his official
capacity.

 Nomination of Defence Councel should be made within 20 days from the date of appointment
of Inquiry Authority.

 DEFENCE HELPER.

 Step.14 Refusal of RUD

Step.14 If any request received from the delinquent railway servant for the documents, which are not
sent along with the charge sheet S.F.5, the I.O shall forward the same to the concerned authority who is
in possession of such documents. If I.O feels that the document are not relevant to the case, he may
refuse such request in writing through S.F.6.

 Step.15

Step.15 The concerned authority who is in possession of such records has to produce them on
specified time before the I.O or refuse on the grounds that production of such documents would be
against the public interest or security of the state. If received, the I.O has to intimate the delinquent
employee accordingly.

 Corrigendum to the Charge Memorandum

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. Minor changes in charge
sheet allowed in corrigendum. But it should be handed over to the delinquent employee before inquiry
proceedings. No corrigendum should be issued after completion of preliminary inquiry. If any major
mistake in charge sheet then drop the charge sheet and issued another charge sheet for the same
charges. Defective charge sheet may lead to drop entire DAR proceedings.

CONDUCTING

OF

INQUIRY

 Inquiry Room set up

C.O D.H

Steno

I.O
 D.W.1

P.O S.W.1

 Homework to be done by Inquiry officer

a) Verifying the documents to confirm whether they are sufficient to complete the inquiry.

Otherwise, action may be taken to ask for the same from the Disciplinary Authority.

b) Index Relied upon Documents for better identification, communication, and Recording.

c) Verify the list of witnesses and conform to their proper address (es) and plan for their sequence in
the Inquiry.

d) Arrangements at the venue, proper sitting arrangement, typing facility, etc. are to be taken care of..

 Preliminary Inquiry

Preliminary Inquiry is only to create a better platform for the charged Employee, presenting officer
{PO} and the Inquiry officer {IO} to go ahead with the regular inquiry systematically and smoothly.

Normally no witness will be examined during the preliminary inquiry.

During the preliminary inquiry if some or all charges are not admitted by the delinquent and it became
necessary to proceed with inquiry, inquiry an officer should frame the issue, draw a time table in
consultation with the delinquent and Presenting Officer about sitting of inquiry, days to be allotted for
prosecution, witness examination, defense witness examination, etc. and should adhere to it.

 Preliminary inquiry

During the preliminary sitting, the inquiry authority shall check and ensure that

a. The charge is proper embodying the correct rules mentioned therein.

b. The charge sheet is complete with all its enclosures.

c. The delinquent has been furnished the opportunity to inspect and take copies of the relied
upon documents quoted in the charge sheet.

d. All other documents have been furnished to the inquiry officer..

 Preliminary inquiry

Mandatory questions

1) Have you received the charge sheet.

 2) Have you inspected the documents mentioned in the charge sheet.

3) Have you understood the charged framed against you?

4) Do you accept the charges or denied?

5) Are you prepared to commences / begins with the inquiry? The employee may say yes or may
ask for some time for preparation of defence.

6) The charged employee to submit 3 names of his D.H in order of his preference along with
certificate from them that they agree to work D.H

 model question

 A model question, an Inquiry Officer may ask during the Preliminary inquiry (not exhaustive), will
be as under

Q1. Please introduce your name, designation, and office in which you are working?

Q.2. Have you received the charge sheet?

If answer is yes continued.

If answer is No. Deliver a copy of the Charge

sheet and proceed.

 model question

Q3. Are you aware of the charges framed against you?

YES Proceed .

No. Explain the charges and Proceed.

Q4. Have you been issued with order No. _____ Dated _____ appointing Shri _____ as Inquiry Officer?

Yes Proceed. No. Deliver the I.O appointment order

Q4. Have you nominated your Defence Helper?

Yes noted and Proceed. No. Sort out the issue and asked C.O to submit the 3 names of D.H or record
defend on his own

 model question

Q5. Have you taken the inspection / extract of the

 document listed in Annexure III?

Yes : Proceed .

No. Allowed to inspect and take exract of documents.

Q6. Have you replied to the charge memorandum or

Admit the charges?

Yes admitted. Stopped the proceedings and

acceptance recorded must be unconditional

Stop the proceedings and sent I.O report to D.A

No. Continue the proceedings

 model question

Q7. Have you understood the charges framed against

you and if so, do you plead guilty to the same or not?

[Link] you asked for any additional documents?

Yes inform D.A to receive the documents

No. Continued further

Q.9 Do you wish to call any defense witness / Defence

documents in your case?

Yes . Collect and record No. Proceed further

Q10. Do you wish to say anything more in this case?

Any Bias raised in the Preliminary inquiry against D.A / I.O to be forward to Revisionary Authority and
his decision is final.

 Pages types and signed by all

 Preliminary Inquiry concluded.

 (Signature of all attended will be obtained on completion of the day and copy of same will be
given to the delinquent under acknowledgment every day)

 (Signature) (Signature) (Signature) (Signature)

  Inquiry officer Charged employee Defense helper Presenting officer

 Step.16

Step.16 Conducting inquiry proceedings on the appointed date, time and venue as advised to the
delinquent railway servant.

a) The administration witness shall be examine by the P.O , cross examined by the D.H or Delinquent
employee and re-examined by P.O.

b) The defence witnesses shall be examined by the D.H , cross examined by P.O and re-examined by
D.H

c) The I.O may also put such questions to the witness as it thinks fit.

 Regular Inquiry

A regular inquiry needs the followings stage:

I. Proper Communication of date-time & venue.

II. Conducting of the inquiry.

III. Concluding the inquiry.

IV. Charged official’s brief.

V. Presenting officer briefly.

VI. Inquiry officer’s Report with proper findings.

 Regular Inquiry proceedings.

 The Inquiry officer should make sufficient homework before starting the regular inquiry.

 A list of leading questions, its sequence, and the order in which the witnesses are examined, etc.
are to be planned well in advance.

 Examination of Administrative Witness

 Questions are continued from preliminary Inquiry onwards

 Normally Presenting officer will ask questions with the intention to prove the case through the
witness, which is called examination

 Like introduce your self , Do you know the charges framed against shri. ______

 Please narrate the incidents on ______ date etc., No leading questions to be asked.
 Cross examination of Prosecution Witness

 Cross examination can be done by D.H

 I.O can ask questions to clear his doubts and involvement of witness in this case called
clarificatory questions .

 Any unwanted cross examination not connected with the case can objected by the P.O

 I.O decision is final

 The I.O can re-examine the witness

 Examination

 Examination of Prosecution Witness 2, 3, etc. can be continued.

 When the charged official ask questions that are not relevant, not appropriate, the Inquiry
officer can give his ruling stating that “charged official and his defense helper may restrict his
question around the article of charge.

 Examination of Defence Witness

 Defence witness examined by D.H with the intention not to prove the charges

 Cross examination can be done by P.O

 I.O can ask questions to clear his doubts and involvement of witness in this case.

 Any unwanted cross examination not connected with the case can objected by the D.H

 I.O decision is final

 Role of Witnesses in DAR inquiry

 The witnesses play a major role in the DAR inquiries to arrive at the proper conclusion.

 i. Prosecution witness- is one who is called upon by the administration to prove the charges on
its behalf.

 ii. Defense witness- is one who is nominated by the delinquent official to depose and
disapprove of the case of administration

 Role of Witnesses in DAR inquiry

 iii. Expert witness- is one who has a special knowledge of a subject, such as a handwriting
expert, fingerprint expert, medical practitioners, etc.
 iv. Inquiry officer’s witness- A person who has not been cited in the charge the memo, the
inquiry officer at his discretion allows the P.O. if any to produce evidence not included in the list
given to the Railway Servant.

 Delinquent employee will be permitted to cross-examine him.

 Witness

 v. Hostile witness- is a witness who is summoned by one party but does not depose in his favor.
The party summoned shall declare him as hostile and instead of examining him, may cross-
examine him and a certificate to this effect should be recorded by the Inquiry Officer.

 vi. Illiterate witness- in the case of such a witness their statement must be read out to them and
a certificate to this effect should be recorded by the inquiry officer.

 Witness

 vii. Non- Railway Witness- Where the delinquent cites non-railway men as his witness, it will be
his responsibility to ensure their attendance during the inquire.

 viii. Irrelevant Witness- The delinquent may cite a large number of witnesses with an inclination
either to cause delay or confuse the issue. He has to mention the relevance of all the witnesses
cited by him. It is open to the Inquiry Officer to summon only those whom he considers relevant.

 witness

 IX. The staff of CBI as a witness- There is no bar to call the staff of CBI, even though they had
conducted a preliminary inquiry.

 X. Retired railway servant as Witness: Passes may be issued to the retired railway servant as
witnesses.

 Re -examination

 The witnesses which have already been examined etc. may be recalled for examination, cross-
examination, and re-examination

 a. By the succeeding inquiry authority, in case of change of the inquiring authority, or

 b. By the disciplinary authority, if he has himself not held the inquiry if he on receipt of the
inquiry report considers/deems it necessary.

 Guidelines to Witnesses

 Xi. No Government servant can refuse to act as a witness in a departmental inquiry otherwise,
He / She is liable for disciplinary action.
  Further, it does not depend upon one’s own choice whether to act as a defense witness or
prosecution witness.

 Guidelines to Witnesses

 The Inquiry Officer should try to make the witnesses feel comfortable.

 The witness must be polite, humble, and modest in their behavior.

 The cross-examiner will not try to disheartening.

 Disciplinary action against witness

 Where witnesses give a different statement during the preliminary inquiry and the regular
inquiry, or the court of law, they are guilty of deliberate misrepresentation with the object of
spoiling the case of the Railway administration, and as such the disciplinary action can be taken
against them

 This fact should also, be brought to the notice of all witnesses say PW and DW.

 Step.17

Step.17 The I.O may advise the P.O to produce new evidence, if he feels it necessary. Once the new
evidence is allowed, the same procedures as mentioned in step .16 will be followed which include
inspection of new documents by the delinquent employee and adjournments, if any. Delinquent
employee can also produce new documents and witness.

 Vigilance cases

1) Vigilance cases the draft charge sheet prepared by the Vigilance team with name of the Presenting
Officer and RUD/ witness.

2) The draft charge sheets sent to D.A through the DRM/Confidential section .

3) The D.A has the right to modify the Charge sheet and served with acknowledgement and the ack.
sent to I.O

4) D.A nominate I.O as [Link]/Enquiry for further inquiry

5) I.O conduct the inquiry. During the preliminary inquiry all the original documents to be examined
by the delinquent employee then fixed the date for regular inquiry.

 Vigilance cases

 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.

 Step.18 & 19

Step.18 : The inquiry proceedings are typed in a sheet daily and signed by the witness, D.H, P.O and
Inquiry Officer. The daily proceedings printed in 5 copies and signed by all. 1 copy to D.H, 1 copy to D.A
for information and progress of the case, 2 copies to be enclosed with the copy of the findings and 1
copy to be retained as office copy by I.O

Step.19: Once the examinations of the witnesses are over , the I.O shall inquire the delinquent employee
about the incident particularly the circumstance appearing in the evidence against him.

 Step.20

Step.20 : The inquiry officer may, after the completion of the production of evidence, advise the P.O
to submit the written brief summary of the case.

Then it should forwarded to the delinquent railway servant to submit their defence summary in
writing.

 Step.21 Exparte inquiry

Step.21 :Exparte inquiry has to be conducted if the delinquent employee does not submit the
statement of defence on time or does not attend the inquiry proceedings fails or refuses to comply
with the provisions of rule 9 of D&A rules 1968.

Ensure that records are available to show that all communications regarding conducting inquiry are
received by the delinquent employee on time

 Step.22 Inquiry report

Step.22 : After the conclusion of the inquiry the I.O shall prepare the inquiry report based on the
documents, inquiry proceedings, P.O/D.H written brief and it shall contain-

a) The articles of charges and the statement of imputations of misconduct or misbehaviour.

b) The defence of the delinquent employee in respect of each article of charges.

c) An assessment of the evidence in respect of each article of charge and

d) The findings on each article of charge and the reasons therefor.

  Step.22 Inquiry report

If in the opinion of the I.O, the proceedings of the inquiry establish any article of charge different
from the original articles of charges, it may record its findings on such article of charges, provided that
the findings on such articles of charge shall not be recorded unless the railway servant has either
admitted the facts on which such articles of charge is based or has had a reasonable opportunity of
defending himself against such article of charge.

 EASY IDENTIFICATION, REFERENCE & MARKING

 CONTENTS OF INQUIRY REPORT

 AFTER FINAL SITTING OF INQUIRY

 (1). INTRODUCTION

 (2). CONDUCT OF INQUIRY

 (3). DEFENCE OF THE EMPLOYEE

 (4). ANALYSIS OF EVIDENCE

 (5). SUMMARY OF FINDINGS

ON EACH ARTICLES OF CHARGE

PROVED / NOT PROVED

 (1). INTRODUCTION

 DETAILS OF ARTICLES OF CHARGE

 STATEMENT OF IMPUTATIONS OF MISCONDUCT OR MISBEHAVIOUR

 (2). CONDUCT OF INQUIRY

 ACK. OF CHARGE SHEET BY C.O.

 APPOINTMENT OF I.O. / P.O.

 DETAILS OF PRELIMINARY HEARING

 DETAILS OF REGULAR HEARING

 DETAILS OF EXAM. OF WITNESSES

  WRITTEN BRIEF

 (3). DEFENCE OF THE CHARGED OFFICIAL

 REPLY TO THE CHARGE SHEET

 STATEMENT OF DEFENCE IN INQUIRY

 DOCUMENTS PRODUCED BY C.O.

 DEFENCE WITNESSES

 WRITTEN BRIEF (if any)

 (4). ANALYSIS OF EVIDENCE AGAINST CHARGED OFFICIAL

 DEPOSITION OF ADMINISTRATIVE WITNESSES

 DOCUMENTARY EVIDENCE RELEVANT TO THE CHARGES FRAMED

 DRAWING CONCLUSIONS

 Step.23 Forwarding Inquiry report

The I.O forward the inquiry report to D.A with the following documents.

1) the inquiry report prepare by I.O

2) the written statement of defence,

3) the oral and documentary evidence produced at the time of inquiry.

4) Written briefs, if any filed by P.O and D.H

5) the orders, if any made by the D.A in regard to the inquiry

 The role of inquiry officer

 A. The inquiry officer is not a prosecutor.

 B. It should not be his duty to somehow prove the charge(s).

 C. He has to assist the Disciplinary Authority in taking a correct and impartial decision based on
the evidence on record.

 D. Inquiry officers must have an impartial approach.

 E. She/he can play a vital role in finalizing the DAR cases early or within the prescribed time
limit.

 The role of inquiry officer

 F. Official not having a personal interest in the case is to be appointed as an Inquiry Officer.

 G. A departmental inquiry is inherently different from judicial proceedings in a court of law and
need not be carried out rigidly following the rules applicable to judicial proceedings.

 The role of inquiry officer

 H. The inquiry officer should ensure that reasonable opportunity is given to the charged official
for defending his case in the course of the inquiry.

 I. The Inquiry Officer should ensure that intimation has been sent well in time to the charged
official, presenting officer (if any), and witness, etc. regarding the date, place, and time of
inquiry

 The role of inquiry officer

 J . Once the date is fixed for hearing, it should not be postponed on flimsy grounds.

 K. Request for the additional documents which are not mentioned in the list of documents
(Annexure-III) sent to him along with the charge sheet will be considered by the inquiry officer.

 The role of inquiry officer

 At the request of the charged official 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).


The role of inquiry officer

 L. The reason for rejecting the employee’s request for producing a witness and or a document
shall be recorded.

 M. If any person refuses to sign a statement of evidence, it should be read out to him in full and
should be signed by the inquiry officer that it is a true record of the evidence given by the
accused or witness.

 Step.24

 D.A after consideration of Report can issue speaking order, or directing for re-inquiry by the
same officer or another officer.

Step.25

 Penalty advice to be served with ack. And time limit for appeal / AA

 Then Appeal

 Then Revision

 Conducting Inquiry (Rule 9 to 11)


Rule.9 Procedure for imposing Major Penalties
(Rule 9 (1) to Rule 9 (25))

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

  Rule.9 Procedure for imposing Major Penalties

 Rule.9 Procedure for imposing Major Penalties

 10. Action on the inquiry report :-

 10. Action on the inquiry report

 10. Action on the inquiry report

 10. Action on the inquiry report

 PROCEDURE–MINOR PENALTY

 Charge Sheet – [Link].11

 Statement of imputations

 Reply within 10 days – Accept / Deny

 Consideration by D.A.

 Inquiry may be ordered by D.A.

 D.A. record his findings & impose penalty

 Speaking Order – reason for penalty

 Penalty Advice

 No reply – ‘ex parte’ decision

 Appeal within 45 days to Appellate Authority

 Rule11 Procedure for imposing Minor Penalties

 Rule11 Procedure for imposing Minor Penalties


Step.3 Preparation of charge sheet S.F.11

S.F.11 Consists memorandum and imputation of charges.

Memorandum S.F.11 consists 4 paras

1) [Link] [Link] [Link] is hereby informed that the undersigned proposes to take action
against him under Rule 11 of the Railway servants (Discipline and Appeal ) Rules 1968. A statement of
the imputations of misconduct or misbehavior on which action is proposed to be taken as mentioned
above, is enclosed.


Step.3 Preparation of charge sheet S.F.11

2) Representation if any should be submitted

with in 10 days from the date of receipt of

the memorandum.

3) Fails to submit the representation , will be presumed that he has no representation to make and
orders will be liable to be passed against XXXX

4) The receipt of the memorandum should be acknowledged.

Signed by D.A

To:XXX


Step.3 Preparation of charge sheet S.F.11

Statement of Imputations

[Link] [Link] while working as Design. XXX Station:XXX has committed the following
irregularity in that,

He has failed to recover the income tax for the following year 2020-2021 infavour of XXX. The total
income tax calculated as Rs. 1,92,000, but no recovery toward income tax has been made by you in the
financial year 2020-21. The salary bill for the month of Feb.2021 could not be forwarded to accounts
department in time and this has caused inconvenience to the administration.

Thus he has failed to maintain absolute integrity and devotion to duty and thereby contravened
the Rule 3(1)(i) and (ii) of the Railway Services (Conduct) Rule 1966.

Signed by D.A

 Summary inquiry proceedings

 Serving of charge sheet to delinquent employee

 Preliminary inquiry

 Day to day proceedings

  Def. Council certificate

 Examination of witness, exhibits

 Cross examination of witness

 Re examination if any

 Point out all replies that prove the charges leveled

 Provide copy of P.O’s brief if any

 Collect written brief from D.H

 Inquiry report with Discus charge by charge and not by witness by witness, narrate charges
proved or not, if additional charges include – opportunity should have been given to defend that
charges also. Remember no charges can be partially proved.

 Don’t in inquiry proceedings

1) Don’t Examine one witness in the presence of another witness.

2) Don’t Allow examination of documents with pen in hand – only pencil permitted.

3) Don’t Forget to get proceedings pages signed by the presentee and to counter sign over writing /
corrections if any.

4) Don’t Stop inquiry unless there’s STAY on inquiry

5) Don’t Continue inquiry if biasness is raised – Await clearance from Revisionary Authority.

6) Don’t Conclude inquiry if during Preliminary inquiry the Charged officials accepts all the charges. Ask
to submit written brief in 10 days – Don’t accept oral brief.

7) Don’t proceed ex-parte inquiry Unless there is a proof of charge sheet served. Unless prior
intimation for holding Ex-parte has been given. Unless reasons are recorded as to why going in for a Ex-
parte.

 Points to be taken care of by Inquiry Officer

 (Master Circular No.67)

 a. A preliminary hearing should invariably be held first after giving due notice, as specified in
Rule .9 (ii).

 Formal notice has to be sent to all concerned for all the regular hearing too.
 b. During the preliminary hearing, the charged official should be asked by the inquiry officer
whether he has received the charge sheet, understood the charges against him, and whether he
accepts those charges.

 Points to be taken care of by Inquiry Officer

 The charge official should also be asked if he has inspected the documents listed in the charge
sheet, whether he wants some additional documents and whether he wishes to produce some
defense documents/witnesses.

 If any of the defense witnesses are not found to be relevant, the Inquiry Officer may disallow
their evidence and advise the charged official accordingly.

 The relevance of any witness may be considered by the Inquiry officer from the charged
official's point of view.

 Points to be taken care of by Inquiry Officer

 b. If the C.O. requests for production of additional documents during the inquiry and if in the
opinion of the inquiry officer, some or all of the documents are not relevant to the case, then
the Inquiry Officer has to record in writing his reasons for refusal to requisition for production of
such documents, as provided in Rule 9(15) of RS (D&A) Rules and advised the charged official
about the decision.

 Points to be taken care of by Inquiry Officer

 The inquiry officer has to maintain a daily order sheet which is the record of all the business
transacted by him on day to day basis of the conduct of the Inquiry.

 The facts relating to notices sent, taking on record the documents, request/ representations
made by either party or decision of the inquiry/officer thereon and the examination/cross
examination undertaken should find a mention in the daily order sheet.

 Points to be taken care of by Inquiry Officer

 The daily order sheets should be dated and signed by the inquiry officer and serially-numbered.

 The daily order sheets should indicate whether a reasonable opportunity has been given to the
charged official, whether the procedure prescribed in the rule has been adhered to etc.

 Points to be taken care of by Inquiry Officer

 In addition to the Daily Order Sheet, the Inquiry Officer has to maintain the record of the inquiry
proceedings in detail.

 It should contain the date of the proceedings, the officials present, and the examination/cross-
examination of the witnesses in form of questions and answers and any decision was taken by
 the inquiry officer during the proceedings regarding dropping of a witness, allowing/ rejecting
the requests of the C.O. for production of additional documents, witnesses, etc. these should be
signed by I.O., P.O., C.O., D.C., and Witness present during the hearing.

 Points to be taken care of by Inquiry Officer

 Copy of proceedings should be given to the delinquent employee at the end of each day’s
proceedings.

 The record of proceedings can either be in Hindi or English. Principles of natural justice require
that the delinquent officer must have a reasonable opportunity to defend himself.

 The inquiry officer should explain the proceedings to the charged official in a language known to
him and it should be ensured that he understands and accepts the same before his signature is
obtained.

 Points to be taken care of by Inquiry Officer

 During the inquiry, the evidence on behalf of the Disciplinary Authority has to be produced first.

 It would be incorrect to examine the charged official first, as this would deprive the C.O. of the
opportunity of effective defense.

 All the documents listed in the charge memorandum have to be taken on record and marked as
Exhibit No. ---- and signed by the Inquiry Officer.

 All the witnesses listed in the charge memorandum have then to be examined one by one in the
presence of the charged officials.

 Points to be taken care of by Inquiry Officer

 After examination of each prosecution witness (also called examination in chief) the charged
official has to be allowed to cross-examine the witness.

 After cross-examination of the prosecution witness, the inquiry officer may put such questions
to the witness as he thinks fit.

 Points to be taken care of by Inquiry Officer

 If any of the witnesses had either given any statement during the investigation, fact-finding
inquiry, etc. he should be asked during the inquiry to confirm the said statement before it is
taken on record as evidence.

 If the statement is quite comprehensive, a mere confirmation of the statement by the witness
should suffice during the inquiry instead of a de novo examination of the witness.

 Points to be taken care of by Inquiry Officer

  The presenting officer, if any can also re-examine the prosecution witness after the cross-
examination, on any point on which the witness was cross-examined but if the re-examination
by the presenting officer is on a new point, then the permission of the inquiry officer has to be
obtained for the same.

 If re-examination by the presenting officer is allowed on any new matter, then an opportunity
should be given for further cross-examination of the witness concerned on such new matter.

REPORT WRITING

 EASY IDENTIFICATION, REFERENCE & MARKING

 CONTENTS OF INQUIRY REPORT

 AFTER FINAL SITTING OF INQUIRY

 (1). INTRODUCTION

 (2). CONDUCT OF INQUIRY

 (3). DEFENCE OF THE EMPLOYEE

 (4). ANALYSIS OF EVIDENCE

 (5). SUMMARY OF FINDINGS

ON EACH ARTICLES OF CHARGE

PROVED / NOT PROVED

 (1). INTRODUCTION

 DETAILS OF ARTICLES OF CHARGE

 STATEMENT OF IMPUTATIONS OF MISCONDUCT OR MISBEHAVIOUR

 (2). CONDUCT OF INQUIRY

 ACK. OF CHARGE SHEET BY C.O.

 APPOINTMENT OF I.O. / P.O.

 DETAILS OF PRELIMINARY HEARING

 DETAILS OF REGULAR HEARING

 DETAILS OF EXAM. OF WITNESSES

 WRITTEN BRIEF
 (3). DEFENCE OF THE CHARGED OFFICIAL

 REPLY TO THE CHARGE SHEET

 STATEMENT OF DEFENCE IN INQUIRY

 DOCUMENTS PRODUCED BY C.O.

 DEFENCE WITNESSES

 WRITTEN BRIEF (if any)

 (4). ANALYSIS OF EVIDENCE AGAINST CHARGED OFFICIAL

 DEPOSITION OF ADMINISTRATIVE WITNESSES

 DOCUMENTARY EVIDENCE RELEVANT TO THE CHARGES FRAMED

 DRAWING CONCLUSIONS

 Thank You