A

WORKSHOP
ON

Discipline & Appeal

Rules
By

MOHANDAS P
Asst. Professor. (Personnel Management)
National Academy of Indian Railways (N.A.I.R)
VADODARA

Forms
Authorities

Appeals

Suspension

Revision

Penalties

Review

Charge sheet

TOPICS
TOPICS
COVERED
COVERED

Spl. Privileges

DAR in brief

Inquiries
Speaking Orders
Conduct Rules

Brochure on D&AR

Ex Parte Inquiry

Constitutional Provisions

Article 309
In exercise of the powers conferred by the
proviso to Article 309 of the Constitution of
India the President hereby makes the following
rules

The Railway servants

Discipline and Appeals (Rules)
1968

Y?

D.A.R. 1968

1968 because segregated from IREM ON 1ST OCT. 1968

Discipline and Appeal Rules

DAR
WHOM
BOTH - HE & ME
HE UNDERSTOOD;
BUT Y ME ?

YES, Because I fail to follow the laid down

PROPER PROCEDURE

Hey! Look at Yourself in the Mirror It never Lies

So Remember Initiate D&AR only To punish the
guilty and not to improve an Employee. D&AR
involves a lot of time and money.
Roughly estimated on an average each Charge Sheet
costs the administration about Rs.50,000/=

Come on Lets us commence our journey on D&AR now

1st Question - DO I KNOW THE RULES ?

HOW CAN I ?
NO BOOK NO TEACHING

Will this help ?

No ! Y ? Cause
I have an ARMI

Acts Rules Manuals Instructions

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

THE ONLY SOLUTION TO GET RID OF

A.O.M.

Application Of Mind
WHAT IS Application Of Mind ?
ANALYSIS
PROS

CONS

RESULTS

AOM

AOM has its source in your NAVEL whereas all other words in the world
have their source in the GULLET.
Analysis is OM

WHY IS D.A.R. NECESSARY ?

SHOULD IT BE USED AS A TOOL TO IMPROVE
OR ONLY TO PUNISH THE OFFENDER ?

WHY DO WE LOOSE CASES IN C.A.T?

* BECAUSE OF DEFAULT PROCEDURE !
* BECAUSE OF DENIAL OF NATURAL JUSTICE !

ANY CASE WHICH WE HAVE

LOST BECAUSE OF
PUNISHMENT IMPOSED?
WHAT ARE WE SUPPOSED TO DO AS AN
OFFICER INVESTED WITH POWERS TO
PUNISH THE GUILTY ?

Forms USED IN
S.F. 1
S.F. 2
S.F. 3
S.F. 4

DAR DEALINGS

SUSPENSION
DEEMED SUSPENSION
UNEMPLOYMENT CERTIFICATE
REVOCATION
S.F. 5
MAJOR PENALTY CHARGESHEET
S.F. 6
REFUSAL OF ADDL.DOCUMENTS
S.F. 7
APPOINTMENT OF INQUIRY OFFICER
S.F. 8.
- DO - OF PRESENTING OFFICER
SF 9 A-C CANCELLED DURING 1972 And 1975
S.F.10 C\SHEET IN COMMON PROCEEDING
S.F.10A APPT. OF I.O. IN
-DOS.F.10B APPT. OF P.O. IN
-DOS.F.11 MINOR PENALTY CHARGESHEET
S.F.11A INQUIRY IN MINOR PENALTY C\S.
S.F.11B TO CONVERT MAJOR INTO MINOR
Check Details

AUTHORITIES
Disciplinary Authority Issue
C/sheet
For N G One who can impose a penalty as
per SOP that is only Minor OR
Both and if can impose any major penalty.
For Gazetted - One who can impose any of
the penalties under Rule 6 of DAR
Appointing Authority
The Authority that appointed the employee
in the present grade in which working
and not the initial appointing authority
Issue promotion orders by the lowest competent authority

Controlling Authority

Under whose control the employee

is working including heirachy

e
Ch

ck

ils
a
t
De

Disciplinary Authority ?

1. The decision of the Disciplinary Authority is very

important in
2

DAR.

The decision of the Disciplinary Authority is to be

judicious ,

ohterwise decision can be modified /

amended by Appellate /

Revising Authorities.

3 Disciplinary Authoritys powers are discretionary,

but not

supreme and not ultimate.

SUSPENSION

WHAT IS SUSPENSION ?
Depriving one of his powers.
WHY DO WE SUSPEND AN EMPLOYEE ?
To keep him away from office premises
calling his Attendance daily is illegal
SUSPENSION may BE RESORTED TO
ONLY ON THE FOLLOWING GROUNDS :* WHEN DISCIPLINARY PROCEEDING
IS CONTEMPLATED OR PENDING.
* INVOLVED IN ACTIVITIES THAT ARE
PREJUDICIAL TO THE SECURITY
OF THE STATE.
* INVESTIGATION OR UNDER TRIAL
FOR AN CRIMINAL OFFENCE.
ORDERS EFFECTIVE after ACKNOWLEDGEMENT

DEEMED SUSPENSION

WHAT IS DEEMED SUSPENSION ?

How IS IT DIFFERENT FROM SUSPENSION ?

Suspension is effective from orders received Deemed Suspension from retrospective effect

DEEMED SUSPENSION MAY BE RESORTED TO IF :

- IN CUSTODY FOR A PERIOD BEYOND 48 HRS.
- CONVICTED/IMPRISIONED BEYOND 48 HRS.
REINSTATED on APPEAL, REVISION, REVIEW OR
REINSTATED DUE TO THE ORDERS OF CAT OR COURT

BDs NO; E(D&A)85RG 6-15 OF 16.4.85 AND E(D&A)86 6-19 OF 21.3.86

SUSPENSION SHOULD BE FOLLOWED only BY A MAJOR

PENALTY OTHERWISE THE ENTIRE PERIOD IS TO BE
TREATED AS DUTY FOR ALL PURPOSE.

ENTITLEMENTS

DURING SUSPENSION

SUBSISTENCE ALLOWANCE
REVIEW (1ST AFTER 3 MTHS).
D.A. ON SUBSISTENCE ALLOWANCES
SUB .
ALLOWANCES
PASSES - GAZ 1/2 N0s. - N.G. 1, IF DUE.
P.L.B. - PAYABLE ON RESUMPTION
MEDICAL FACILITIES INDOOR AS WELL AS OUTDOOR.
CAN ACT AS DEFENSE COUNSEL
CAN BE ELECTED AS OFFICE BEARER OF A UNION.
CALL FOR SELECTIONS/ TR ADE TEST NONSELECTIONS - RESULTS - SEALED COVER
CAN LEAVE HQRTS but obtain WRITTEN PERMISSION
NO TYPE OF LEAVE TO BE GRANTED

SUBSISTENCE ALLOWANCE
SURVIVAL
EQUAL TO HALF
DEDUCTIONS
MINIMUM
COMPULSORY
OPTIONA L
NON-DEDUCTABLE

Not a penalty
yet BAD
REPURCUSSIONS

IF SUBSISTENCE ALLOWANCE IS NOT PAID TO THE

EMPLOYEE EX-PARTE DECISION CANNOT BE TAKEN- S.C.
OVERPAYMENTS - DISCRETIONARY
REPORT TO DUTY ONLY AFTER ISSUING SPECIFIC
REVOCATION ORDERS - FORM NO:- 4
Details Pl.

PENALTIES - RULE 6
TWO TYPES OF PUNISHMENTS -

MINOR AND MAJOR

MINOR PUNISHMENTS
(i) CENSURE
(ii) WITHHOLDING OF PROMOTION
(iii) RECOVERY OF PECUNERY LOSS
(iii) a WITHHOLDING OF PASSES/PTOs
(iii) b REDUCTION IN TIME SCALE(3 CLAUSES)
(iv)STOPPAGE OF INCREMENTS

MAJOR PUNISHMENTS - (311 C.O.I)

(v) REDUCTION IN TIME SCALE
(vi)REDUCTION TO LOWER SCALE
(vii) COMPULSORY RETIREMENT
(viii) REMOVAL FROM SERVICE
(ix)DISMISSAL FROM SERVICE
CPR - PRI - RR - CRD
Details Pl.

Constitutional Provision
ARTICLE 311

1. NO CIVIL SERVANT SHALL BE DISMISSED OR REMOVED

BY AN AUTHORITY SUBORDINATE TO THAT BY WHICH
HE WAS APPOINTED.
2. NO SUCH PERSON SHALL BE DISMISSED OR REMOVED
OR REDUCED EXCEPT AFTER AN INQUIRY IN WHICH:
a) HE IS INFORMED OF THE CHARGES AGAINST HIM and
b) GIVEN A REASONABLE OPPORTUNITY OF BEING HEARD
IN RESPECT OF THESE CHARGES.

PRINCIPLES OF NATURAL JUSTICE

1. NO ONE SHOULD BE JUDGED IN HIS OWN CAUSE
2. HEAR THE OTHER SIDE
3. THE DECISION SHOULD BE IN GOOD FAITH
Details Pl.

CHARGESHEET

WHAT IS A CHARGESHEET ?
-A DOCUMENT
SHOWING CHARGES ALLEGED
with
VIOLATION OF AN ORDER OR RULES

WHEN DO YOU PROPOSE

TO ISSUE A
CHARGESHEET ?
WHEN THERE IS
A PRIMA FACIE EVIDENCE

WHAT DO YOU GET FROM PRIMA FACIE EVIDENCE ?

pr
im
f
ev ac a
id ie
en
e
c

INVOLVEMENT

VIOLATION OF RULE / ORDER

GRAVITY OF OFFENCE
MAJOR OR MINOR PENALTY
SUSPENSION desired or NOT

Cont..

Before issuing a CHARGESHEET ensure

you are in possession of :

WITNESS
OFFENDER
RULES VIOLATED
DOCUMENTS RELIED UPON
STATEMENTS OF ALL WITNESS

THE 4 ANNEXURES OF CHARGESHEET ARE

FRAMING OF CHARGESHEET
Use LANGUAGE i.e. CSFP
(Use Clear, Simple. Precise Factual language
Always Indicate Date Place & Time of Offence

RULES OR ORDERS VIOLATED

Indicate the Correct Rule for each charge leveled

Integrity
SEPARATE CHARGES
Lack of devotion to duty
Dont Multiply or club charges
Unbecoming of Rly. Servant

AVOID TO INCLUDE MATTER DECIDED

Refrain from including charges for which already penalized
Cant hang a man twice for the same offence

CORRECT NAME & DESIG. OF CHARGED

OFFICER & DISCIPLINARY AUTHORITY
He may refuse to accept the charge sheet on this ground

Cont..

CORRIGENDUM TO THE CHARGESHEET

a)
If it is found after the issue of Charge Sheet that additional
documents/ witnesses have to be added to the lists, a suitable
corrigendum to the Charge Memorandum should be issued.
b)
If a charge sheet is found to be faulty due to any reason like (i)
it has not been issued by the appropriate Disciplinary Authority, (ii)
the charges require modification/addition (iii) a major penalty charge
sheet needs to be issued instead of a minor penalty charge sheet etc.,
the correct procedure would be to cancel the charge sheet issued
indicating the reasons for such cancellation and stating categorically
that the cancellation is without prejudice to the right of the
administration to issue a fresh charge sheet.[Boards order No:
E(D&A)93 RG6-83 dt.1.12.93 (RBE 171/1993)]

CORRIGENDUM TO THE CHARGESHEET

c)
In cases where only minor changes are required to be made in
the Articles of Charges or when Annexure II, III and IV need to be
modified, instead of resorting to cancellation and issue of a fresh
charge-sheet, a corrigendum to the charge-sheet may be issued. This
aspect has to be specifically kept in view in cases where the employee
is due to retire shortly or has retired.
Note: After retirement, a charge-sheet can be issued only with
Presidents approval and that too only if the time limit of 4 years
prescribed in the Pension Rules has not expired. (Rule 9 of Pension
Rules 1993)
d)
The corrigendum should be signed by the Disciplinary
Authority himself.
Copies of Relied Upon Documents mentioned as Annexure should be
issued to the charged official along with the Charge Memorandum.
(Rule 26)

ISSUE OF CHARGESHEET
WITHIN 90 DAYS OF SUSPENSION
If suspension is not revoked

HAND DELIVERY - send 3 people

But not through SUBORDINATE

IF REFUSES - 2 WITNESSES
Of the 3 two will sign as witness to refusing to accept C/sheet

REG.POST A.D. - UNDELIVERED

RTA/ANK PASTE ON NOTICE BOARD

Dont forget to give file No. on A/D card

DONT OPEN THE UNDELIVERED

REGISTERED LETTER.
Keep on DAR file as record of having made attempts to deliver

AFTER SERVICE OF C/SHEET

AWAIT DEFENSE - 10 DAYS/ACK.
NOT RECEIVED - CONFIRM FROM
SUPERVISOR / UNIT-IN-CHARGE
ACCEPT - DROP - IMPOSE PENALTY
DEPENDS ON PUNISHMENT IMPOSED
( ENSURE INQUIRY REQUIRED OR NOT)
APPOINT INQUIRY OFFICER
CHECK PROGRESS OF THE CASE
APPOINT INQUIRY OFFICER
MAY APPOINT I O/P.O. while ISSUING SF 5 SO THAT THE
CHARGED OFFICER being AWARE OF WHO THE INQUIRY
OFFICER is CAN REPRESENT IF so DESIRES in his defense.
Details Pl.

INQUIRY

Every inquiry proceeding is to be

conducted in terms of
Rule 9 of the D&A Rules, 1968.
Make 3 copies of findings- 1 for DA, 1 for CE and 1 for IO

Remember there is a vast difference between the

Inquiry done in a Court and done Departmentally.

In Courts one is acquitted due to benefit of doubt

Whereas in Departmental Proceedings one can be
Held guilty based on pre preponderance of doubt

BEFORE COMMENCING INQUIRY ENSURE

Orders of appointment (SF7) issued by the Disciplinary
Authority.
Charge sheet, original relied upon documents, acknowledgement
of charge sheet, Initial defense, etc. received or not
Availability of statements of all witness mentioned in C/sheet
To call the charged employee for a preliminary hearing within
30 days of appointment as Inquiring Authority
During preliminary inquiry to ensure the charged employee has
received / inspected the relied upon documents / taken extracts or
copies thereof.
obtained
During Inquiry
to check whether Charged employee pleads guilty
or not guilty. If admits all the charges unconditionally, ask to
submit Written Brief. No further proceedings of inquiry would be
necessary. In case he pleads non-guilty or accepts the charges
conditionally, proceed inquiry.

Procedure cont..
Ask the charged employee whether he would present his case
himself or requires the assistance of Defense Counsel, if requires
the assistance of D.C. obtain willingness of Defense Counsel.
Also find out whether he would require any additional documents,
and whether would want to examine any defense witnesses.
Fix mutually a convenient date, time and place for holding of a
regular inquiry.
Ensure all additional documents relevant to the charge demanded
have been examined thereafter commence the regular inquiry.
All proceedings done in presence of Charged Employee and his
D.C.,if nominated.
The prosecution sides case should be presented first.
Opportunity
for cross-examination of each witness should be afforded to the
Charged Employee and be allowed to put up leading questions.

Procedure cont..

After all witnesses mentioned in the C/sheet have been examined

and case of prosecution side is closed, the Charged Employee can
introduce the defense witness/documents
Thereafter ask to submit a defense taking into account what has
been brought out by the prosecution/defense witness. The defense
side should be allowed to present its own case.
If the charged employee desires to appear as a defense witness in his
own case, he should be examined first before allowing examination
of any other defense witness.
After defense concludes its submissions, question on the points
going against him
After general examination ask to submit brief orally or in writing.
In case submits orally, the same should be got recorded by IO.
Now pen the findings to be forwarded to the DA.

INQUIRY

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

C.O., D.A - ONLY 2 POSTPONMENTS. GIVE D.P.T
MAKE C.O. FEEL AT EASE - 5 COPIES OF D -D-P
SIGNED BY C.O., I.O. & D/C AND P.O, IF ANY
INFORM D.A ABOUT PROGRESS OF THE CASE.
POINT OUT REPLIES GOING AGAINST CHARGED
OFFICERFINDINGS
BEFORE CONCLUDING
INQUIRY
SUBMIT
- 3 COPIES ( 2-THE
D.A 1O.C.) - .
INCLUDE ADDITIONAL CHARGE ONLY IF
OPORTUNITY GIVEN TO DEFEND that CHARGE

Cont..

PROCEDURE FOR CONDUCT OF INQUIRY

WITNESS

P.A.

I.O
C.O

D.C

PRELIMINARY INQ. I.O. TO C.O 5 QUESTIONS - DC Not permitted

EXAMINATION-IN-CHIEF I.O TO WITNESS - Shows STATEMENT
AND INTRODUCE DOCUMENTS as EXHIBITS - NARRATE INCIDENCE
IN OWN WORDS. IF DOES NOT ACCET STATEMEMT GIVEN EARLIER
ADDLITIONAL DOCUMENTS OR WITNESSES allowed IF RELEVANT OR REFUSE ON FORM 6
XEXAMINATION CO/DC TO WITNESS
I.O. TO NOTE ANSWERS FOR AND AGAINST- useful later
Details Pl.
RE-EXAMINATION , IF ANY

Cont..

INQUIRY NOT NECESSARY - when ?

t
r
a
p
xE
s
i
t
a
h
y?
W
r
i
u
Inq

1.

CHARGES ADMITTED - WITH OUT QUALIFICATION

2.

ON CONVICTION ON A CRIMINAL CHARGE - 14 (i)

3.

WHERE D.A. IS SATISFIED THAT

- IT IS NOT PRACTICAL TO HOLD INQUIRY
- REASONS TO BE RECORDED - 14 (ii)

4.

WHERE PRESIDENT IS SATISFIED THAT

- IN THE INTEREST OF SECURITY OF STATE, IT IS
NOT EXPEDIENT TO HOLD AN INQUIRY - 14 (iii)

Cont..

DIALATORY TACTICS BY C.O. & D.C.

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

ACTION ON COMPLETION OF INQUIRY BY I.O.

ALL P.W.s/D.W.s EXAMINED Go FOR
SELF EXAMINAION OF THE Charged Official
INTRODUCE Charged Officials STATEMENT AND DRAW
ATTENTION TO REPLIES GIVEN BY PWs & DWs
GOING AGAINST HIM any thing he has to say about it.
Give him time to submit his Written Brief within 10 days
Note if there is a PO then PO will first submit his Brief, give
A copy to C.O. and then ask him to submit his WB
Take all correspondence in to consideration and pen your
Findings Best findings is the one which does not require
Referring to any other document while reading it.
Details Pl.

ACTION AFTER INQUIRY

ENSURE PROPER PROCEDURE FOLLOWED OR NOT
IF NOT REINQUIRY-SAME I.O. OR A FRESH I.O. OR
OWN FINDINGS BASED ON EVIDENCE ON RECORD.
IF ACCEPTED SEND COPY TO CHARGED OFFICER.
ON RECEIPT OF FINAL DEFENSE CONSIDER ALL
CORRESPONDENCES RIGHT FROM ISSUE OF
CHARGESHEET TO FINAL DEFENSE AND DECIDE THE
CASE I.E. DROP THE CASE OR IMPOSE PENALTY.
ENSURE ENTRY OF PUNISHMENT IN SERVICE SHEET
IN RED INK under OWNs SIGNATURE / DESIGN.
FORWARD COPIES OF NIP TO ALL CONCERNED
AND OBTAIN ACKNOWLEDGEMENTS.
Details Pl.

Cont..

SPEAKING ORDERS
WHAT

IS A SPEAKING ORDER ?
* VERY IMPORTANT DOCUMENT - INDICATES
PUNISHMENT IMPOSED ON THE EMPLOYEE
* AN ORDER AGAINST WHICH AN APPEAL LIES
* SHOULD BE UNDERSTOOD.
3

where
when

WHO HAS BEEN CHARGESHEETED

WHAT

FOR CHARGESHEETED

HOW CHARGES PROVED OR NOT

WHICH PENALTY IMPOSED
WHY THIS PENALTY IMPOSED
Details Pl.

WHAT IS APPEALABLE ?
ANY SERVICE MATTER
SUBSISTENCE ALLOWANCE.
SUSPENSION IF NO CHARGESHEET
IS ISSUED WITHIN 90 DAYS AND THE
SUSPENSION IS NOT YET REVOKED

WHAT IS NOT APPEALABLE ?

ORDERS ISSUED BY THE PRESIDENT
INTERLOCUTORY NATURE ORDERS
ORDERS OF INQUIRYOFFICER ISSUED
DURING THE INQUIRY PROCEEDINGS
Details Pl.

Cont..

DEALING WITH
APPEALSDISCIPLINARY
DEALING
CLERK

Within time limit or not

W.T.L/N

Correct Address of A A

C.A.A.A
Correct Address of C Or

C.A.C.O.
Respectful &Polite Language

C.R.P.L.

Material related to case.

R.M.F.C

AUTHORITY

Brief History of Case

B.H.O.C.
Para Wise Remarks

P.R.O.A

DAR Case in original

D/C.I.O
Service sheet of C.E.

S.S.O.E
C.R.s of C.E.

C.R.O.E

APPEALLATE
AUTHORITY

Procedure followed or no

C.P.F/N

Orders backed by evidences

O.B.E.R
Penalty commensurate

C.G.O.O.

Maintain.Amend Retain

M.E.R.P
Give Speaking Orders

S.Orders

R E V I S I O N
ALL STEPS AS IN DEALING WITH APPEALS
WILL BE FOLLOWED EXCEPT THAT THE
PUNISHMENT CAN BE
ENHANCED WITHIN 6 MONTHS
AND REDUCED WITHIN 1 YEAR
FROM THE DATE OF THE ORDERS
AGREIVED AGAINST.
AT ANY STAGE IF THE PUNISHMENT IS ENHANCED
THE EMPLOYEE SHOULD BE INFORMED OF THE
PROPOSED ACTION BEFORE ITS IMPLEMENTATION
Details Pl.

REVIEW
REVIEW IS NOT AN EMPLOYEES RIGHT
HOWEVER, HE CAN REQUEST FOR REVIEW
ONLY IN CASE IF IS ABLE TO INTRODUCE A
NEW EVIDENCE THAT WAS LOST SIGHT OF
IN THE PAST STAGES .

THE PRESIDENT OF INDIA

CAN REVIEW A CASE AT ANY TIME.

SPECIAL PRIVILEGES TO N.G. STAFF

BEFORE CONSIDERING APPEAL
TO GIVE A PERSONAL
HEARING IN CASE OF
REMOVAL,DISMISSAL OR
COMPULSORY RETIREMENT
of A N.G. EMPLOYEE
CAN REQUEST TO REFER
HIS CASE TO R.R.T. LOOSES CHANCE OF
REVISION AND REVIEW
Details Pl.

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