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BASIC TIPS ON DAR

August 12, 2010

THE RAILWAY SERVANTS (DISCIPLINE AND APPEAL) RULES 1968
Some important points for day to day working.

Rule 1: Short title and commencement.
(1) These rules may be called “The Railway Servants (Discipline and Appeal) Rules 1968.
(2) They shall come to force from 01-10-1968.

Rule 2: Definitions:
Appointing Authority:-
Appointing Authority in relation to railway Servant means – the authority empowered to make appointment to the post which the Railway Servant, for the time being holds, or whichever authority is the highest authority.
The authority which appointed the Railway Servant to such Service, grade or post.

Commission : the Union Public Service Commission.

(b) Displinary authority :
(i) in relation to the imposition of penalty on a Railway Servant, the authority competent, under these rules to impose on him that penalty.
(ii) in the case of Gazetted Railway Servant, an authority competent to impose any of the penalties specified In Rule 6,
(iii) in the case of Non Gazetted Railway Servant, in relation to Rule 9 an authority competent to impose any of the major penalties specified In Rule 6,
(iv) in the case of Non Gazetted Railway Servant, in relation to Rule 11 an authority competent to impose any of the minor penalties specified In Rule 6,

GM as Appointing Authority:-

For staff in Class C & D where records or appointment letter to show the actual authority of such staff are not available, GM will become the Appointing Authority. Accordingly, the punishment of Dismissal, Removal, Compulsory Retirement for such employee cannot be imposed by an authority lower than GM.

Rule 3 : Application
(1)These rules shall apply to every Railway Servant, but shall not apply to –
(a) any member of the All India Service,
(b) any member of the Railway Protection Force,
(c) any person of casual employment.

SUSPENSION

Rule 4 : Authorities competent to place Railway Servant under Suspension:
In exceptional cases, any authority specified in any of the Schedule may place any subordinate Railway Servant specified therein, under suspension :
Provided that, where any action is taken under the forgoing proviso, the authority concerned shall forthwith report to the authority competent to place such Railway Servant under suspension, the circumstances in which the order was made and obtain his approval.
Rule 5:
(1) A Railway Servant may be placed under suspension:
(a) where a disciplinary proceeding against him is contemplated or is pending, or
(b) where, in the opinion of the authority competent to place a Railway Servant may be placed under suspension, he has engaged himself in activities prejudicial to the interest of the security of the state; or
(c) where a case against him in respect of any criminal offence, is under investigation, inquiry or trial.

(2) A Railway Servant shall be deemed to have placed under suspension:
(a) 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;
(b) with effect from the date of his conviction if, in the event of a conviction for offence, he is sentenced to a term of imprisonment exceeding forty eight hours and is not forthwith dismissed or removed or compulsorily retired consequent to such convection.

Review of Suspension : unless revoked before expiry of 90 days, shall be reviewed by the competent authority on the recommendation of the Review committee constituted for this purpose. ( RB /Estt No.95/2006, dt. 19-07-2006)

Erroneous detention : Railway Employee was detained in Police custody erroneously or without any basis and released without any prosecution, he may be eligible for full pay and allowance if the competent authority feels suspension as fully unjustified.

Sick Leave during Suspension: An employee under suspension may be treated in Railway Hospital, no sick leave will be granted for this purpose.
It is the duty of the employee who may be arrested for any reason to intimate the fact of his arrest and the circumstances connected therewith to his official supervisors as soon as possible even though he might have subsequently released on bail.

Suspension with retrospective effect : Where a penalty of dismissal, removal or compulsory retirement from service imposed upon a Railway servant is set aside or declared or rendered void in consequence of or by decision of a court of law and the disciplinary authority on consideration of the circumstances of the case, decides to hold further inquiry, against him on the allegations on which the penalty was originally imposed, the Railway servant shall be deemed to have been placed under suspension by the competent authority from the date of original order of dismissal, removal or compulsory retirement and continue to remain under suspension until further orders.

Passes during Suspension : Gazetted Railway servant will be eligible for half the number of Privilege pass with the permission of General Manager. Non Gazetted are eligible for one set of Privilege pass and 3 PTOs with the approval of authority not lower than DRM.

Rule 6 : Penalties
Minor Penalties.
(i) Censure :
(ii) Withholding of Promotion for a specific period.
(iii) Recovery From Pay of Pecuniary loss caused to Government by negligence or breach of orders.
(iiia) Withholding of Privilege Passes or Privilege Ticket Orders or both
(iiib) Reduction to a lower stage in time scale of pay one stage for a period not exceeding three years, without cumulative effect and not affecting 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 his pay.

(v) Major Penalties.
{ Save as otherwise provided for in clause (iii b) }reduction to a lower stage in 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 increment of his pay.

(vi) Reduction to a lower time scale of pay, grade, post or service with or without further directions regarding conditions of restoration to the grade or post or service from which the Railway servant was reduced and his seniority and pay on such restoration to that grade, post or service.
(vii) (viii) (ix) Compulsory retirement:
Removal from service:
Dismissal from service:

Rule 7: Disciplinary Authorities.
The Disciplinary Authority in the case of Railway servant officiating in a higher post, shall be determined with reference to the officiating post held by him at the time of taking action.
Disciplinary Authority means –
in relation to the imposition of a penalty on a Railway servant, the authority competent, under this rules, to impose on him that penalty;
In case of Gazetted servant, an authority competent to impose any of the penalties specified in Rule 6;
In case of Non-Gazetted servant, an authority competent to impose any of the Major penalties specified in Rule 6; ( for issue major penalty )
In case of Non-Gazetted servant, an authority competent to impose any of the penalties specified in Rule 6; ( for issue minor penalty )

Rule 8 : Authority to institute proceedings.

Competent Authority for imposing penalties (i) to (vi) under Rule
01 Senior supervisors incharge of Rs 4500-7000 and above (Described as incharge by Rly admn. for this purpose) Group D and Gr.C three grades below.
02 Asst. Officers. (Jr Scale and Gr B) Group D and Gr.C staff in scale up to and including 5000-8000.
03 Sr. Scale officers and Asst. officers (Jr Scale and Gr B holding independent charge) Group D and Gr.C staff in scale up to and including 5500-9000.
04 JAG, Senior scale officers holding independent charge of a Dept / Divn & above Group D and Gr.C staff

( B )
(vii) * Compulsory retirement:
(viii) * Removal from service:
(ix) * Dismissal from service:
Competent Authority for imposing penalties (vii) to (ix) under Rule 6
( Appointing Authority or an authority equivalent rank or any higher authority )

DAR Schedule II   RBE 10/2011  dated 19-01-2011

Sl.No. Authority Disciplinary powers can be exercised Penalty can be imposed Appellate authority
1 Senior supervisors in charge (described ) of GP 4200/- and above All staff who are 3 grades below and lower i) to (iv) Assistant Officer in Jr. Scale & Gr.B Gaz
2 Assistant Officer in Jr. Scale & Gr.B All staff with GP up to and including Rs. 2400/- i) to (v) Senior Scale Officer and Assistant Officers  ( Junior Scale & Gr.B Gaz. holding independent charge.
3 Senior Scale Officer and AssistantOfficers  ( Junior Scale & Gr.B Gaz. holding independent charge. All staff with GP up to and including Rs. 2800/- i) to (vi) and suspension J.A.Grade and Senior Scale holding independent charge or incharge of a dept in Division
4 J.A.Grade and Senior Scale holding independent charge or incharge of adept in Division All class of Non gazetted staff. i) to (vi) and suspension ADRM in relation to the Depts or DRM
5 ADRM in relation to the Depts orDRM All class of Non gazetted staff. i) to (vi) and suspension SAG  Offiers in Zonal office in PB 4 with GP 10,000/- including PHOD in PB 4 with GP 12,000/-
6 SAG  Offiers in Zonal office in PB 4with GP 10,000/- including PHOD in

PB 4 with GP 12,000/-

All class of Non gazetted staff. i) to (vi) and suspension Additional General Manager in relation to the Depts or Chief Admn Officers or GM.
7 Additional General Manager in relation to the Depts or Chief Admn Officers or GM. All class of Non gazetted staff. i) to (vi) and suspension Railway Board
8 Railway Board All class of Non gazetted staff. i) to (vi) and suspension President

 

 

 

 

 

Penalties ( vii), (viii) and (ix) shall be imposed only by the appointing authority.

GAZETTED CASES.

 

Authority Class of Rly.Officer Power Appellate Authority.

GENERAL MANAGER

Group “A” Suspension and the penalties specified in clauses (i),(ii),(iii), (IIIa),(iiib) & (iv) of Rule 6 in the case of officers up to and including Selection Grade officer of JAG PRESIDENT
Group “B” Suspension and the penalties specified in clauses (i),(ii),(iii), (IIIa),(iiib) & (iv) of Rule 6 RAILWAY BOARD

PRINCIPAL HEADS OF DEPARTMENT
Group”A” Group “B” Suspension and the penalties specified in clauses (i),(ii),(iii), (IIIa),(iiib) & (iv) of Rule 6 in the case of officers in Junior Scale.
GM
Suspension and the penalties specified in clauses (i),(ii),(iii), (IIIa),(iiib) & (iv) of Rule 6
GM

# Group ‘B’ officers who are officiating in Senior Scale or are in Senior Scale on Adhoc basis, for the purpose of Railway Servants (D&A) Rules 1968, are to be treated as Group ‘A’ officers.

Impact of penalties on promotion.
Penalty calling of promotion Promotion
(1) (2) (3)
(i) Censure may be called may be promoted
(ii) Stoppage of promotion may not be called not to be promoted
(iii) Recover loss may be called may be promoted
(iv) Withholding of Passes/PTO -do- -do-
(v) Withholding of increment -do- not to be promoted during the penalty
(vi) Reduction to lower stage -do- -do-
(vii) Reduction to lower time scale etc. may not be called -do-

Rule 9: Procedure for imposing Major Penalties.

(i) Issue Memorandum of Charges in S.F.5 with Annexure & copies of Relied upon documents and provide copies of documents for inspection.
(ii) Obtain and consider statement of defence.
(iii) Appoint Inquiry Officer if charges are not admitted. Sent record of case to the Inquiry Officer.
(iv) Inquiry Officer will allow a defence counsel where asked for additional documents, when relevant, should be allowed. Perusal and extracting and extracting from list of documents relied upon should be permitted.
(v) Inquiry Officer will decide modalities of inquiry, decide defence witness to be called for, fix calendar for inquiry and sort out other preliminary matters.
(vi) The procedure for conducting inquiry:
(a) The charges will be explained to the employee.
(b) The charged employee will be asked to state if he ascepts or denies the charges. Also if he will take a defence counsel or will defend his case himself.
(c) The prosecution witness, cited in the charge sheet, will be examined, each one separately. Then, cross-examination of each witness by the charged employee or his counsel. Re-examination on any point of cross-examination, if necessary.
(d) The defence witness, if any, then be examined, cross-examined and re-examined.
(e) The charged employee will be permitted to state his defence.
(f) Inquiry Authority may question the charged employee on the circumstances appearing against him in the evidence.
(g) The charged employee will be permitted to file written briefs.

(vii) Based on evidence on record, the Inquiry Officer shall draw his findings and Inquiry report and send it along with records of case and records of inquiry to the Disciplinary Authority.
(viii) A copy of the Inquiry Report should invariably be given to the charged employee and his defence, if any submitted, should be considered before any further action is taken.
(ix) The Disciplinary Authority shall consider the report and may accept it or draw its own finding or remit it or ask for fresh inquiry.
(x) If it is decided to impose a penalty a penalty which is within its competence, the Disciplinary Authority shall issue notice of Imposition of Penalty, otherwise forward the case to the Competent Authority.

Appeal ( Rule 24)

(1) The Appeal against punishment lies to the Appellate Authority, who is usually the next higher authority to whom the Discipinary Authority is subordinate.
(2) The limitation is a period of 45 days from the date of order of punishment.
(3) A single person should appeal in his own case, addressed to the Appellate
Authority and should not be in a disrespectful or improper language.
(4) The Appellate Authority may (i) set aside, (ii) reduce, (iii) confirm,(iv) enhance the penalty. In case of enhancement, a reasonable opportunity will be given
to make a representation.
(5) Normally there is no second appeal.

Special Provision in Rule 24 for Non Gazetted Staff.

Group C & D staff who are dismissed, removed, or compulsorily retired from service after disposal of their appeal and within 45 days, may apply for revision to GM, or DRM or Senior most Administrative Office

Revision:
(1) The revising authority should not be below the rank of a junior administrative grade officer.
(2) The appellate authority may become revising authority if no appeal is made.
(3) No revision can be made after more than 6 months of the date of order to be revised, if it is proposed to enhance the penalty or modify it to the detriment of the employee. It will not be made after more than one year if the penalty was to be reduced or cancelled. These time limits do not apply if revision was to be made by President, Ministry or Chief Executive.

Re- employment of Dismissed / Removed / CR cases.

Rule 402 IREC Vol I does not forbid the competent authority to order re-employment of a dismissed / removed/ compulsory retired railway employee.

Review:

Where a new fact comes to notice which is likely to affect substantially the decision in the case, the President of India may review the case, vide provision in the Rule 25. President may make his review at any time on his own motion or on a reference made to him. He may pass any orders as deemed fit. If it is decided to enhance the penalty, a reasonable opportunity will be given to the employee to submit his representation.

In respect of charge/charges admitted by the delinquent employee without any qualification, no inquiry may be held.
Photostat / Typed copies of all the Relied Upon / listed Documents would be forwarded along with the charge sheet, where ever it may be possible. This will not, however, effect the right to inspect the original.

Disciplinary Authority for transferred employee: When an employee has been transferred from one station, division, railway to another station, division, railway and released from such place, the disciplinary authority for the purpose of shall be authority under whose control he has been transferred and not the old one.

Dropping of charges after receiving the written statement of defence:
Disciplinary Authority has the inherent power to review and modify the articles of charge, or drop some of the charge or all the charges after the receipt of written statement of defence submitted by the accused Rly servant.

Proceedings after Retirement:

Where disciplinary proceedings had been initiated against an employee while he was in service, these may be continued and finalized after his retirement by the same authority. The final settlement dues, will be paid on finalization of the case.

In case proceedings were not initiated during his service, the same can be initiated after his retirement with the permission of the President. It should not relate to an event which took place more than 4 years before the new date of initiating the case.

Criminal cases and departmental proceedings –
It is not necessary to stop proceedings only because a criminal case is pending in a court of law on the same charges. Each case can be considered individual on its facts and circumstances. However, if the employees obtain a stay order of proceedings from the court, the proceedings are to be suspended.

Simultaneous prosecution and departmental proceedings-
There is no legal objection to initiate simultaneously departmental proceeding against Govt Servant against whom criminal proceedings are going on. However, keeping in view the possibility that steps which may be taken by disciplinary authority may prejudice the accused in his defence in the court, it may be appropriate to wait the result of the criminal proceedings. In other words, while the proceedings may be initiated, it would be safer to stay the same till the criminal proceedings are concluded.

Review of decision taken in the departmental proceedings on the acquittal in a Court on the same charge-
If the facts, circumstances and the charges in the departmental proceedings are exactly identical to those in the criminal case and the employee is exonerated / acquitted in the criminal case on merit ( without benefit of doubt or on technical grounds) the departmental case may be reviewed if the employee concerned makes representation.

Action if Appeal is filed-
Competent disciplinary authority may proceed with the institution/completion of disciplinary proceedings, including imposition of the penalty as prescribed in the relevant disciplinary rules, on the basis of convection imposed on a public servant by a criminal court, not withstanding the fact that a higher court on an appeal filed by the public servant concerned, may order suspension of the “sentence” passed by the trial court till the final disposal of the appeal.
Ineffective punishment and remedy therefore-
The DA must make sure before ordering punishment of stoppage of increments that the staff concerned has scope to earn those increment, ie he is not at the maximum of the grade. In such a case, the case should be referred back to the DA, who may cancel the original punishment, review his own order and impose a fresh one. ( Bd No.E(D&A) 82 RG 6-84 dated 4-1-83)
Reduction to lower time scale and fixing at lower stage:
An employee was reduced to lower scale and his pay was also fixed at minimum of the grade. It is clarified that, there is nothing wrong in it and it cannot be taken as dual jeopardy / double punishment.

Recovery from pay-
It must be ordered only when the loss caused has been quantified and liability has been finally fixed. The exact amount to be recovered must be indicated in the order. The instalments may be fixed in consultation with the delinquent so as to be neither too harsh nor too easy. The balance amount can be recovered DCRG.
Penalty of Recovery from pay of the loss caused by railway servant can be imposed in addition to another penalty.
Recovery from pay of the loss caused to the Government by negligence or breach of orders any one of the penalties specified in clause (i), (ii), (iii)(a), (iv), (v) and (vi) of Rule 6 of RS(D&A) 1968 can be imposed.

Stoppage of Passes.
This is comparatively a much lighter penalty. It should be issued in terms of number of sets of passes / PTOs rather than period.
Post retirement passes cannot be stopped under DAR.
Removal of temporary employee.
It would not be correct to remove a temporary employee from service for the reasons of unauthorized absence. He should be afforded an opportunity under D&A Rules before being removed from service.
However this Rule will not apply to the casual labour with temporary status who have not been absorbed on regular basis.

Transfer of delinquent –
When after issue of charge sheet, the employee is transferred under the control of another disciplinary authority, the new disciplinary authority need not start de novo proceedings and carry on from the point where the transfer was effected.

Disciplinary Authority for transferred employees-
Where an employee has been transferred from one station , division or railway to another station , division or railway and relieved, the Disciplinary authority shall be the authority under whose control he has been transferred and not the old one.
Officers managing duties as DA
Officers performing current duties of a post cannot exercise statutory powers under DAR.
Authority competent to conduct departmental inquiry where fact finding inquiry is held.-
Except in cases of accident cases, audit reported cases & SPE /Vig cases, the disciplinary action should not to be entrusted to an officer lower in status than that of the officer, who conducted the fact finding inquiry.
Change of Inquiry Officer-
Whenever a Inquiry Officer is changed, a fresh appointment order should be issued.
No reduction below the post to which one was recruited.

Safety related disciplinary cases:
Consultation with the Safety department is an essential requirement wherever disciplinary / appellate/revisionary authority disagrees with the view of the safety department in safety related disciplinary cases.
Distinction between Major and Minor penalties.

Major and  Minor penalty – differences.
1 As given in Art 311(2) of the Constitution. Not in the Constitution.
2 Standard form No 5 is used. Standard form No 11 is used
3 After receiving the defence statement, a minor penalty may be imposed. ( after SF 11C)
4 A detailed inquiry is necessary. No inquiry is necessary except in some cases.
5 To non Gazetted cases the charge sheet can be issued only by an authority who is competent to impose any major penalty.
6 There is a provision for assisting official There is no such provision
7 In the case of Removal & Dismissal, revision by RRT
( Rly rates tribunal) is available for C&D employees. There is no such provision
8 There is provision for inspection of documents. No such provision, though the request if made should be considered sympathetically.
9 A list of witness, if any, is to be given with the charge sheet. No such list is given.

Status of the disciplinary case in the event of death of the charged official. [No. E(D&A)99 RG6-26, dated 19.06.2000]

The question whether the disciplinary case initiated against a Railway Servant under the Railway servants (Discipline and Appeal) Rules, 1968 could be closed in the event of death of the charged official during the pendency of the proceedings, has come up for consideration of this Ministry on quite a few occasions in the recent past. It is clarified that the disciplinary proceedings should be closed immediately on the death of the charged railway servant.

Promotion when penalty of withholding of increment is imposed.

If a Railway Servant become due for promotion after the penalty of withholding of increment or promotion is imposed, he should be promoted only after the expiry of the period of the penalty, provided that where the penalty of withholding of increment became operative from the future date, the person concerned should be in his turn and the penalty should be imposed in the promotional grade for the same period of punishment.

When an employee is held guilty and penalized and consequently not promoted till the date of completion of penalty period cannot be taken as double punishment.

Withholding of increment when one is at the highest of his scale of pay:-
Such a penalty becomes in fructuous as it cannot be implemented.

Two or more penalties of withholding of increment:-
The employee who is punished with withholding of increments temporarily for a specific periods in more than one case separately, should be restored to the next stage in the time scale after expiry of the first punishment, then impose the next penalty of withholding. ( Bd No. E(D&A) 85 RG 6-57 dated 11-03-1986)

Seniority of the employee on Withholding of increment
Withholding of increment whether with or with out cumulative effect will not have the affect the seniority of the employee concerned, unless the penalty provides for loss of seniority.

Holding Inquiry is mandatory- if it is proposed to withhold increments of pay for a period exceeding 36 months, or withhold increments of pay with cumulative effect, or withholding of increments of pay is likely to adversely effect the amount of pension.

Standard Forms for use in Disciplinary Proceedings

Standard
Form No.               Description

1. Order of Suspension under Rule5(1)
2. Order of Deeming a Railway servant under suspension under Rule5(2)
3. Certificate to be furnished by Suspended Official under Rule 2043 (I)-R II
4. Order of revocation of Suspension under Rule 5(5)( c)
5. Charge sheet for Major penalty under Rule9
6. Refusing of permission to inspect Documents.
7. Appointment of Inquiry/Board of Inquiry.
8. Appointment of Presenting Officer.
9. Not printed.
10. Disciplinary Action in common proceedings
10. (a) Appointment of Enquiring Authority in common proceedings.
(b)Appointment of Presenting Officer in common proceedings
11. Memorandum of charge for imposing minor penalty
(b)Charge-sheet for initiation on Minor penalty proceedings in cases where Disciplinary Authority decides to hold inquiry under Rule11(1)(b)/11(2)
(c ) Taking disciplinary action for minor penalty where charge sheet for major penalty was initially issued.
12. Memorandum where action is proposed under Rule14 (i)
13. Standard form of sanction under Rule 2308 R II
14. Standard form of charge sheet for proceedings under Rule 2308 R II

402. No person who has been dismissed from Government service or convicted for a criminal offense shall be re-employed, without the sanction of the President, or if the employment or re-employment is to a Group C or D post, without the sanction of the General Manager

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