Master Copy for IRTMTCALD by IRICEN THE RAILWAY
Master Copy for IRTMTC/ALD by IRICEN
THE RAILWAY SERVANTS (DISCIPLINE AND APPEAL) RULES, 1968
Importance of Discipline • Discipline is important in any organized activity. It induces team work, cooperation and influences productivity. • Absence of discipline may mean inefficiency and even chaos. Supervisors and Managers have an important role in maintaining or disturbing discipline
Constitutional Provisions • Article 3 10 accepts the principle that Central Government employees hold their positions during the 'pleasure' of the President, who is in control of their discipline. • Under article 3 II (I ) no civil servant shall be removed or dismissed from service by an authority subordinate to the authority who appointed him. • As per article 3 11(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. • This article brings up the concepts of 'Appointing Authority' and 'Reasonable opportunity'.
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. • 'Chanakya' emphasized that a punishment should be imposed only after a complete and systematic inquiry. • 'Vidur"' talks of the charges being proved before imposing a punishment and also about the exact dose of punishment. Chief Justice S. R. Sinha of Supreme Court of India points out the following principles :
Chief Justice S. R. Sinha of Supreme Court of India points out the following principles 1. No body can be a judge in his own cause. 2. None should be condemned without being heard. 3. All decisions should be made in good faith.
Several elaborations or additions have been made to the above noted principles : 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. • These principles are very important and should be kept in mind like tile words of Gita, Bible or Koran.
4 Authorities under Disciplinary Rules • 4. 1 Appointing Authority : • Appointing Authority in relation to a Railway Servant means a) the authority to make appointments to the service of which the Railway servant is, for the time being, a member or to the grade or the service in which the Railway servant is, for the time being, included; or b) the authority empowered to make appointments to the post which the Railway servant, for the time being, holds; or c) the authority which appointed the Railway servant to such service, grade or post, as the case may be; or
Authorities under Disciplinary Rules • (d) where the Railway servant having been a permanent member of any other service or having substantively held any other permanent post, • Has been in continuous employment under the Ministry of Railways, the authority which appointed him to that service or to any grade in that service or to that post, whichever authority is the highest authority,
4. 2 Disciplinary Authority. a) in relation to the imposition of a penalty on a Railway servant, the authority competent, to impose on him penalty is as per schedule in normal course and in case of imposing major penalties such authority Would be Appointing Authority; b) in relation to Rule 9 (Major Penalty) and clauses (a) and (b) of sub rule (1) of Rule II (Minor Penalty) in the case of any Gazetted Officer, an‑authority competent to impose any of the penalties specified in Rule 6; c) in relation to Rule 9 in the case of any Non‑Gazetted Railway servant, an authority competent to impose major penalties specified in Rule 6. • An authority, who can impose any penalty under D&A Rules, may impose a minor penalty.
Disciplinary Authority • For initiating a disciplinary proceeding, an authority who is competent to impose a minor penalty, may issue the charge sheet. • But as soon as he comes to know that based on the inquiry the punishment required to be imposed is not within his competence, he should forward the case to the cornpetent authority.
Inquiry Authority The official who is nominated by the Disciplinary Authority to conduct the 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/Supervisors. This authority should be impartial, free from bias and unconnected with the case and not lower in rank to charged employee or the officer who held fact‑finding inquiry, except in accident/vigilance/SPE cases.
Defence Counsel • The charged employee may present his case with the help of another person who is known as Defense Counsel or Defense Helper. • This counsel could be another official of the same organization, or a retired official of the same organization or a trade union official of a recognized union. • But he should not be a legal practitioner. • He should not be associated with the case in his official capacity.
Suspension • Suspension is not a penalty. 1. An employee may be placed under suspension: I. When a disciplinary proceeding is counterploted or pending against him; or II. When engaged in activities prejudicial to the interest of the State; or III. When a criminal case is pending investigation, inquiry or trial.
Deemed suspension An employee shall be deemed to have been suspended (i) if he remains in police custody for exceeding 48 hours; (ii) If lie is convicted for an offence and sentenced to imprisonment for a period exceeding 48 hours and is not forthwith dismissed, removed or compulsorily retired.
Other Circumstances of Deemed Suspension 1. When a penalty of dismissal, removal or compulsory retirement, imposed on an employee under suspension, is set aside on appeal or revision and the case is remitted for further inquiry or action, the order of his ‑suspension shall be deemed to have continued in force from the date of the original order of dismissal etc.
Other Circumstances of Deemed Suspension • When a penalty of dismissal, removal or compulsory retirement, imposed upon an employee, is set aside or declared void by a Court of Law and when the disciplinary authority decides to hold a further inquiry in the same case. • The employee shall be deemed to have been placed Linder suspension by the competent authority with effect from the date of original order of dismissal etc.
Issue of Orders of Deemed Suspension • In cases of deemed suspension, the competent authority issues a formal order of suspension in the prescribed form as soon as the circumstances come to his notice. • This order is effective from the earlier date of deemed suspension. • Separate forms are used for deemed and other suspensions.
Authority Competent to Suspend (1) An employee may be placed under suspension by any of the following authorities : (a) Appointing Authority; (b) Any higher authority to which the appointing authority is subordinate; (c) Disciplinary Authority; (d) Any authority who has been empowered to place the employee under suspension,
Authority Competent to Suspend • Group C and D staff may be placed Linder suspension by Jr. Scale and Group B officers. • Senior Supervisors (authorised in this regard by Government) may suspend Group D staff. Group A and B Officers may be suspended by Rly. • Board, General Manager/Add]. G. M. ordered to look after duties of GM in absence of regularly posted GM, DG/RDSO, Principal Rly. Staff College, CAO having independent charge. • Principal HOD may suspend Gr. B officers and Gr. A (in junior scale only). • An authority Who is not competent to place an employee under suspension may suspend him when the circumstances so warranty, • but should immediately report to the competent authority who will confirm the order.
Revocation of Suspension • The suspension continues till the order of suspension is modified or revoked by the competent authority who placed the employee under suspension or by the higher authority.
Subsistence Allowance is granted to employees under suspension • Equal to leave salary on half average pay and allowances admissible on such pay. • Deductions of P. F. , Court attachment and fines cannot be recovered. • House rent, water charges, , diet charges, electric charges, re‑payment of advances. station debits, Income‑tax, losses and Doctor's fee under contract system will be recovered. • Recoveries other than these such as co‑operative society's dues, institute fee. LIC premia, school fee and refund of SBF and PF loans may be made on written request of employee.
Regularization of the Suspension Period • The suspension period is not regularized till the disciplinary proceedings are finalized. • This means that there will be no regularization after the Revocation and the case will wait ti I I it is finalised. • In case the employee is fully exonerated in a court case or awarded only minor penalty in a Disciplinary case, the period may be regularised by the competent authority as period spent oil duty on the basis that the suspension was wholly unjustified. • But in a court case, if tile employee was placed on probation or let off on benefit of doubt, it will mean that the suspension was not wholly unjustified and the period cannot be regularised as spent on duty. • The cornpetent authority may regularize the periods as leave on tile request of the employee, if not otherwise regularised, the period will remain as Suspension but will not cause any break in service. • And will count as service for payment of settlement dues on retirement.
Effects of Suspension A. Service Conditions : The suspended employee remains a Govt. – Employee for all practical purposes. Various service conditions remain applicable to him except where specifically laid down. B. Headquarters : The last place of duty Will continue to be his headquarters. – The request for a change in headquarters may be granted if there is no extra expenditure or other complications C. Promotion : An employee Linder suspension cannot be promoted. – However, lie will be called for selection (written test and viva). – His result will be kept in a sealed cover and a provisional panel will be published. – He will be considered for promotion after finalization of the disciplinary proceedings.
Effects of Suspension D. Forwarding of Application, Deputation, assignment. • foreign training etc. are not permitted. E. Resignation will not be accepted normally. • But if it is considered cheaper to accept it or the acceptance is in public interest, it may be accepted. F. Voluntary Retirement : This right is not freely available and is subject to the approval of the appointing authority. G. Leave : No leave will be sanctioned. • [FR 54. ] H. Travelling Allowance may be allowed if inquiry is held at an outstation.
Minor Penalties (i) Censure. (ii) Withholding of Promotion for specified period. (iii) Recovery from pay of the whole or part of any pecuniary loss caused to tile Rly. Admn. by his negligence, etc. (a)Withholding of passes or PTOs or both; (b)Reduction to lower stage in time‑scale for not more than 3 yrs. without cumulative effect and not affecting adversely his retirement dues. (iv) Withholding of increments (with or without cumulative effect).
Major Penalties V. Save as provided for in clause (iii b) reduction to a lower stage in the time scale of pay for a specified period, with further directions as to whether on the expiry of such period, the reduction or will not have the effect of postponing the future increments of his pay. vi. Reduction to a lower time scale of pay, grade, post, or service, for a period to be specified in the order of penalty, which shall be a bar to the promotion of the Railway servant during such specified period to the time scale of pay, grade, post or service from which he was reduced , with direction as to whether or not, on promotion on the expiry of the said specified period (a) the period of reduction to time scale of pay, grade, post or service shall operate to Postpone future increments of his pay, and if so, to what extent; and (b) the Railway servant shall regain his original seniority in the higher time scale of pay, grade, post or service.
Major Penalties vii. Compulsory retirement; viii. Removal from service which shall not be disqualification for future employment under the Government or Railway Administration; ix. Dismissal from service, which shall ordinarily be disqualification for future employment under the Government or Railway Administration.
These are not Penalties • Withholding of increment for failure to pass the required departmental examination. • Stoppage at Efficiency Bar for failure to cross it. • Non‑promotion when eligible and considered but not found suitable. • Reversion to lower post, grade or service when considered unsuitable after promotion • Reversion at the end of probation as per rules of probation. • Replacement when services borrowed from another dept. • Compulsory retirement as per rules. • Termination after probation or other conditions when made as per service agreement. • Discharge for inefficiency for failure to pass standards of physical fitness or reduction of employment.
Procedure for Imposing Major Penalties (i) Issue Memorandum of charges in S. F. 5 and provide copies of documents of their inspection. (ii) Obtain and consider statement of defence. iii) Appoint Inquiry Officer if charges are not admitted. Send 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 from list of documents relied upon should be permitted. (v) Inquiry Officer will decide modalities of inquiry, decide defence witnesses to be called for, fix calendar for inquiry and sort out other preliminary matters.
Procedure for Imposing Major Penalties (vi) The procedure for conducting the inquiry : (a) The charges will be explained to the employee. Documents may be produced as required; (b) The charged employee will be asked to stat if he accepts or denies the charge. Also if he will take a defence counsel or will defend his case himself, (c) The prosecution witnesses, cited in the charge sheet, will be examined, each one separately. Them, cross‑examination of each witness by the charged employee or his counsel. Reexamination on any point of cross‑examination, if necessary; (d) The defence witnesses, if any, may then be examined, cross examined and re‑examined; (e) The charged employee will be permitted to stat his defence;
Procedure for Imposing Major Penalties • (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.
Procedure for Imposing Major Penalties • (viii) A copy of the Inquiry Report should invariably be given to the charged employee and his defence, • if 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 which is within its competence, the Disciplinary Authority shall issue notice of Imposition of Penalty, otherwise forward the case to the competent authority. • Note : In all cases where consultation of U. P. S. C. is necessary, it should be consulted.
Procedure for imposition of Minor Penalty • A memorandum in standard form II shall be issued. • On receipt of defence of the employee, a minor penalty maybe imposed by the Disciplinary Authority. • However in the following cases an inquiry as for a major penalty shall have to be held :
Procedure for imposition of Minor Penalty • (i) Imposition of WIT for a period exceeding 3 years; • (ii) Imposition of WIP for any‑period; • (iii) Where the penalty will affect the retirement dues of the employee; • (iv) in cases where the Disciplinary Authority feels that a detailed enquiry should be held.
Ex‑party 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 lie is submitting medical certificate of sickness.
Special Procedures in Some Cases • Where the normal procedure cannot be followed under the circumstances of the case, it may be desirable to follow a special procedure under Rule 14 of D&A Rules: • (i) Where any penalty is imposed on the employee on the ground of conduct which has led to his conviction on a criminal charge; or • (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 according to the rules; or
Special Procedures in Some Cases • (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 according to the rules; or • (iii) Where the President is satisfied that in the interest of the security of state, it is not expedient to hold an inquiry according to the rules.
Appeal : (Rule 24) • (1) The appeal against punishment lies to the Appellate Authority, who is usually the next higher authority to whom the disciplinary authority is subordinate. • (2) The limitation is a period of 45 days from the date of order of punishment. Delay on sufficient causes may be condoned.
Appeal : (Rule 24) • 3) be addressed to the appellate authority only. • It should not be in a disrespectful or improper language. • (4) In cases of major penalty to subordinate staff. • A personal hearing may be granted by the appellate authority.
Appeal • (5) The decision in appeal cases may be (i) setting aside, (ii) reducing, (iii) confirming or (iv) enhancing the penalty. • In cases of enhancement, a reasonable opportunity will be given to make a representation. • (6) Normally there is no second appeal. It is permitted only in case of Group D staff who has been. • dismissed, removed or compulsorily retired.
A. 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 thereafter, may apply for revision to G. M. or DRM or senior most Adm. Grade Officer. • This gives choice of revision by prescribed authority or by GM etc. and should be mentioned in appellate order.
45. 20 Revision : [RBE‑ 90197, dt. 19. 6. 97. ] • (1) The revising authority should not be below the rank of a junior administrative grade officer. • The appellate authority may become the revising authority if no appeal was made. • (2) No revision can be made after more than six months of the date of order to be revised, if it was 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 or Ministry or the Chief Executive. • (3) The decisions in Revision Cases may be similar to those in appeal cases. • Reasonable opportunity will be given in cases of enhancement of punishments.
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 provisions of Rule 25 included in the Discipline & Appeal Rules. • President may make this review at any time on his own motion or on a reference made to him. He may pass any orders in the case as deemed fit. • If it is proposed to enhance the penalty, a reasonable opportunity will be given to the employee to submit his representation.
Action for other than official activity • A Government employee can be taken up in respect of activities which are not purely official, such as those related to Recreation Clubs. , Cooperative Societies, Canteens etc. in which the employee plays his role. • Cases of mis‑appropriation of funds and other irregular activities may be taken up under Discipline Rules by the Disciplinary Authority.
STANDARD FORM USED IN DISCPILINARY PROCEEDINGS STD FOFM NO SUBJECT 1 ORDER OF SUSPENSION 2 ORDER OF DEEMED SUSPENSION 3 CERTIFICATION TO BE FURNISHED BY SUSPENDED RLY EMPLOYEE. 4 REVOCATION OF SUSPENSION 5 CHARGE SHEET FOR MAJOR PENANTY 6 REFUSING OF PERMISSION TO INSPECT DOCUMENTS 7 APPOINTMENT OF I. O /BOARD OF INQUIRY. 8 APPOINTMENT OF PRESENTING OFFICER 9 NOT PRINTED.
STANDARD FORMS USED IN DISCIPLINARY PROCEEDINGS 10 DISCIPLINARY ACTION IN COMMON PROCEEDING 10 a APPOINTMENT OF E. O IN COMMON PROCEEDINGS. 10 b APPOINTMENT OF PRESENTING OFFICER IN COMMON PROCEEDING 11 CHARGE SHEET FOR MINOR PENALTY. 11 b CHARGE SHEET FOR INITIATION OF MINOR PENALTY WHERE ENQUIRY IS ESSENTIAL. 11 c FOR MAKING DISCIPLINARY ACTION FOR MINOR PENALTY WHERE CHARGE SHEET FOR MAJOR PENALTY WAS INITALY ISSUED. 12 MEMORANDUM WHERE ACTION IS PROPOSED UNDER RULE -14(i) 13 PERMISSION FROM PRESIDENT FOR ACTION AGAINST RETIRED EMPLOYEE 14 CHARGE SHEET FOR RETIRED EMPLOYEES.
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