Discipline & Appeal Rules, 1968

The Railway Servants (Discipline & Appeal) Rules, 1968 (RS(D&A) Rules) lay down how misconduct is dealt with: who may suspend or punish, which penalties exist, how charges are framed and inquired into, and how an employee can appeal. They have 7 parts and 31 rules, and are framed under Article 309 of the Constitution in line with Article 311.

• Article 310: government servants hold office during the pleasure of the President.
• Article 311(1): no one may be dismissed or removed by an authority subordinate to the one that appointed him.
• Article 311(2): no one may be dismissed, removed or reduced in rank without an inquiry in which he is told the charges and given a reasonable opportunity of being heard.
• The rules do not apply to members of the All India Services, the Railway Protection Force, or persons in casual employment.

Authorities

Suspension (Rule 5)

Suspension is not a penalty. An employee may be suspended when disciplinary proceedings are contemplated or pending, when he is engaged in activities prejudicial to the security of the State, or when a criminal case against him is under investigation, inquiry or trial.

• Deemed suspension: from the date of detention in custody for more than 48 hours, or from the date of conviction with a sentence of more than 48 hours if not dismissed straight away.
• A suspension order lapses after 90 days unless reviewed and extended before then; each extension may be for not more than 180 days at a time.
• If no charge sheet is issued within 3 months of suspension, the employee must be told the reason for the suspension.
• Leave cannot be granted during suspension. The employee may leave headquarters only with permission from an authority not below Dy. HOD.
• A suspended employee gets subsistence allowance. PF subscription and court attachments are forbidden deductions from it; house rent, electricity, GIS and income tax are permissible deductions.
• If suspension is not followed by a major penalty, or the employee dies while suspended, the period may be treated as duty.

Penalties (Rule 6)

• For an act that caused, or would ordinarily have caused, a collision of trains, removal or dismissal should ordinarily be imposed.
• For passing a signal at danger, one of the penalties in clauses (v) to (ix) should ordinarily be imposed.
• For disproportionate assets or accepting illegal gratification, removal or dismissal should ordinarily be imposed. If a lesser penalty is given in any of these cases, the reasons must be recorded in writing.
• Both removal and dismissal forfeit past service for pension; the DA may grant a compassionate allowance of up to 2/3 of the pension.

Procedure for Minor Penalties (Rule 11)

• The charge memorandum for a minor penalty is issued in Standard Form 11 with a statement of imputations; the employee is given 10 days to represent.
• An inquiry is held only if the DA thinks it necessary; but it is compulsory if the proposed withholding of increments would affect pension, exceed 3 years, or have cumulative effect.

Procedure for Major Penalties (Rules 9 and 10)

1. Charge sheet in Standard Form 5 with four annexures: articles of charge, statement of imputations, list of documents, list of witnesses. The employee may inspect documents and submit a written defence within 10 days.
2. If the DA then feels a minor penalty is enough, it may impose one without further opportunity; otherwise it holds the inquiry itself or appoints an inquiry officer (Standard Form 7) and a presenting officer (Standard Form 8).
3. The defence helper must be nominated within 20 days of the appointment of the inquiry officer. A legal practitioner is not allowed unless the presenting officer is one or the DA permits.
4. In the inquiry, the prosecution witnesses are examined first and cross-examined by the defence; then the employee states his defence and produces his witnesses. If the employee does not appear, the inquiry may be held ex parte.
5. The inquiry report gives, for each article of charge, the defence, an assessment of evidence, the finding and reasons. A copy goes to the employee, who may represent within 15 days.
6. The DA then passes a speaking order. If the penalty is beyond its competence, it sends the case to the competent authority.

Rule 14 allows a penalty without the normal inquiry in three cases: conduct that led to conviction on a criminal charge; where the DA records in writing that an inquiry is not reasonably practicable; and where the President decides an inquiry is not expedient in the interest of State security.

Appeal, Revision and Review

• Appeal: to the authority next above the one that imposed the penalty, within 45 days of receiving the order. A late appeal can be accepted if there is sufficient cause.
• The appeal must be signed by the employee himself, in respectful language, and cannot be submitted through a trade union.
• For dismissal, removal, compulsory retirement, reduction or withholding of increment, the appellate authority may give a non-gazetted employee a personal hearing.
• A Group C employee who has been dismissed, removed or compulsorily retired may, within 45 days of the appeal decision, apply to the GM for revision and ask for reference to the Railway Rates Tribunal.
• Revision (Rule 25): time limit is 45 days from the appellate order, or 90 days where no appeal was made. Only one revision is allowed. A lower revising authority must act within 6 months to enhance a penalty and within 1 year to reduce it.
• Review (Rule 25A): the President may review any order at any time when new material that changes the nature of the case comes to notice.
• Rule 31: nothing in these rules takes away the right to submit a petition to the President.

Principles of Natural Justice

• No one should be a judge in his own cause.
• No one should be condemned unheard; charges must be told in advance and a reasonable opportunity given to defend.
• Decisions must be impartial, in good faith, and the reasons made known.