APO Selection – Establishment Topic No.

7 (b)

Railway Servants (Discipline & Appeal) Rules 1968.

Introduction
1. DAR action is initiated if Conduct rules are violated.

2. These rules apply to all Group-C, Group-B and Group-A Officials.

3. Do not apply to RPF and Casual Labor.

4. D&A Rules consists of –

(1) Suspension

(2) Kinds of Penalties

(3) Procedure to impose Minor penalty

(4) Procedure to impose Major penalty

(5) Appeal on imposed penalty

(6) Revision Representation on imposed penalty.

******

Suspension:

1. Suspension is not a penalty.

2. Employee can be placed under suspension when (a) Disciplinary

proceedings are contemplated or pending (b) Involved in activities
 prejudicial to the security of the country (c) Pending criminal
investigation /Trial.

3. Employee is deemed to be under suspension when he is (a)

Detained by the police in a criminal case for a period exceeding
48 hours. (b) Convicted and sentenced imprisonment exceeding
48 hours. (c) Penalty of Removal/Dismissal/Compulsory
retirement from service followed by suspension, is set aside by
the Appellate Authority/Revising Authority/Court of Law and
ordered for de-nova proceedings.
4. Suspension order is in Standard Form No.1 (SF1)
5. Deemed suspension order in in SF No.2

6. Revocation of suspension order is in SF No. 4

7. Suspension should not be for more than 90 days.

8. On the recommendation of review committee and with the

approval of Competent Authority, employee can be continued
under suspension beyond 90 days.

9. During suspension, employee need not come to office and sign in

the attendance register.

10. He should not leave HQ without permission from suspending

Authority.
11. He is not eligible for duty pay

12. He will be paid subsistence allowance equal to 50% of Basic

Pay + DA during first 90 days.
13. If suspension is continued beyond 90 days on administrative
reasons, subsistence allowance shall be enhanced to 75%.

14. If suspension is continued beyond 90 days on employee’s

account, subsistence allowance shall be reduced to 25%.

15. Employee should submit Non-employment certificate under his

signature for payment of subsistence allowance every month.

16. Leave is not permissible during suspension

17. No residential or Duty card pass
18. No increment during suspension
19. TA/DA is admissible for attending inquiry
20. No training or refresher course during suspension
21. Can be relieved to attend departmental selection
22. No empanelment and promotion till DAR case is finalized.
23. No deputation to other departments and Ministries
24. No Voluntary retirement during suspension
25. No resignation
26. Normal retirement is permissible on superannuation.
27. Only 50% of Pass & PTOs can be issued as per eligibility.
28. Suspension period is not qualifying service for pension &
Gratuity unless regularized as leave/duty
29. Appeal can be preferred against Suspension and Subsistence
Allowance.
30. No need to attend office daily and sign in master
31. Will continue under suspension even on reporting sick.
32. Sick period is debited to leave account.
33. Can attend Railway Trade Union meetings as an Office
bearer.
34. Can participate in Railway Trade Union Elections.
35. The post of the suspended employee should not be treated
as vacancy.
36. No request transfer to other station/Division/Railway is
considered during suspension
37. Can attend as Defense Helper in others DAR inquiries
38. DA & HRA are admissible during suspension. But monthly
Transport Allowance not admissible.

Penalties:

There are two kinds of Penalties:

1.Minor penalties

2.Major penalties

Minor penalties:

1. Censure.

2. Withholding of promotion for a specific period.

3. Recovery of pecuniary loss caused to Railway Administration

due to negligence and breach of orders.

4. Withholding of Privilege Passes/PTOs or both.

5. Reduction of pay:

a) by one stage in the present Level

b) for not more than three years

 c) Without cumulative effect

d) Without affecting settlement benefits

6. Withholding of annual increment for a specific period with

direction whether it will have or will not have the effect of
postponing future increments.

Major penalties:
1. Reduction of pay in the present Level-
a) By any number of stages and/or
b) For more than three years and/or
c) With cumulative effect.
2. Reduction to lower Level or grade or post or service with
further directions regarding restoration, Seniority and
fixation of pay.
3. Compulsory Retirement.
4. Removal from service.
5. Dismissal from service.

Procedure to impose Minor penalty:

1. Charge Memorandum in Standard Form No. 11 (SF 11) should be

issued to the delinquent employee under the signature of
Disciplinary Authority (DA).

2. Disciplinary Authority means an authority who is vested with

powers to impose any of the Minor Penalties on the delinquent
employee as specified in Schedule I, II & III of RS ( D&A) Rules
1968.
 2. 10 days time should be given to the employee to submit
representation against the charge framed against him/her.
3. The representation should be addressed to the Disciplinary
Authority and signed by the charged employee.

4. DA should go through the employee’s explanation carefully.

5. DA should record its speaking order in the file regarding accepting

or not-accepting with the reasons given in the representation.

6. DA should indicate the minor penalty to be imposed.

7. The order of the DA should be communicated to CE in the form of

Penalty Order duly signed by DA itself.

8. The penalty order should be served on the CE obtain

acknowledgement should be obtained.

9. In the penalty order the appeal provision and to whom appeal lies
and within what period appeal can be preferred should be
mentioned.
10. Employee can submit appeal to the Appellate Authority within
45 days from the date of receipt of penalty order.

Procedure to impose Major Penalty:

1. A Charge Memorandum in Standard Form No. 5 (SF 5) should be issued to

the delinquent employee under the signature of Disciplinary Authority.
2. Following should be annexed to Charge Memorandum.
1) Statement of Article of Charge
2) Statement of imputations of misconduct / misbehavior
3) List of Relied Upon Documents
 4) List of witnesses
3. All the four annexures should be signed by the Disciplinary Authority (DA).
3. Copies of documents mentioned in Annexure-3 should be given to C.E.
4. 10 days time to be given to C.E to submit representation,if any.
5. The representation should be addressed to DA and signed by CE.
6. DA shall appoint Inquiry Officer (I.O) to conduct inquiry.
7. The IO should be at least one grade higher to the CE.
8. CE can take the assistance of any other serving or Retired employee of the
concerned Railway to help him during the course of inquiry with the
approval of DA.
9. The serving employee should not have more than three cases in hand
including the present case.
10.The Retired employee should not have more than seven cases in hand
including the present case.
11.In certain cases DA can appoint a Presenting Officer to present the case in
the inquiry from departmental side.
12.The PO can be any of Supervisory Official who is well versed with the case.
13.I.O should conduct the Inquiry as per inquiry rules and submit Inquiry
report to the DA.
14.In his report I.O should clearly mention whether Charge is proved or
Not-proved.
7. On receipt of Inquiry report, D.A should give a copy of the report to charged
employee (C.E) to submit Representation on the report, if any.
8. C.E can submit representation to D.A.
9. D.A should give personal hearing to C.E. (if requested)
10. D.A should go through the report & representation thoroughly.
11. D.A should write speaking order and kind of penalty to be imposed.
12. The penalty can be either Minor or Major.
13. D.A should Issue penalty order under his signature.
14. In the penalty order the appealing provision, to whom the appeal
to be addressed and within what time the appeal can be preferred
should be mentioned.
 13. C.E should receive penalty order and give acknowledgement.

Special provision to impose penalty without following due procedure:

(i) If the employee is convicted in a criminal case. (Rule 14 (i) of RS(D&A)
Rules). However representation on proposed penalty should be called
for from the employee.
(ii) In case the Disciplinary Authority satisfied that it is not reasonable
practicable to hold the inquiry in the manner provided in the Rules ( Rule
14 (ii) of RS (D&A) Rules)
(iii) In case 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 the
Rules.
NOTE: As per the Charter of Commitments on various matters the DAR cases
should be finalized within the following Time Limit.
Major penalty case: 150 Days
Minor penalty case: 31 days
( Authority: Railway Board’s letter No.E(G)2017/Employees/Charter/1 dated
25.10.2017)

Appeal to appellate Authority:

1. Railway Servants, who is imposed with minor or major penalty can appeal
to the Appellate Authority for cancellation or to reduce the penalty giving
justification for his request.
2. Appeal should be submitted within 45 days from the date of receipt of
penalty order.
3. Employee can ask for personal hearing by the Appellate Authority.
4. Appellate Authority should consider the appeal and pass speaking order
either-
a) Confirming the penalty or
 b) Canceling the penalty or
c) Reducing the penalty or
d) Enhancing the penalty or
e) Set aside the penalty and order de -nova proceedings

5. Orders of Appellate Authority should be communicate to the employee and

obtain acknowledgement.

Appellate Authority is an Authority next higher to the Disciplinary Authority.

Revision Representation
1. If the Appellate Authority’s orders are not in favor of the Railway Servant,
he/she can submit Revision Representation to the Revising Authority.

2. The Revision Representation should be submitted within 45 days from the

date of receipt of Appellate Authority’s order. The Railway Servant can also
ask for Personal hearing by Revising Authority.
3. After going the Revision Representation and hearing the Railway Servant in
person, the Revising Authority can pass its speaking order
a) Confirm the penalty or
b) Cancel the penalty or
c) Reduce the penalty or
d) Enhance the penalty or
e) Set aside the penalty and order de-nova proceedings
5. The decision of Revising Authority should be communicated to the Railway
Servant by Revising Authority itself under its signature and obtain ack.
6. Revising Authority’s decision is final. There cannot be any further
representation in the case.

Question: Who is Revising Authority?

Answer: The authority next higher the Appellate Authority. The Revising Authority
should be at least JAG officer. If no appeal is preferred by the employee to the
Appellate Authority, the Appellate Authority can review the case on its own called
sue motto revision. As per rules, sue motto revision should be done by not less
than SAG officer.

Note:
The Appellate and Revising Authorities can enhance the penalty within six months
from the date of implementation of the penalty.
The Appellate and Revising Authorities can not reduce the penalty after one year
from the date of implementation of the penalty.
The above time limits are not applicable to Railway Board and General Manager, if
they are higher than the Appellate Authority.
The above time limits are not applicable to The President even if he is the
Appellate Authority.

REVIEW
The President may at any time either on its own motion or otherwise
review any order passed under D&A Rules when new material or
evidence which was not available or could not be produced at the time
passing the order under review and which has the effect of changing
the nature of the case has come or has been brought to his notice.

To impose or enhance the penalty, reasonable opportunity as per D&A

rules should be given to the Railway Servant for making representation
against such penalty. If the proposed penalty is a major penalty, DAR
inquiry is must before imposition of the same on Railway Servant except
in the situations falling under Rule 14 ie reasonably not practicable to
hold the inquiry.

***
MCQ on D&A Rules:

1. S ( D&A) Rules have come into effect from……………… (

A)
A. 01.10.1968
B. 01.04.1968
C. 01.01.1968
D. 01.10.1966
2. The Authority competent to impose penalty on an employee under D&A Rules is
called……………….
(B)
A. Appointing Authority
B. Disciplinary Authority
C. Appellate Authority
D. Revising Authority
3. Which one of the following is TRUE? (A)
A. RS (D&A) Rules 1968 shall apply to every Railway Servant.
B. RS ( D&A) Rules 1968 shall not apply to All India Services.
C. RS ( D&A) Rules 1968 shall not apply to any person in Casual employment.
D. RS (D&A) Rules 1968 shall apply to member of Railway Protection Force.
4. Which one of the following is FALSE? (D)
A. Railway Servant can be placed under suspension if disciplinary proceeding against
him/her is contemplated or is pending.
B. Railway Servant can be placed under suspension if he has engaged himself in activities
prejudicial to the interest of the security of the state.
C. Railway Servant can be placed under suspension if a case against him in respect of any
criminal offence is under investigation, inquiry or trial.
D. Railway Servant can be placed under suspension if he fails in departmental promotion
examination.
5. Railway servant shall be deemed to have been placed under suspension with effect from the
date of detention on criminal charge or otherwise for a period exceeding………….. (C)
A. 24 hours
B. 36 hours
C. 48 hours
D. 60 hours
6. Standard Form ………… should be used to place a Railway servant under suspension. (A)
A. 1
B. 2
C. 4
D. 11
7. Standard Form …..should be used to place a Railway servant under deemed suspension.
(A)
 A. 1
B. 2
C. 4
D. 11
8. Standard Form ……..should be used to revoke suspension order under D&A Rules. (C)
A. 1
B. 2
C. 4
D. 11
9. As per D&A Rules, Railway Servant should not be placed under suspension for more
than…….days. (D)
A. 30 days
B. 45 days
C. 60 days
D. 90 days
10. During suspension period, Railway Servant is paid ……………..allowance. (B)
A. Daily Allowance
B. Subsistence Allowance
C. Compassionate Allowance
D. Charge Allowance
11. Which one the following is FALSE? (C)
A. Censure is a minor penalty.
B. Withholding of promotion for certain period is a minor penalty.
C. Suspension is a minor penalty.
D. Reduction of pay to a lower stage in pay matrix for a period not exceeding three years,
without cumulative affect and not adversely affecting pension is a minor penalty.
12. Which one of the following is FALSE? (C)
A. Removal, Dismissal and Compulsory retirement from service are major penalties.
B. Reduction to lower time scale of pay, grade, post or service is a major penalty.
C. Withholding of annual increment for specific period with cumulative effect is a major
penalty.
D. Recovery of loss caused to the Railway administration by the employee is a minor
penalty.
13. Major penalty Charge Memorandum is in Standard Form …………. (D)
A. 1
B. 4
C. 11
D. 5
14. Minor Penalty Charge Memorandum is in Standard Form……………. (A
)
A. 11
B. 5
 C. 7
D. 1
15. Order of appointment of Inquiry Officer to conduct DAR inquiry is in Standard Form………
(C)
A. 11
B. 5
C. 7
D. 1
16. On receipt of Charge Memorandum , charged employee shall submit written statement of
defence to the Disciplinary Authority within …………..days. (B)
A. 7 days
B. 10 days
C. 15 days
D. 21 days
17. Order of appointment of Presenting Officer to present the case before Inquiry Officer in DAR
inquiry is in Standard Form………… (A)
A. 8
B. 7
C. 5
D. 11
18. Which of the following statements is FALSE? (D)
A. Charged employee is permitted take the help of any other employee of same Railway to
assist him in DAR inquiry.
B. An advocate can not be permitted to as Defense Helper/Defense Assistant in DAR
inquiry.
C. A retired employee of the same Railway can be permitted to assist the charged
employee in DAR inquiry.
D. A suspended employee can not be permitted to assist the Charged employee in DAR
inquiry.
19. A serving employee can not be permitted to function as Defense Helper in DAR inquiry in more
than ……… cases at any given point of time. (B)
A. Seven
B. Three
C. Two
D. One
20. A retired employee can not be permitted to function as Defense Helper in DAR inquiry in more
than ……… cases at any given point of time. (D)
A. One
B. Two
C. Three
D. Seven
21. As per Model Time Schedule given in Charter of Commitments by Railway Board, Major penalty
DAR action shall be completed within …….days.
(B)
A. 210
B. 150
C. 175
D. 100
22. As per Model Time Schedule, DAR inquiry shall be completed within ……..days. (A)
A. 60 days
B. 30 days
C. 45 days
D. 90 days
23. A ……………………………………can act as defense helper in DAR inquiry in more than three
cases at any given point of time.
(D)
A. Serving employee
B. Retired employee
C. Practicing Advocate
D. Recognized Railway Trade Union member
24. Which one of the following statements is FALSE? (C)
A. On finalization Major penalty proceedings, minor penalty can be imposed.
B. To impose Minor penalty, DAR inquiry is not necessary.
C. A person who has conducted fact finding inquiry, can be appointed as Inquiry Officer to
conduct DAR inquiry in the same case.
D. Copy of Presenting Officer’s brief should be given to Charged employee to enable him to
prepare his Defense Brief.
25. Which one of the following statements is FALSE? (B)
A. Presenting Officer should submit his brief to the Inquiry Officer.
B. Charged employee can submit his Defense Brief directly to the Disciplinary Authority.
C. Representation submitted by Charged employee against the Inquiry Officer should be
disposed by Revising Authority.
D. Defense Assistant is eligible for Special Pass fir free travel in train to attend DAR inquiry.
26. On conclusion of Inquiry, Inquiry officer should submit inquiry report to………………. (
A)
A. Disciplinary Authority
B. Appellate Authority
C. Appointing Authority
D. Revising Authority
27. Which one the following statements are TRUE? (A)
A. Major penalty can be imposed without conducting inquiry under Rule 14.
B. Post retirement Complementary passes can be withheld under D&A Rules.
C. Charged employee is not eligible for TA/DA for attending DAR inquiry.
 D. Dearness Allowance is not admissible on Subsistence Allowance during suspension.
28. Which one the following is FALSE? (D)
A. Copy of Inquiry report should be given to the Charged employee and call for his
representation, if any , before imposing penalty.
B. Personal hearing should be given to the Charged employee on his request before
imposing penalty.
C. Disciplinary Authority need not sign the penalty order. It can be signed by any Assistant
Officer working under Disciplinary Authority.
D. If the Charged employee retires from service on attaining the age of Superannuation, the
case against him should be closed.
29. Employee can submit his appeal to the Appellate Authority within……….days from the date of
receipt of penalty order. (B)
A. 90 days
B. 45 days
C. 30 days
D. 120 days
30. Under D&A Rules, no appeal lies against……………. (
D)
A. Any order made by the President of India
B. Any order of an interlocutory nature in disciplinary proceedings
C. Any order passed by the Inquiry Officer during the course of inquiry
D. All the above.
31. Under D&A Rules, appeal can lie against the order of………… (A)
A. Suspension and payment of subsistence allowance
B. Minor and Major penalty imposed under Rule 6 of RS (D&A) Rules
C. Enhancement of the penalty by Appellate or Revising Authority
D. All the above
32. Which one the following is FALSE? (D)
A. To enhance the penalty, the Appellate Authority should issue show-cause notice to the
Charged employee and call for his representation.
B. For enhancing a Minor penalty to Major penalty, inquiry under D&A Rules should be
conducted.
C. On Major penalty Charge Memorandum, Minor penalty can be imposed.
D. Notice for Voluntary Retirement can be accepted while Major penalty disciplinary action
is pending against the employee.
33. Which of the following is FALSE? (D)
A. For non-gazetted employees, Minor penalty disciplinary action is not bar for promotion.
B. Cut in pension or Gratuity or both can be done only with the approval of President.
C. Generally Inquiry Officer should be at least one grade higher than the Charged
employee.
D. Under DAR annual increments can be withheld for any indefinite period.
34. By considering the appeal, the Appellate Authority can………… (
D)
A. Enhance or Reduce the penalty
B. Confirm or set aside the penalty
C. Remit the case to Disciplinary Authority with the directions as deems fit.
D. All the above.
35. Employee can submit revision representation to the Revising Authority within……….days from
the date of receipt of Appellate order. (B)
A. 90 days
B. 45 days
C. 30 days
D. 120 days
36. A Group-C Railway servant who has been Removed, Dismissed or compulsorily retired from
service and after disposal of his appeal by the Appellate Authority may apply to the ………. For
a revision of penalty imposed on him. (A
)
A. GM
B. DRM
C. PHOD
D. Chairman, Railway Board
37. Under D&A Rules, the lowest authority who can act as Revising Authority is ……… (
C)
A. DRM
B. ADRM
C. JAG Officer of concerned department
D. Senior Scale Officer of concerned department
38. By considering the Revision Representation, the Revising Authority can………… (D
)
A. Enhance or Reduce the penalty
B. Confirm or set aside the penalty
C. Remit the case to Disciplinary Authority with the directions as deems fit.
D. All the above.
39. Revising Authority can not enhance the penalty after ……..months from the date of issue of
penalty order. (B)
A. 3 months
B. 6 months
C. 9 months
D. 12 months
40. Revising Authority can not reduce the penalty after………from the date of issue of penalty
order.
(A)
A. One year
 B. Six months
C. Two years
D. 1 ½ years
41. If suspension followed by imposition of minor penalty, the suspension period should be treated
as ………….. (
A)
A. Duty
B. LAP/LHAP
C. Leave without pat
D. Suspension only
42. Which one of the following is FALSE? (C)
A. While under suspension employee should not leave Hqrs without permission
B. Employee should give non-employment certificate for subsistence Allowance while
under suspension.
C. Suspended employee should attend office every day and sign in the muster.
D. Privilege pass can be issued to suspended employee with the approval of competent
authority.
43. If the suspension is continued beyond 90 days on account of employee’s non-co operation with
the fact finding inquiry committee, the subsistence allowance can be reduced to….…….
(B)
A. 45%
B. 25%
C. 15%
D. 10%

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