Beruflich Dokumente
Kultur Dokumente
MASTER CIRCULAR
ON
DMRC CONDUCT, DISCIPLINE & APPEAL RULES
AS ON
01.07.2014
NOTE: This is a compilation of all office orders issued on the subject till
01.07.2014. However, essence of all the related Office Orders is included in this
Circular, in case of any doubt regarding interpretation of the Rules, the related
latest Office Order may be referred to and for further interpretation decision of
Managing Director will be final.
----
CONTENT
S.
Subject matter
N.
Page
No.
1.
2.
Application
3.
Definitions
1-2
4.
General Conduct
5.
Misconduct
2-4
6.
4-5
8.
9.
10.
11.
12.
Gifts
Dowry
12 A.
5
5-6
6
6-7
13.
8-9
14.
15.
16.
17.
18.
Bigamous marriages
19.
20.
21.
National interest
14
22.
14
23
14
24.
15
25.
15
26.
Corporate Citizenship
15
27.
15
28.
Ethical conduct
29.
Regulatory compliance
16
30
Concurrent employment
16
31.
Conflict of interest
16
10-12
12
12-13
13
13-14
15-16
32.
16
33.
17
34.
17
35.
Reporting systems
17
36.
Immunity
17
37.
Suspension
18-20
38.
Subsistence Allowance
20-21
39.
40.
Penalties
41.
Disciplinary authority
42.
43.
44.
45.
Communication of Orders
30
46.
Common proceedings
30
47.
30-31
48.
Employees on deputation from the Central Govt. or the State Govt. etc.
31-32
49.
32-33
50.
Appeals
34
51.
Review
35
52.
35
53.
35-36
54.
36-37
55.
37
56.
Savings
38
57.
38
58.
39-40
59.
41-69
60.
Forms for permission to transact movable, immovable and valuable property intimation
70-73
21
21-24
24
25-29
29
29-30
These rules shall be called DMRC Conduct, Discipline and Appeal Rules.
Rule-2. APPLICATION
These rules shall apply to all employees except:
2.1
2.2
Rule-3. DEFINITIONS
In these rules, unless the context otherwise requires
3.1
3.2
3.3
Board means the Board of Directors of the Corporation and includes, in relation
to the exercise of powers, any Committee of the Board/ Management or any
officer of the Corporation to whom the Board delegates any of its powers.
3.4
3.5
3.6
3.7
3.8
3.9
3.10
Family means the employees spouse, children (below the age of 25 years or till
they get married or employed, whichever is earlier) and widow mother of the
employee only, who is residing with him/ her and wholly dependent upon
employee.
3.11
4.2
Rule-5. MISCONDUCT
Without prejudice to the generality of the term misconduct the following acts of
omission and commission shall be treated as misconduct.
5.1
5.2
5.3
[2]
5.4
5.5
5.6
5.7
Absence without leave or overstaying the sanctioned leave for more than four
consecutive days without sufficient grounds of proper or satisfactory explanation.
5.8
5.9
5.10
5.11
5.12
5.13
5.14
5.15
5.16
5.17
5.18
5.19
5.20
5.21
5.22
Note:- -
5.23
All employees of DMRC are required to disclose private foreign visits/ study,
undertaken by them and their family members, within two weeks of the foreign
visit (inclusive of foreign education), undertaken by them.
6.2
No employee shall, except with the previous sanction of the competent Authority
permit his son, daughter or any member of the family to accept employment with
any Company or firm with which he has official dealings, or with any Company or
firm, having official dealings with the Corporation. Where the acceptance of the
employment
cannot
wait
the
[4]
No employee shall in the discharge of his official duties deal with any matter or
give or sanction any contract to any Company or firm or any other person if any
member of his family is employed in that Company or firm or under that person or
if he or any member of his family is interested in such matter or contract in any
other manner and the employee
the superior official and
7.2
(b)
(c)
(d)
No employee of the Corporation shall, except with the previous sanction of the
competent Authority, own wholly or in part, or conduct or participate in the editing
or management of any newspapers or other periodical publication.
8.2
No employee of the Corporation shall, except with the previous sanction of the
competent Authority (the prescribed Authority), or in the bonafide discharge of his
duties, participate in a radio broadcast/ competitions on TV channels or
contribute any article or write any letter either in his own name or anonymously,
[5]
No employee of the Corporation shall, except with the previous sanction of the
competent Authority is permitted to upload any matter on internet. Provided that
no such sanction shall be required if material/ contribution is of a purely literary
artistic or scientific character.
8.9
No employee of the Corporation shall, except with the previous sanction of the
competent Authority is permitted to take part in any show or act in the film.
which has the effect of adverse criticism of any policy or action of the Central or
State Government or of the Corporation, or
9.2.
which is capable of embarrassing the relations between the Corporation and the
public.
(i)
Provided that nothing in these rules shall apply to any statement made or
views expressed by an employee, of purely factual nature which are not
considered to be of a confidential nature, in his official capacity or in due
performance of the duties assigned to him.
(ii)
[6]
10.2
10.3
(b)
(c)
accept or
permit any other member of his family or any other person acting on his
behalf to accept any gifts without the sanction of the competent Authority
if the value thereof exceeds Rs.1,000/-.
Provided that when more than one gifts has been received from the same
person/firm within a period of 12 months the matter shall be reported to the
competent Authority if the aggregate value of the gift exceeds Rs.5000/-.
Rule- 12 A. DOWRY
No employee of the Corporation shall:
(i)
(i)
Explanation : For the purpose of this rule dowry has the same meaning as in the
Dowry Prohibition Act, 1961 (28 of 1961).
No employee of the Corporation shall, except with the previous sanction of the
competent Authority, engage directly or indirectly in any trade or business or
undertake any other employment. Provided that an employee may, without such
sanction, undertake honorary work of a special or charitable nature or occasional
work of a literary, artistic or scientific character subject to the condition that his
official duties do not thereby suffer.
[8]
13.2
Every employee of the Corporation shall report to the competent Authority if any
member of his family has engaged in a trade or business or owns or manages an
insurance agency or commission agency.
13.3
13.4
No employee of the Corporation may accept any fee or any pecuniary advantage
for any work done by him for any public body or any private person without the
sanction of the Competent Authority.
No employee of the Corporation shall except with the prior approval in the
prescribed form
Frequent
No employee of the Corporation shall except with the previous sanction of the
competent Authority, enter into any transaction concerning any immovable or
movable property with a person or a firm having official dealings with the
employee or his subordinate.
16.3
Every employee of the Corporation shall report to the competent Authority every
transaction concerning movable property owned or held by him and member of
his/ her family, if the value of such property is equal to or exceeding two times of
his/ her Basic Pay. An intimation shall also be made (on the proforma) where
cumulative transaction i.e. sale, purchase or both in shares debentures or mutual
funds etc. in a year equal to or exceeding two times of his Basic Pay.
Further, expenditure incurred in visiting countries abroad as well as on childrens
education abroad also needs to be intimated as such expenditures normally
exceed the limit two times of Basic Pay. Henceforth, such expenditures on
foreign visits and childrens education abroad should also be intimated under this
rule.
(O.O. No. PP/982/2009 dated 23.09.2009)
Explanation No.1
The term every transaction concerning movable property owned or held by him
includes all transactions of sale or purchase. For purpose of this sub-rule, the
definition of movable property would include :
[10]
(a) Jewelry and Insurance policy premium, which is equal to or exceeding two times
of his/ her Basic Pay;
(b) shares, securities and debentures;
(c) loans advanced by such employee whether secured or not;
(d) motor cars, motor cycles, horses or any other means of conveyance; and
(e) refrigerators, radios, TV sets and computers etc.
Explanation No: 2
Transaction entered into by the spouse or any other member of family of an
employee of the Corporation out of his or her own funds (including Stridhan gifts,
inheritance etc.) as distinct from the funds of the employee of the Corporation
himself, in his or her own name and in his or her own right, would not attract the
provisions of the above sub-rules.
1. Every employee shall, on first appointment in the Corporation submit a return of
assets and liabilities in the prescribed form giving the particulars regarding.
(a)
(b)
(c)
(d)
(e) every employee shall, beginning 1st January, submit a return of immovable
property inherited owned/acquired once in every year.
2.
The competent Authority may at any time, by general or special order require
an employee to submit, within a period specified in the order, a full and
complete statement of such movable or immovable property held or acquired
by him or on his behalf or by any member of his family as may be specified in
the order. Such statement shall, if so, required by the competent Authority,
[11]
include details of the means by which or the source from which such property
was acquired.
No employee shall enter into, or contract marriage with a person having a spouse
living, and
18.2
[12]
Provided that the Corporation may permit an employee to enter into a contract
with any such marriage as is referred to in clause (1) or clause (2), if it is satisfied
that:-
(i) such marriage is permissible under the Personal Law applicable to such
employee and the other party to the marriage; and
(ii) there are other grounds for so doing.
18.3
Every employee shall abide by any law relating to intoxicating drinks or drugs in
force in any area in which he may happen to be for the time being.
19.2
Not be under the influence of any intoxicating drink or drug during the course of
his duty and shall also take due care that the performance of his duties at any
time is not affected in any way by the influence of such drink or drug.
19.3
19.4
19.5
[13]
Preamble:- Values are intrinsic to our lives; they add strength to our character
and righteousness of our belief.
[14]
[15]
Every employee shall always punctually turn up on duty, sober and smartly
dressed.
[16]
intellectual
No employee of DMRC will initiate any legal action against DMRC or any of its
employees without exhausting departmental avenue and prior approval of the
Management.
[17]
b)
37.2
the
37.4
37.5
An order of suspension made or deemed to have been made under this rule
may at any time be revoked by the Authority which made or is deemed to have
made the order or by any Authority to which that Authority is
[18]
subordinate.
37.6 (i) An order of suspension made or deemed to have been made under these
Rules shall be reviewed by the competent Authority on recommendation of a
Review Committee, constituted for this purpose. It is also being provided that
an order of suspension made or deemed to have been made under Sub-rule37.1 and 37.2 of these rules shall not be valid after 90 days unless it is
extended after
further being provided that extension of suspension shall not be for a period
exceeding 180 days at a time.
(ii) It is, therefore necessary to constitute Review Committee(s) to review the
suspension cases. The composition of Review Committee(s) shall be as
under:(a) The case, when Disciplinary Authority is of Assistant Manager level and
above up-to Dy. HOD level:- The Disciplinary Authority, the Appellate
Authority and another officer of the level of Disciplinary Authority/ Appellate
Authority from the same department or from another department.
(b) The case, when Disciplinary Authority is of General Manager/ HOD level:The Disciplinary Authority and two officers of the level of General Manager/
HOD, who are equivalent or higher in rank than the Disciplinary Authority,
from the same department or from another department, in a case where the
Appellate Authority is the Managing Director.
(c) The case, when Disciplinary Authority is of Director level:- Three officers of
the level of Directors, who are higher in rank than the suspended official from
the same Department/ Office or from another department (in case another
officer of same level is not available in the same office), in case where the
Disciplinary/ Appellate Authority is the Managing Director.
(iii) The Review Committee(s) may take a view regarding revocation/ continuation
of the suspension keeping in view of the facts and circumstances of the case
and also taking into account that unduly long suspension, while putting the
employee concerned to undue hardship, involve payment of Subsistence
Allowance without the employee performing any useful service to the
Corporation, without prejudice to the foregoing, if the employee has been
under suspension for one year without any charges being filed in a court of
[19]
was
Authority is satisfied that employee continues to meet the expenditure for which
the allowance was granted.
38.2 When the period of suspension exceeds six months, the Authority which made or
is deemed to have made the order of suspension shall be competent to vary the
amount of subsistence allowance for any period subsequent to the period of the
first six months as follows:
[20]
If any employee is arrested by the police on a criminal charge and bail is not
granted, no subsistence allowance is payable. On grant of bail if the competent
Authority decides to continue the suspension, the employee shall be entitled to
subsistence allowance from the date he is granted bail.
39.2
In a case falling under Sub-clause (a) the period of absence from duty will be
treated as a period spent on duty. In case falling under Sub-clause (b) it will not
be treated as a period spent on duty unless the Competent Authority so directs.
The Disciplinary Authority shall clearly specify the manner of treatment of the
period under suspension.
[21]
Minor Penalties
(i)
Censure,
(ii)
(iii)
Recovery from his/her pay of the whole or part of any pecuniary loss
caused by him/ her to the Corporation by negligence or breach of orders.
(iv)
Reduction to a lower stage in the time scale of pay for a period not
exceeding three years without cumulative effect.
(v)
pay.
Major Penalties
(vi)
(vii)
(viii)
Compulsory retirement,
(ix)
(x)
Provided that in cases of persons found guilty of any act or omission resulted or
would have, ordinarily, resulted in collision of trains one of the penalties specified
in Clause (ix) and (x) shall ordinarily be imposed and in cases of passing Railway
signals at danger, one of the penalties specified in Clauses (vi) to (x) shall,
ordinarily, be imposed and where penalty is not imposed the reasons thereof
shall be recorded in writing.
Provided further that in cases of person found guilty of having accepted or having
obtained from
any person
any
motive or reward for doing or forbearing to do any other act, one of the penalties
specified in Clause (ix) or (x) shall, ordinarily, be imposed and where such
penalty is not imposed, the reason thereof shall be recorded in writing.
40.2
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
ix.
x.
xi.
xii.
xiii.
Explanation
The following shall not amount to a penalty within the meaning of this Rule:
[23]
i)
ii)
[24]
No order imposing any of the major penalties specified in clauses (vi), (vii), (viii),
(ix) and (x) of Rule 40 shall be made except after an inquiry is held in
accordance with this rule.
42.2
Whenever the Disciplinary Authority is of the opinion that there are grounds of
Inquiring into the truth of any imputation of misconduct or misbehavior against an
employee, it may itself, inquire into, or appoint any public servant (hereafter
called the enquiring Authority) to inquire into the truth thereof.
42.3
The
charges, together with a statement of the allegations, on which they are based, a
list of documents by which and a list of witnesses by whom, the articles of charge
are proposed to be sustained, shall be communicated in writing to the employee,
who shall be required to submit within such time as may be specified by the
Disciplinary Authority (not exceeding 15 days), a written statement whether he
admits or denies any of or all the articles of charges.
Explanation:
It will not be necessary to show the documents listed with the charge sheet or
any other document to the employee at this stage.
42.4
42.5
42.6
The employee may take the assistance of any other public servant but may not
engage a legal practitioner for the purpose.
[25]
42.7
On the date fixed by Inquiring Authority, the employee shall appear before the
Inquiring Authority at the time, place and date specified in the notice.
The
Inquiring Authority shall ask the employee whether he pleads guilty or has any
defence to make and if he pleads guilty to any of the articles of charge, the
Inquiring Authority shall record the plea, sign the record and obtain the signature
of the employee concerned thereon. The Inquiring Authority shall return a finding
of guilt in respect of those articles of charge to which the employee
concerned pleads guilty.
42.8
If the employee does not plead guilty, the Inquiring Authority shall adjourn the
case to a later date not exceeding 30 days, after recording an order that the
employee may, for the purpose of preparing his defense:
- inspect the documents mentioned in the charge-sheet;
- submit a list of additional documents and witnesses that he wants to examine;
and
- be supplied with the copies of the statements of witnesses, if any, listed in the
charge-sheet.
Note: Relevance of the additional document and the witnesses referred to in
Sub- clause (3) above will have to be given by the employee concerned and the
documents and the witnesses shall be summoned if the Inquiring Authority is
satisfied about the relevance to the charges under inquiry.
42.9 The Inquiring Authority shall ask the Authority in whose custody or possession
the documents are kept for the production of the documents on such date as may
be specified.
42.10 The Authority in whose custody or possession the requisitioned documents are,
shall arrange to produce the same before the Inquiring Authority on the date,
place and time specified in the requisition notice.
Provided that Authority having the custody or possession of the requisitioned
documents may claim privilege if the production of such documents will be
against the public interest or the interest of the Corporation. In that event, it shall
inform the Inquiring Authority accordingly.
42.11 On the date fixed for the inquiry, the oral and documentary evidence by which
the articles of charges are proposed to be proved shall be produced by or on
[26]
The
witnesses
produced by the employee shall then be examined and shall be liable to crossexamination, re-examination and examination by the Inquiring Authority
according to the provision applicable to the witnesses for the Disciplinary
Authority.
42.15 Inquiring Authority may, after the employee closes his case, and shall, if the
employee has
not
examined
him
on the
circumstances appearing against him in the evidence for the purpose of enabling
the employee to explain any circumstances appearing in the evidence against
him.
42.16 The Inquiring Authority may, after completion of the production of evidence, hear
the presenting officer, if any appointed, and the employee, or permit them to file
written briefs of their respective cases, if they so desire.
[27]
42.17 If the employee does not submit the written statement of defence referred to in
sub-rule (3) on or before the date specified for the purpose or does not appear in
person, or through the assisting officer or otherwise fails or refuses to cooperate
with any of the provisions of these rules, the Inquiring Authority may hold the
inquiry ex-parte.
42.18 Whenever any Inquiring Authority, after having heard and recorded the whole or
part of the evidence in an inquiry ceases to exercise jurisdiction therein, and is
succeeded by another Inquiring Authority which has, and which exercises such
jurisdiction, the Inquiring Authority so succeeding may act on the evidence so
recorded by its predecessor, or partly recorded by itself.
Provided that if the succeeding Inquiring Authority is of the opinion that further
examination of any of the witnesses whose evidence has already been recorded
is necessary in the interest of justice, it may recall, examine, cross-examine and
re-examine any such witness as hereinafter provided.
42.19 (I) After the conclusion of the inquiry, report shall be prepared and it shall contain:
(a) a gist of the articles of charge and the statement of the imputations of
misconduct or misbehavior;
(b) a gist of the defence of the employee in respect of each article of charge;
(c) an assessment of the evidence in respect of each article of charge;
(d) the findings on each article of charge and the reasons therefore.
Explanation: If in the opinion of Inquiring Authority the proceedings of the inquiry
establish any article of charge different from the original article of
the charge, it may record its findings on such article of charge.
Provided that the findings on such article of charge shall not be recorded unless
the employee has either admitted the facts on which such article of charge is
based or has had a reasonable opportunity of defending himself against such
article of charge.
(II). The Inquiring Authority, where it is not itself the Disciplinary Authority, shall
forward to the Disciplinary Authority, the records of inquiry which shall
include:
(a)
[28]
(b)
(c)
the oral and documentary evidence produced in the course of the inquiry;
(d)
(e)
the orders, if any, made by the Disciplinary Authority and the Inquiring
Authority in regard to the inquiry
The Disciplinary Authority, if it is not itself the Inquiring Authority may, for reason
to be recorded by it in writing remit the case to the Inquiring Authority for fresh or
further inquiry and report and the Inquiring Authority shall there-upon proceed to
hold the further inquiry according to the provision of rule 42 as far as may be.
43.2
The Disciplinary Authority shall, if it disagrees with the findings of the Inquiring
Authority on any article of charge, record its reasons for such disagreement and
record its own finding on such charge, if the evidence on record is sufficient for
the purpose.
43.3
If the Disciplinary Authority having regard to its findings on all or any of the
articles of charge is of the opinion that no penalty is called for, it may pass an
order exonerating the employee concerned.
43.4
If the Disciplinary Authority having regards to its findings on all or any of the
article of charge is of the opinion that any of the penalties specified in Rule-40,
should be imposed on the employee, it shall, not withstanding anything contained
in the Rule-44, make an order imposing such penalty.
44.2
Rule- 47.
47.2
47.3
Where the Board is satisfied that in the interest of the security of the Corporation,
it is not expedient to hold any inquiry in the manner provided in these rules.
Provided that the employee may be given an opportunity for making
representation in the penalty proposed to be imposed before any order is made
in a case falling under clause (I).
[30]
47.4 Notwithstanding anything contained to the contrary in any other rules, the services
of any employee shall be terminated by the Corporation if, the employee remains
on un-authorised absence for sixty days or more and he fails to explain his
conduct satisfactorily within 15 days from the date of receipt of the Show Cause
Notice by him. The management shall be empowered to take a decision without
resorting to further inquiries.
The decision in the above case would be taken by a Committee of officers at
appropriate level to be constituted for this purpose by the Managing Director. The
reasons for the decision would be recorded in writing.
(Rule-19 of the General Conditions of Service Rules)
In the light of the findings in the Disciplinary proceedings taken against the
employee :(a)
If the Disciplinary Authority is of the opinion that any of the minor penalties
should be imposed on him, it may pass such order on the case as it
deems necessary after consultation with the Lending Authority; provided
that in the event of a difference of opinion between the Disciplinary and
the Lending Authority, the services of the employee shall be placed at the
disposal of the lending Authority.
(b) If the Disciplinary Authority is of the opinion that any of the major penalties
should be imposed on him, it should replace his services at the disposal of
the Lending Authority and transmit to it the proceedings of inquiry for such
action as it deems necessary.
[31]
48.3
[32]
(As per Honble Supreme Court of India decision in the case of Sh. Ramesh
Chandra Sharma Vs. Punjab National Bank and GOI, CVC Circular No. 44/12/07
dated 28.12.2007)
[33]
50.1
An employee may appeal against an order imposing upon him any of the
penalties
Rule -37. The appeal shall lie to the Authority specified in the schedule.
50.2 An appeal shall be
preferred
communication of
the
addressed to the
Appellate
submitted
Authority
to the
Authority
whose
together
with its
within
order
order is
one
appealed
Authority
whose
comments
and
against.
specified
order
appealed
month
is
from
the
Schedule
and
against.
The
appealed
the
records
date of
of
the
the
case
appeal
to
the
Provided that if the enhanced penalty which the Appellate Authority proposed to
impose is a major penalty specified in clauses (vi), (vii), (viii), (ix) and (x) of Rule
40 and an inquiry as provided in Rule 42 has not already been held in the case,
the Appellate Authority shall direct that such an inquiry be held in accordance
with the provisions of Rule 42 and thereafter consider the record of the inquiry
and pass such order as it may deem proper, if the Appellate Authority decides to
enhance the punishment but an inquiry has already been held as provided in
Rule 42, the Appellate Authority shall give a show cause notice to the employee
as to why the enhanced penalty should not be imposed upon him. The Appellate
Authority shall pass final order after taking into account the representation, if any,
submitted by the employee.
[34]
51.2
Providing that if the enhanced penalty, which the Reviewing Authority proposed
to impose, is a major penalty specified in clauses (vi), (vii), (viii), (ix) and (x) of
Rule 40 and on inquiry as provided under Rule 42 has not already been held in
the case, the Reviewing Authority shall direct that such an inquiry be held in
accordance with the provisions of Rule 42 and thereafter consider the record of
the inquiry and pass such order as it may deem proper. If the Appellate Authority
decides to enhance the punishment but an inquiry has already been held in
accordance with the provisions of Rule 42, the Reviewing Authority shall give
show cause notice to the employee as to why the enhanced penalty should not
be imposed upon him. The Reviewing Authority shall pass final order after taking
into account the representation, if any, submitted by the employee.
S.N.
1.
Proceeding
2.
3.
Review of suspension
4.
Appeal
5.
by
employee
against
the
Within
one
month
from
the
date
Disposal
of
appeal
by
Appellate
of
Authority
6.
Review of Appeal
- Rs.4500/-
- Rs.1500/-
- Rs.20,000/-
(ii)
- Rs.25,000/-
In addition to the above, the Enquiry Officer will be provided transport facility for
local movement and secretarial assistance or 25% of the above prescribed
honorarium towards the same.
The terms and conditions for the honorarium shall be as under:(i) These rates will be applicable for retired/ external enquiry officers only.
[36]
EO.
(b) The report returns findings on each of the Article of Charge which has been
enquired into and should specifically deal and address to each of the procedural
objections, if any, raised by the charged officers as per the extant rules and
instructions.
(c) Reduction of honorarium by 50% in case of delay in completion of enquiry
beyond 4 months from the date of appointment as EO, which is not due to noncooperation of the charged officer or due to stay order.
(iii) The number of Disciplinary cases shall be restricted to 12 cases in a year
with one Enquiry Officer, with not more than 4 cases pending at a time for
retired officers.
(iv) The retired officer appointed as EO shall maintain strict secrecy in relation to
the documents he/she receives or information/ data collected by him/ her in
connection with the enquiry and utilize the same only for the purpose of inquiry
in the case entrusted to him/ her. No such documents/ information or data are to
be divulged to any one during the inquiry or after presentation of the enquiry
report. The EO entrusted with the inquiry will be required to furnish an
undertaking to maintain strict secrecy and confidentiality of all records/
documents/ proceedings etc.
(v) The 25% of the honorarium towards transportation and secretarial assistance
shall be disbursed on the basis of self certification of expenses by the EO.
(O.O. No. PP/1351/2013 dated 09.12.2013)
56.2
order made
before the commencement of these rules shall be considered and orders thereon
shall be made, in accordance with these rules.
56.3
56.4
Any misconduct etc. committed prior to the issue of these rules which was a
misconduct under the superseded rules shall be deemed to be a misconduct
under these rules.
[38]
SCHEDULE A
Category of
Sl.
Penalty
employee
Disciplinary
Appellate
Reviewing
Authority
Authority
Authority
BOD
---
BOD
MD
Chairman
BOD
Director
MD
Chairman
Director
MD
Chairman
Director
MD
Chairman
ED/GM
Director
MD
Sr./AGM
ED/GM
Director
Dy. HOD
HOD (ED/GM)
Director
Dy. HOD
HOD (ED/GM)
Director
Dy. HOD
HOD (ED/GM)
Director
Manager
Dy. HOD
HOD (ED/GM)
No
1.
Director/ MD
2.
EDs/ HODs
All Penalties
a) Major penalties as
Rule 40 and
defined in
the penalty of
withholding of promotion.
b) Other minor penalties as defined
in Rule 40.
3.
DY. HODs
4.
Executives
Manager/
Asstt. Manager
withholding of promotion.
level
b) Other penalties as
defined
in Rule 40
5
35600 &16000-
withholding of promotion.
in
30770 IDA
& equivalent
CDA grades
5.
Supervisor:
Rs.14000-
withholding of promotion.
in
13500-25520
IDA &
equivalent
CDA grades
[39]
6.
Non-
a) Major penalties as
defined in
Supervisor:
Rs.10170-
withholding of promotion.
AM/ Manager
Dy. HOD
HOD (ED/GM)
AM/ Manager
Dy. HOD
HOD (ED/GM)
18500 IDA
or below &
equivalent
CDA grades
******
[40]
STANDARD FORMS
FOR
D&AR ACTIONS
It is not necessary that each word of the form should be strictly adhered to
in all circumstances. Minor modification could always be made in the light of the
circumstances relating to the Disciplinary case in which these forms are to be
used.
[41]
INDEX
D&AR FORMS
S.N.
Standard Form
1.
Order of Suspension
2.
3.
4.
5.
6.
7.
8.
9.
10.
10 B
11.
12.
13.
14.
15.
16.
17.
Order for setting aside order of punishment on appeal being decided in favour of the
employee
18.
19.
20.
21.
Order for holding departmental enquiry on appeal being decided in favour of the employee
OTHER FORMS
S.N.
Performa for
1.
Form for giving prior intimation or seeking previous sanction under Rule- 16 for transaction
in respect of Immoveable Property
Form for giving prior intimation or seeking previous sanction under Rule- 16 for transaction
in respect of Moveable Property
2.
[42]
SF-1
STANDARD FORM OF ORDER OF SUSPENSION
[Rule 37 of the DMRC Conduct, Discipline and Appeal Rules]
No:
Delhi Metro Rail Corporation limited.
Place of issue:
Dated:
ORDER
Signature
Name and Designation of suspending Authority
.
(Name & designation of the suspended employee).
(Orders regarding subsistence allowance admissible to him during the period of his suspension
will issue separately.)
[43]
SF-2
Order placing an employee under Suspension when
she/ he is detained in custody
[Rule 37.2 of the DMRC Conduct, Discipline and Appeal Rules]
No:
Delhi Metro Rail Corporation limited.
(Place of issue:
Dated:
ORDER
Name
and
Signature
Designation
of
suspending
Authority
.
(Name & designation of the suspended employee).
C/-
Concerned HR Branch.
Orders regarding subsistence allowance admissible to him during the period of his
suspension will issue separately.
[44]
SF-3
Signature..
Name....
Desig./ Deptt
Emp. No
Address.
Contact No.
[45]
SF- 4
Standard Form of Order for Revocation of Suspension
[Rule 37.5 of the DMRC Conduct, Discipline and Appeal Rules]
No:
Delhi Metro Rail Corporation limited.
(Place of issue:
Dated:
ORDER
Signature
Name and Designation of Authority making this order
.
(Name & designation of the suspended official).
[46]
SF-5
Standard Form of Charge-sheet for Major Penalty
[Rule-42 of DMRC Conduct, Discipline and Appeal Rules]
No-.
Dated: ..
Place:
MEMORANDUM
The
undersigned
proposes
to
hold
an
enquiry
against
Shri.... under Rule42 (revised vide O.O. No.
PP/200/2013 dated 03.06.13) of the DMRC Conduct, Discipline and Appeal Rules. The
substance of the imputations of misconduct or misbehavior in respect of which the inquiry is
proposed to be held is set out in the enclosed statement of articles of charge (Annexure-I). A
statement of the imputations of misconduct or misbehavior in support of each article of charge is
enclosed (Annexure-II). A list of documents by which, and a list of witnesses by whom, the
articles of charge are proposed to be sustained are also enclosed (Annexure-III and IV).
2.
Shri is directed to submit within 10 days of the receipt
of this Memorandum a written statement of his defence and also to state whether he desires to
be heard in person.
3.
Shri. is informed that an inquiry will be held only in respect
of those articles of charge as are not admitted. He should, therefore, specifically admit or deny
each article of charge.
4.
Shri is further informed that if he does not submit his
written statement of defence on or before the date specified in Para.- 2 above, or does not
appear in person before the Inquiring Authority or otherwise fails or refuses to comply with the
provisions of Rule 34 of the DMRC Conduct, Discipline and Appeal Rules, 2005 or the
orders/directions issued in pursuance of the said rule, the Inquiring Authority may hold the
inquiry against him ex parte.
5.
Attention of Shri. Is invited to Rule-17 of the DMRC Conduct,
Discipline and Appeal Rules, 2005, under which no DMRC employee shall bring or attempt to
bring any political or outside influence to bear upon any superior Authority to further his interest
in respect of matters pertaining to his service in the Corporation. If any representation is
received on his behalf from another person in respect of any matter dealt with in the
proceedings it will be presumed that Shri is aware of such a
representation and that it has been made at his instance and action will be taken against him for
violation of Rule -17 of the DMRC Conduct, Discipline and Appeal Rules, 2005.
6.
To
[47]
Shri
ANNEXURE I
Statement of articles of charge framed against Shri.
(Name, Desig. and Emp. No. of the employee).
Article I
That the said Shri. While functioning as during
the period.
Article II
That during the aforesaid period and while functioning in the aforesaid office, the said
Shri
Article III
That during the aforesaid period and while functioning in the aforesaid office, the said
Shri
-------------------------------------------------------------------------------------------------------------------------[48]
ANNEXURE II
Statement of imputation of misconduct or misbehavior in support of the articles of charge
framed against Shri
(Name, Desig. and Emp. No. of
the employee).
Article I
Article II
Article III
--------------------------------------------------------------------------------------------------------------------------
[49]
ANNEXURE III
List of documents by which the articles of charge framed against Shri
.
(Name, Desig. and Emp. No. of the employee) are proposed to be
sustained.
---------------------------------------------------------------------------------------------------------------ANNEXURE VI
List of witnesses by which the articles of charge framed against Shri..
.
sustained.
[50]
SF- 6
Standard Form for Refusing Permission to inspect Documents
[Rule 42 of the DMRC Conduct, Discipline and Appeal Rules]
No:
Delhi Metro Rail Corporation limited.
Dated:
ORDER
1..
2..
3..
4..
5..
Signature
Name and Designation of Inquiry Authority
.
(Name & designation of the suspended official).
[51]
SF-7
Standard Form of order relating to appointment of Inquiring Authority
[Rule-42 of the DMRC Conduct, Discipline and Appeal Rules]
(Place of issue:
No:
Delhi Metro Rail Corporation Limited.
Dated:
Whereas an inquiry under Rule-42 of the DMRC Conduct, Discipline and Appeal Rules
is being held against Shri ..(name &
designation of the Charged Official).
AND WHEREAS the Competent Authority considers that an Inquiring Authority should
be
appointed
inquire
the
charges
framed
against
the
said
Shri
NOW, THEREFORE the undersigned in exercise of the powers conferred Rule-42.2 of
the said rules, hereby appoints Shri.(name and
designation of Inquiring Officer) as the Inquiring Authority to inquiry into the charges framed
against the said Shri..
Signature
Designation of the Competent Authority
Copy to:
1. Name and designation of the Accused Employee.
2. Inquiring Authority
[52]
SF-8
Standard Form of the order relating appointment of Presenting Officer
[Rule - 42.5 of the DMRC Conduct, Discipline and Appeal Rules]
(Place of issue: .
No:
Delhi Metro Rail Corporation Limited.
Dated:
ORDER
Whereas an inquiry under Rule-42 of the DMRC Conduct, Discipline and Appeal Rules
is being held against Shri ..(name &
designation of the charged official).
AND WHEREAS the Competent Authority considers that a Presenting Officer should be
appointed to present on behalf of the Disciplinary Authority/ undersigned the case in support of
the articles of charge.
NOW, therefore the undersigned in exercise of the powers conferred by Rule 42.5 of the
said rules, hereby appoints Shri .. (Name and designation of
Presenting Officer) as the Presenting Officer.
Disciplinary Authority
Copy to:
1. The Presenting Officer
2. The Accused Officer
3. The Inquiry Officer
[53]
SF-9
Order for taking Disciplinary action in Common Proceedings
[Rule-46 of DMRC Conduct, Discipline and Appeal Rules]
No. ..
Place:
Dated; .
ORDER
WHEREAS the DMRC Officials specified below are jointly concerned in a
Disciplinary case:Shri .
Shri
Shri
NOW THEREFORE, in exercise of the powers, conferred by Rule-46 of the
DMRC Conduct , Discipline and Appeal Rules, the undersigned hereby directs:(i) that Disciplinary action against all the said DMRC officials shall be taken in a
common proceeding.
(ii) that (name and designation of the Authority) shall
function as the Disciplinary Authority for the purpose of the common
proceeding and shall be competent to impose the following penalties,
namely:..(specify the penalties)
(iii) that the procedure prescribed in Rules-42 & 44 shall be followed in the
said proceedings.
Signature
Name & designation of the Competent Authority
Copy to:1. Shri. (name & designation)
2. Shri. (name & designation)
3. Shri. (name & designation)
[54]
SF-10
Standard Form of Order for appointment of Inquiring Authority
in Common Proceedings
[Rule-46 of DMRC Conduct , Discipline and Appeal Rules]
No. ..
Place:
Dated; .
ORDER
WHEREAS an inquiry under Rule-46 of the DMRC Discipline, Conduct & Appeal
Rules, is being held against the Officers specified below:Shri .
Shri
Shri
WHEREAS common proceedings have been ordered against the said officers.
AND WHEREAS the undersigned considers that the Inquiring Authority should
be appointed to inquire into the charges framed against the said officers.
Now, THEREFORE, the undersigned in exercise of the powers conferred Rule42 of the said rules, hereby appoints Shri (name
and designation of Presenting Officer) as Presenting officer to present the case in
support of the articles of charge against the said officers before the Inquiring Authority.
Signature
Disciplinary Authority/ Competent Authority
Copy to:
1. The accused officers
2. Presenting Officer
3. Inquiring Authority
4. The CVO
Signature
Disciplinary Authority/ Competent Authority
[55]
SF-11
Standard Form of Memorandum of Charge for Minor Penalties
[Rule-44 of DMRC Conduct, Discipline and Appeal Rules]
No-
Place:
Dated: .
MEMORANDUM
Memorandum
should
be
acknowledged
by
Signature
(Name & Desig. of the Competent Authority)
To,
Shri..
[56]
SF-11 B
Place:..
MEMORANDUM
In continuation of Memorandum No. .. dated. Issued
under Rule-44 of the DMRC Conduct, Discipline and Appeal Rules the undersigned is of the
opinion that it is necessary to hold an enquiry against Shri. (name,
Desig. & Emp. No. of the charged official) under rule 44.2.(iii). The substance of the imputations
of misconduct or misbehavior in respect of which the inquiry is proposed to be held is set out in
the enclosed statement of articles of charge (Annexure-I). A statement of the imputations of
misconduct or misbehaviour in support of each article of charge is enclosed (Annexure-II). A list
of documents by which, and a list of witnesses by whom, the articles of charge are proposed to
be sustained are also enclosed (Annexures-III and IV).
2.
Shri is directed to submit within 15 days of the receipt
of this Memorandum a written statement of his defence and also to state whether he desires to
be heard in person.
3.
He is informed that an inquiry will be held only in respect of those articles of charge as
are not admitted. He should, therefore, specifically admit or deny each article of charge.
4.
Shri is further informed that if he does not submit his
written statement of defence on or before the date specified in Para.- 2 above, or does not
appear in person before the Inquiring Authority or otherwise fails or refuses to comply with the
provisions of Rule-44 of the DMRC Conduct, Discipline and Appeal Rules or the orders/
directions issued in pursuance of the said rule, the Inquiring Authority may hold the inquiry
against him ex parte.
5.
Attention of Shri. Is invited to Rule-17 of the DMRC Conduct,
Discipline and Appeal Rules, under which no DMRC employee shall bring or attempt to bring
any political or outside influence to bear upon any superior Authority to further his interest in
respect of matters pertaining to his service in the Corporation. If any representation is received
on his behalf from another person in respect of any matter dealt with in the proceedings it will be
presumed that Shri is aware of such a representation and that
it has been made at his instance and action will be taken against him for violation of Rule -17 of
the DMRC Conduct, Discipline and Appeal Rules.
6.
To
Shri
[57]
ANNEXURE I
Statement of articles of charge framed against Shri
(Name, Desig. and Emp. No. of the employee).
Article I
That the said Shri. While functioning as during
the period.
Article II
That during the aforesaid period and while functioning in the aforesaid office, the said
Shri
Article III
That during the aforesaid period and while functioning in the aforesaid office, the said
Shri
[58]
----------------------------------------------------------------------------------------------------------------------------ANNEXURE II
Statement of imputation of misconduct or misbehavior in support of the articles of charge
framed against Shri
(Name, Desig. and Emp. No. of
the employee).
Article I
Article II
Article III
--------------------------------------------------------------------------------------------------------------ANNEXURE III
List of documents by which the articles of charge framed against Shri
.
(Name, Desig. and Emp. No. of the employee) are proposed to be
sustained.
---------------------------------------------------------------------------------------------------------------ANNEXURE VI
List of witnesses by which the articles of charge framed against Shri..
.
(Name, Desig. and Emp. No. of the employee) are proposed to be
sustained.
[59]
SF-12
Standard Form of order relating to appointment of Board of Inquiry
[Rule-42 of DMRC Conduct, Discipline and Appeal Rules]
Place of issue:
No:
Delhi Metro Rail Corporation Limited.
Dated:
ORDER
Whereas an inquiry under Rule-42 of the DMRC Conduct, Discipline and Appeal Rules is being
held against Shri ..(name & designation of the DMRC official).
AND WHEREAS the Competent Authority considers that a Board of Inquiry should be appointed
to inquire into the charges framed against the Shri..
NOW, THEREFORE the undersigned in exercise of the powers conferred by Sub-Rule 34.5 of the
said rules, hereby appoints:1.
2.
3.
Signature
Name & designation of competent Authority
[60]
SF-13
Standard Form of order relating to appointment of Inquiry Officer
(In place of Inquiry Officer originally appointed)
[Rule-42 of the DMRC Conduct, Discipline and Appeal Rules]
(Place of issue:
No:
Delhi Metro Rail Corporation Limited.
Dated:
ORDER
Whereas an inquiry under Rule-42 of the DMRC Conduct, Discipline and Appeal Rules
is being held against Shri ..(name &
designation of the Charged Official).
WHEREAS Shri (name and
designation of the Authority who was holding inquiry) was appointed Inquiring Authority to
enquire into the charges against Shri .. (name and
designation of the official facing enquiry), vide Order No dated ..
AND WHEREAS Shri .. (name of the previous Inquiry
Officer) after having heard and recorded the whole/ part of the evidence has since been
transferred / is not available and it is necessary to appoint another officer as Inquiring Authority
to enquire into the charges against Shri
NOW, THEREFORE the undersigned in exercise of the powers conferred Rule-42.2 &
42.18 of the said rules, hereby appoints Shri.(name
and designation of new Inquiring Officer) as Inquiring Authority to inquire into the charges
framed against the said Shri(name and designation of
the official facing enquiry) vice Shri . .. (name of the previous Inquiry
Officer).
Signature
Designation of the Competent Authority
Copy to:
1. Name and designation of the Government servant.
2. Inquiring Authority
[61]
SF-14
Standard Form of order for appointment of
Presenting Officer in Common Proceedings
[Rule-46 of DMRC Conduct , Discipline and Appeal Rules]
No. ..
Place:
Dated; .
ORDER
WHEREAS an inquiry under Rule-46 of the DMRC Discipline, Conduct & Appeal Rules,
is being held against the Officers specified below:Shri .
Shri
Shri
WHEREAS common proceedings have been ordered against the said officers.
AND WHEREAS the undersigned considers it necessary to appoint a Presenting
Officerto present the case in support of the articles of charge against the said officers before
the Inquiring Authority.
Now, THEREFORE, the undersigned in exercise of the powers conferred Rule-42.2 of
the said rules, hereby appoints Shri(name and designation
of Inquiring Officer) as the Inquiring Authority to inquiry into the charges framed against the said
officers.
Signature
Disciplinary Authority/ Competent Authority
Copy to:
1. The accused officers
2. Presenting Officer
3. Inquiring Authority with relevant documents
4. The CVO
Signature
Disciplinary Authority/ Competent Authority
[62]
SF-15
Show-cause notice for imposing penalty to be issued on the DMRC
employee on his conviction
[Rule-47 of DMRC Conduct , Discipline and Appeal Rules]
No. ..
Dated; .
Place:
MEMORANDUM
WHEREAS Shri (name and designation of the
employee) has been convicted on a criminal charge under Section . Of
(here enter the name of the statute concerned) and has been awarded a sentence of
(here enter the sentence awarded by the Court).
AND WHEREAS the undersigned proposes to award an appropriate penalty under Rule
-47 of the DMRC Conduct , Discipline and Appeal Rules taking into account the gravity of the
criminal charges;
AND WHEREAS before coming to a decision about the quantum of penalty
Shri. (name of the convicted official) was given an
opportunity of personal hearing to exp[lain the circumstances why penal action should not be
taken against him in pursuance of the provisions of the Rule-47 ibid;
AND WHEREAS on a careful consideration of the inquiry report (copy enclosed), the
undersigned has provisionally come to the conclusion that Shri
(name of the convicted official) is not a fit person to be remained in service/ the gravity of the
charge is such as to warrant the imposition of a major/ minor penalty and accordingly proposes
to impose on him the penalty of . (here enter the proposed
penalty).
NOW THEREFORE, Shri (name of the convicted official)
is hereby given an opportunity of making representation on the penalty proposed above. Any
representation which he may wish to make against the penalty proposed will be considered by
the undersigned. Such a representation, if any, should be made in writing and submitted so as
to reach the undersigned not later than fifteen days from the date of receipt of this memorandum
by Shri(name of the convicted official).
The receipt of the Memorandum should be acknowledged.
[63]
SF-16
Form of Order for imposing penalty to be issued on the
Employee on his conviction
[Rule-47 of DMRC Conduct , Discipline and Appeal Rules]
No. ..
Place:
Dated; .
ORDER
WHEREAS Shri Desig Emp. No.. has
been convicted on a criminal charge under section of
.(here enter the name of the statute concerned);
AND WHEREAS it is considered that the conduct of the said Shri
.. Desig.. Emp. No.. which has led to his
conviction is such as to render his further retention in the public service undesirable / the gravity
of the charge is such as to warrant the imposition of a major/ minor penalty;
AND WHEREAS Shri was given an opportunity of personal hearing and
offer his written explanation;
Station:
Date:
Disciplinary Authority
[64]
SF-17
Order for setting aside order of punishment on appeal being decided
in favour of the Employee
[Rule-50 of DMRC Conduct , Discipline and Appeal Rules]
No. ..
Place:
Dated; .
ORDER
WHEREAS Shri Desig Emp. No.. has
been
awarded
penalty
.
Vide
Order
No dated on the ground of misconduct as a public servant.
WHEREAS the penalty of (here enter the name of
penalty) was imposed on Shri... Desig.. Emp.
No..on the grounds of misconduct as a public servant;
AND WHEREAS the said imposition of penalty has been set asidec by a copetent Authority and the said
Shri.. has been acquitted of the said charge;
NOW, THEREFORE, the undersigned hereby set aside the order of imposition of the
penalty..
Station:
Date:
Disciplinary Authority
[65]
SF-18
Summoning a Public servant/ Private individual as witness
[Rule-42 of DMRC Conduct , Discipline and Appeal Rules]
No. ..
Place:
Dated; .
To,
..
..
..
Sir,
I am the Inquiring Authority in the proceedings against Shri your
evidence is considered material. I request you to appear before me on ..
at..(date, time and place).
You are / are not likely to be required to stay at the place for more than a day.
Yours faithfully,
(Inquiring Officer)
Copy to: Concerned Controlling Officer- With the request to permit the official mentioned above
to attend the enquiry on these dates.
[66]
SF-19
Form of certificate by Inquiry Officer for witness
[Rule-42 of DMRC Conduct , Discipline and Appeal Rules]
No. ..
Place:
Dated; .
Signature
(Disciplinary Authority/Inquiring Officer)
Copy to:- Concerned Controlling Officer- For kind information please.
[67]
SF-20
Certificate by Inquiry Officer to Presenting officer/
Defense Assistant
[Rule-42 of DMRC Conduct , Discipline and Appeal Rules]
No. ..
Place:
Dated; .
Signature
(Disciplinary Authority/Inquiring Officer)
Copy to:- Concerned Controlling Officer- For kind information please.
[68]
SF- 21
Standard Form of Order for holding departmental enquiry on appeal
being decided in favour of the Employee
[Rule 49 of the DMRC Conduct, Discipline and Appeal Rules]
No:
Delhi Metro Rail Corporation limited.
(Place of issue:
Dated:
ORDER
FORM I
Form for giving prior intimation or seeking previous sanction under Rule 16) of the
DMRC Conduct, Discipline & Appeal Rules for transaction in respect of immovable property.
1.
2.
3.
4.
Mode of acquisition/disposal.
9.
10.
11.*
12.
15.
DECLARATION
I, hereby declare that the particulars given above are true. I request that I
may be given permission to acquire/dispose of property as described above from/to the party whose name
is mentioned in item 11 above.
OR
I, hereby intimate the proposed acquisition/disposal of property by me as
detailed above. I declare that the particulars given above are true.
Station:
Signature:
Date:
Designation:
Note: 1. In the above form, different portions may be used according to requirement.
2. Where previous sanction is asked for, the application should be submitted at least 30 days before the
proposed date of the transaction.
[71]
FORM II
Form for giving intimation or seeking previous sanction under Rule 16 of the
DMRC Conduct, Discipline & Appeal Rules for transaction in respect of movable property.
1.
-----2----12.
13.
DECLARATION
I, hereby declare that the particulars given above are true. I
request that I may be given permission to acquire/dispose of property as described above
from/to the party whose name is mentioned in item 11 above.
OR
I, hereby intimate the proposed acquisition/disposal of property
by me as detailed above. I declare that the particulars given above are true.
Station:
Signature:
Date:
Designation:
Note:
1. In the above form, different portions may be used according to requirement.
2. Where previous sanction is asked for, the application should be submitted at least 30 days
before the proposed date of the transaction.
[73]