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DELHI ROAD TRANSPORT AUTHORITYSCINDiA HOUSE, NEW DELHI.

\r. ADMI-3 (18)/53 Dated the 5th August, 1955

EXECUTIVE INSTRUCTIONS ON PROCEDURE REGARDINC}DISCIPLINARY ACTION AND APPEALS

I. Preliminary Exptanation.whenever an officer who is competent to take disciplinary action

:gainst the employee of the Delhi Road rransport Authority receives: report of some irregularity or breach of rule or some other misconducton the part of an employee, he will carefully consider whether there is:, prima facie case for instituting proceedings for disciplinary action:eainst the employee concerned. If it is not possible to decide this:oint without calling for prelirninary explanation of the employee, the:reliminary explanation should be obtained by communicating the con-tents of the report to the employees. It is not necessary to indicate theaature of penalty in the letter asking for preliminary explanation. Thenetter should merely say :-

Please furnish your explanation in respect of the followingirregularity/misconduct which has been reported against you.

The traffic supervisory staff and workshop supervisory staff havobeen empowered to issue challan slips to the employees working under&eir supervision asking for their explanation whenever they commit.ome irregularity or are otherwise guilty of misconduct. The reply tothis challan serves the purpose of preliminary explanation.L Suspension.

Suspension may be ordered by an officer competent to take,lisciplinary action, on receipt of a report of an alleged irregularity or-.iher misconduct on the part of an employee, if the retention of thatemployee on duty is likely to prejudice the course of enquiry or if the:nployee is likely to tamper with any official record Suspension may beardered soon after the receipt of the report without calling for prelimi.-ary explanation or giving the charge sheet, if the prima facie circum-s':ances of the case juslify i!. It should be appreciated that suspension

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isnottobeorderedlightlyorasaroutinematterinallcasesofirregu.larity or misconduct. it i, to be resorted to only when the competent

officer is convinced that the employee's presence on duty will be prejudi'

cial to the conduct of enquiry into the case'

The suspending authority should examine whether it is necessary

that the suspended .-ploy., should rerrrain at the address given by him

to this Organisation, during the period of suspension for the purpose

of investigation into the case, If his stay at that address is considered

neoessary, it should be made clear in the orders oI suspension'

Ail persons placed under sttspension should be sanctioned tbe

payment of subsistence allorvance at the rate laid dolvn in clause 15(4)

of tt "

p.R.f .A. (Ccnditions of Appc.;i1ltmeirt & Service) Regulations ' 1952'

It should be noted that rrroleinged suspension itself is a punish-

ment (though not substantive) aricl an einployee is entitled to appeal

against it, It is, therefore, necesgary tirat the proceedings against an

.*ployee placed under suspensicn should be finalized as early as possible.

such cases should be treated on an "immediate" basis and there should

be no avoidable delay in their disposal. The General l\{ana-{er, D.T.s

lias delegaterl to certain specified officers the powers to suspend employees.

This power, is, holvever, restricted to suspension for 7 days only and

tir.e intention is that these ofrcers should finalise the case within

this period.

3. Charge Sheet.when the competent officer is convirrced that there is a prima

facie case for starting disciplinary proceedings, he will set forth the

charges in a definite and clear fashion. The allegations upon which the

charges are framed should be set forth in detail in order to enable the

employee to put forth his defence clearly. It should be appreciated

that if the charges are vague, it will not be possible for the employee to

explain his conduct fully and to the satisfaction of the authorities con'

cerned. Vague charges and vague explanation are the weakest point ofa case which make the work of an Appellate Authority difficult.

If the officer competent to take disciplinary action proposes

to take into consideration any other factors (e.g., past record of an

employee) i1addition to the charges, these additional considerations

should be specifically stated in the charge sheet. The employee should

also be askecl in the charge sheet whether he wishes to be heard in

person.

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It is not essential .that the penalty proposed to be imposedshould be indicated in the charge .heet. A, a matter of fact it is advi-sable Iot to indicate the penarty in the charge sheet, because the natureof punishment will depend upon the result of further investigation intothe case' It is sufficient to say in the charge sheet . why action shourd

:::r-Ii:::l*.ull,i 1": under ctause r5(2) of the D.R.r.A. (conditionsnolTtons

",onr9,",.""! u t9. iqrz, ro. the foliowing charges.._

A detailed statement of thebased is attached.',

allegations on which the charges are

lf however, the irregurarity is minor and rikely to lead to the im-position of.penarty of censure, inctuoing ..p.ir""a rra *l*iri,',0. nr"-posed penalty may be mentioned in the charge-sheetIf the employee wishes to see any documents

him to furnish hi: reply to the charge sheet, he shouldwith attested copies of the paper required by him orcable to supply copies he should be allowed to sit inofficer, go through the documents and note down suchdeemed iiecessary by him.

' Rensonably sufficient time shourd be alrowed to the emproyee tog_ive his repiy to the charge sheet. ordin arily, T2hours are sufficient forthis nurpose, this time rnay, however, be enhanced on rh".r;;;;;;;";employee if there are any special reasons or if some time is ,"i.., tr-roJemployee in getting copies of official papers required by him.4. Action on reply to thc charge slreet.

A reply to the charge sheet is a very important document andshourd be studied thoroughry by officer who is competent to tut" discip-rinary action. If the reply is satisfactory and it is ctear ttrarih.-..ptoy."was ,ot at faurt. the proceedings against him should ; ilil. If on theother hand, it seems frorn the reply that there are reasonable grounds forproceedings further, a detailed investigation should be held into the case.5. Detailed investigation and oral enquiry.

The enquiry into the charges should be held by the officer whois competent to award suitabie .pu.nishment in the event- of

"n*.g", urirgestablis.lred or by any orher officer hording a post ,rp..io, * ,uio ,o ,n.accused officcr, selected for this purpose by the competent;ffi..;

-r;making the selection the competenl ofiicer should ,r, ir. ,-**;;; ,;;,mpoitance of the enquiry ancl the status of the u."rr.O ;";;.

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If,in order to enableeither be suppliedif it is not practi-

the pre$ence of anpoints as may be

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In fairness to the accused, as well as to the enquiring officer, the

enquiry should not be entrusted:-

(a) to an oficer who held the preliminary enquiry (and expressed

a definite opinion on the point at issue and where such

opinion is adverse to the accused) or

(b) to an officer directly subordinate to an officer who has already

expressed a definite opinion on the point at issue, and where

such opinion is adverse to the accused'

This detailed investigation will include oral enquiry and exami-

ning witnesses from both sides, if desired by the employee or otherwise

considered necessary by the competent officer. The employee will have a

right to be present throughout the oral enquiry and to cross-examine the

*Ito"rr"r. All evidence will be recorded in his presence and the persons

leading the evidence should be called upon to sign the same on the spot.

He should also be given the facility of examining any documents which

are produced or referred to during the course of the enquiry. He will

not Le allowed to bring any agent etc. to plead his case. The Labour

Officer of the DRTI will, however be allowed to attend the enquiry for

watching the interest of the employee but he shall not intervene or ob'

trude in the proceedings at any stage'

Only such charges as have not been admitted bv the employee in

his reply to rhe charge-sheet. will be examined during this enquiry. The

charges which have been admitted will not be reopened'

If the enquiry brings out any points uhich were not included in

the charge-sheet, these will not be admitted unless the enquiry officer

decides that a fresh charge sheet should be served calling for the emplo-

yees rePlY to these Points.

The officer conducting the enquiry will keep a clear record of all

the facts brought out in the enquiry and utilise them for arriving at afinding. He will also record his finding giving full reasons therefor on

each charge separately taking into account the evidence on both sides.

All the charges should then be considered as a whole and a finding as to

the punishment to be awarded arrived at'

6. Finding

If the officer who conducts the enouiry is competent to impose

the punishment whictr has been proposed in the finding, he will award

and communicate the punishment to the employee concerned. If the

penalty proposed to be imposed is beyond the powers delegated to him,the case will be submitted to the General Manager for orders.

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{25l7. General Mar

il tr#:"Tf T: i,:::"#, :" i:.fl ;,..,:il;T :1 ::ff , i;In irnportanr cases where the O"r",ll:::rosed to be imposed upon:;:TijiJ?;ffjff:,:l,f;ji#;jT time sca,e ".,,*.i srage in a

r" ra n a-eer _uy o. 0". t h at the "*ri;;;.,,;,iljT:f ; H::?.:ri:il T:il#il::X*ti: h"u'v p"*rtr''*,,all1 b" i-po,.J,pon him.::erefor wi, be

""r'j.::.li^t1',the Enquirv. officer's urJ** rro reasons

; rthin a reasonable muntcated to the employee and t i,

*ilirr'"rked for

::is purpose. on rec time' ordin arilv a ,*i"J;i;;il; ,|ii, suffice ror

:ass orders on the .erptof theemployee,sreply, theC"r".uf,fra"nager

willr*:;lki*;.:,ffi :n',";"1ijl*Tffix#?,'#;".:l"Jxj:nt

':;ge in a time scale, removal or dismisrur'"tpost or time scale or Iower

: -arge sheet. I, .u.., the Generat ltunrll the cases may be in the

:r'nait] olreduction toa lorver post or,,*t"' considers that the severe

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-...pose. pose such penalty as n.lay u" *iil,i, nl, ,"r.^ ,,

8. lmportant points to be borne iauthority. 'rsr uu D€ Dorne in mind by the punishing

:,-uo*i,yl:;,lTlTiffi,Inu"'' the competent officer wiil bear the

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e.r6 !v r'rs sourse the alternative offbllowi,_ "--+L^r- ,

rn .emF1olee to improve himself bv tlr"following methcds sftr - --r-vJv! rv r,rlirove htmself by t1e

neffcency. derericti^. llorl:- no""e d' particuiarr, ,, .ur.r"oi

liT,T il" ll; n. " :" :: :'" :ty r:il ;' #. J: ;ij il|ff :: :llli1ll _negligence

or br"ach ,r;;;;;;, ,;;r#:absence without leave :_(i) Verbal caution.

Caution in writing.

Verbal warning.i

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ination and

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(iv) A copy of the adverse remarks, if any, made in his confi-dential reports.

(b) The pqwer to irnpose tlre penalty of removal or dismissai fromthe D.R.T.A's service or of reduction to a lower post or timescale or to a lower stage in a time scale has not been delegatedby the General Manager to any other ofifrcer of this organi-sation. It is, therefore, essential that no oflicer other than theGeneral Manager should sign a charge sheet in which any ofthese three penalties is proposed. The General Manager has,however, authorised certain oficers to issue charge sheetsproposing penaltlz of removal from service, subject to theconditron that the charge sheet will be signed by these oflicersas o'for General Manager". No officer, other then the GeneralIVfanager can issue a charge sheet proposing a penalt-v of dis-missal from service or reduction to a lower post or time scaleor lower stage in a time scale.

(c) If the penalty proposed to be imposed is stoppase ol inere-ment, the effect of the stoppage on the future incrementg shouldbe ctrearly specified that is to say, whether the future incrementsare also to be *cstponed as a'result of the order. It strrou'ld alsobe kept in mind that there aresome dailyrated ernployeesin this C)rsanisation *nd the penalty of stoppage of incrementscannot be imnosed in thetr ca.ses. According to the practic.-in this organisation, tlre daily rated employees can be deba.rredfrom being brought on to monthly rated establishment forsuch period as rrrav be specified b5, the punishing authoritv.

(d) With-holding of promotion is included amoirq pena-lties inciause 15(2) of the D.R.T.A. (Conrlitions of Anpointment &Setvice) Regulations . 1952. It is necessary to distinguish bet-ween cases in which promotion is with-held as a result ofdisciplinary action and cases in which promotion is with-heldon accout'li of an employee's unfitness. The selecting authorityshoutrd bear in mind that an order debarring an employeefrom promotion for a specified period tantamounts to punish-ment and falls u,ithin the purview of clause 15(2) of the D.R.T"A. (Ccnditions of Appointrnent& Service) Regu'lations, 1952.If an employee is not considered flt for promotion th: selectingauthority should merely ignore him from promotion but shouldnot record any order saying this employee is unfit lor pro-

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{27}motion for such ancl such period. The employee will have aright to compete for p.ornoiion again with other departmentalcandidates when selection is helrlln future.

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(e) In cases ,zhere it is consicierecl trrat retention ol. the emplorreein service is unclesiratrre, the punishir.:g authoritv should considerwhether the object can be achieved by merely removing theemployee from the service of the Derhi Road rransoort Auth.-rity or he should be dismissed

(f) In cases whelq 6n emplovee has caused pecuniary loss to theorganisation by his negligence etc., the question of recoveringfrom him the fu' amount of the loss shourd be fu*y considered.Every employee is expected to take the same care about themaintenance etc. of the cash or property entrusted to him as aperson of ordinary prudence ii .rpected to take about his owncash or property. It, therefore, fbllows that that person is fullvresponsible for bearing the firll loss caused fry n;, ,""ft.r*_.trf, however, there i; reasonable proof that the ernployee actedin good faith and clid hir hest to avoid the loss or dama.ge, therecovery ol the amount of loss or rlamage may be waive<l offin full or Dart. The recoverv may also be waivecl off in full orpart' if the arrrount of the ross is so large thet its recoverv wrllbe a grea-t liarcrs.in to the emnlovee in view of his emnluments.

(g) Ilt/here the penaltv nroDcsed to be imposed is reductipr 16 2lower post or t:nre scare or t. o rnrr.. rtase in a time scaie. thepunishing authoritv rvilr rnake it clear r.vhether trre redicutionsfor a specified per-iod, that it i. ,o -rur,

whether he is to berestored to his original post on the expiry ofa specified periodor he will haye to take chance, fo. ..rtorution to the originalpost in accordance rvith the rules of prornotion in the Organisa-tion. In case, the pLrnishing authoritv wishes that an employssso reduced should not get the benefit of his past service in thegrade from which he is reduced, after his restoration to thatgrade this sftould be macle clear, in the order of punishment.Unless this is marJe clear. the emnlo,,lee is entitled to get thebenefit ol tl-re past service rendered by him in the grade fromwhich he is rednced, whenet,er he is restoreci to that grade

subsequently.

{h) In the case of officers on deputation withAuthority, p@wer to rerutove or dismiss .

Delhi Road Transportfrom service shall be

(28 Icxercised by the lending Ministry/Authority. In such cases theenquiry against the office' concerned should be completed andhe shouid be reverted to the rending authority for suctr actionas that authority may consider necessary. In cases where anyIesser penalty is to be imposed the D.R.T.A. should consult thelending authority before doing so. In case of difference ofopinion as to the penaity to be imposed, the offi.".

"on...n"dmay be reverted to the rending authoritS if considered nece-ssary.

9, Departure from the procedure taid down in paragraphs l, 3and 5 above.

The detailed procedure laid down in paragraphs 1,3 and 5 abovemay not be followed in the following cases :_(a) where the emproyee concerned has absconded or where it isfor other reasons irnpracticable to communicate with him.(b) where there are special and sufficient reasons for not forowingall 0r any of the provisions of the above mentioned paragraphs

in certain exceptional cases-the reasons shair be recorded inwriting in such cases which wi, be reported to the Detrhi RoadTransport Authority.

(c) where the emproyee is discharged cluring or at the end of theperiod of probation without assigrirg any reasons for the dis-charge.

(d) Where a temporary employee is discharged on the expiry ofthe period of his appoirt*"ot as specified in his appointmentletter or as subsequently extended.

(e) Where an employee engaged under contract is discharged inaccordance with the terms of his contract.(f) Where the employee is discharged from service by giving onemonth,s notice or pay in lieu ihr

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(g) where an order of punishment is based on facts establishedbefore a Criminal Court.(h) where the penalty proposed to be imposed is only reprimandor warning or censure in such cases only ,rrnrnu.y trial is

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t2s1needed requiring the employee concerned to show cause as towhy the proposed penalty should not be imposed. It is notnecessary to call any witnesses. The .omp.teni officershould merely keep a brief record of the allegations andthe plea put forward by the employee.

10. lmportant points to be borne in mind in respect of emp-loyees against whom pror""utioninstitute]d. rr vrEruLrorr or court proceedings are

(a) As stated in para 9 (g) above, no detailed procedure isrequired to be followed for taking disciplinary action, againstpersons who are convicted by Criminal Courts.

(b) r an empioyee is arrested for debt or on a criminal chargehe shoulcl be treated as under s,<ruring which he is detained ,*':::i":f #';fl#":i;employee against whom a criminal

..t urg" o. u-p.J...aingfor arrest for debt is pending

"ri fr" has been released onbail, should be placed under-suspension if tn. "nu.-e.J

maO.or proceeding taken against him is connected iwith h*is posi_tion as an employee of the Derhi Road rruorpori artrro.itvor is likely to embarass him in the discharge of his duties assuch or involves moral turpitude.

(c) Since all persons placed under suspension are entitled to thepayment of subsistence allowance, particular .ur. ,t ortO U.taken to ensure that subsistence aIowan". i, ,"r rrrrrrdtreyond the date of the conclusion of the proceedings againstan employee. In order to avoid the posibility of over pay_ments, subsistence allowance should Uc paiAio -u, .-..pfoy..

who is under suspension and whosecourt only after he produces , ""*oiliJ ;: fi:':;:.',";::his case is still in that court, from any of the followingpersons :_

[-egal Adviser of the De-lhi R.oad Transport Authority,if he is conducting the case in the court on behalf of theAuthoi:ity.

Any of the lawyers on the panar of the Derhi RoadTransport Authority if he is conducting the case in theccirrt on behalf of the Authority.

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3. The prosecuting Inspector dealing with the case.4. The Trial Court.

(d) The provisions of_paras (4) and (5) of the office order No.201 dated the 24th November, f gj+ fu regard to the proce_dure for disposal of cases in which theb. T. S. ;p-1";;..are prosecuted while on duty, should be strictly foitoweA.The provisions are reproduced below for ready reference :_

4. The question of taking departmental action against an emp-loyee convicted by Court will be taken up only after theemployee's appeal has been decided by the Appellate Court.In cases where the enployee does not file an appeal thequestion of taking departmental action will be consideredon the expiry of the period fixed for filing an appeal. If anemployee, who has been convicted by a court desires toperform duty in this Organisation during the period betweenthe decision of the Lower court and the Appellate court hewill be put on such duties as might be considered suitableby the General N'[a'ager. If during this pariod he is unabreto attend duty on account of lock_up etc. or otherwisedesires to take leave he wilr be granted such leave incrudinsleave without pay as may be due to him in accordance witithe provisions of D.R.T.A. (Conditions of Appointm.nt AService) Regulations , 1952.

(5) The serious departmental action of termination of serviceswill not be taken against a driver if he is convicted Uy ri,.court for an offence which is committed by him for the firsttime during his ser'ice in this organisation. This convictionwill, however, be taken into consideration while decidingthe nature of departmental action to be taken against hirifor a subsequent offence. No departmentar action wiil betaken against a driver, who is convicted in an offence whichis due to some defects or lack cf some equipment in a bus

(e) It should be borne in mind that conviction in a Criminalcourt does not a,tomaticary involve removar or dismissarfrom service or any other departmental action. Each caseshould be considered on its rrerits by punishing authority.

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(3r)ll. Appeals.

(l) Appeals to the Delhi Road TraAppears rie to the Delhi Road ,1,"il::,^lrj;:lly' againstorders of reduction, removal or dismissal from service.These appeals are.examined b; in" Authority,s Sub-Com-mittee in tire first insrance urJ"rh. Sub-Committee,s recom_mendation reported to the Authority for confirmation. Thedecision of the Authority on ,u"f, appeals is final and nofurther appeal lies to- tfr" artfr".iiv. Appeals also lie to theAuthority in cases where an o.d..'of punishment other thanreduction, removal or dismissal is passed by the GeneralManager.

(2) Appeats to the General Manager :Appeals against orders of prnirfri"nt imposed by a compe-tent officer other than ttre Cenerai-Manager, lie to the Gene-ral Manager. The decisi", ";;;;'ienerat Manager on suchappeals is final and no f*.th* ;;;l iies to rhe Authority.(3) Time limit for appeals.

An appeal may be preferred within one month from the datefrom which the appellant is informed of the order of punish_ment. The time taken in obtaining copies of any officialdocuments from the Authority,s omce witt be excruded fromthis period of one month. No appeal received afler theexpiry of this period will be "ooria"..a except in cases wrrerethe General Manager is satisfied that the appellant couldnot submit his appear within spcifiedperiod due to circumstan-c;s beyond his control.

(4) Procedure for making appeals.Every person Oreferr;nS an uppeal will do so separately andin his own name. If n" o.ea, iofi.r-of ,o_. officjal papersrelating to his case fo, p."puring hi, appeal he shall makean application to that effect to the General nfurur".lrrromay give copies of such papers as he rnay consider necessaryor he may refuse to give copies. :lhe appeai shall contain allmaterial statements and arguments relied on UV rfr"-lp;;;r,shall not contain disrespictfuf or"'

shau be "o,rpr.t" in itseri rrre ;;riilt;:ii llr::::il:jto the General Manage.r if it is an uip.uf against an orderpassed by an officer other rhan the Generaf Onrrrr"r"rl,to the Chairman if it i, ,r, ufp.uf against the General

\32 tManager's orders. Altr appeals shall be sent to the Authority,sHead Office. If the appeilant desires to be heard in personby the appellate authoritn he shafl make a request to thateffect in the appeal. It shall be within the discretion of theappellate authority to grant him personal hearing or not.In any case the appeilant will not be permitted to iake withhim any person for pleading his case before the appellateauthority. The appellate authority will however be free tocall any appellant for personal hearing

"u., thougf, norequest has been made for personal hearirrg by the appeliant.

12, Points to be exarnined by officer while putting up an appealto the Appe!late Authority.

All appeals wiil be exarnined by ofliceview :-

from the following pointsof

(a) whether the appeal is time barred anci if' so rvhether theappellant has gi,en sorne lr,eighty reascns for not preferringit in time.

(b) Whether an appeai lies in the case in which the appeal hasbeen macie.

(c) Whether all the documents required for consideration of theappeal are available in office. If any papers etc. are to becalled for from any other unit ol this Organisatio , thesame should be obtained immediateiy prior to u*burkiogon consideration of appeal on its merits.

(d) whether the appeltrant has shifted grounds of his argumentsin the appeal from the ground taken by him in tris pretimi_nary explanation or the reply to the charge sheet o, i"pl, iothe shov,r cause nctice.(e) Whether the appeliant has pointed out r,ny irregularity ordcparture fr:om the provisions of the rules oi pro"jo.; ;,;_disposal of his case.

(f) whether there are ar-:y extenuating circumstances in favourof tlre employee, such as a satisfactory record of past iongservice his old age etc.

(g) If the appeal is agaiust the order of disrnissal, whetiier the

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{33)punishing authority imposed theberately or it was inadvertantlyplace of removal from service.

penalty of dismissal deli-mentioned in the order in

I(h) In case the punishing authority is different from the enquiry

office, whether there is any difference of opinion between theirrecommendations made by lhe enquiry offcer and the punish*ing aufhority.

DELHI ROAD TRANSPORT AUTHORITYSCINDIA HOUSE, NEW DELHI.

No. ADMI-8(1y55 Datedr2g-7-55

sd/-Asstt, General Nfanager (Admn).

Offlce Order No. 132

It has been decided that copies ofsuch papers as can be suppliedto the ex-employees without jeopardising the interest of this organisationmay be supplied to them after charging As./g/- per typed o, *riit.o pug.or part thereof. The charge will, however, be reviabre only when requestsare made by the ex-employees for copies which are noi given to themordinarily free of charge for purpose of making appeals.

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