Zone & Division, Production Units, CTIs

17 Zone

68 Division

21 RRB

16 RRC

19 CAT

20 RCT

01 RRT- Chennai

8 Production Units

8 CTIs 

17 MDZTI

62 MDDTI

CAG & Railway Audit in details

Comptroller and Auditor-General of India and Railway Audit

Comptroller and Auditor-General of India  (C&AG) is constitutional functionary, primarily entrusted with the responsibility to audit the accounts and related activities of the three tiers of Government – Federal, Provincial and Local; the State owned public sector commercial enterprises; and autonomous bodies financed by the Federal and Provincial Governments. C&AG reports are laid before the Parliament and Legislatures of the Provinces. The reports of the CAG are taken into consideration by the Public Accounts Committees.

 

Constitutional  Body

C&AG enjoys the same status as a judge of Supreme Court of India. It is the Supreme Audit Institution of India.

As per Chapter V, Part V, Article 148, C&AG appointed by the President and shall only be removed from office in like manner and on the like grounds as a Judge of the Supreme Court.

The C&AG shall not be eligible for further office under the Government after he has ceased to hold his office.

The administrative expenses of the office of the C&AG, including all salaries, allowances and pensions payable to or in respect of persons serving in that office, shall be treated as charged expenditure.

 

Duties (Articles 149-151)

-C&AG shall perform such duties and exercise such powers in relation to the accounts of the Union and of the States and of any other authority or body authorised by Parliament.

-The accounts of the Union and of the States shall be kept in such form as the President may, on the advice of the Comptroller and Auditor-General of India, prescribe.

-The reports of the C&AG Comptroller and Auditor-General of India relating to the accounts of the Union shall be submitted to the President/Governor, who shall cause them to be laid before each House of Parliament/ State Legislature.

As per Part 12, Article 279 of the Constitution,  the C&AG  shall ascertain and certify the "net proceeds" of any tax or duty collected by the Government of India but which are assigned partly or in full to the States. (Eg., Passenger tax collected by railways)

C&AG’s oath of office requires him to uphold the Constitution and the laws and to discharge his duties without fear or favour, affection or ill-will. The Constitution safeguards the independence and freedom of the Comptroller and Auditor General in a variety of ways (removal, not to hold office of profit, charged expenditure etc.)

Apart from the Constitutional provisions, Comptroller and Auditor-General’s (Duties, Powers and Conditions of Service) Act, 1971  also provides for the powers of C&AG.

Audit has an adversarial function.

The CAG is also the head of the Indian Audit and Accounts Department, the affairs of which are managed by officers of Indian Audit and Accounts Service.

 

Objectives

-To strive to be a global leader and initiator of national and international best practices in public sector auditing and accounting and recognised for independent, credible, balanced and timely reporting on public finance and governance.

-To  promote accountability, transparency and good governance through high quality auditing and accounting and provide independent assurance to the Legislature, the Executive and the Public, that public funds are being used efficiently and for the intended purposes.

 

Importance/Responsible for

-Compilation of accounts of the Union and States from the initial and subsidiary accounts rendered to Audit and Accounts offices.

-Keeping accounts as maybe necessary.

C&AG duties shall include audit of all-

- Expenditure from the Consolidated Fund of India to ascertain whether moneys shown in the accounts as having been disbursed were legally available and they are applicable to the purpose for which they have been applied or charged.

- Expenditure conforms to the authority which governs it.

- Transactions related to Contingency Fund and Public Accounts

- Trading, Manufacturing, Profit & Loss account and Balance Sheets & Subsidiary accounts.

- Transactions related to Stores

- Receipts which are payable into the Consolidated Fund of India and satisfy itself that the rules and procedures are designed to secure an effective check on computation, collection and allocation.

And, report on the receipts, expenditure, stores, transactions or accounts so audited.

 

Union government will consult C&AG and issue instructions regarding

-the manner in which the initial records and subsidiary accounts shall be kept (by the accounts and executive departments).

-the manner in which stores accounts and stocks shall be kept

-the duties and responsibilities relieved from C&AG of compiling or keeping accounts

-any other matter prescribed by rules

           

Any change in rules pertaining to C&AG shall be laid before Parliament each house while it is in session for a total period of 30 days (in one or two or more successive sessions) agreed to by  both the houses, before made into rule.

 

Methodology

Scope and extent of audit  in regard to receipt & expenditure is left to the discretion of C&AG.

Inspection of office of accounts or other offices responsible for keeping of initial and subsidiary accounts; inspect books, papers and documents; and put question or make observations to the in-charge.

The offices shall afford all facilities for inspection and comply with the requisition of information or records in complete form and with reasonable expedition.

Organisational Structure

C&AG is assisted by Dy. CAGs, Addl. Dy. C&AGs and at field level DGs,Pr.AGs etc.

 

Railway Audit

 

Objective

To ensure

-that the system of accounts adopted and used in the Accounts Department of the Railways is suitable 

-that the check by the internal check mechanism is sufficient,

-that the accounts are maintained and the checks applied with accuracy, and

-that arrangements exist in the Railways Accounts offices to ensure attention to the financial interests of Railways.

 

Methodology

This object is secured by

-a test check applied to the vouchers and connected accounts records of the Accounts Department and

- inspections carried out on the spot of initial records and documents in the offices in which the transactions originate.

 

Responsible for

- scrutinising the adequacy and suitability of all instructions governing compilation of the accounts of Railways and the internal check procedures in the form of codes, manuals, instructions etc.

- satisfy itself that such instructions are consistent with the relevant statutory rules and facilitate conduct of an effective audit thereof.

- scrutinising the Railway portion of the Finance Accounts including Annual Review of Balances Compiled by the Railway.

- examining the Appropriation Accounts prepared by the Railway for certifying their accuracy and

-preparing the Audit Report

 

Responsible for audit of

(i)                  Financial sanctions accorded.

(ii)                Allocation of estimates sanctioned.

(iii)              General orders issued by Board, GM etc.

(iv)              Sanctions pertaining to local traffic and those relating to interchange traffic

(v)                Tenders invited and accepted.

(vi)              Accounts maintained in railway offices.

 

Types of Audit

Railway audit is generally classified as Accountancy Audit, Administrative Audit and Appropriation Audit.

 

Cost of Railway Audit

-is borne by Railways and debited to Major Head 3001

-expenditure of O/o Dy.C&AG is treated as charged expenditure as per Article 112 (3) of the Constitution.

 

Communications from Audit

Audit Objections:

 Ordinarily, the results of Statutory Audit are communicated through –

-Special Letters of more important and serious irregularities discovered in the course of audit and accounts of departmental offices and station records

-Audit Notes (Part I&II) dealing  irregularities noticed as result of check on the records of Accounts department

-Inspection Reports (Part I&II) showing the results of audit of initial records of Executive offices and stations

 

Higher Audit:

Regularity Audit/ Compliance Audit

Proprietary Audit

 

Holding Entry/Exit Conferences

Draft Para/ Thematic study Reports

Provisional Para

Audit Para (in Audit Report-Railways)

 

Disposal of Audit Objections:  

All Audit objections should be promptly attended to by Accounts Officer concerned.  Some Audit objections may relate to such matters which can be dispersed by the Accounts Officer himself and some other objections may require a reference to the Executive Department for elucidating the remarks. 

 

Suitable bi-partite meetings should be held with Executives and Accounts and ensure timely replies (initial remarks as well as replies to Audit rejoinders) to Audit objections.  In this connection, it is important to highlight that objections of lower level may get converted into higher Audit  Paras in case suitable and prompt replies are not sent to Audit in time. 

 

After replying the Audit objection, Accounts Officer should organise tri-partite meetings with Audit, Executive and himself to sort out the issues and explain the point of view of Railways and thereafter to follow-up the closure of the Audit objections.

 

Monthly, Quarterly and Half Yearly Arrear Report is submitted to higher authorities by the Accounts Officers indicating number of Audit objections category-wise, year-wise etc. Besides, the Audit Objections are to be closely monitored in POMs at Divisional level and at AGM level in Head quarters for their expeditious replies and further follow up.

If expenditure is continued even after Audit objection, the same can be done provisionally and held under objection.

Mistakes in accounts disclosed by Audit (equally applicable for mistakes detected in internal check) shall be dealt as per the provisions of para 922-A.

 

Disposal of Draft Para/Study reports

 

Draft para is a higher form of Audit observation which requires attention, timely and prompt action from the GM/PHoD of Department concerned and time envisaged is six weeks within which the Draft Para to be replied duly vetted by Finance and personally approved by GM. While replying, following methodology to be scrupulously followed:

 

·         History of the case together with all documents cited in the Draft para.

·         Sentence-wise remarks are to be framed meticulously.

·         Chronological summary of the case where undue delay has taken place in replying draft para.

·         Administration’s contention on Audit objection

·         Remedial /corrective action proposed for system improvement

·         Disciplinary aspects of the case, if any where lapses on the part of individuals are involved.

 

Similar care and promptitude is expected at all levels while dealing with Provisional para (to be replied in 2 weeks of its receipt), Audit Para etc. If the reply not furnished by the railways and/or the reply furnished by railways is found not satisfactory, C&AG opines that it is a fit case to include the same as an Audit Para in Audit Report,  a Provisional Para will be issued at Board level. On receipt of the PP from Board, a reply from Railway should be furnished sentence-wise to Board with the personal approval of GM, duly vetted by Finance.

If the reply furnished by railways is not satisfactory, Audit may finally include it as an Audit Para in the Audit Report of Railways and table it before Parliament, generally in the Budget session. Audit Report is scrutinised by Public Accounts Committee and PAC will be assisted by C&AG in scrutiny of Audit paras and Appropriation Accounts. PAC recommendations may be considered by the Ministry.

Any delay in replying Special Letters/Part-I AIRs and in following up for their closure would lead to conversion of same into higher levels of objections like DP, PP, Audit Para etc.

 

Action Taken Note/Report

On inclusion of Audit Para in the Audit Report, Railways are required to submit an Action Taken Note in the prescribed proforma to Railway Board. A few Audit Paras may be examined by Public Accounts Committee and personal examination at Board/Zonal level Officers will be conducted, if needed.

***

IREC 1802, IREC 1803, IREC 1804, Review of Service, Service Review

Rule 1802(a)/ 1803(a)/ 1804(a) – IREC Vol.II

1802. Premature Retirement – Retirement On Attaining Age:-

• (a) Premature Retirement In Public Interest 
• i)Group-A or Group-B service or post in a substantive or temporary before 35 years, after attained 50 years.
• ii)In any other case, after he has attained the age of 55 years.  
• (b) Premature Retirement on Voluntary Retirement
• 1) Any railway servant - notice - three months-50 yrs.- Group-A or Group-B service or post (and had entered Government service before attaining the age of 35 years) 
• and in all other cases after he has attained the age of 55 years
• appropriate authority to withhold permission to a railway servant under suspension.
• appointing authority curtailment of the period of notice of three months on merits and & not cause any administrative inconvenience, on the condition not apply for commutation of a part of his pension before the expiry of the period of notice of three months.   

1803. Premature Retirement – Retirement on Completion of Qualifying Service

(a) Retirement In Public Interest:  

• appointing authority -public interest -to retire railway servant governed Pension Rules- after thirty years service qualifying for pension -notice three months -before date to retire, or three months pay and allowances in lieu of such notice. 

(b) Voluntary Retirement: (1) A railway servant- governed -pension rules, seek VRS - after 30 years of service qualifying for pension, after giving notice in writing to the appropriate authority, at least three months before: 

• appropriate authority to withhold permission to a railway servant under suspension.
• appointing authority curtailment of the period of notice of three months on merits and & not cause any administrative inconvenience, on the condition not apply for commutation of a part of his pension before the expiry of the period of notice of three months.   
• qualifying service of thirty years, has been verified in consultation with the Accounts Officer.

1804. Notice Period For Premature Retirement:- (a) appointing authority -in public interest -absolute right to retire a railway servant in Group-C service or post who is not governed by any Pension Rules after he has completed thirty years service -notice three months or three months pay and allowances in lieu of such notice. 

(b) A railway servant in Group-C service or post who is not governed by any Pension Rules, may by giving notice of not less than 3 months in writing to the appointing authority, retire from service after he has completed thirty years service.

Premature Retirement: RBE No.143/2015 – Periodical Review FR 56(j)

Compulsory Retirement under FR 56(j), 56(1) or Rule 48(1)(b) of CCS (Pension) Rules, 1972 corresponding rules in railways are Rule 1802(a)/ 1803(a)/ 1804(a) of IREC, Vol-II, 1987 edition, with a view to improve efficiency and strengthening of the administrative machinery at all levels.

Hon’ble Supreme Court in State of Gujarat Vs Umedbhai M. Patel, 2001 (3) SCC 314.

Premature Retirement: 

RBE No.143/2015 – Periodical Review

(i) no longer useful 

(ii) not treated as a punishment coming under Article 311 of the Constitution. 

(iii) chop off dead wood, but order passed after due regard service record.

(iv) adverse entries in confidential record 

(v) Even un-communicated entries in confidential record 

(vi) compulsory retirement order shall not be passed as a short cut to avoid Departmental enquiry.

(vii) If officer given a promotion despite adverse entries made in the confidential record, that is in favour of the officer. 

(viii) Compulsory retirement shall not be imposed as a punitive measure.

• entire service records should be considered, all relevant records viz. ACR/APAR dossier along with personal file of the officer containing valuable material.
• work and performance assessed by looking into files dealt with by him or in any papers or reports prepared and submitted by him.
• All these data along with a comprehensive brief should be prepared for consideration by the Review Committee. 
• Promoted during the last five years, the previous entries in the ACRs may be taken into account if the officer was promoted on the basis of seniority cum fitness, not on the basis of merit.
• As far as integrity is considered -
• Hon’ble Supreme Court, while upholding compulsory retirement in the case of S. Ramachandra Raju Vs State of Orissa, may be kept in view: 
• “The officer would live by reputation built around him. In an appropriate case, there may not be sufficient evidence to take punitive disciplinary action of removal from service. But his conduct and reputation is such that his continuance in services would be a menace to public service and injurious to public interest.” 
• considering integrity of an employee, actions or decisions taken by the employee which do not appear to be above board, complaints received against him, or suspicious property transactions, for which there may not be sufficient evidence to initiate departmental proceedings, may be taken into account. 
• Judgment of the Apex Court in the case of Shri K. Kandaswamy, I.P.S (TN:1966) in K. Kandaswamy v. Union of India & Anr (1996 AIR 277, 1995 SCC(6)162 is relevant here. 
• There were persistent reports of Shri Kandaswamy acquiring large assets and of his getting money from his subordinates. 
• He also indulged in property transactions which gave rise to suspicion about his bonafide's. 
• Hon’ble Supreme Court upheld his compulsory retirement under provisions of the relevant Rules.
• Similarly, reports of conduct unbecoming of a Government servant may also form basis for compulsory retirement. As per the Hon’ble Supreme Court in State of U.P and Others v. V.jay Kumar Join. Appeal (Civil) 2083 of 2002:- “If conduct of a government employee becomes unbecoming to the public interest or obstructs the efficiency in public services, the government has an absolute right to compulsorily retire such an employee in public interest.”

Conduct unbecoming of a Government servant may also form basis for compulsory retirement.

• As per the Hon’ble Supreme Court in State of U.P and Others v. Vijay Kumar Join. Appeal (Civil) 2083 of 2002:- 
• “If conduct of a government employee becomes unbecoming to the public interest or obstructs the efficiency in public services, the government has an absolute right to compulsorily retire such an employee in public interest.

Internal committees may be constituted to assist the Review Committees in reviewing the cases. 

• These Committees will ensure that the service record of the employees being reviewed, along with a summary bringing out all relevant information, is submitted to the Cadre Authorities at least three months before the due date of review. 

DOP&Ts OM dated 21.03.2014, para (II) 3(c) & (d) of the Board’s letter dtd 15.11.1979

ineffectiveness:-

• (c) no employee should ordinarily be retired on grounds of ineffectiveness if his/her service during the preceding 5 years or where he/she has been promoted to a higher post during that 5 year period, his/her service in the highest post, has been found satisfactory.
• Consideration is ordinarily to be confined to the preceding 5 years or to the period in the higher post in case of promotion within the period of 5 years, if compulsory retirement is sought to be made on grounds of ineffectiveness. There is no such stipulation, however where the employees is to be retired on grounds of doubtful integrity.” 
• (d) No employee should ordinarily be retired on ground of ineffectiveness, if in any event, he/she would be retiring on superannuation within a period of one year from the date of consideration of his/her case. Ordinarily no employee should be retired on grounds of ineffectiveness if he is retiring on superannuation within a period of one year from the date of consideration of the case. It is clarified that in a case where there is a sudden and steep fall in the competence, efficiency or effectiveness of an officer, it would be open to review his case for premature retirement. The above instruction is relevant only when an employee is proposed to be retired on the ground of ineffectiveness, but not on the ground of doubtful integrity. 
• The damage to public interest could be marginal if an old employee, in the last year of service, is found ineffective; but the damage may be incalculable if he is found to be corrupt and demands or obtains illegal gratification during the said period for the tasks he is duty bound to perform.
• Supreme Court had not only upheld the validity of FR 56(j) but also held that no show-cause notice need be issued to any Government servant before a notice of retirement is issued to him under the aforesaid provisions.

Premature Retirement: Consolidated Instructions 

No.E(P&A)I-77RT-53, dated 15.11.1979 

• Procedure for consideration of Representations:- 
• (1) A railway employee who has been served with a notice/ order of premature retirement under the provisions mentioned above, may submit a representation within three weeks from the date of service or such notice/ order. 
• The Committee considering the representation shall make its recommendations on the representation within two weeks from the date of receipt of the reference from the administrative authorities concerned. The authority which is empowered to pass final orders on the representation should pass its orders within two weeks from the date of receipt of the recommendations of the Committee on the representation.
• Review representation Committee records a definitive finding that the premature retirement of the railway servant was on account of political or personal victimization, the intervening period should be treated as duty with full pay and allowances.
• Committee to consider the representations against such premature retirement came to the conclusion that premature retirement was unjustified, the date of superannuation of the employee has already arrived or had passed, it has been decided that the authorities empowered to pass final orders may at their discretion reinstate the superannuated railway servants notionally with effect from the date of compulsory retirement and treat the period upto the date of superannuation, as duty, leave or dies-non as may be considered appropriate by the competent authority. 
• Representations rejected,
• (a) Over-rigorous standards were not applied at the time of original review in the matter of judging ineffectiveness of the employee on account of a mistaken sense of over-zealousness; and 
• (b) Premature retirement was not resorted to as a means of political or personal victimization. 
• It should be ensured that review of cases of the employees prematurely retired during the emergency is conducted by a Committee of Officers of appropriate status unconnected with the original decision to retire the employee prematurely. 

Time Schedule for Review:

Railway Administrations are requested to maintain a suitable register (or registers) of employees under their control or who belong to cadres/ services controlled by them, who are due to attain the age of 50/ 55 years or complete 30 years of service, as the case may be, and also to instruct their subordinate offices to take similar action. This register should be scrutinized at the beginning of every quarter by a Senior Officer in the Administration and in Subordinate offices, and the review undertaken according to the following schedule:

January to March              July to September of the same year
April to June                      October to December of the same year 
July to September             January to March of the same year 
October to December        April to June of the next year 

RBE No. 130/2019: Periodic Review – Retirement 

No.E(P&A)I-2019/RT-21, date 08.08.2019

Criteria for review of services: 

(a) Age and Service rendered: 

(1) Group A and B: After attaining 50 years (if entered service before age 35); 

(2) Group A and B: After attaining 55 years (if entered service after age 35); 

(3) Group C: After attaining 55 years of age; 

(4) Group C: After completion of 30 years of service, if not governed by any pension rules, under Rule 1804(a), 

(5) Group D: In pensionable cases, can be done after completion of 30 years of pensionable service. (Reference: Rule 2046 R-II (old), Letter No.PC-68/RT/5-1, dated 27.11.1976, E(P&A)-76/RT/38, dated 24.07.1976, Now 1803(a) of R-II, 2005 Edition). 

(6) Any employees, irrespective of age, can be retired prematurely by giving him three month’s notice after he has completed 30 years of qualifying service. 

(Reference: E.48-CPC/208, dated 08.07.1950 as amended vide F(E)III 69 PN-1/15, dated 27.08.1969 incorporated as para 620 of Manual of Railway Pension Rules, 1950) 

(b) Service records: The entire service records should be considered in every review. Based on the service records, a comprehensive brief is to be prepared for consideration of the ‘Review Committee’ – ‘Service Records’ would take into account the following:- 

(1) ACR/ APAR dossiers; 

(2) Personal file; 

(3) Work and performance of the officer to be assessed by looking into the files dealt by him or in any paper or report prepared and submitted by him. 

(4) Un-communicated remarks in ACRs/ APARs may be taken into consideration; 

(5) If the officer was promoted during the last 5 years 

(on the basis of seniority-cum-fitness and not on the basis of merit), the previous entries in the ACRs may be taken into account. 

(Reference: E(P&A)I-2015/RT/38, dated 10/12.11.2015). 

(c) Ground of Ineffectiveness vis-a-vis doubtful integrity: 

(1) No employee should ordinarily be retired on grounds of ineffectiveness if his/ her service during the preceding 5 years or where he/ she has been promoted to a higher post during that 5 years period, his/ her service in the highest post, has been found satisfactory. 

(2) There is no such stipulation if the employee is to be retired on grounds of doubtful integrity. 

(3) No employee should be ordinarily retired on ground of ineffectiveness, if in any event, he/ she would be retiring on superannuation within a period of one years from the date of consideration of his/ her case. However, if there is a ‘sudden and steep fall in competence, efficiency or effectiveness of an officer’, it would be open to review his case for premature retirement. This condition is not relevant in cases of doubtful integrity. 

(Reference: E(P&A)I-2015/RT/38, dated 10/12.11.2015).

(d) Integrity: 

(1) Action or decision taken by the employee which do not appear to be above board, complaints received against him or suspicious property transactions, for which there may be not be sufficient evidence to initiate departmental proceedings, may by be taken into account for prematurely retiring an employee. 

(Reference: Observation of Supreme Court in S. Ramchandra Raju Vs. State of Orissa and K. Kandaswamy vs. UoI. Cited in E(P&A)I-2015/RT/38, dated 12.11.2015). 

(2) CVO in the case of gazetted officers, or his representative in the case of non-gazetted officers, will be associated in case of record reflecting adversely on the integrity of any employee. 

(Ref: E(P&A)I-2015/RT/38, dated 10/12.11.2015).

(e) Conduct unbecoming of a Government Servant as basis for Compulsory Retirement: 

If conduct of a Government employee becomes unbecoming to the public interest or obstructs the efficiency in public services, the government has an absolute right to compulsorily retire such an employee in Public Interest. 

(Reference: Observation of Supreme Court in State of UP and others vs. Vijay Kumar Jain, appeal case, cited in E(P&A)I-2015/RT/38, dated 12.11.2015).

Procedure and Guidelines: (a) Cases of Railway Servants to be reviewed 6 months before attaining the age of 50/ 55 years or on completion of 30 years of service/ 30 years of qualifying service, whichever occurs earlier. (b) No show-cause notice need to be issued to any government servant before a notice of retirement is issued to him under these rules. (c) Internal Committee may be constituted to assist the Review Committee in reviewing the cases. The Committees would ensure that service records of the employee being reviewed, along with summary bringing out all relevant information, is submitted to the Cadre Authorities at least 3 months in advance before the due date of review. (d) Composition of review committee will be as under: (i) For ACC Appointees and non-ACC appointees (i.e. All Group A Gazetted officers including those of RBSS, RBSSS and Miscellaneous/ ex-cadre. The Committee will be headed by CRB and would comprise of the functional Board Member of the department (to which the officer whose service is being reviewed) and Member Staff. In case, the officer belongs to Personnel Department or RBSS/ RBSSS or IRMS, Member (Traction) would be the other Member. PED/ Vigilance (as CVO of the Ministry) is to be associated in the said review. Internal Committee to assist the Review Committee will be headed by Secretary, Railway Board and would comprise JS (Confidential) and JS (Establishment). ED/ Vigilance (or Director/ Vigilance in case of no ED is available) shall be associated.

(ii) For Group B officers in Railway Board (RBSS/ RBSSS/ Miscellaneous/ ex-cadres): (a) AM (Staff) as Head of Review Committee; (b) JS (G) and JS(E) as members of Review Committee; DV (Intelligence) is to be associated in the said review. Internal Committee to assist the Review Committee would be headed by EDE (GC) and would comprise Director(GA) and DS(E). JD/Vigilance (Confidential) shall be associated. 

(iii) For non-Gazetted officials of Railway Board including those of RBSS, RBSSS and Miscellaneous/ ex-cadres: (a) JS as Head of Review Committee; (b) EDE(N) and JS(D) as member of Review Committee; DV (Intelligence) is to be associated in the said review. Internal Committee to assist the Review Committee to comprise Dir (A) and Director (GA), JD/Vigilance (Confidential) shall be associated. (iv) For Group B officers/ officials in Railways: The Committee will be headed by the General Manager of the Railway and would comprise PCPO and PHOD (of the department to which the officer belongs). In case of an officer form from Personnel Department, another PHOD in addition to the PCPO would be nominated by the General Manager. SDGM of the railway is to be associated in the said review. Internal Committee to assist the Review Committee to be headed by AGM of the Railway. Composition of the Committee may be decided by the General Manager of the Railway.

 

(v) For Group C officials of Railways: The following are the instructions issued by Board. However, the General Managers, may make any modification which they deem fit in administrative interest. Composition of the Internal Committee may also be decided by the respective General Managers of the Railways. In respect of RDSO and NAIR, the respective DGs can constitute the committees. (i) At Head Quarter Level: (a) For non-personal official: PHOD or GM where he is appointing authority Chairman, PCPO. (b) For Personnel Branch official: PCPO to be Chairman, GM to nominate an SAG Officer to be member. If GM is Chairman, he may nominate a PHOD as a member. Additional PHOD may act as Chairman if he is higher in rank than that of appointing authority. SDGM/ Dy.GM who is in charge of the Vigilance Department shall be associated as a Third Member of the Committee. (ii) At Division Level: (a) Other than Personnel Department: (1) One JAG officer of the employee’s department; (2) One JAG officer of another department; (3) Sr.DPO/ DPO. Where DRM is the ‘appointing authority’, Committee will consist of ADRM as Chairman, Sr.DPO/ SPO and another JAG officer as members. (b) Personnel Department: (1) Sr.DPO/ DPO, (2) Two JAG officers of other Departments, (3) In case of ‘doubtful integrity, papers are to be transmitted to Headquarters for SDGM to record his views before final orders are passed by ‘appropriate authority’. (iii) Workshop Level: Review to be done at the Workshop Level itself where the workshop is headed by an SAG/ SG/ JAG officer. If workshop is headed by an officer of the rank of Sr. Scale or below, the review of the Workshop staff would be done by the Headquarters. Board have also decided that the Divisional, HQ or Workshop Review/ Representation Committee of the appropriate level should not be drawn from the same division/ workshop/ HQ but from the adjacent division, railway establishment, zone, workshop, production unit etc. as the case may be except for departmental representative who will be of the appropriate JAG/ Senior Scale of the Division/ Workshop/ HQ etc. itself. In cases of doubtful integrity, since all records are available only with the SDGM/ CVO of the Reviewing Organization, he will continue to be associated with it. (iv) Group A & B: Railway Board For all Railway Servants in Group A and B service/ post and for Group C staff in Board’s office, Railway Recruitment Boards, NAIR and Centralized Training Institute, review will be done in Board’s office. Following procedures to be followed:

(i) List of Group A and B officers who come under review to be prepared sufficiently in advance, ensuring that there are no omissions.

(ii) The confidential reports/ files of officers whose confidential reports are not maintained in Board’s office and whose cases are to be reviewed should be brought up to date in all respects and sent to Secretary Railway Board along with the above list through a responsible member of the staff. Half yearly time table has been prescribed for the same. (This has been revised to quarterly vide DoP&T’s circular dated 21.03.2014 mentioned at para 2 above). (Ref: E(O)I-69 SR 10/13, dated 12.12.1969). (f) Complete bio-data particulars of the employee who is to be reviewed should be circulated to the members of the Review/ Representation Committee as per the prescribed proforma (Annexure-I to this letter). Proforma is to be carefully and meticulously filled and should be free from all errors. Findings of Review/ Representation Committees/ SDGM in ‘doubtful integrity’ cases should be entered in the proforma itself. (g) Rule relating to premature retirement should not be used: (i) To retire on ground of specific misconduct as a shortcut to initiating formal disciplinary proceedings. (CAT/PB/New Delhi in OA No.1827/2017, in the matter of Sangeeta Rao vs. UOI vide order stated 18.09.2018, dismissed the plea of the government servant who was compulsorily retired under 56(J) for habitual late coming; or (ii) For reduction of surplus staff on ground of affecting general economy without following rules of retrenchment. (h) Any adverse entries made in the confidential record shall be taken note of and be given due weightage in passing such orders. (i) Even un-communicated entries in the confidential record can also be taken into consideration. (j) If the officer was given a promotion despite adverse entries made in the confidential record, that is a fact in favour of the officer. (Ref: Reference: E(P&A)I-2015/RT/38, dated 10/12.11.2015) (k) Once a decision has been taken by appropriate authority to retain an employee beyond the age of 50 years after review, he would ordinarily continue in service till he attains the age of retirement. If however, the appropriate authority considers at any time after review that retention would not be in Public Interest, that authority may take necessary action to retire as per the laid down procedure. (l) If the ‘appropriate authority’ decides to differ with the recommendation of the Review Committee, he may remit the papers to the next higher authority for a final decision. (m) A notice longer than 3 months can be given, but the date from which he is required to retire as specified in the notice should not be before he attains the age of 50/ 55 years or before he completes 30 years of service. (n) While computing the notice period of ‘not less than 3 months’, the date of service of notice and the date of expiry shall be excluded. The date of premature retirement should be on the forenoon of the day (which should be treated as a non-working day) following the day of expiry of the notice. (o) If the Railway employee refuses to accept the notice or order of retirement, it should be ensured that the ‘refusal’ is witnessed by two gazette offices. In such a case, the notice/ order should be sent under registered post with AD. In such a case the date of effect of notice of retirement/ order of retirement would be the forenoon of the date following the date of refusal. 6. Procedure for consideration of Representation (Reference: E(P&A)I-77/RT-53, dated 15.11.1979 and E(P&A)I-2015/RT/38, dated 10/12.11.2015): (a) A Railway employee, who has been served with a notice/ order of premature retirement, may submit a representation within 3 weeks from the date of service or such notice/ order. (b) On receipt of the representation, the administration would examine the same to see if it contains any new fact or any aspect not hitherto taken into consideration. Examination to be completed within 2 weeks from the date of receipt. Thereafter, it should be placed before the appropriate Committee for consideration. (c) Composition of the Representation Committee (Reference: E(P&A)I-87/RT/4, dated 17.10.1989)

Same as the Review Committee with the modification that it should include at least one member of the appropriate status who was not in the said Committee earlier. (d) Final order on representation against premature retirement: To be passed by the authority superior to the authority which issued order of premature retirement only after obtaining approval of the Ministry of Railways. Where, however, the order of premature retirement shall be issued by President, final orders on the representations shall be passed by the Minister-in-charge of the Ministry/ Department concerned. (Railway Board’s decision: A decision on the recommendation of the Representation Committee, considering the appeal of the compulsory retired employee may be taken by the Additional General Manager. Papers to be put up to GM only in cases where the AGM differs from the findings of the Committee. If AGM/ GM confirms the decision of the Representation Committee to retire the employee was correctly taken then, papers in original should be submitted to Board within the prescribed time schedule.) (Reference: E(P&A)I-87/RT/4, dated 17.10.1989). (e) The Representation Committee shall make its recommendation within two weeks from the date of receipt of reference from the administrative authorities concerned. (f) Authority which is empowered to make final orders on the representation should pass its orders within two weeks from the date of receipt of the recommendations of the Committee provided that approval of the Ministry of Railways would be necessary before passing final orders in case where the appropriate authority proposes to reject the representation/ appeal against premature retirement. (g) If decided to reinstate, the intervening period should be treated as duty or as leave or as dies-non depending on the merits of each case. (If Review Representation Committee finds that premature retirement was on account of political or personal victimization, it would be ‘duty’ with full pay and allowances. In other cases, it would be leave or dies-non, as the authority may decide). (h) In case the employee gets a stay order from court, representation is not to be considered by the administration, nor sent up to the Committee until disposal of the court case. Thereafter, the cases may be examined taking into account any material of substantive nature that may feature in court’s judgment. (i) As and when fresh representations are received against such rejection and also against premature retirement relating to period of emergency, these should be examined by appropriate ‘Representation Committee’ which shall take special care to see that over rigorous standards were not applied or done out of over jealousness or out of political or personal victimization at the time of the original review. 7. Time Schedule for Review: (Reference: DoP&T’s OM 25013/1/2013-Estt(A), dated 21.03.2014: (i) Suitable register(s) of employees under their control to be maintained by Railway Administrations who are due to attain the age of 50/ 55 years or would complete 30 years of service. Subordinate officers to be instructed to take similar action too. (ii) Register should be scrutinized at the beginning of every quarter by a Senior Officer in the administration and in subordinate offices. Schedule 

 

1 January to March July to September of the same year 

2 April to June October to December of the same year 

3 July to September January to March of the subsequent year 4 October to December April to June of the subsequent year. 

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RBE No. 78/2020: Periodic Review of Railway employees

No.E(P&A)I-2019/RT-21, dated 07.09.2020

DoP&T’s recent OM dated 28.08.2020 reviews, consolidates and reiterates the guidelines issued so far on periodic review of Central Government employees. These provisions shall apply mutatis mutandis in respect of railway employees. The corresponding provisions for Railway employees are contained in Rules 1802(a)/ 1803(a)/ 1804(a) – R.II, 1987 read with Rule 66(b) of RSPR, 1993. 

Same wording

Periodic Review: RBE No.47/2022 – Under Rule 1802(a)/ 1803(a)/ 1804(a)

No. E(P&A)I-2019/RT-21(pt), dated 08.04.2022

Members of the Divisional, Headquarters and Workshop Review/ Representation Committees of the appropriate level should not be drawn from the same division/ workshop/ Hqrs but from the adjacent division, railway establishment, zone, workshop, production unit etc. as the case may be, except for departmental representative who will be of the appropriate rank in JAG/ Senior scale of the Division/ Workshop/ HQrs etc. itself. 

changed as below:-

The officer nominated as member of the Committee may be from the same division, but should not be amongst those who exercise direct/ immediate control or supervision over the officers being screened. Further, Committees should be constituted in such a manner so as to ensure that there is an element of fairness in the review and there is no claim of arbitrariness of action by the employee.

(a) Railway Board’s instructions vide PC-68/RT/5, dated 08.09.1969;

(b) Railway Board’s instructions vide E(O)I-69 SR10/13, dated 12.12.1969;

(c) Consolidated instructions of RB issued vide letter No.E(P&A)I-77/RT-53, dated 15.11.1979; 

(d) RB’s instructions vide E(P&A)I-87/RT-4, dated 17.10.1989; 

(e) DoP&T’s instructions vide OM No.25013/1/2013-Estt(A), dated 21.03.2014; 

(f) DoP&T’s instructions vide OM No.25013/1/2013-Estt.A-IV, dated 11.09.2015; 

(g) RB’s instructions vide E(P&A)I-2015/RT/38, dated 10/12.11.2015 (RBE No.143/2015); 

(h) Provisions under FR 56(j), 56(l) or Rule 48(1)(b) of CCS (Pension) Rules, 1972; Corresponding provisions in IREC, Vol.II, 1987 – Rule 1802(a)/ 1803(a)/ 1804(a). 

(i) ERB-I’s Order No.ERB-I/2019/23/32, dated 20.11.2020 & 14.01.2021. 

(j) Railway Board’s instructions vide E(P&A)I-2019/RT-21, dated 07.09.2020 (RBE No.78/2020) circulating DoP&T’s OM No.25013/03/2019-Estt.A-IV, dt 28.08.2020. 

(k) Railway Board’s instructions vide E(P&A)I-2019/RT-21(pt), dated 08.04.2022 (RBE No.47/2022).

(1) Railway Board’s instructions vide PC-68/RT/5, dated 08.09.1969; 

(2) Railway Board’s instructions vide E(O)I-69 SR10/13, dated 12.12.1969; 

(3) Consolidated instructions of RB issued vide letter No.E(P&A)I-77/RT-53, dated 15.11.1979; 

(4) RB’s instructions vide E(P&A)I-87/RT-4, dated 17.10.1989; 

(5) DoP&T’s instructions vide OM No.25013/1/2013-Estt(A), dated 21.03.2014; 

(6) DoP&T’s instructions vide OM No.25013/1/2013-Estt.A-IV, dated 11.09.2015; 

(7) RB’s instructions vide E(P&A)I-2015/RT/38, dated 10/12.11.2015; 

(8) Provisions under FR 56(j), 56(I) or Rule 48(I)(b) of CCS (Pension) Rules, 1972; Corresponding provisions in IREC, Vol.II, 1987 – Rule 1802(a)/ 1803(a)/ 1804(a).