APPENDIX – VI

PUNISHMENT NORMS IN ACCIDENT CASES

(Ref. : Railway Board’s letter no.99/safety (A&R)/6/1 dated 23.04.99)

NOTE: (i) ‘D’ staff : Staff directly held responsible for the accident.

‘S’ staff :Staff who are found to have secondary responsibility. In their
case, the penalty imposed will depend on the degree of their
contribution to the accident / engine failure and the Disciplinary
Authority will use its discretion in the matter.

W I P – With holding of increment with cumulative effect.

W I T – With holding of increment without cumulative effect.
(ii) The Disciplinary authority must impose the minimum penalty if the
responsibility of staff is clear. Factors, like the employee’s past record
of service may be taken into account by the Appellate Authority if and
when an appeal is made to it. The Disciplinary Authority should deal
with the case solely with regard to the facts and circumstances of the
accident itself.
Sl. Nature of Accident Minimum penalty
No.
Collisions involving a train-
1 (a) Resulting in loss of human (a) ‘D’ staff – Dismissal
life. (b) ‘S’ staff – Major penalties (v), (vi)
or (vii)
(b) Not resulting in loss of (a) ‘D’ staff – Removal from service.
human life. (b) ‘S’ staff – Major penalty(v) or (vi)
2. Averted collisions involving (a) ‘D’ staff – Removal from service.
a train- (b) ‘S’ staff – Major penalty (v) or (vi)
3 Train passing signal at danger- Removal or compulsory retirement
where entirely due to neglect of Loco
Pilot ; reduction to a lower grade if there
are contributory factors like loss of brake
power on the run which he could not
have detected when he took charge of the
engine.

304
4 Over speeding by Loco Pilot ( in cases other than collisions, averted
collisions and passing signal at danger for which penalties have been
prescribed in items 1 to 3 above)
(i) Resulting in derailment of Dismissal - if there are no other
passenger train involving loss of contributory factors like track or
human life. rolling stock defects. Removal - if
there are such contributory factors.
(ii) Resulting in derailment of Removal - if there are no other
passenger trains not involving loss of contributory factors like track or
human life. rolling stock defects. Reduction to
‘C’ grade for 3 years if working
substantively in ‘C’ or ‘B’ grade and
reduction to Shunter for 3 years if
working substantively in ‘C’ grade
with loss of seniority in both cases. If
there are such contributory factors.
(iii) Resulting in derailment of goods Reduction to grade of shunter for one
trains on the main line in mid-section to three years with loss of seniority.
or within station limits.
(iv) Resulting in derailment of goods Reduction to Shunter for one to three
train in station yard on other than main years, depending on the extent of
line. damage, without loss of seniority on
being restored to ‘C’ grade Loco
Pilot.
5 Failure to detect hot axle or other Reduction to next lower grade in the
defective wagon resulting in case of passenger train. WIP for 3
derailment for which Loco Pilot/ years with loss of seniority in the case
Guard can be held responsible if of goods train.
it is within range of visibility.
6 Failure to detect hot axle or other Removal in the case of passenger
defective wagon resulting in train reduction to the next lower
derailment for which station staff / grade in the case of goods train, if
cabin staff can be held responsible or working in lowest grade, WIP for 3
failure to stop the train on information years.
regarding hot axle being given by the
previous station for control.

305
7 Station derailments while shunting.
i) Due to Loco Pilot’s fault in not WIT for 2 yrs.
obeying signals including hand signals
or starting the train without authority
proceed.
ii) Due to Loco Pilot’s failure to WIT for 2 yrs.
control the train
8 Breach of Block Rules(which do not Reduction to a lower stage in the time
result in collision or averted collision) scale.
such as train entering the section
without proper line clear, receiving
trains on wrong line blocked for
engineering work etc. Placing material
trolly on line without block protection
and so on.
9 Accidents at Manned Level crossings.
i) Failure of Gateman to close the Dismissal if there is loss of human
gate. life, removal if there is no loss of
human life.
(ii) Failure of SM/ASM to ensure Reduction to a lower grade or post
closure of level crossing gates before with loss of seniority (WIP 3 yrs. In
allowing any movement where rules case in the lowest grade).
provide.
(iii) Failure of Loco Pilot in observing Reduction to a lower grade with loss
rules before passing a gate signal in of seniority.
danger.
(iv) Where no breach of rules is WIT upto 2 years 11 months.
proved but lack or vigilance on the
part of Loco Pilot/ guard of other
staff is proved.
10 Accident at unmanned level crossings due to lack of vigilance on the part
of Loco Pilot or failure to whistle on approaching the whistle board.
(i) Accident involving loss of human Reduction to a lower grade.
life.
(ii) Where no loss of human life is WIT for 1 year.
involved.

306
11 Carriage & Wagon defects or improper securing of loads or failure to
detect improper securing of loads by TXR.
(i) Resulting in derailments on the For the first offence WIT for 2 yrs.
main line, Mid – section or within 11 months. For the second offence
station limits. reduction to a lower grade for 3
years with loss of seniority (If any
staff such as TXR are in the lowest
grade, reduction by three stages in
the scale of pay with loss of
seniority; if the staff are in the lower
stages of pay where reduction by
three stages is not possible WIP for
three years with loss of seniority).
(ii) Resulting in derailments in a Same as for item (i) above but
station yard other than main line. without permanent effect and
without loss of seniority.
12 Locomotive defects
(i) Negligence in repairs or Reduction to a lower stage in the
maintenance in shops or shed time scale with loss of seniority for
resulting in accidents. the first offence, reduction to a
lower grade with loss of seniority
for the second offence and removal
for the third offence.
(ii)Negligence in repairs of For the first offence stoppage of
maintenance in shops or sheds Passes and PTOs for 1 year; the
or bad enginemanship by Loco second offence WIT 1 year and for
Pilot resulting in engine failure. the third offence reduction to a
lower grade for years.
13 Traffic staff failure, resulting in accidents other than collisions or
averted collisions.
(i) Wrong setting / manipulation of Reduction to a lower grade with loss
points. of seniority.
(ii) Incorrect signalling. WIP upto three years.
iii) Wrong marshalling. Reduction to a lower stage in time
scale of pay.
iv) Excessive / uneven loading or WIT upto three years
improper securing of loads.

307
 14 Signal & interlocking failures, signal and interlocking defects for
which maintenance staff are held responsible resulting:-
(a) Accidents of passenger train (i) If due to causes where
involving loss of human life ‘interlocking’ has been shorted,
circulated / made inoperative.
‘D’ staff – Dismissal
‘S’ staff – Major penalties under
item (v), (vi) or (vii)(ii) If due to
causes where ‘interlocking’ has
deteriorated due to bad maintenance
repairs.
‘D’ staff – Removal
‘S’ staff – Penalties under
Item (v) or (vi)
b) Accidents of passenger or goods (i) ‘D’ staff - Removal
train not involving loss of human life. ‘S’ staff – Penalties under
Item (v) or (vi)
(ii) ‘D’ staff – item (vi)
‘S’ staff – item (v)
c) Derailment of goods train on the (i) ‘D’ staff – item (vi)
main line in mid-section or within ‘S’ staff – item (iv) or (v)
station limits.
d) Derailment of goods train within (i)’D’ staff – item (v)
station yard other than main line. ‘S’ staff – item (iv)

PUNISHMENT NORMS IN ACCIDENT CASES

CIVIL ENGINEERING DEPARTMENT

(Ref. : Railway Board’s letter no.99/safety (A&R)/6/1 dated 23.04.99)

NOTE: (i) ‘D’ staff : Staff directly held responsible for the accident.

‘S’ staff : Staff who are found to have secondary responsible including
that of Supervisors, JE/SE/SSE (P.Way) and PWS etc., whose failure to
do proper inspections and take timely remedial measures and slack
supervision would have contributed to the accident.
The penalty to be imposed in these cases will depend on the degrees of the
contribution of the accident. The disciplinary authority will use his
discretion in this matter. While fixing responsibility for slack supervision
and neglect of periodical inspections the period, the supervisors have been
in charge of the section is also to be taken into account.
308
 W I P – With holding of increment with cumulative effect.
W I T – With holding of increment without cumulative effect.
(a) The Disciplinary authority must impose the minimum penalty if the
responsibility of the staff is clear. Factors, like the employee’s past
record of service may be taken into account by the Appellate Authority
if and when an appeal is made to it. The Disciplinary Authority should
deal with the case solely with regard to the facts and circumstances of
the accident itself.
Sl. Nature of Accident Minimum penalty
No.
1 Major track defect such as buckling, worn out switches & crossings and
spread of gauge
(i) Resulting in derailment of (a) ‘D’ Staff – (i) Dismissal, if there
passenger trains is loss of life. (ii) Removal from
service if no loss life.
(b) ‘S’ Staff – Reduction to a lower
grade for a period of 3 years, with
loss of seniority, if any staff such as
JE / P.Way are in the lowest grade
reduction by 3 stages in the scale of
pay with loss of seniority. If the staff
are in the lowest stage of pay where
reduction by three stages is not
possible, WIT for 3 years with loss
seniority.
(ii) Resulting in derailment of (a) ‘D’ Staff - Reduction to a lower
goods trains on the main line in grade for a period of 3 years, with
mid section or within station limit. loss of seniority, if any staff such as
JE / P.Way are in the lowest grade
reduction by 3 stages in the scale of
pay with loss of seniority. If the staff
are in the lowest stage of pay where
reduction by three stages is not
possible, WIT for 3 years with loss
seniority.
(b) ‘S’ Staff – Reduction to a lower
stage in time scale of pay of 3 years
with effect of postponing future
increments on expiry of such period.

309
 (iii) Resulting in derailment of (a) ‘D’ Staff – Reduction to a lower
goods trains in station yards other stage in time scale of pay for a
than main line. period of 2 years without the effect
of postponing future increments .
(b) ‘S’ Staff – WIT upto 2 years
11 months or with holding of pass/
PTOs for 2 years where the staff has
reached the maximum of the grade.
2 Other track defects like cross levels or low joints and defective alignment
in curves etc.,
(i) Resulting in derailment of (a) ‘D’ Staff –
passenger trains (i) Removal from service if no loss of
human life.(ii) Reduction to a lower
grade for a period of 3 years, with
loss of seniority of no loss life. If any
staff such as JE / P.Way are in the
lowest grade, reduction by 3 stages in
the scale of pay with loss of seniority.
If the staff are in the lowest stage of
pay where reduction by three stages
is not possible, WIT for 3 years with
loss seniority.
(b) ‘S’ Staff – Reduction to a lower
stage in time scale of pay for a period
of 3 years with effect of postponing
future increments on expiry of such
period.
(ii) Resulting in derailment of (a) ‘D’ Staff – Reduction to a lower
goods trains on the main line in grade for one to three years with
mid section or within station loss of seniority.
limit. (b) ‘S’ Staff – Reduction to a lower
grade in time scale of pay for a
period of one to three years without
postponing the increments.

310
 (iii) Resulting in derailment of (a) ‘D’ Staff - Reduction to a lower
goods train in station yard or other stage in time scale of pay for a
than main line period of one to three years without
the effect of postponing future
increments.
(b) ‘S’ Staff – WIT for one year or
with holding of passes and PTOs for
one year if at maximum of grade.
3 Miscellaneous cause like infringe WIT up to 3 years or reduction to a
-ment of track by irregular unloading lower grade or removal from service
of ballast track materials etc., due to according to the gravity of accident
neglect of P. Way staff or failure to and damages caused.
protect track in case of destruction,
opening of track, breach etc.,
4 In respect of accidents during WIT for one year or with holding of
shunting operations in sidings and passes PTOs where the staff has
other non and running lines due to reached the maximum should be
track defects. imposed depending on the extent of
neglect of maintenance and other
circumstances.

For Staff of Electrical Department

a) Accidents to passenger train Removal from service.

involving loss of human life.
b) Accidents to passenger train not (i) Reduction to lower grade.
involving loss of human life (ii) If the staff is in the lowest grade
reduction to a lower stage.
c) Fire accidents involving loss of Removal from service
human life
d) Fire accidents involving without (i) Reduction to lower grade.
loss of human life (ii) If the staff is in the lowest grade
reduction to a lower stage.

311
PUNISHMENTS PRESCRIBED IN ACCIDENT AND ENGINE FAILURE CASES

NOTE : (i) ‘D’ Staff : Staff directly held responsible for the accident.

‘S’ Staff : Staff who are found to have secondary responsibility. In their case,
the penalty imposed will depend on the degree of their contribution
to the accident/engine failure and the Disciplinary authority will
use its discretion in the matter.

(ii) The Disciplinary authority must impose the minimum penalty if the
responsibility of staff is clear. Factors like the employee’s past record of service
may be taken into account by the Appellate authority if and when an appeal is
made to it. The disciplinary authority should deal with the case solely with
regard to the facts and circumstances of the accident itself.

Nature of Accident: Minimum Penalty

1. Collisions involving a train.

(i) Resulting in loss of human life (a) ‘D’ Staff - Dismissal.

(b) ‘S’ Staff - Major penalties
(v), (vi) or (vii)

(ii) Not resulting in loss of human life (a) ‘D’ Staff - Removal from service.
(b) ‘S’ Staff - Major penalty
(v) or (vi)

2. Averted collisions involving a train. (a) ‘D’ Staff - Removal from service.
(b) ‘S’ Staff - Major penalty
(v) or (vi)

3. Train passing signal at danger. Removal or compulsory retirement where

entirely due to neglect of driver; reduction to
a lower grade if there are contributory
factors like loss of brake power on the run
which he could not have dete cted when he
took charge of the engine.

4. Over-speeding by drivers (in cases other

than collisions, averted collisions and
passing signals at danger for which
penalties have been prescribed in items 1 to
3 above).

(i) Resulting in derailment of passenger train Dismissal if there are no other contributory
involving loss of human life. factors like track or rolling stock defects;
removal if there are such contributory factors.
 2

(ii) Resulting in derailment of passenger Removal, if there are no other contributory

trains not involving loss of human life. factors like track or rolling stock defects;
reduction to 'C‘ grade for 3 years if working
substantively in 'C‘ or 'B‘ grade and reduction
to Shunter for 3 years if working substantively
in ‘C’ grade with loss of seniority in both
cases. If there are such contributory factors.

(iii) Resulting in derailment of goods trains Reduction to grade of shunter for one to three
on the main line in mid-section or within years with loss of seniority
station limits.

(iv) Resulting in derailment of goods train in Reduction to Shunter for one to three years,
station yard on other than main line depending on the extent of damage, without
loss of seniority on being restored to ‘C’ grade
driver
5. Failure to detect hot axle or other defective Reduction to next lower grade in the case of
wagon resulting in derailment for which passenger train; WIP for 3 years with loss of
Driver/Guard can be held responsible if it seniority in the case of goods train
is within range of visibility

6. Failure to detect hot axle or other defective Removal in the case of passenger train
wagon resulting in derailment for which reduction to the next lower grade in the case
station staff/cabin staff can be held of goods train, if working in lowest grade,
responsible or failure to stop the train on WIP for 3 years
information regarding hot axle being given
by the previous station for control.

7. Station derailments while shunting :

(i) Due to Driver’s fault in not obeying {

signals including hand signals or starting {
the train without authority to proceed. { WIT for 2 years
{
(ii) Due to Driver’s failure to control the {
train

8. Breach of Block Rules (which do not result Reduction to a lower stage in the time scale.
in collision or averted collision) such as train
entering the sectio n without proper line clear,
receiving trains on wrong line blocked for
engineering work etc. Placing material trolly
on line without block protection and so on.

9. Accidents at Manned Level Crossings.

i) Failure of Gateman to close the gate. Dismissal if there is loss of human life;
removal if there is no loss of human life.
 3

ii) Failure of SM/ASM to ensure closure of Reduction to a lower grade or post with loss of
level crossing gates before allowing any seniority (WIP 3 years in case in the lowest
movement where rules provide grade).

iii) Failure of Driver in observing rules before Reduction to a lower grade with loss of
passing a gate signal in danger seniority

iv) Where no breach of rules is proved but lack WIT upto 2 years 11 months.
of vigilance on the part of driver/guard of
other staff is proved

10. Accident at unmanned level crossings, due

to lack of vigilance on the part of driver or
failure to whistle on approaching the
whistle board.

i) Accident involving loss of human life. Reduction to a lower grade

ii) Where no loss of human life is involved WIT for 1 year.

11. Carriage & Wagon defects or improper

securing of loads or failure to detect
improper securing of loads by TXR

i) Resulting in derailments on the main line, For the first offence WIT for 2 years 11
Mid-section or within station limits months. For the second offence reduction to a
lower grade for 3 years with loss of seniority.
(If any staff such as TXR are in the lowest
grade, reduction by three stages in the scale of
pay with loss of seniority; if the staff are in the
lower stages of pay where reduction by three
stages is not possible WIP for three years with
loss of seniority).

ii) Resulting in derailments in a station yard Same as for item (i) above but without
other than main line permanent effect and without loss of seniority

12. Locomotive defects.

i) Negligence in repairs or maintenance in Reduction to a lower stage in the time scale

shops or shed resulting in accidents with loss of seniority for the first offence,
reduction to a lower grade with loss of
seniority for the second offence and removal
for the third offence

ii) Negligence in repairs of maintenance in For the first offence stoppage of Passes and
shops or sheds or bad engine manship by PTOs for 1 year; the second offence WIT 1
Driver result ing in Engine Failure year and for the third offence reduction to a
lower grade for years.
 4

13. Traffic Staff failure, resulting in accidents

other than collisions or averted collisions.

(i) Wrong setting/manipulation of points. Reduction to a lower grade with loss of

seniority

(ii) Incorrect signalling WIP upto three years.

(iii) Wrong marshalling Reduction to a lower stage in a time scale of

pay.

(iv) Excessive/uneven loading or improper WIT upto three years.

securing of loads

14. Signal & interlocking failures, Signal &

interlocking defects for which maintenance
staff are held responsible resulting.

(a) Accidents of passenger train involving

loss of human life

(i) If due to causes where ‘interlocking’ D. Staff - Dismissal

has been shorted circulated/made in- S. Staff - Major penalties
operative (v), (vi) or (vii)

(ii) If due to causes where ‘interlocking’ D. Staff - Removal

has deteriorated due to bad maintenance S. Staff - Penalties under
repairs Item (v) or (vi)

(b) Accidents of passenger or goods train (i) D. Staff- Removal

not involving loss of human life. S. Staff- Penalties under
Item (v) or (vi)

(ii) D. Staff- Item (vi)

S. Staff- Item (v)

(c) Derailment of goods train on the main (i) D. Staff- Item (vi)
line, in mid-section or within station limits S. Staff- Item (iv) or (v)

(d) Derailment of goods train within station (ii) D. Staff- Item (v)
yard other than main line S. Staff- Item (iv)
 5

MINIMUM PUNISHMENTS PRESCRIBED IN ACCIDENT CASES

Civil Engineering Department

NOTE (i) D Staff - Staff directly held responsible for the accident

S Staff - Staff who are found to have secondary responsible including that of
Supervisors, APWI/PWI and PWM etc. whose failure to do proper
inspections and take timely remedial measures and slack
supervision would have contributed to the accident.

The penalty to be imposed in these cases will depend on the degrees of the
contribution to the accident. The disciplinary authority will use his discretion in this
matter. While fixing responsibility for slack supervision and neglect of periodical
inspections the Supervisors have been in charge of the section is also to be taken into
account

(ii) The disciplinary authority must impose the minimum penalty if the responsibility
of the staff is clear. Factors like the employee’s past record of service and other
extanuating circumstances as for want of materials and similar problems may be taken
into account by the Appellate Authority when appeal is made to it. The Disciplinary
authority should deal with the case solely with regard to the facts and circumstances of
the accident itself

Nature of accident: Minimum Penalty

1. Major track defects suc h as buckling,

worn-out switches and crossings and
spread of gauge.

i) Resulting in derailment of passenger (a) D Staff -

trains
i) Dismissal, if there is loss of life.

ii) Removal from service if no loss of life.

(b) S Staff –

Reduction to a lower grade for a period

of 3 years with loss of seniority. If any
staff such as PWI/Gr.II are in the lowest
grade reduction by 3 stages in the scale
of pay with loss of seniority. If the staff
are in the lowest stage of pay where
reduction by 3 stages is not possible,
WIT for 3 years with loss of seniority
 6

ii) Resulting in derailment of goods trains on (a) D Staff -

the main line in mid-section or within
station limit Reduction to a lower grade for a period
of 3 years with loss of seniority

If any staff such as PWI/Gr.III are in the

lowest grade reduction by 3 stages in the
scale for pay with loss of seniority. If
the staff are in the lowest stage of pay
where reduction by 3 stages is not
possible, WIT for 3 years with loss of
seniority

(b) S Staff -

Reduction to a lower stage in time scale

of pay for a period of 3 years with effect
of postponing future increments on
expiry of such period.

iii) Resulting in derailment of goods train in (a) D Staff -

station yards on other than main line.
Reduction to a lower stage in time scale of
pay for a period of 2 years without the
effect of postponing future increment.

(b) S Staff -

WIT upto 2 years 11 months or with-holding

of Pass/PTOs for 2 years where the staff has
reached the maximum of the gr ade

2. Other track defects like cross -levels or low

joints and defective alignment in curves
etc.

i) Resulting in derailment of passenger (a) D Staff -

trains
(i) Removal from service if there is loss of
human life

(ii) Reduction to a lower grade for a period

of 3 years with loss of seniority if no loss
of life.
If any staff such as PWI/Gr.III are in the
lowest grade, reduction by 3 stage in the
scale of pay with loss of seniority. If the
staff are in the lowest stage of pay where
reduction by 3 stages is not possible, WIT
for 3 years, with loss of seniority
 7

(b) S Staff -

Reduction to a lower stage in time scale of

pay for a period of 3 years with effect of
postponing future increments on expiry of
such period

(ii) Resulting in derailment of goods train on (a) D Staff -

the main line in mid-section or within
station limits. Reduction to a lower grade for one to three
years with loss of seniority.

(b) S Staff -

Reduction to a lower grade in time scale of

pay for a period of one to 3 years without
the increments

(iii) Resulting in derailment of goods train in (a) D Staff -

station yard or other than main line
Reduction to a lower stage in time scale of
pay for a period of one to 3 years without
the effect of postponing future increments.

(b) S Staff -

WIT for one year or withholding of Passes

and PTOs for one year if at maximum of
grade.

3. Miscellaneous cause like infringement of WIT upto 3 years or reduction to a lower

track by irregular unloading of ballast, grade or removal from service according to
track materials etc. due to neglect of P. the gravity of accident and damages caused.
Way staff or failure to protect track in case
of destruction, opening of track, breach etc

4. In respect of accidents during shunting WIT for one year or withholding of Passes
operations in sidings and other non- and PTOs where the staff has reached the
running lines due to track defects maximum should be imposed depending on
the extent of neglect of maintenance and
other circumstances
 8

For Staff of Electrical Department

a) Accidents to passenger train involving Removal from service.
loss of human life.

b) Accidents to passenger train not i) Reduction to lower grade, if the staff is

involving loss of human life. in the lowest grade reduction to a lower
stage.

c) Fire accidents involving loss of human Removal from service.

life.

d) Fire accidents without loss of human i) Reduction to lower grade.

life.
ii) If the staff is in the lowest grade
reduction to a lower stage.
 9

MAJOR PENALTY NORM S

Item No. iv Withholding of incrementnts.of Pay for a specified period

with future effect.

Item No. v Reduction to lower stage in time scale of Pay for a period
not exceeding 3 years, without cumulative effect.

Item No. vi Reduction to a lower timescale of Pay, Grade, Post or

Service.

Item No. vii Compulsory retirement.