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DEPARTMENTAL ENQUIRY 

Frequently asked questions about Departmental Enquiry under the Karnataka Civil Service (Clarification, Control and Appeal) Rules 1957.

Sl.
No.

Question

Answer

1

When a  departmental enquiry is initiated  against a Government servant?

A departmental enquiry  will  be initiated for the Misconduct of Government Servant.   Misconduct includes violation of conduct Rules  prescribed under KCS(CCA) Rules 1957.

2

The  competent authorities to institute disciplinary proceedings against the Government servant.

1)The Governor or any other authority 
     empowered by him may

  1. Institute disciplinary proceedings against any Government servant.
  2. Direct the  disciplinary authority to institute disciplinary proceedings against any Government servant on whom he is competent to impose penalties under Rule-8.
  3. The appointing authorities as mentioned in Schedule-I.
  4. The appellate authorities.
  5. The other authorities where the powers of appointing authorities are delegated to such officers vide General/Special order of Government.

2) A Disciplinary Authority competent to impise any of the penalties specified  in clause (i) to (iv-a) of Rule 8 may institute disciplinary proceedings against any Government servant. (Rule-10(A) )

 


3

  1. What is the  procedure for imposing major penalties?

 

 

 

         ii)   Which are the major
          Penalties.

 

 

 

Before imposing  the major penalties as specified in Sub-rule  (v) to (viii) of Rule 8, the procedure specified in  Rule 11- of KCS(CCA) Rules 1957 is to be followed at first instance.  Thereafter action as per  Rule 11-A is  to be taken.

 

Sub  Rule (v) to (viii) of Rule 8 are clasified as major penalties.

4

1)Which are the minor
     Penalties ?
2) What is  the  procedure to
    impose minor Penalties?

Sub-rule (i) to (iv-a) of Rule 8  are classified as minor  penalties.
Sub rule (i) to (iv-a) of Rule 8 are  classified as minor penalties. Subject to rule 11-A(3), the  Government servant should be informed in writing of the proposal to institute departmental proceedings against him  and to submit representation if any.  Representation if any submitted is to be taken into consideration.   Before imposing minor penalties (Rule-12), if it is felt necessary the procedure  laid down  under sub rule(3) to (23) of Rule 13 be followed.

5

 

 

 

What is   Articles of charges  and what are its contents?

 

 

 

Departmental Proceedings Commence with the issue of articles  charges  i.e. Annexure I to IV  the Government servant. Article of Charges   should contain the following:-
Annexure-I   Definite and distinct article
                          of charges

 

 

 

 

 

 

5A

 

 

 

 

 

Who can prepare Articles of charges ?

Annexure-II. Statement of imputation of
                            mis-conduct or mis -  
                           -behavior in support of
                             article of charges.
                             support of charges.
Annexure-III - List of documents in
               Support of charges             
Annexure-IV   List of witnesses in support
                              of charges.
(Rule 11(3) and (4).
The Disciplinary authority has to prepare and serve the article of charges , i.e. Annexure I to IV to the accused Government Official.

6

Whether Incharge authorities can issue  Articles of charge ?

The person  holding additional charge of an officer or disciplinary authority  is not competent to issue charge memo.(Rule-11(4).)

7

Who is competent to appoint Enquiry officer and Presenting Officer?

The Government or the Disciplinary Authority  is competent to  appoint Enquiry Authority under Rule 11(2) and Presenting Officer under Rule 11(5) (C) OF KCS(CCA) Rules 1957.

8

The documents  which are to be given to the  Enquiry Officer by the Disciplinary  Authority?

The following documents are to be given to  the  Enquiry Officer.

    1. Copy of  the Article charges with all Annexures.
    2. Copy of written statement of defense  if any submitted by the Government servant.
    3. Copy of the  order appointing the  Presenting Officer.

      (Rule-11(6).

                                                                                                                                                 

9

Can the alleged  Government servant  take the  assistance of another Government servant ?

The alleged  Government servant can take the assistance of another Government servant or retired Government servant for defending his case before the enquiry authority.(Rule-11(8). But  retired Govt. servant should not be legal practioner.

10

Whether the alleged  Government servant can engage a legal Practitioner?

Alleged  Government servant cannot engage legal practitioner.  But if the presenting Officer is a legal Practioner, the  Enquiry Officer may permit  the  alleged  Government servant to engage Legal Practioner. (Rule 11(8)  and Rule 28.)

11

The action  to be taken by the Enquiry officer in the preliminary hearing?

1)The Enquiry Authority has to ask  the charged Government servant Whether he has received the article of charges?  if so.
2)Do you plead guilty of the charges?
3)Do you have any defense to make?
4) If the  alleged  Government servant admits the charges without any condition, the Enquiry authority should record  the  plea of the alleged Government servant and to obtain his signature.
5) If the  alleged Government servant does not admit the charges, then the Enquiry  Officer will ask the Presenting officer  to prove the article of charges.
6) The alleged Government servant be permited to  inspect the documents/ take extracts.  He should also be asked to submit list of witnesses to be examined in his behalf  (Rule 11 (7).

 

12

Who is to lead the charged witnesses ?

It is the Presenting Officer to lead the charged witnesses (Rule -11(14).

13

Whether the Presenting officer can produce new evidences?

Normally , the Presenting Officer cannot be allowed to produce  the evidences not mentioned in the annexure-IV.  But, if there is any inherent lacuna in the evidence already produced, the Enquiry Officer may allow on the request of the Presenting Officer to produce new evidence. (Rule 11(15) )

14

What is the procedure to produce the documents listed in annexure-III  in the enquiry?

The Presenting Officer has to produce the documents listed in annexure-III of the articles of  charges  in the course of Examination of witnesses with his analysis  about the documents (Rule 11(14) ).

15

Commencement of defense.

After completion of presentation of case by the presenting officer on behalf of disciplinary authority, the alleged  official has to state  in his defense orally or in writing.  He may examine himself on his own behalf if he so desires.(Rule 11(16)(17) ).

16

Submission of Enquiry report.

On completion of the enquiry, the
Enquiry officer has to submit enquiry report to the Disciplinary authority which should contain;

  1. Article of charges;
  2. Defense of the alleged Government servant;
  3. Assessment  of evidence ;
  4. Findings  on  the article of charges;
  5. oral  or documentary evidence produced;
  6. Written brief if any (Rule-11(23);

17

Can the Enquiry Officer recommend penalty?

The Enquiry officer shall not recommend penalties.

                                                                                                                                         


18

Action on the enquiry report

  1. The disciplinary authority if it agrees with the findings of the Enquiry officer, he may impose one or more of the penaltieis specified in Rule 8 of KCS(CCA) Rules 1957 by passing speaking order (Rule 11-A(3).
  2. If the Disciplinary authority disagrees with the findings of the Enquiry officer, he may remit back the case to the Enquiry officer for further   Enquiry from such stage as  the disciplinary authority feels.    Only further Enquiry is permissible and not the de nova or fresh enquiry (Rule 11-A(1).

19

Joint Enquiry.

Where 2 or more Government servants are involved in a case, a joint enquiry can be instituted (Rule 13(1).

20

Who can institute  the Joint enquiry?

The Govt. or any authority competent to impose the penalty of dismissal from service on all such Government servants may make an order directing  disciplinary action against all of them. (Rule-13(1)).

21

Is there any time limit to complete the disciplinary proceedings?

As per the Government circular No.DPAR/19/SDE/2001 ¸Dated:28.6.2001 the disciplinary proceedings is to b e completed within a period of 9 months.

22

What are appeal provisions?

An appeal can be preferred against the orders to the appellate authority.  (Rule-21).

23

What is the limitation period for appeal.

An appeal is to be preferred within 3 months from the date of order appealed against(Rule-20).

 

24

To whom appeal is to be submitted?

An appeal is to be submitted to the appellate authority  through the  authority  which passed the order            (Rule-22). 

25

 Whether Disciplinary Authority can hold with such appeal?

Yes. As per Rule 23, the Disciplinary authority can withhold the appeal;

  1. If no appeal lies on such order.
  2. If Rule  21 is not complied with.
  3. If reasons for delay condonation not furnished.
  4. if the appeal is already decided.
  5. If the appellate address is not  proper.

26

Under what provision the Disciplinary Authority transmits the appeal ?

As per Rule 24 of KCS (CC&A) Rules 1957,  the Disciplinary Authority has to transmit the appeal with connected records.

27

What are methods of service of Notice/Orders?

Notice/Orders are required to be served (Rule 28A)

  1. In person
  2. On refusal by affixing to his/her last known address.
  3. Affixing on notice Board where the official was last served.
  4. By publicity in  two daily news papers having wide publicity in the  state.