Kcs (CCA) RULES

[Classification, control & appeal rules]

By
Govindaiah.k
Assistant controller (Rtd)
State accounts department

1
1 GENERAL: -KCS(CCA) Rules 1957 framed under the
provisions of article 309 of constitution of India
- came into force with effect from 10-12-1957

2 APPLICATION :Rule (3)

- applicable to : a)
all govt. servants who are the members of
civil service of state working in govt.
departments b) other govt
servants temporarily transferred to a
post in any industrial undertaking
of the govt. C) Govt. servants on
deputation to GOI, Other state govt, local authority

2
2.APPLICATION :Rule(3)
- not applicable to:-
a) persons employed in any industrial
undertaking of govt where provisions of
Industrial Employment (standing orders)
Act 1946 are applicable
b) casual employers
c) persons subject to discharge from
service on less than one month’s notice
d) members of all India service
e) persons whose service matters
are covered by special provisions
under any law / any contract
f) local candidates, W.C.E,
3
stipendiary graduates
3. Penalties: Rule 8
i) Fine in case of Group ‘D’ only
ii) Censure
iii) With holding of increments
iii a)With holding of promotion
Minor iv) Recovery of loss from pay
penalties iv a) Reduction to a lower stage
in the time scale of pay for
specified period with specific
direction regarding increments

4
3. Penalties: Rule 8
v) Reduction to a lower time scale of pay,
affecting the promotion of the govt servant
with or without further directions
regarding a) Seniority & pay in the scale of pay
Major b) Conditions of restoration to the time
scale of pay
Penalties
vi) Compulsory retirement
vii) Removal from service
Major -penalties
not a for
disqualification for future employment
established charge of
viii) Dismissal from service – disqualification
corruption
for future employment

Corruption means,
• Criminal misconduct in discharge of official
duties as per sec 13 of P.O.C. Act.
• Taking gratification
• Obtaining valuable things vide sections
161 & 165 of I.P.C.
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4.Disciplinary authorities. Rule 9
-Governor :- full powers
-IGP :
- Assistant Director, serologist, physicist,
Toxicologist, Ballastic expert,
questioned documents expert
- 8(ii),(iii),(iv) & (iva)

- DVC:
- tahsildars & BDOs
- ii & iva
- DC : 6
4.Disciplinary authorities. Rule 9
-HOD: Scale 12800-16720 & above
- Group B
- Group A scale not more than 8000-13440
- ii, iii, iiia, iv, & iva
-HOD : scale less than 12800-16720
- Group B
- ii, iii, iiia, iv, iva
-HOO :
- Group C & D
penalties under Rule 8 v, vi, vii, viii by not lower than
appointing authority
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5. Authority to institute proceedings: A:
Officers in government department :
- governor
or
- any other authority empowered by him may order
to initiate disciplinary proceedings
OR
- governor or authority empowered by him may
direct the disciplinary authority to institute
disciplinary proceedings B:
Lent Officers : Rule 15 [ Borrowed officers rule 16]
- borrowing authority
- can place under suspension
- can institute proceeding with the prior
approval of the lending authority
- can impose penalties specified in clause
i to iva of Rule 8 in consultation with lending
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authority
5.Authority to institute proceedings:
in case of any difference of opinion
between borrowing & lending authority
services of the lent govt. servant should be
replaced at the disposal of lending authority
- cannot impose penalties specified
in clause v to viii of Rule 8
- services should be kept at the
disposal of lending authorities
- CEO in ZP have the power of
appointing authority
- can impose ii to iiia penalties for
Group ‘B’ officers on lent with out approval of
or consulting lending authority
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- penalties i to iva in respect of
6.Procedure for imposing penalties
- major penalties : Rule 11
- minor penalties : Rule 12
- before issuing orders imposing any of the penalties
specified in Rule 8 an enquiry is to be held
- no order can be issued without inquiry
- disciplinary authority if it feels that there are grounds for
enquiry into the truth of any imputations of misconduct
or misbehaviour against a govt. servant
- disciplinary authority may itself enquire into
or
- it may appoint an enquiry authority (enquiry
officer) to enquire into the truth Rule11(2)
- it may also appoint the ‘presenting
officer ‘ to present the case on its behalf & to defend
the case in support of the articles of charge 10
6. Procedure for imposing penalties - investigation
- before ordering for enquiry the disciplinary
authority(D.A) has to conduct investigation to find
out whether there exists a prima facie case or not or whether
sufficient material exist to proceed further with enquiry or no
This is nothing but
finding facts.
Following facts are to be find out in investigation.
- gravity of misconduct and circumstances under
which misconduct has been committed
- nature of default & judging quantum of
default - identifying defaulters
- collecting prosecution
evidence - bringing relevan
documents on record which are required for
departmental enquiry.
- collection of original documents or at least their certified
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Following facts are to be find out in investigation.

- Thorough verification of confession statements by

concerned government servants and witnesses.
- verification of audit reports / inspection reports with
reference to originals.
- verifying job chart, functional chart, the role of Accused
Government Servant (A.G.S) with connected rules and
regulations.
- verification as to bias in decision making, collusion,
negligence, lack of supervision, act or omission leading to
misconduct

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Following facts are to be find out in investigation.
- collecting all the details in definite terms of time,
date, place, name, documents, amount if any,
quality, quantity etc

- collections of ‘Hearsay’ evidence with supporting

details within the range of believable limits by a
reasonable person
- pointing out the ‘modus operandi’ adopted by the
A.G.S to commit fraud, loss etc.,

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Following facts are to be find out in investigation.
- Judicial verification of the sources of information regarding the
misconduct, usual sources being
1. inspection reports
2. audit repotrs
3. Stores verification reports
4. complaints from public
5. reports from police
6. Reports from anti corruption departments
7. complaints from other government servants
8. complaints from family members of the A.G.S
9. from courts & enquiry commissions
10.Anonymous letters
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11. from any other sources
Benefits of investigation
- charges can be framed more accurately with
definiteness and distinctness by which allegations
are clearly understood by A.G.S
- D.A. can take decision as to whether he himself
has to function as Inquiring Authority or to appoint
some one else
- disciplinary authority can decide as to who should
not be the inquiring authority [I.A.]
- D.A. can decide as to who should not be the
presenting officer
- It helps the D.A to decide who shall be the
witnesses and who shall not be the witnesses 15
Benefits of investigation
- decision as to whether opt for departmental enquiry [D.E]
or for judicial proceedings by the D.A. can be made
- It helps the D.A. to have vision regarding the time
factor to complete D.E.,keeping in mind the
retirement
date of A.G.S.
- Investigation reveals whether actually the D.E is
required or not.
- If the investigation has not been done or not done
properly in all probability the articles of
charges (charge memo) will
be defective and thus results in - a) technical 16
errors
Departmental Enquiry:
- to start an enquiry the D.A. has to draw up
(prepare) or cause to be drawn up / to frame
charges against A.G.S
- charges / charge memo / articles of charge /
imputations of misconduct or misbehaviors are
to be prepare in 4 Annexure.

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I. Substance of the imputations of
misconduct or misbehaviors into definite
& distinct article of charges
II. Statement of the imputations of
misconduct in support of each article of
charge
III.List of documents supporting relevant
facts for each article
IV.List of witnesses for each article
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Annexure -1: contains
- name of the A.G.S with present designation
- misconduct that A.G.S has committed in definite &
specific terms- article wise
- each article of charge should be sharpened and
pinpointed
- name & address of the office, place, where he had
committed misconduct and what was his designation at
that time
- the duration in which he had committed misconduct
- reference to K.C.S.R. (conduct rules) if any or at least
specific sub-rule under rule-3
- signature of the D.A at the end of last article of charge
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Annexure-II : contains
(statement of allegations for each article of
charge corresponding to Annexure 1)
- name and designation of A.G.S
- the office in which he had committed misconduct
- specification duration i.e., “From” & “To” in
which the A.G.S had committed misconduct
- the facts and circumstances of misconduct
- Modus operandi that A.G.S. had adopted for
committing misconduct
- admission and confessions if any made by
A.G.S 20
Annexure-II : contains
-kind of omission or commission or negligence
resulted in misconduct

- reference to violation of rules, procedures,

instructions, circulars, G.Os and court orders etc

- the loss caused in definite terms, if any

- the extent to which public interest is suffered

- linkage to K.C.S.R(conduct rules) if any as

mentioned in Annexure-I
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- signature of D.A at the end
Annexure III : contains-
(list of documents should be listed carefully &
properly)
- document number, page number, month, year,
office etc should be mentioned
- there should be no ambiguity regarding
identification of the documents
- the connected Acts, Rules, G.Os etc should also
be cited
- the audit reports, inspection reports can be cited
supported with other evidences
- the anonymous or pseudonymous complaints 22
should not be cited
Annexure III : contains-
-statement of witnesses & list of govt. servants
may also be cited
- the statements recorded in court on corruption
charges cannot be cited
- signature of the D.A at the end

23
Annexure IV: contains-
- list of witnesses, if any, should be cited
- complainants
- persons who have seen the incident
- technical experts
- signature of D.A at the end

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- Charge memo should not be vague or general or
mix up
- charge memo should depict, what misconduct he had
done, how he had done, where he had done & when
he had done
- it must be sharpened & pinpointed
- charges must be definite & distinct
- every word in charge memo matters very much
- application of mind is very essential while framing
charges
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Procedure to be followed while enquiring into
the charges
communication of a copy of articles of charges

no penalty to be imposed unless an enquiry is held

Enquiry procedure as per rules 11(2) to 23 of CCA rules

DA to decide whether DE is required or not

- Whether DA itself holds the enquiry

or
- to appoint enquiry authority

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Procedure to be followed while enquiring into
the charges
DA to deliver to the AGS a copy of articles of charges
alone with covering letter (notice) with the instructions

To submit his defense report with in such time as may be

specified

To state whether he desires to be heard in person

This is the starting point of commencement of proceedings

Actual service of notice must be provided & established

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Procedure to be followed while enquiring into
the charges
Single effort to serve charge sheet is not sufficient

As far as possible it should be served in person

If he evades to receive the charge memo the fact of the

same should be received in the copy by the person who
had made effort to serve

Communication through news papers

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Reply by government servant to the
charges (written statement of defense)
The concerned govt. servant has to submit within
stipulated time, a written statement of defense

The Ago may ask for documents for enabling him to reply

He may be permitted to inspect the documents

He may ask for extension of time limit to give reply &

may be considered

AGO should be given an effective opportunity of hearing,

following the principles of natural justice 29
In the reply-
a) if the charges are admitted by the AGO in his written
statement (reply) DA may proceed further under rule
11A to take action to impose penalty

b) If the charges are not admitted the DA may proceed

under Rule 11

c) If the DA is convinced about the explanation of

defense by AGO, he may accept the same & drop
further proceedings & decision be communicated to
AGO

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Appointment of enquiring authority
( enquiring officer )

If no reply is received from AGO within stipulated time

Or
If the articles of charge are not admitted by the govt.
Servant

The DA may appoint enquiry authority under rule 11(2) or it

may itself enquire

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Following points are to be looked into before
appointment of enquiry authority
1) The status of IA to be equal to or higher than the charge
sheeted official

2) The present immediate official supervisor of charge

sheeted official not to be appointed as IA

3) The officer who is totally unconnected with the case may

be appointed as IA

4) The officer who was involved in the process of

a) Investigation
b) As complainant
c) As witness
d) As an auditor 32
e) As an inspecting authority
Following points are to be looked into before appointment
of enquiry authority

5) IA shall not have any earlier frictional relationship with

charge sheeted official

6) Status of IA should be higher than the presenting officer

7) IA should be appointed only after reply is furnished by

AGO to articles of charge

8) Appointment of IA alone with issuing of charge memo

vitiates further proceedings

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Following points are to be looked into before appointment
of enquiry authority

9) IA to be appointed by name & designation

10) It is advisable to appoint an officer as IA who is working

in HQs of charge sheeted officials

11) Only regular govt. servants, IAS officers, retired officers,

retired judges may be appointed as IA

12) The copy of an order of appointment of IA to be sent to

charge sheeted official
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Appointment of presenting officer

DA may by order appoint “ presenting officer “

under Rule 11(5)(c) to present the case on its behalf

Witness cannot be a presenting officer

Presenting officer to be appointed by name & designation

Government servant as presenting officer in exceptional

cases depending upon the complexity of facts &
complexity in applicant of law DA may appoint a legal
expert from department as PO

Officer lower in rank to that of IA may be appointed as

PO 35
Engagement of defense counsel by AGO

 Under rule 11(8) the AGO may take the assistance of any
other got. Servant or retired govt. servant to present
the case on his behalf

 He should not be a legal practitioner unless the presenting

officer appointed by DA is a legal practitioner

 Delinquent group ‘D’ employees should be informed of this

provision by the IA

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Duties of DA
 Immediately after the appoint of IA & PO they should
be informed
 DA should forward the following document to the IA
a) a copy of articles of charge withal
Annexures & its covering letter
b) proof regarding communication of charge memo to
AGO
c) Copy of written statement of evidence if any
submitted by the govt. servant
d) copy of the statement of witnesses listed in
Annexure 111
e) Copy of the order appointing the presenting
officer
f) Copies of documents to be sent to IA
g) Original documents to be given to presenting
officer before IA 37
Before commencement of actual
enquiry
First notice to be issued by IA to AGO to appear before
him on a fixed date ,time, & place

Preliminary hearing

To enable charge sheeted official to have sufficient

informal to defend his case

To signal the presenting officer to commence the case

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Before commencement of actual enquiry

Before commencement IA should be ready with the

following

 Opening of new file with number

 Copies of documents given by the DA
 Daily order sheet
 Case sheet

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Daily order sheet
1) Inquiry proceedings number & current date

2) Name & designation of IA

3) Order No. & date of DA

4) Name & designation & address of charge sheeted official

5) Time & place

6) list of persons who are present

7) List of persons who are absent

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Daily order sheet
9) Every order made shall be signed by IA

10) Signatures of the presenting officer, AGO, defense

counsel, witnesses

11) The business transacted on each day of hearing

12) Requests made by parties & their disposal with written

orders

13) Documents asked by AGO & given to him

14) The names of defense witnesses the charge sheeted

official wants to produce 41
Daily order sheet
16) Warning made if any

17) Documents allowed for inspection by AGO

18) Orders to issue notice to such persons

19) Refusal or non response by the authorities to give the

document

20) Orders, on permission to produce new evidence etc.

21) Objections by the parties & orders thereon by IA

22) The description of documents produced by both the

parties taken on records by marking it as exhibits 42
Case sheet to contain
1) File No. & date
2) Who is questioning whom
3) Questions to be received in narrative from
4) Questions & answers as it is on certain points
5) Documentation No. & page No. marked as exhibits
6) Signature of persons who put questions on each page
7) Signature of persons who made answers on each page
8) Para Nos. to be recorded
9) IA should read the recorded questions & answers made by
the witnesses. Verbal mistakes to be corrected the facts of
disputes should be recorded in the presence of govt.
servant with his objections if any & signatures
10) Signature of charge sheeted official & defense counsel if
any on each page
11) Signature of IA
12) Copy of case sheet to be given to charge sheeted officer
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& presenting officer
Commencement of actual enquiry by IA
To be questioned the charge sheeted official by IA

a) As to identify the charge sheeted official

b) As to the receipt of charge memo served by IA

c) If the charge memo returned undelivered to DA, the IA

should read the charges explain to him

d) Whether he should like to submit any statement now,

admitting or denying the charge

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Commencement of actual enquiry by IA
To be questioned the charge sheeted official by IA

e) If he makes any oral statement the same may be

recorded & take his signature

f) Delinquent official should specially say whether he

would admit the charges or challenge them.

g) If he admits them it should be without any

condition or doubt or ambiguity

Then itself it should be recorded in the case sheet &

45
obtain his signature
 Once the delinquent admits a charge in writing that is
final. His subsequent requests for examination of witnesses
may be turned down by IA

at the outset of the enquiry written statement needs to

be carefully examined by the presenting officer specially
as to the admission of the charges & should draw attention
of IA
no further enquiry in this regard & IA to prepare
findings report to forward to DA

46
 regarding charges not admitted by AGO following
questions may be asked to him

a) Whether he wants to inspect the documents

listed in Annexure III
b) If often documents are required he may give
it in writing with details with in 5 days
c) If he is engaging the service of other govt.
servant / retired govt. servant defense
counsel to furnish his – name
-
address
- designation
- department
-
head quarter 47 -

his consent to act as a

regarding charges not admitted by AGO following questions
may be asked to him
d) To furnish the list of witnesses appearing on behalf of
him to defend his case
e) Answers to these questions are to be recorded in case
sheet in the narrative form

Any mistakes to be corrected

Signature of the charge sheeted official to be taken on
each page
The case of relevant document shall be given to the govt.
servant on request – on payment of fees
( OM No. DPAR 40. AAR 80 dt 16.6.81 & GO No. DPAR 44 AAR 88 dt 17.7.90)

If not possible to give copies – the access to records for

inspection must be ensured
Bias petition against IA is to be considered after 48

verification by DA
II nd & subsequent hearings
 IA shall ask the presenting officer to produce oral &
documentary evidence in support of charges
 PO may rely on documentary evidence
or
by examination of charge witnesses
 AGO to furnish list of witnesses if any appearing in his
favors with details / other evidences if any
 Failure to utilize the opportunity by AGO once during
enquire, he cannot complain subsequently

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Examination of witnesses by PO
 PO shall ask questions only to elicit information required
 Leading questions are not permissible
( questions containing clue or suggested answers or
choice of answers which makes the witnesses to say
only “yes” or “no” )
 it is the responsibility of PO to produce charge sheet
witnesses
 examination of charge witnesses by PO to be done in
presence of charge sheeted officer/ defense counsel

50
Cross examination of charge witnesses
after charge witnesses are examined by PO they
may be cross examined by charge sheeted official or
by his defense counsel

51
Re-examination & re-cross examination
 after cross examination by AGO – PO to re-examination
focussing his questions on the new points raised during
cross examination
 after re-examination by PO re-cross examination can be
done by charge sheeted official / defense counsel

Questions by IA
 IA can also question any person associated with the case
 but IA shall not step into shoes of PO

52
Corrections in case sheet & recording
procedure
 attestations, signatures
 statements recorded should be read & govt signatures
 witnesses statements recorded in language not known to
him – to be explained to him in his language &
certified to that effect

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Documents to be maintained as exhibits
PO may produce documents listed in Annexure III,
explaining their contents with analysis – to be recorded
in case sheets

records produced to be marked as “Exhibits“

54
New evidence
 normally PO has to confine to the evidence listed in
Annexure III & IV
 but new evidence on the requests of the PO before
closing the case on behalf of DA if found necessary
IA may allow PO to produce new evidence
 not permissible just to fill up any gap in the evidence
 but permissible only if there is an inherent lacuna or
defect in the evidence produced originally

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