Section 15 in Kerala Civil Services (Classification, Control & Appeal) Rules, 1960
15. Procedure for imposing major penalties.
(1)Without prejudice to the provisions of the Public Servants (Inquiry) Act, 1850 (Central Act XXXVII of 1850), and the Public Servants (Inquiries) Act, 1122 (Act X1 of 1122), no order imposing on a Government servant any of the penalties specified in items (v) to (ix) of rule 11 (1) shall be passed except after an inquiry held as far as may be, in the manner hereinafter provided.(2)(a)Whenever a complaint is received, or on consideration of the report of an investigation, or for other reasons, the disciplinary authority of the appointing authority or any other authority empowered by Government in this behalf is satisfied that there is a prima facie case for taking action against a Government servant, such authority shall frame definite charge or charges which shall be communicated to the Government servant together with a statement of the allegations on which each charge is based and of any other circumstances which it is proposed to take into consideration in passing orders on the case. The accused Government servants shall be required to submit within a reasonable time to be specified in that behalf a written statement of his defence and also to state whether he desires to be heard in person. The Government servant may on his request be permitted to peruse or take extracts from the records pertaining to the case for the purpose of preparing his written statement; provided that the disciplinary or other authority referred to above may, for reasons to be recorded in writing, refuse him such access, if in its opinion such records are not strictly relevant to the case or it is not desirable in the public interest to allow such access. After the written statement is received or if no such statement is received within the time allowed, the authority referred to above may, if it is satisfied that a formal enquiry should be held into the conduct of the Government servant, forward the record of the case to the authority or officer referred to in clause (b) and order that a formal enquiry may be conducted.(b)The formal enquiry may be conducted by,-(i)the Government;(ii)the appointing authority;(iii)the disciplinary authority;(iv)the Head of the Department or any Officer of the Department empowered by the appointing authority or the Head of the Department; or(v)a special officer or tribunal appointed by the Government for the purpose or a tribunal generally appointed for making inquiries into the conduct of Government servants:Provided that the formal enquiry in respect of a member of the Kerala Civil Judicial Service or the Kerala Criminal Judicial Service or a District Judge shall be conducted by the High Court or any other authority appointed by the High Court in this behalf."Provided further that the Complaints committee constituted in each Department/Office/Institution for inquiring into complaints of sexual harassment falling within the ambit of rule 93F of Kerala Government Servants Conduct Rules, 1960 shall be deemed to be the inquiring authority appointed by the disciplinary authority for the purpose of the enquiry and the Committed shall hold, on receipt of such a complaint, the enquiry, as far as practicable, in accordance with the procedures laid down in these rules unless separate procedure has been prescribed for the Committee for holding such enquiry."Explanation. - In this sub-rule the expression "the Disciplinary Authority" shall include the authority competent under these rules to impose upon the Government servant any of the penalties specified in items (i) to (iv) of rule 11 (1).(3)The authority or officer conducting the enquiry (hereinafter referred to as the Inquiring Authority) may, during the course of the enquiry, if it deems necessary, add, amend, alter or modify the charges framed against the accused Government servant, in which case the accused shall be required to submit within a reasonable time to be specified in that behalf any further written statement of his defence.(4)The Government servant shall, for the purpose of preparing his defence, be permitted to inspect and take extracts from such official records as he may specify, provided that such permission may be refused if, for reasons to be recorded in writing, in the opinion of the Inquiring Authority, such records are not relevant for the purpose or it is against the public interest to allow him access thereto.(5)On receipt of the further written statement of defence under sub-rule (3) or if no such statement is received within the time specified therefor or in cases where the accused is not required to file a written statement under the said subrule, the Inquiring Authority may inquire into such of the charges as are not admitted.(6)The Disciplinary Authority if it is not the Inquiring Authority may nominate any person to present the case in support of the charges before the Inquiring Authority. The Government servant may present his case with the assistance of any other Government servant or a Government servant retired from the services under the Kerala State Government who is not a legal practitioner, approved by the Inquiring Authority, but may not engage a legal practitioner for the purpose unless the person nominated by the Disciplinary Authority as aforesaid is a legal practitioner or unless the Inquiring Authority having regard to the circumstances of the case, so permits.(7)The Inquiring Authority shall, in the course of the Inquiry, consider such documentary evidence and take such oral evidence as may be relevant or material in regard to the charges. The Government servant shall be entitled to crossexamine witnesses examined in support of the charges and to give evidence in person and to have such witnesses, as may be produced, examined in his defence. The person presenting the case in support of the charges shall be entitled to cross-examine the Government servant and the witnesses examined in his defence. If the Inquiring Authority declines to examine any witnesses on the ground that his evidence is not relevant or material it shall record its reasons in writing.Note.- If the Inquiring Authority proposes to rely on the oral evidence of any witness, the authority should examine such witness and give an opportunity to the accused Government servant to cross- examine the witness.(8)The Government servant may present to the Inquiring Authority a list of witnesses whom he desires to examine in his defence. The Inquiring Authority will normally request such witnesses to appear before him to give evidence and where the witness to be examined is a Government servant, the Inquiring Authority will normally try to secure the presence of the witness, unless he is of the view that the witness's evidence is irrelevant or not material to the case under inquiry. Where the witness proposed to be examined by the Government servant is a non-official, the Inquiring Authority will be under no obligation to summon and examine him unless the Government servant himself produces him for examination.(9)At the conclusion of the Inquiry, the Inquiring Authority shall prepare a report of the inquiry, recording its findings on each of the charges together with reasons therefor. If in the opinion of such authority the proceedings of the inquiry establish charges different from those originally framed, it may record findings on such charges provided that findings on such charges shall not be recorded unless the Government servant has admitted the facts constituting them or has had an opportunity of defending himself against them.(10)The record of inquiry shall include,-(i)the charges framed against the Government servant and the statement of allegations furnished to him under sub-rule (3);(ii)his written statement of defence, if any ;(iii)the oral evidence taken in the course of the inquiry;(iv)the documentary evidence considered in the course of the inquiry;(v)the orders, if any, made by the Disciplinary Authority and the Inquiring Authority in regard to the inquiry; and(vi)a report setting out the findings on each charge and the reasons therefor.(11)The Disciplinary Authority, where it is not the Government, shall, if it is not the Inquiring Authority, consider the record of the inquiry and record its findings on each charge. Where the Disciplinary Authority is Government, it shall consider the records of the inquiry and where it is considered necessary to depart from the findings of the Inquiring Authority, record its provisional findings on each charge with reasons thereof.(12)(i)If the Disciplinary Authority, having regard to the findings on the charges, is of the opinion that any of the penalties specified in items (v) to (ix) of rule 11 (1) should be imposed, it shall,-(a)furnish to the Government servant a copy of the report of the Inquiring Authority and where the Disciplinary Authority is not the Inquiring Authority, a statement of its findings together with brief reasons for disagreement, if any, with the findings of the Inquiring Authority; and(b)give him a notice stating the action proposed to be taken in regard to him and calling upon him to submit within a specified time which may not generally exceed one month such representation as he may wish to make against the proposed action:Provided that such representation shall be based only on the evidence adduced during the inquiry.(ii)(a)In every case in which it is necessary to consult the Commission, the record of the inquiry together with a copy of the notice given under clause (i) and the representation made in response to such notice, if any, shall be forwarded by the Disciplinary Authority to the Commission for its advice.(b)On receipt of the advice of the Commission, the Disciplinary Authority shall consider the representation, if any, made by the Government servant as aforesaid, and the advice given by the Commission and determine what penalty, if any, should be imposed on the Government servant and pass appropriate orders on the case.(iii)In any case in which it is not necessary to consult the Commission, the Disciplinary Authority shall consider the representation, if any, made by the Government servant in response to the notice under clause (i) and determine what penalty, if any, should be imposed on the Government servant and pass appropriate orders on the case.(13)If the Disciplinary Authority having regard to its findings is of the opinion that any of the penalties specified in items (i) to (iv) of rule 11 (1) should be imposed, it shall pass appropriate orders in the case:Provided that in every case in which it is necessary to consult the Commission, the record of the enquiry shall be forwarded by the Disciplinary Authority to the Commission for its advice and such advice taken into consideration before passing the orders.(14)Orders passed by the Disciplinary Authority shall be communicated to the Government servant who shall also be supplied with a copy of the report of the Inquiring Authority, and where the Disciplinary Authority is not the Inquiring Authority, a statement of its findings together with brief reasons for disagreement, if any, with the findings of the Inquiring Authority, unless they have already been supplied to him and also a copy of the advice, if any, given by the Commission and where the Disciplinary Authority has not accepted the advice of the Commission, a brief statement of the reasons for such non-acceptance.(15)The procedure referred to above shall be conducted as expeditiously as the circumstances of the case may permit, particularly one against an officer under suspension.
