This is Set 11 of 40 in the smartvidya question bank on the Central Civil Services (Classification, Control and Appeal) Rules, 1965, with the latest amendments and DoPT instructions. Part III: Penalties and disciplinary authorities. This set covers Explanation to Rule 11; proviso on illegal gratification (removal/dismissal); FR 56(j) etc..
Try each question first, then tap Show answer to see the correct option, a short explanation and the section or rule reference. The questions are useful for departmental and promotion examinations, for disciplinary authorities, inquiring and presenting officers, and vigilance staff.
Set 11: Penalties III: What Is Not a Penalty
1. Under the Explanation to Rule 11 of the CCS (CCA) Rules, which of the following does NOT amount to a penalty?
(a) Withholding of increments ordered after Rule 16 proceedings for misconduct
(b) Reduction to a lower stage in the time-scale of pay for a specified period
(c) Withholding of increments for failure to pass a departmental examination required by the service rules
(d) Recovery from pay of a pecuniary loss caused to Government by negligence
Ans. (c) Withholding of increments for failure to pass a departmental examination required by the service rules — Explanation: The Explanation to Rule 11 expressly excludes withholding of increments for failure to pass a departmental examination in accordance with the rules or terms of appointment. The other three are penalties listed in Rule 11 itself. [Ref: Rule 11, Explanation (i)]
2. Stoppage of a Government servant at the efficiency bar on the ground of his unfitness to cross it is treated under Rule 11 as:
(a) A major penalty requiring an inquiry under Rule 14
(b) The minor penalty of withholding of increments
(c) A penalty only if it is ordered with cumulative effect
(d) Not a penalty, being listed in the Explanation to Rule 11
Ans. (d) Not a penalty, being listed in the Explanation to Rule 11 — Explanation: Clause (ii) of the Explanation to Rule 11 provides that stoppage at the efficiency bar on the ground of unfitness to cross the bar shall not amount to a penalty. [Ref: Rule 11, Explanation (ii)]
3. A Group B officer who is eligible for promotion is considered by the DPC and is not found fit. Under Rule 11, his non-promotion is:
(a) The minor penalty of withholding of promotion under Rule 11(ii)
(b) Not a penalty, since non-promotion after consideration of his case is covered by the Explanation
(c) A major penalty, because it affects his future pay and pension
(d) A penalty only if a junior officer is promoted over him
Ans. (b) Not a penalty, since non-promotion after consideration of his case is covered by the Explanation — Explanation: Non-promotion, whether substantive or officiating, of a Government servant after consideration of his case for a post for which he is eligible does not amount to a penalty. [Ref: Rule 11, Explanation (iii)]
4. What essentially distinguishes the minor penalty of "withholding of promotion" from a non-promotion that is not a penalty?
(a) Non-promotion always requires consultation with the UPSC, whereas the penalty never does
(b) The penalty can be imposed only when no vacancy exists in the promotion grade
(c) The penalty is imposed by a disciplinary order for misconduct, whereas non-promotion results from an assessment of suitability
(d) The penalty can be imposed only on Group A officers, whereas non-promotion applies to all groups
Ans. (c) The penalty is imposed by a disciplinary order for misconduct, whereas non-promotion results from an assessment of suitability — Explanation: Withholding of promotion under Rule 11(ii) is a penalty imposed after following the disciplinary procedure; non-promotion after consideration by the competent body is excluded from the meaning of penalty by the Explanation. [Ref: Rule 11(ii) and Explanation (iii)]
5. An official officiating in a higher post is reverted to his substantive lower post because the regular incumbent has returned from long leave. This reversion is:
(a) Not a penalty, being a reversion on administrative grounds unconnected with his conduct
(b) The major penalty of reduction to a lower post under Rule 11(vi)
(c) A penalty unless the official consents to it in writing
(d) A minor penalty that requires the Rule 16 procedure
Ans. (a) Not a penalty, being a reversion on administrative grounds unconnected with his conduct — Explanation: Reversion of an officiating Government servant to a lower post on administrative grounds unconnected with his conduct, or because he is found unsuitable after trial, does not amount to a penalty. [Ref: Rule 11, Explanation (iv)]
6. Reversion of a Government servant appointed on probation to another post, back to his permanent post during or at the end of the probation in accordance with the terms of appointment, is:
(a) A penalty requiring prior consultation with the UPSC
(b) A minor penalty if ordered during the probation period
(c) Not a penalty under the Explanation to Rule 11
(d) A major penalty of reduction to a lower post
Ans. (c) Not a penalty under the Explanation to Rule 11 — Explanation: The Explanation to Rule 11 excludes reversion of a probationer to his permanent service, grade or post in accordance with the terms of his appointment or the rules governing probation. [Ref: Rule 11, Explanation (v)]
7. An officer whose services were borrowed from a State Government is returned to the State Government that lent him. Under Rule 11, this replacement of services is:
(a) Not a penalty, as it is expressly excluded by the Explanation
(b) A penalty only if the officer had completed his deputation tenure
(c) A minor penalty requiring a written intimation under Rule 16
(d) A major penalty equivalent to removal from Central service
Ans. (a) Not a penalty, as it is expressly excluded by the Explanation — Explanation: Replacement of the services of a Government servant borrowed from a State Government or an authority under its control at the disposal of the lending authority does not amount to a penalty. [Ref: Rule 11, Explanation (vi)]
8. Which of the following kinds of compulsory retirement is NOT a penalty?
(a) Compulsory retirement ordered by the appellate authority on enhancing a penalty
(b) Compulsory retirement in accordance with the provisions relating to superannuation or retirement
(c) Compulsory retirement imposed by the President after Rule 19 special procedure
(d) Compulsory retirement imposed after an inquiry under Rule 14
Ans. (b) Compulsory retirement in accordance with the provisions relating to superannuation or retirement — Explanation: Clause (vii) of the Explanation to Rule 11 excludes compulsory retirement in accordance with the provisions relating to superannuation or retirement, such as FR 56(j). Compulsory retirement imposed as a disciplinary measure is the major penalty in Rule 11(vii). [Ref: Rule 11(vii) and Explanation (vii)]
9. Termination of the services of a probationer during or at the end of the period of probation, in accordance with the terms of appointment, is:
(a) A penalty unless one month's notice is given
(b) The major penalty of removal from service
(c) The major penalty of dismissal from service
(d) Not a penalty under the Explanation to Rule 11
Ans. (d) Not a penalty under the Explanation to Rule 11 — Explanation: Termination of services of a Government servant appointed on probation, in accordance with the terms of his appointment or the rules and orders governing probation, is excluded from the meaning of penalty. [Ref: Rule 11, Explanation (viii)]
10. Termination of the services of a temporary Government servant in accordance with sub-rule (1) of Rule 5 of the CCS (Temporary Service) Rules, 1965 is:
(a) The major penalty of removal requiring a Rule 14 inquiry
(b) A minor penalty requiring the Rule 16 procedure
(c) Not a penalty under the Explanation to Rule 11
(d) Valid only with the prior approval of the UPSC
Ans. (c) Not a penalty under the Explanation to Rule 11 — Explanation: The Explanation to Rule 11 excludes termination of services of a temporary Government servant in accordance with Rule 5(1) of the Temporary Service Rules, which is a termination simpliciter by notice. [Ref: Rule 11, Explanation (viii)]
11. The services of a person employed under an agreement are terminated in accordance with the terms of that agreement. Under Rule 11, this is:
(a) Compulsory retirement in public interest
(b) Dismissal, as no notice period is relevant
(c) Removal, since it is not a disqualification for future employment
(d) Not a penalty, being covered by the Explanation
Ans. (d) Not a penalty, being covered by the Explanation — Explanation: Termination of services of a Government servant employed under an agreement, in accordance with the terms of the agreement, does not amount to a penalty. [Ref: Rule 11, Explanation (viii)]
12. Which item was added to the Explanation to Rule 11 in connection with complaints of sexual harassment at the workplace?
(a) Compensation awarded on the recommendation of the Complaints Committee
(b) Transfer of the aggrieved woman to another office
(c) Grant of special leave to the respondent officer
(d) Suspension of the respondent pending the Committee's inquiry
Ans. (a) Compensation awarded on the recommendation of the Complaints Committee — Explanation: Clause (ix) of the Explanation to Rule 11 covers compensation awarded on the recommendation of the Complaints Committee in sexual harassment cases, so such an award is not a penalty. [Ref: Rule 11, Explanation (ix)]
13. Where a charge of acceptance of gratification, other than legal remuneration, as a motive or reward for doing or forbearing to do an official act is established, the proviso to Rule 11 requires the penalty of:
(a) Any major penalty at the discretion of the disciplinary authority
(b) Dismissal only, with no exception whatsoever
(c) Compulsory retirement or removal from service
(d) Removal or dismissal from service
Ans. (d) Removal or dismissal from service — Explanation: The proviso to Rule 11 mandates the penalty in clause (viii) or (ix), that is removal or dismissal, in every case where such a charge is established, subject to the further proviso for exceptional cases. [Ref: Rule 11, first proviso]
14. Besides acceptance of illegal gratification, the proviso to Rule 11 requiring removal or dismissal applies where which charge is established?
(a) Unauthorised engagement in private trade or business
(b) Possession of assets disproportionate to known sources of income
(c) Unauthorised absence from duty for more than one year
(d) Conviction for a minor traffic offence
Ans. (b) Possession of assets disproportionate to known sources of income — Explanation: The proviso covers two charges: possession of assets disproportionate to known sources of income and acceptance of illegal gratification for an official act. [Ref: Rule 11, first proviso]
15. In a case where a charge of disproportionate assets is established, when may the disciplinary authority impose a penalty other than removal or dismissal?
(a) Whenever the amount involved is below a limit fixed by the CVC
(b) Never, since the proviso admits no exception
(c) Whenever the Government servant has more than twenty years of service
(d) In an exceptional case, for special reasons recorded in writing
Ans. (d) In an exceptional case, for special reasons recorded in writing — Explanation: The second proviso to Rule 11 permits any other penalty to be imposed in any exceptional case and for special reasons recorded in writing. [Ref: Rule 11, second proviso]
16. Which of the following IS a penalty under Rule 11, unlike the other three?
(a) Withholding of promotion ordered after disciplinary proceedings
(b) Reversion of an officiating official found unsuitable after trial
(c) Non-promotion after consideration by the DPC
(d) Stoppage at the efficiency bar for unfitness to cross it
Ans. (a) Withholding of promotion ordered after disciplinary proceedings — Explanation: Withholding of promotion is the minor penalty in Rule 11(ii). The other three are expressly excluded by the Explanation to that rule. [Ref: Rule 11(ii) and Explanation]
17. Suspension of a Government servant pending a disciplinary inquiry is best described as:
(a) A major penalty, because it reduces the pay to subsistence allowance
(b) An interim measure under Rule 10 that is not one of the penalties listed in Rule 11
(c) A minor penalty listed between censure and withholding of promotion
(d) A penalty only when it continues beyond ninety days
Ans. (b) An interim measure under Rule 10 that is not one of the penalties listed in Rule 11 — Explanation: Rule 11 lists nine penalties and suspension is not among them. Suspension under Rule 10 is an interim step pending inquiry or trial, not a punishment. [Ref: Rules 10 and 11]
18. An officer is given a written warning by his superior without any disciplinary proceedings being initiated. Under the Rules, such a warning:
(a) Can be given only after an inquiry under Rule 14
(b) Is not one of the penalties listed in Rule 11
(c) Is the same as the minor penalty of withholding of promotion
(d) Is a major penalty if a copy is kept on his personal file
Ans. (b) Is not one of the penalties listed in Rule 11 — Explanation: Warnings, advisories and expressions of displeasure are administrative measures and do not figure among the penalties listed in Rule 11 of the Rules. [Ref: Rule 11]
19. Compulsory retirement under FR 56(j) differs from the penalty of compulsory retirement under Rule 11(vii) mainly because FR 56(j) retirement:
(a) Requires a full inquiry under Rule 14 before the order
(b) Is made in public interest under the retirement provisions and is not a disciplinary penalty
(c) Always results in forfeiture of pension and gratuity
(d) Can be ordered only on the advice of the UPSC after an inquiry
Ans. (b) Is made in public interest under the retirement provisions and is not a disciplinary penalty — Explanation: FR 56(j) is a retirement provision exercised in public interest, which the Explanation to Rule 11 treats as not a penalty. Rule 11(vii) compulsory retirement is a major penalty imposed after the disciplinary procedure. [Ref: Rule 11, Explanation (vii); FR 56(j)]
20. Under FR 56(j), the appropriate authority retiring a Government servant in public interest must give him:
(a) At least one month's notice in writing, or one month's pay in lieu
(b) No notice, since the retirement is in public interest
(c) At least three months' notice in writing, or three months' pay and allowances in lieu
(d) At least six months' notice in writing, without any option of pay in lieu
Ans. (c) At least three months' notice in writing, or three months' pay and allowances in lieu — Explanation: FR 56(j) requires not less than three months' notice in writing or three months' pay and allowances in lieu of such notice. [Ref: FR 56(j)]
21. Under FR 56(j), a Group A officer who entered Government service before attaining the age of 35 years may be retired in public interest after he attains the age of:
(a) 50 years
(b) 55 years
(c) 45 years
(d) 58 years
Ans. (a) 50 years — Explanation: For Group A and B officers who entered service before the age of 35, the power under FR 56(j) arises on attaining 50 years; in other cases it arises on attaining 55 years. [Ref: FR 56(j)]
22. An official officiating in a higher post is reverted, the order itself stating that it is because of his alleged misbehaviour, without any disciplinary proceedings. Such a reversion:
(a) Is valid provided his pay in the higher post is protected
(b) Is valid if ordered within one year of the officiating appointment
(c) Is penal in nature and cannot be ordered without following the disciplinary procedure
(d) Is protected by the Explanation and needs no procedure at all
Ans. (c) Is penal in nature and cannot be ordered without following the disciplinary procedure — Explanation: The Explanation protects reversion only on grounds of unsuitability after trial or administrative grounds unconnected with conduct. A reversion founded on misconduct is a punishment and attracts Rule 11 procedure and Article 311 safeguards. [Ref: Rule 11, Explanation (iv)]
23. Consider the following statements: (i) Termination of a probationer in accordance with the terms of his appointment is not a penalty. (ii) Removal from service is not a penalty, because it is not a disqualification for future employment. Which is/are correct?
(a) Only (i)
(b) Only (ii)
(c) Both (i) and (ii)
(d) Neither (i) nor (ii)
Ans. (a) Only (i) — Explanation: Termination of a probationer under the terms of appointment is excluded by the Explanation to Rule 11, while removal is a major penalty under Rule 11(viii), even though it does not disqualify the person from future employment. [Ref: Rule 11(viii) and Explanation (viii)]
24. Assertion (A): Stoppage of a Government servant at the efficiency bar on the ground of unfitness does not amount to a penalty. Reason (R): The Explanation to Rule 11 lists it among the actions that shall not amount to a penalty.
(a) Both A and R are true and R is the correct explanation of A
(b) Both A and R are true but R is not the correct explanation of A
(c) A is true but R is false
(d) A is false but R is true
Ans. (a) Both A and R are true and R is the correct explanation of A — Explanation: Clause (ii) of the Explanation to Rule 11 is the very provision that makes such stoppage a non-penalty, so R correctly explains A. [Ref: Rule 11, Explanation (ii)]
25. Assertion (A): Compulsory retirement under FR 56(j) is the penalty specified in Rule 11(vii). Reason (R): FR 56(j) empowers the appropriate authority to retire a Government servant in public interest.
(a) Both A and R are true and R is the correct explanation of A
(b) Both A and R are true but R is not the correct explanation of A
(c) A is true but R is false
(d) A is false but R is true
Ans. (d) A is false but R is true — Explanation: FR 56(j) does confer power to retire in public interest, but such retirement is under the retirement provisions and is expressly not a penalty under the Explanation to Rule 11 of the Rules. [Ref: Rule 11, Explanation (vii); FR 56(j)]
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These questions are prepared for practice from the Central Civil Services (Classification, Control and Appeal) Rules, 1965 as amended (including the 2014, 2017, 2022 and January 2026 amendments), DoPT and CVC instructions, and Supreme Court judgments. Check the latest DoPT notifications and orders before relying on any detail.