This is Set 15 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 IV: Procedure for imposing penalties. This set covers Rule 14(9)-(13): inspection, additional documents, requisition, one month for production or non-availability certificate (2017), public interest privilege.
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 15: Rule 14 III: Documents and Preliminary Hearing
1. Rule 14(9) applies where the Government servant appears before the inquiring authority and:
(a) Has not admitted any of the articles of charge in his written statement or has not submitted any written statement
(b) Has been convicted on a criminal charge
(c) Has already admitted all the articles of charge
(d) Has filed an appeal against the charge sheet
Ans. (a) Has not admitted any of the articles of charge in his written statement or has not submitted any written statement — Explanation: In that situation Rule 14(9) requires the inquiring authority to ask him whether he is guilty or has any defence to make. [Ref: Rule 14(9)]
2. Under Rule 14(9), when the Government servant appears before the inquiring authority without having admitted the charges, the inquiring authority first asks him:
(a) Whether he accepts the Presenting Officer appointed
(b) Whether he is guilty or has any defence to make
(c) Whether he wishes to resign from service
(d) Whether he wants the inquiry to be held ex parte
Ans. (b) Whether he is guilty or has any defence to make — Explanation: Rule 14(9) requires the inquiring authority to ask the Government servant whether he is guilty or has any defence to make. [Ref: Rule 14(9)]
3. If the Government servant pleads guilty to any article of charge before the inquiring authority, Rule 14(9) requires the inquiring authority to:
(a) Ask the Presenting Officer to prove the charge anyway
(b) Accept the plea orally without any record
(c) Record the plea, sign the record and obtain the Government servant's signature on it
(d) Send the plea to the CVC for confirmation
Ans. (c) Record the plea, sign the record and obtain the Government servant's signature on it — Explanation: Rule 14(9) requires the plea to be recorded, signed by the inquiring authority and signed by the Government servant. [Ref: Rule 14(9)]
4. Under Rule 14(10), on the articles of charge to which the Government servant pleads guilty, the inquiring authority shall:
(a) Impose a minor penalty forthwith
(b) Hold a full inquiry before recording any finding
(c) Ask the disciplinary authority to withdraw those charges
(d) Return a finding of guilt
Ans. (d) Return a finding of guilt — Explanation: Rule 14(10) requires the inquiring authority to return a finding of guilt in respect of articles to which the Government servant pleads guilty. [Ref: Rule 14(10)]
5. At the preliminary hearing, a charged officer pleads guilty to Article I but denies Article II. The inquiring authority should:
(a) Close the inquiry, as one admission is sufficient for a penalty
(b) Return findings of guilt on both articles
(c) Return the whole case to the disciplinary authority for a fresh charge sheet
(d) Return a finding of guilt on Article I and proceed with the inquiry on Article II
Ans. (d) Return a finding of guilt on Article I and proceed with the inquiry on Article II — Explanation: Rules 14(10) and 14(11) operate article-wise: a finding of guilt on the admitted article, and evidence and inquiry on the article not admitted. [Ref: Rules 14(10) and 14(11)]
6. Under Rule 14(11), if the Government servant fails to appear within the specified time, or refuses or omits to plead, the inquiring authority shall:
(a) Adjourn the case indefinitely until he appears
(b) Require the Presenting Officer to produce the evidence and adjourn the case to a later date not exceeding thirty days
(c) Return the case to the disciplinary authority as abandoned
(d) Immediately record findings of guilt on all the articles
Ans. (b) Require the Presenting Officer to produce the evidence and adjourn the case to a later date not exceeding thirty days — Explanation: Rule 14(11) requires the Presenting Officer to produce evidence and the case to be adjourned to a date not exceeding thirty days. [Ref: Rule 14(11)]
7. The adjournment under Rule 14(11) is primarily meant to:
(a) Allow the disciplinary authority to reconsider the charges
(b) Enable the Government servant to prepare his defence
(c) Penalise the Government servant for not pleading guilty
(d) Allow the Presenting Officer to collect fresh evidence
Ans. (b) Enable the Government servant to prepare his defence — Explanation: During the adjournment the Government servant may inspect documents, submit a list of defence witnesses and seek additional documents, all for preparing his defence. [Ref: Rule 14(11)]
8. Which of the following is NOT a step provided in Rule 14(11) when the Government servant fails to plead?
(a) Adjournment of the case by not more than thirty days
(b) Production of evidence by the Presenting Officer
(c) Recording a finding of guilt on all articles of charge
(d) Inspection of the listed documents by the Government servant
Ans. (c) Recording a finding of guilt on all articles of charge — Explanation: A finding of guilt follows only a plea of guilty under Rule 14(10); failure to plead leads to the inquiry procedure in Rule 14(11). [Ref: Rules 14(10) and 14(11)]
9. Under Rule 14(11)(i), the Government servant may inspect the documents specified in the list referred to in Rule 14(3) within:
(a) Five days of the order, or a further period not exceeding five days allowed by the inquiring authority
(b) Thirty days of the order, with no extension
(c) Ten days of the order, extendable by ten days
(d) Fifteen days of the order, extendable by fifteen days
Ans. (a) Five days of the order, or a further period not exceeding five days allowed by the inquiring authority — Explanation: Rule 14(11)(i) allows inspection within five days of the order or within such further time, not exceeding five days, as the inquiring authority allows. [Ref: Rule 14(11)(i)]
10. Inspection under Rule 14(11)(i) relates to:
(a) All files in the office of the disciplinary authority
(b) The personal files of the prosecution witnesses
(c) The documents specified in the list referred to in Rule 14(3)
(d) The vigilance files containing the CVC's advice
Ans. (c) The documents specified in the list referred to in Rule 14(3) — Explanation: The right of inspection under Rule 14(11)(i) is in respect of the listed documents by which the charges are proposed to be sustained. [Ref: Rule 14(11)(i)]
11. Under Rule 14(11)(ii), during the adjournment the Government servant may submit:
(a) A list of witnesses to be examined on his behalf
(b) An appeal against the charge sheet
(c) A list of the inquiring authorities he prefers
(d) A request to change the disciplinary authority
Ans. (a) A list of witnesses to be examined on his behalf — Explanation: Rule 14(11)(ii) enables the Government servant to submit a list of witnesses to be examined on his behalf. [Ref: Rule 14(11)(ii)]
12. Under Rule 14(11)(iii), notice for the discovery or production of additional documents must be given within:
(a) Five days of the order, extendable by five days
(b) Ten days of the order, or a further period not exceeding ten days allowed by the inquiring authority
(c) One month of the order, extendable by one month
(d) Fifteen days of the order, without extension
Ans. (b) Ten days of the order, or a further period not exceeding ten days allowed by the inquiring authority — Explanation: The notice must be given within ten days of the order or within such further time, not exceeding ten days, as the inquiring authority allows. [Ref: Rule 14(11)(iii)]
13. The notice under Rule 14(11)(iii) is for the discovery or production of:
(a) Documents in the possession of Government but not mentioned in the list referred to in Rule 14(3)
(b) Documents in the personal possession of the Presenting Officer only
(c) Records of other criminal courts relating to third parties
(d) Documents already supplied with the charge sheet
Ans. (a) Documents in the possession of Government but not mentioned in the list referred to in Rule 14(3) — Explanation: Rule 14(11)(iii) covers additional documents held by Government that do not figure in the list annexed to the charge sheet. [Ref: Rule 14(11)(iii)]
14. When the Government servant gives notice under Rule 14(11)(iii) for additional documents, he must:
(a) Obtain the Presenting Officer's consent
(b) Give an undertaking not to use them in any court
(c) Pay a fee for each document requisitioned
(d) Indicate the relevance of the documents required
Ans. (d) Indicate the relevance of the documents required — Explanation: The Government servant is required to indicate the relevance of the documents sought so that the inquiring authority can decide on requisitioning them. [Ref: Rule 14(11)(iii)]
15. Under the Note to Rule 14(11), copies of the statements of the listed prosecution witnesses, if asked for, must be supplied to the Government servant not later than:
(a) Three days before the examination of witnesses on behalf of the disciplinary authority begins
(b) The day on which the witness is examined
(c) Fifteen days before the preliminary hearing
(d) Ten days after the witness is examined
Ans. (a) Three days before the examination of witnesses on behalf of the disciplinary authority begins — Explanation: The inquiring authority must furnish such copies as early as possible and in any case not later than three days before the examination of the prosecution witnesses commences. [Ref: Rule 14(11), Note]
16. Under Rule 14(12), on receiving the Government servant's notice for additional documents, the inquiring authority:
(a) Must reject the notice unless the Presenting Officer agrees
(b) Refers the notice to the UPSC for advice
(c) Forwards a requisition to the authority in whose custody the documents are kept, specifying the date of production
(d) Obtains the documents directly from the Presenting Officer's personal collection
Ans. (c) Forwards a requisition to the authority in whose custody the documents are kept, specifying the date of production — Explanation: Rule 14(12) requires the inquiring authority to forward the notice, or a copy, with a requisition for production by a specified date to the custodian. [Ref: Rule 14(12)]
17. Under Rule 14(12), the inquiring authority may refuse to requisition documents that it considers:
(a) Older than five years, without recording reasons
(b) Inconvenient for the department to produce
(c) Classified as routine, at its sole discretion without reasons
(d) Not relevant to the case, for reasons recorded in writing
Ans. (d) Not relevant to the case, for reasons recorded in writing — Explanation: The inquiring authority may refuse documents that in its opinion are not relevant to the case, but must record its reasons in writing. [Ref: Rule 14(12)]
18. Under Rule 14(13), as substituted in 2017, every authority having custody of requisitioned documents must:
(a) Produce them within six months of the appointment of the inquiring authority
(b) Produce them only if the disciplinary authority so directs
(c) Produce them before the inquiring authority, or furnish a non-availability certificate, within one month of receipt of the requisition
(d) Produce them within fifteen days, without any alternative
Ans. (c) Produce them before the inquiring authority, or furnish a non-availability certificate, within one month of receipt of the requisition — Explanation: The 2017 amendment fixed a one-month period for producing the requisitioned documents or providing a non-availability certificate. [Ref: Rule 14(13)]
19. The custodian of a requisitioned file finds after searching that the file cannot be traced. Under Rule 14(13), it should:
(a) Remain silent until the inquiry is completed
(b) Ask the charged officer to obtain a copy from elsewhere
(c) Request the CVC to exempt it from producing the file
(d) Issue a non-availability certificate to the inquiring authority within one month of receipt of the requisition
Ans. (d) Issue a non-availability certificate to the inquiring authority within one month of receipt of the requisition — Explanation: Rule 14(13) as amended in 2017 requires either production or a non-availability certificate within one month. [Ref: Rule 14(13)]
20. Under the proviso to Rule 14(13), production of a requisitioned document may be withheld if the custodian is satisfied, for reasons recorded in writing, that production would be:
(a) Inconvenient to the officers who wrote the notes
(b) Embarrassing to the disciplinary authority
(c) Against the public interest or the security of the State
(d) Costly to the department
Ans. (c) Against the public interest or the security of the State — Explanation: The privilege in the proviso to Rule 14(13) is confined to the public interest and the security of the State. [Ref: Rule 14(13), proviso]
21. When the custodian informs the inquiring authority that production of a document would be against the public interest, the inquiring authority shall:
(a) Communicate the information to the Government servant and withdraw the requisition
(b) Drop the inquiry, as the defence is prejudiced
(c) Insist on production and proceed ex parte if refused
(d) Inspect the document privately and decide afresh
Ans. (a) Communicate the information to the Government servant and withdraw the requisition — Explanation: On being so informed, the inquiring authority communicates the information to the Government servant and withdraws the requisition. [Ref: Rule 14(13), proviso]
22. The requirement to produce requisitioned documents or a non-availability certificate is found in which sub-rule of Rule 14?
(a) Sub-rule (18)
(b) Sub-rule (13)
(c) Sub-rule (24)
(d) Sub-rule (4)
Ans. (b) Sub-rule (13) — Explanation: Rule 14(13) deals with production of requisitioned documents; sub-rules (4), (18) and (24) deal with the written statement, general examination and the time limit for the report. [Ref: Rule 14(13)]
23. Consider the following statements: (i) The Government servant may demand production of any document whatsoever without indicating its relevance. (ii) The inquiring authority may refuse to requisition irrelevant documents for reasons recorded in writing. Which is/are correct?
(a) Only (i)
(b) Only (ii)
(c) Both (i) and (ii)
(d) Neither (i) nor (ii)
Ans. (b) Only (ii) — Explanation: Rule 14(11)(iii) requires the Government servant to indicate the relevance of additional documents, and Rule 14(12) lets the inquiring authority refuse irrelevant ones with written reasons. [Ref: Rules 14(11)(iii) and 14(12)]
24. Assertion (A): The inquiring authority itself decides whether production of a requisitioned document would be against the public interest. Reason (R): The proviso to Rule 14(13) protects documents whose production would be against the public interest or the security of the State.
(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: Under the proviso it is the authority having custody of the document that records its satisfaction and informs the inquiring authority, which then withdraws the requisition. [Ref: Rule 14(13), proviso]
25. Assertion (A): Since 2017, the custodian of requisitioned documents must respond to the requisition within a fixed period. Reason (R): Rule 14(13), as substituted in 2017, requires production or a non-availability certificate within one month of receipt of the requisition.
(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: The fixed period stated in A is the one-month limit introduced in Rule 14(13) by the 2017 amendment. [Ref: Rule 14(13)]
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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.