CONSULTATION WITH AND RECRUITMENT THROUGH THE U.P.S.C.
1. Basic Principles
The matters in respect of which it is necessary to consult UPSC
are generally speaking those detailed in Article 320(3) of the
Constitution. Under the proviso to clause (3) of that Article, the
President as respects the All India Services and also as respects.
other services and posts in connection with the affairs of the
Union may make regulations. specifying the matters in which either
generally, or in any particular class of cases or in particular
circumstances, it shall not be necessary for the Union Public
Service Commission to be consulted. The Union Public Service
Commission (Exemption from Consultation). Regulations,,1958 have
been framed under that. proviso.
2. Matters requiring Consultation with the UPSC by virtue of
2.1 (a) all matters relating to methods of recruitment to civil
services and for civil posts;
(b) on the principles to be followed in making appointments to
civil services and posts and in making promotions and transfers
from one service to another and on the suitability of candidates
for such appointments, promotions or transfers;
(c) on all disciplinary matters affecting a person serving under
the Government of India in a civil capacity including memorials or
petitions relating to such matters;
(d) on any claim by, or in respect of a person who is serving or
has served under the Government of India in a civil capacity, that
any costs incurred by him in defending legal proceedings nistnuted
against him in respect of acts done or purporting to be done in the
execu-tion of his duty should be paid out of he Consolidated Fund
(e) on any claim for the award of a pension in respect of
injuries sustained by a person while serving under the Government
of India in a civil capacity, and any question as to the amount of
any such award; and
(f) on any other matter which the President may refer to the
Commission. [Article 320(3) of the Constitution]
2.2 Recruitment to certain categories of posts in the Delhi
Municipal Corporation. the Employees State Insurance Corporation
and the 'Employees' Provident Funds Organisation as provided for in
the relevant Acts made under Article 321 of the Constitution.
[D.M.C. Act (No. 66) of 1957, Sec. 96, ESI Act (No. 34), Sec.
17; EPF Act 1952. Sec. 5D]
i. Hatters requiring Consultation with the Union Public Service
Commission fry conven-tions or by virtue of Government Orders.
3.1 Proposals for upgrading a Group C post recruitment to which
has already been made without consulting the Commission or
down-grading a Group B post.
[MliA O.M. No. 18: 45 1 51-Ests. dt. 29-9-1951]. 3.2 Promotions
: (i) The Union Public Service Commission should be associated with
Departmental Promotion Committees in respect of all Central
Civil Services/Posts belonging to Group 'A' where promotion is hal.
-._d on principles of Selection unless it has been decided by a
special order of the Government not to associate the Union Public
Service Commission, with Group 'A' Departmental Promotion
Committee. The Commission need not be associated with
the DPC in respect of posts belonging to Group A, if the
promotion is not 'based on the princi-ples of selection but only on
seniority-cum-fitness (Please See 'Aimexure4).
[Home Department CM No. 33 146/Ests(R), dt. 17-6-46 and DOP OM
No. 22011 6 '75- Estt( -0). dt. 30-12-76]. '
(ii) In respect of DPCs belonging to Group B association of the
Commission is not neces-sary. In Cartral Serviees/Posts in Group C,
association of the,:Commission is impracticable.
POP OM No. 1/1Ci/68-Estt(D)., dt. 3-3-72].
A Member of the Commission _need not be associated for assessing
the suitability of officers for (1) retention in service beyond the
age of 55 years; and Considering EB Cases.
Confirmations ..--,Prior to 14-3-1977 a Chairman/Member of the
Commission was required to be associated with the DPC relating to
confirmation of officers whose selection was within the purviewof
the Commission. With the issue of the DOP OM.No.
39011/2/S/75-Estt(B), dt. 14-3-1977 the association of the
Chairman/Member of the UPSC with the DPC considering confirmation
of officers has been dispensed with. The Ministries/Departments
are, however, required to send the .proceedings of such DPCs to the
Commission for their approval. The pro-posal for approval of the
recommendations of the .DPC shotild be made to Commission in the
prescribed proforma at Annexure-11 alongwith the following
information dul!, authenticaterl seniority and integrity
(i) Whether the officers have completed satisfactorily the
period of ,probation. (ii) Whether appropriate reservation for
SC/ST in services/posts has.been made.
(iii) Complete and up-to-date CR dossiers of the officers who
have been asse , `Not yet fit' for confirmation.
(iv) Whether the Ministries/Departments have convened the DPC in
time to c confirmation, and if not the reasons therefor.
(DO? OM No. 22011/6/75-Estt(D), dt. 30-12-7( DOP 0 MNo.
18011/1/78- ,dt. iU-3-78; DOP and dt. 22-1-72].
While doing so the cases of the officers not found fit for
confirmation are requir( sent alongwith their records as required
in DOP OM No. -39011/2/S/76-Estt(D) dt. In case the Commission do
not agree with the recommendations .of :the DPC :a fresh meeting
the DPC is convened to be presided over by Chairman/Member of the
[MBA OM No. 39011/2/75-Estt(D), dt. 23-2-78].
3.3 Recognition of any educational qualification as eqUivalent
to the Matriculation xami-nation for purpose of entry into .any
_service or post under the Central Government
[MHA OM No. 197/47-Ests., dt. 10-10-1947]
3.4 Recognition of degrees and diplomas awarded by private
bodies and institutions for the purpose of employment under the
Government of India.
[MHA 0 MNo. 32/10/.49-Ests., dt. 24-6-1949]
3.5 In cases of doubt whether thc duties of a post are
Ministerial or non-ministerial in character.
[MBA OM No. 20/16/48-Ests. dt. 23-11-1949 (para 3)].
NOTE :Reference in such cases should be made to the Departnient
of Personnel & A.R. who will decide whether it any particular
case the Commission's advice should he sought.
[MilA OM No. 12/48 `52-Ests., dz. 17-1-1953].
3.6 Cases in which the Central Government proposed to take
action against an officer of the All-India Services under Rules 3,
6 and 7 of the A.I.S. (Death-cum-Retirement Benefits) Rules,
[MHA letters No. 1 /4/55-AIS(III) , dt. 244-58. No. 12/13/
60-AIS(11) , di.. 28-11-60 and No. F.29/20/63-AIS(II), dt.
3.7 Association of the Chairman or a Member of the UPSC with the
special Recruitment Board for making selections for the scientists
[MHA Resolution No. 8/4/57-M.P., dated' 14-10-1958.]
3.8 In case the officer to be confirmed in a post is recruited
through the Commission follow-ing instructions should he observed
while referring his case of confirmation to the Commis-sion :
(i) If an officer is recruited through the Commission for
appointment to a post, which has been advertised as 'Permanent' or
'Temporary" likely to become 'Permanent' he could he con-firmed
therein without a fresh advertisement. If there are no other
officers in the grade eligible for confirmation, the UPSC need not
be consulted on the question whether to re-advertise the post .
(ii) Where an officer is initially recruited through the
Commission for a post advertised as temporary and it is proposed to
confirm him therein a reference should be made to the Corn-nission
to dein& in each case whether the post should be re-advertised
on becoming penna-
nt or the officer confirmed therein. [MBA OM No.
18/64/59-Estt(D), dt. 13-1-1951 & DOP OM No. 20/40/70-Estt(D),
9 According to Recruitment Rules"Power to Relax Clause".Where
the Central anent is of the opinion that it is necessary or
expedient so to do, it may, by order, for ...to be recorded in
writing, and in consultation with the UPSC, relax any of the
rules with respect to any class or category of persons.
e Commission do not have any power to relax the recruitment
rules on their own accord for direct recruitments for which a
provision already exists in the recruitment rules. The 1 for
relaxation, if any. is to be initiated by the concerned
Ministries/Departments who also obtain clearance of Department of
Personnel before referring the case to UPSC.
Ae.Commission are only to advise the Ministries/Departments as
and when proposals are made to them.
3.10 Adoption of principles of seniority different from those
laid down in annexure to MBA OM No. 9/11 /.55-RPS., dt. 22-12-59 in
respect of any Service/Post.
[Para 1-01 the Annexure to MHA 01%.4No. 9/11/55-RPS, dated
4. Nuf., -c excluded from the purview of the Commission
4.1 As respects the manner in which any provision for the
reservation of appointments or posts in favour of any backward
class of citizens is to he made under Article 16(4) of the
Cons-titution or as respects the manner in which effect may be
given to the provision of Article 335 relating to the claims of
Scheduled Castes and Scheduled Tribes to services and posts under
the Union Government.
[Article 320(4) of the Constitution].
4.2 In regard to any of the matters mentioned in clauses (a) and
(b) of para 2.1 above in the case of the services and posts
specified in Annexure-III.
4.3 In regard to any of the matters specified in paragraphs 3 to
6 of the UPSC (Exemp-tion from Consultation) Regulations. 1958, as
amended from time to time. (These arc explained in detail under the
relevant headings below).
[Article 320(3), proviso, of Constitution read with U.P.S.C.
(Exemption from Consulta-tion) Regulations, 1958, MHA Notifn. No.
18y4/51-Ests(B), dt. 1-9-58 (Regulation 2)].
5. Procedure for consultation with the Commission 5.1 General
5.1.1 It should first be examined whether on any matter under
consideration consultation with the Commission is necessary or not
in terms of statutory requirements or by convention or in
accordance with any extant orders.
[MHA OM No. 18/18/48-Ests., dt. 20-8-1949.1
5.1.2 Where consultation is necessary an officer of the Ministry
not below the rank of Deputy Secretary, should, in the first
instance, discuss the matter personally with the Secretary of the
Commission or his nominee In case of recruitment to posts requiring
technical or special qualifications, the technical experts of the
Ministry could also with advantage participate in such discussions.
At such discussions all aspects of the proposals should be
considered and an agreed memorandum of the conclusions,
including.the points of difference, if any, recorded. For
re-solving such differences, conferences should be arranged at
higher levels between the Ministry and the.Chairman or Member(s) of
the Commission concerned. The Establishment Officer will be
available to assist on such occasions.
[MHA OM No. 18/20/54-Ests.(8), dt. 8-9-1954.]
5.1.3 All references should be made direct to the Commission by
the administrative Minis-try concerned in the form of an official
letter with which all relevant papers or copies of papers should be
forwarded, provided that no reference which is not obligatory under
article 320(3) of the Constitution or under any direction issued by
the GovernMent shall he made, save with the previous concurrence
(i) the Department of Personnel and Training; and
(ii) in cases involving financial considerations, also Of the
Ministry of Finance. In the case of the Ministry of Railways, the
reference should be made to the Financial Commis- sioner, Railways,
it being left to him to consult the Ministry of Finance if he
considers it neces- sary to do so.
[MHA OM No. 18/18/48-Ests., dt. 20-8-1949, Appendix II Para
NOTES :(i) It is important that on all occasions where a
reference has to be made to the Commission in any matter no letter
should issue until after an officer not below the rank of Deputy
Secretary has discussed the matter personally with the Secretary of
the Commission or his nominee.
[DO Letter No. F.31(7)-EC/55. dt. 12-3-55 from I.S., MHA and MHA
OM No. 23/37/ 68-Ests(B), dt. 23-10-1968.]
(ii) As most cases of unresolved differences between Ministries
and the Commission ultimately require a reference to the
Appointments Committee of the Cabinet, the Establishment Officer to
the Government of India. who acts as Secretary to that Committee,
should be utilised as a general liaison officer between the
Government and the Commission; and any instances of failure to
follow this procedure should he brought to his notice.
[MI-TA OM No. 18/20/54-Ests(B), dt. 8-9-1954.,
(iii) All Heads of Attached and Subordinate Offices can directly
correspond with the Commission on matters relating to
promotion/recruitment to posts for which they are the appointing
authorities. However. in cases where it is proposed not to accept
the advice of the Commission or of a D.P.C. presided over by a
member of the U.P.S.C.. all further references to the Commission.
antecedent if necessary to the
submission of the case AO the appointments Committee ..of the
Cabinet, .should be made by the administrative Ministry concerned
and not by the head,of the Attached/ Subordinate Office.
[MI-IA OM No. F. 18/1/59-Ests(B). dt. 24-2-1959.]
5.1.4 The Commission have the right to call for any information
which may be required by them in the discharge of their
[HD. OM No. 33/46-E.sts(B). dt. 17-6-1946, para 121
5.2 Recruitment Rules.
5.2.1 It it not necessary to consult the Commission in framing
the recruitment rules for the services and posts specified in the
Schedule to the UPSC (Exemption from Consultation) Regu-lations,
1958. For all other posts and *Services including those to which
appointments may be made without consulting the Commission under
the provisions of regulation 3. Recruitment Rules should be framed
in consultation with the Commission.
[MHA OM No. 18/10/58-Ests(B)., dt. 94-1959, read with Regulation
3 of iT.P.S.C. .Exemption from Consultation Regulations.]
5.2.2 In consulting the UPSC on the framing of the recruitment
rules for services/posts in Group 'A' or Group cfr. the following
procedure should be followed :
Recruitment Rules as drafted in the form at Annexure IV by the
administrative Ministry Department should first be referred to the
Department of Personnel & A.R. and after consulting -them. the
draft rules should immediately be referred to the Commission along
with the informa- Lion .snecified in the proforma at Annexure V.
While making a reference to the Commission, the fact that the draft
recruitment rules have been concurred in by the Department of
Personnel A. R. should be clearly stated. Before, however. a
reference is made to the Commission. it is necessary to .discuss
the proposals :with the Commission's Secretariat as laid down .in
para 5.1.2. above. This procedure will also apply to .amendments to
existing recruitment rules except 'that the .profornia will be as
(NB A OM No. 20/3/67-Ests(D), dt. 11-8-1967.1 [See also Chaptef
on "Mode of Recruitment and Appointment"]
5.3 Recruitment. 5.3.1. When new posts are created or the
requirements for existing posts altered (unless any
newly created nosts sre covered by the existing recruitment
rules or instructions framed in con-stiltation with the UPSC), the
Commission should be consulted (unless. under the Regulations. the
case is outside the Commission's pumiewl before qualifications are
prescribed, method of recruitment decided upon and .advertisements
drafted for inviting applications.
I HD. OM No. 12(6)/46-Ests., 16-8-46 read with MBA OM No.
18'20/54-Ests(B), dt. 8-9-54.1
5.3.2. The mere fact that a newly created post has not yet been
formally classified on account of some administrative or other
delay is itself not sufficient authority to dispense with
consultation with the UPSC in making appointment thereto. In such a
case the classification of the post may be assumed. by comparison
with any similar posts which have already been classified. and the
question whether consultation with the Commission is necessary
decided on that 'basis.
[MHA OM No. 38/18/48-Ests.. dt. 20-9-1949. Appendix-1 Para
5.4. Appointments which may be. made without consulting the
5.4.1. Save as otherivise expressly provided in the rules
governing recruitment n' the civil
service or civil post concerned, it is not necessary to consult
the Commission in regard to the selection for appointment
(a) to a post included in an All-India Service, of any officer
who is already a member of an All-India Service;
(b) to a post included in the Central Services Group A, of any
officer in .me Armed Forces of the Union or any officer who is
already a member of an All-India Service or . a Central Service,
.(c) to a Central Service Group B or to a post included in a
Central Service, Group B of .any officer who is already a member of
a Central Service, Group B, or Central Service, Group C or of any
officer in the Armed Forces of the Union; and
(d) to a tenure post included in a Central Service Group A, or a
Central Service, Group B of an officer of a State Service.
NOTES : (i) The terms "Central Service, Group A, Central
Service, Group 'B' and Central Service, Group 'C' include
corresponding Railway Service and Defence, Services (Civilian).
(ii) The term "Officer means a person appointed to an All India
Service, or the Armed Forces of the Union, or a Central Service,
Group 'A', or a Central Service Group 13' or a Central Service,
Group or a State Service, as the case may be in accordance with the
relevant Recruitment Rules.
(iii) The term "State Service" means service in a State
appointments to which are made by the Governor.
. (iv) The term "Tenure Post" means a post, whether permanent or
temporary, which has been classified as a tenure post in
consultation with the Commission. [U.P.S.C. (EFC) Regulations,
Explanation :Posts sanctioned from year to year are not tenure
posts. . I H.D. 'OM No. 12/4/47, dt. 21-6-47 read with F.P.S.C.
letter No. 5/11/47-S, dt. 6-6-47.]
5.4.2. Consultation with the Commission in the above matters
will be necessary, if the method of recruitment for the
grade/service in question has not been finalised in consultation
-the'Commission: IMHA OM No. 18/10/58-Ests(B), dt. 9-1-59 Para
It is not necessary to consult the Commission in regard to the
selection for a tempo-rary or officiating appointment to a post,
,(a) the person appointed is not likely to hold the post for a
period of more than one year; and
(b) it is necessary in the public interest to make the
appointment immediately and a reference to the Commission will
cause undue delay.
Provided that : (i) such an appointment should be reported to
the Commission as soon as it is made;
'fin if the appointment continues beyond a period of six months,
a fresh estimate as to the period for which the person appointed is
likely to hold the post should be made and reported to the
(iii) if such estimate indicates that the person appointed is
likely to hold the post for a period of more than one year from the
date of appointment, the commission should immediately he consulted
in regard to the filling of the post.
[UPSC (E.F.C.) Regulations, Regulation 4.] If it becomes
necessary for Ministries/Departments to make ad-hoc appointments
selection through the Commission. they should make sure that the
persons appointed conform 14-35Per Trg, /87
to the age limits prescribed in the Recruitment Rules. In making
such an appointment it is equally important . for the appointing
authority to take into account the qualifications and experience
etc. prescribed, so that cases do not arise where persons thus
appointed cannot even be considered for being called for interview
on the ground that they do not possess the requisite
[MHA OM No. 4/7/68-Ests.(D) dt. 10-4-19691
5.4.4 Recruitment to all posts which arc temporary but are
likely to be made permanent should be made through the Commission
and resort to the exception in regulation 4 should not
be had in such cases. Such posts should be advertised as
temporary but likely to become perma-nent so as to attract suitable
[(MHA OM No. 18/18/48-Ests., dt. 20-9-1949, Appendix I Para
5.4.5 (i) Before making temporary or officiating appointment,
the appointing authority should ascertain from the Commission
whether they have an approved list of candidates considered
suitable for the post and should ordinarily appoint the first
person from such list in preference
to.any candidate from the open market. (ii) Since temporary or
officiating appointment without consultation with the
is intended to avoid delays usually involved in recruitment by
the Commission by open advestise-ment, such recruitment, where it
is proposed to be made by open advertisement, should be entrusted
to the Commission.
[(MHA OM No. 18/18/48-Ests., dt. 20-8-1949; Appendix 1, Para
(iii) There is no provision for approval by UPSC for any
appointment initially made without consulting them. The objective
behind reporting of ad hoc appointments to the UPSC under
Regulation 4 is not to secure their concurrence to continuance of
ad hoc appointment beyond one year but to enable the Commission to
discharge their constitutional responsibility to bring to the
notice of the Parliament, through their Annual Report, the cases in
which the Government have not followed the constitutional provision
of making regular appointment through UPSC.
(iv) In cases in which recruitment rules already exist, after a
temporary or officiating appoint-ment has been made under the
provisions of regulation 4, the appointing authority must forward
to the Commission within a period of six months of such
appointment, a requisition for recruitment to the post or for
regular promotion thereto or take such other action as may be
required under the recruitment rules (including the convening of
their own D.P.C. in cases in which the Commis-sion are not to be
associated.) In cases in which recruitment rules do not exist the
appointing authority should finalise the recruitment rules for the
post in consultation with the Department of Personnel and the
Commission within, say, a maximum period of six months from the
date the 'post is sanctioned.
[MHA OM No. 23/27/68-Ests(B), dt. 26-12-68 read with Department
of -Personnel OM No. 23/51/71-Ests(B), dt. 25-9-1972.1
(v) It is irregular to make temporary officiating appointments
up to one year without consul-tation with the Commission even
though the appointments are likely to be continued beyond a period
of one year and to initiate action for regular appointments only
when the officer has completed or is about to complete one year in
that appointment. When it is known at the time of the initial
consideration of the case itself that a particular appointment
would last for more than one year, steps should he taken without
delay for making a regular appointment in accord-ance wth the
recruitment rules where such rules exist; and where no such rules
exist. the annointing authorities should ensure that the
recruitment rules are finalised in consultation with the
Commis-sion within a maximum period of six months from the date the
appointment is made and action initiated soon thereafter to fill
the post in accordance with the recruitment rules so finalised.
fMHA OM No. 23 '27/68-Ests(B). dt. 26-12-68 read with Department
of Personnel OM No. 23 '51 '71-Ests(B), dt. 25-9-1972.1
(vi) in order to enable the Commissoin to exercise a close check
on ad hoc appointments, the Ministries/Departments are required to
furnish the following returns to the Commission of all appointments
made by them to Group 'A' and Group S' Central Services and Posts
(i) A miuthly report of all ad hoc appointments in the proforma
prescribed for the purpose as at Annexure-VII (a) .
(ii) A six monthly review of all ad hoc appointments in terms of
Regulation 4 should be made by all the Ministries/Departments and
the results thereof reported every month to the Commission in
the.proforma.prescribed for the .purposes as at
E The returns are to be submitted to the Commission by the 20th
of every month, in respect of the appointments made dUring the
previous month. The attached and subordinate offices are required
to send their returns to the Ministry concerned in the first week
of every month to enable -the latter to send a consolidated return
to the Commission by the due date. If there are no such
appointments in.a particular month, a NIL 'Report should be send
for that month by the prescfibed date to the Commission.
(vii) If the Commissionfind.that any ad hoc appointment was.not
included in the Statement, a special mention of all such cases will
be made by the Commission in 'their Annual Report; the : Ministry
concerned will be required to fix responsibility on the officer
concerned for not report-ing such cases.
2. The situations in whieh the ad hoc appointments are made may
be of two types :-
(a) where the xecruitment rules exist for the posts; and (b)
where the recruitment rules for the posts do not exist.
In cases Jailing in the first category in .respect of
anticipated vacancies on account of factors like superannuation or
,promotion to the, higher rank, the Ministries/Departments
concerned should be able to make reference to the Commission at
least 4 months prior to the date on which vacancies are expected to
arise. (Please See Annexure-VIII).. Where recruitment rules are
available and an unanticipated vacancy occurs on account of factors
like death, resignation or compulsory/voluntary retirement, and the
vacancy cannot be allowed to remain unfilled even for 'a petiod of
3 to 4 months, then ad hoc promotions/appointments can be made by
the Ministries/Departments, strictly in accordance with the
recruitment rules and after observing the procedure for
promotion/appointment laid down in the rules, but without
consulting the UPSC. Simultaneously with such ad hoc appointment an
indent will have to be forwarded to UPSC for regular
in so far as the appointments in the second category are
concerned, hithertofore a view had been taken that in the absence
of recruitment rules laying down definite mode of recruitment for
ailpost, the normal procedure should be that the post is filled up
by competitive selection through the Commission. It has been
provided that when for some unavoidable reasons delay is
anticipated in finalising the recruitment rules for a post,
recruitment for that post should be entrusted to the Commission as
soon as the post is sanctioned and it is decided to fill it, to
enable the Commission to take necessary action for filling it up by
competitive selection. In accordance with this proce-dure, in the
absence of recruitment rules the only type of regular appointment
made was by open advertisement and 'selection through the
Commission. In the absence of recruitment rules, appointment by
promotion or transfer on deputation was not being considered and
the posts were continued to be filled on ad hoc basis and with the
delay in finalising the recruitment rules such ad hoc appointments
continued beyond the period of one year.
In should be possible to fill such posts by transfer, on
deputation or by promotion also in consultation with the
Commission. even if the recruitment rules are yet to be framed. In
such cases the Ministries/Departments should make an immediate
reference to the Commission for deciding the mode of recruitment to
the post alongwith their suggestions. On receipt of such a
reference, the Commission will advise on the mode of recruitment.
Where the Commission advise
direct recruitment, the post will be advertised by the
Commission; where the Commission. advise the filling of the post by
transfer on deputation or by promotion from lower .grade or
short-term contract, the Ministry will take further action as per
advice of the Commission and fill the post in consultation with the
Commission accordingly. Since the appointment by
transfer/deputation/ short-term contract/promotion will be made in
accordance with the advice given by the Commis-sion, it will be
treated as regular appointment. In other words, where recruitment
rules have not been framed, there shall not be any ad hoc
appointment and there will only be regular appointment in
consultation with UPSC. However, simultaneously, steps to frame
recruitment rules should be taken by the Ministry and the rules
finalised in consultation with the Department of Personnel and the
Commission as expeditiously as possible so that they could be made
applicable to the future vacancies. Where the Recruitment Rules
provide for re-:employment as a ,niethod of recruitment, the
proposal should be made to the Commission for selecting .an officer
for appointment on re-employment, basis in accordance with the
provisions of the Recruitment Rules. Re-employment made under
Regulation may be dealt with on the lines of ad hoc
(viii) When the UPSC are addressed for their concurrence in
upgrading a 'Group C post to Group B to which recruitment has
already been made without consulting the Commission, reference
should simultaneously be made to them for the assessment of the
suitability of the incumbent(s) of the Group C post(s) for
appointment to the upgraded Group B post(s) and such reference
should be accompanied by the seniority list (s) and up to date
character Roll(s) of the incum-bents) of the Group C post(s) to
enable the Commission to tender their advice.
(ix) (a) Administrative Ministries/Departments should furnish
the Commission with Monthly returns of all appointments made by
them without consulting the 'Commission, in the proforma at
annexure VII, by the 20th of the month following the month to which
the returns relate. The returns should be sent in a consolidated
form and should indicate all appointments made in the
Ministry/Department including its attached/subordinate office and
other organisations appoiniment in which are within the purview of
the Commission. Even if there are no such appointments in a month,
nil report . should be sent.
(b) A list of all appointments made from time to time in the
Ministry/Department (including attached and subordinate offices)
without reference to the Commission should be kept in the
coordinating section on the basis of the returns sent to the
Commission and this list should be. reviewed by an officer not
lower in rank that of a Joint Secretary, by the 25th of every month
and action to consult the Commission should be taken immediately
thereafter . wherever necessary under the rules. The
Ministries/Departments should also intimate to the Commission the
name of the officer appointed for the above purpose to enable the
Commission to bring to his notice any irregularity observed by them
in the matter.
(c) Files relating to such appointments should not be closed,
but should be entered in the Call Book and reviewed periodically
according to the instructions in the manual .of office
(d) In cases of delay and irregularities in the procedure
mentioned above, responsibility for such delays and irregularities
should be fixed and suitable action taken against officer(s)
[H.D. OM No. 12/9/46-Ests., dt. 24-7-1946, MHA OM No.
23/24/63-Ests(B), dt. 10-4-64, No. 23/27/68-Ests(B), dt.. 26-12-68,
and Deptt. of Personnel OM No. 23/25/71- Ests(B), dt.
(x) Each Ministry/Department should undertake a review of all
appintments made under Regulation 4(1) of the UPSC (Exemption from
Consultation) Regulations, 1958, immediately after three months
from the date of appointment, complete the review within a . period
of six months and make a reference to the Commission under the
proviso to the said regulation if the appointment continues or is
likely to continue beyond a period of six months.
[MHA OM No. 23/27/68-Ests(B) , dt. 26-12-1968.]
(1) All the Ministries/Departments should also make a mention in
their letters forward-ing requisition for recruitment to UPSC that
the vacancies to which recruitment is being sought for do not
attract the ban or have been exempted with the approval of
competent authority. In the absence of any such clear indication,
the requisition should be returned to the Ministries concerned.
[DOP&T OM No. 24012/57/84-Estt(B), (Vol. II), dated the 8th
5.6.3 If a post has been advertised by the Commission on a
definite scale of pay and if that scale undergoes a revision before
the selected candidate has been offered the appointment, the fact
of revision of the time scale should be noticed to the Commission
to enable them to consider whether the post should be re-advertised
in order to secure a better qualified candidate or whether the
selection .already made by them would suffice. Further action
should be taken in accord-ance with the advice of the
[MHA OM No. 18/5/49-Ests, dated 22-4-1949].
5.6.4 Participation of Departmental Representative in Interview
Where the Commission asked for association of a Departmental
representative with an in-terview board constituted by them in
connection with the requisitions sent to them for recruitment, the
Ministries/ Departments should, save in eceptional circumstances,
depute only one represen-tative of the appropriate rank. The
Ministry can decide whether the representative should be an officer
from the Secretariat of the Ministry /Department or a technical
officer or some duly qualified officer; but the officer should be
well-acquainted with the requirements of the post for which
recruitment is to be made.
[MHA OM No. F.23/54/68-ESTS(B), dated 28-9-1968.]
5.6.5 Qualifications prescribed for posts which are required to
be filled by direct recruitment through the Commission, should be
carefully drafted by Ministries/Departments in unambiguous terms so
that no difficulty arises in regard to their interpretation.
[MHA OM NO. 23/37/68-Ests(B). dated 23-10-1968].
5.6.6. Offers of Appointment.In order to avoid inconvenience to
candidates as also embarrassment to the Administration, the
Ministries/Departments are required to ensure that the offers of
appointment are sent to the candidates recommended by the
Commission within three to four months of the receipt of
Commission's recommendations. Special watch should be kept in
respect of cases where the offers are not sent within the specified
period mentioned above. 'In addition to the fortnightly review of
such cases by the Head of Department or Joint Secretary concerned,
a quarterly review statement is required to be submitted by the
Head of the Depart-ment and Joint Secretary concerned to the
Secretary to the Department/Ministry in the prescribed proforma by
10th of the following month.
Also particulars of cases in which offers of appointment to
candidates selected by the UPSC, are not issued within two months
of the date of receipt of the recommendations of the Com-mission
should be forwarded to the Department of Personnel & AR for
each half-year by the 15th of the following month, i.e. by the 15th
July and 15th January each year.
[MHA OM No. 21/23/62-Ests(B), dated 4-10-1962. 23/2/65-Ests(B),
dated 11-2-1965, 30/12/66-Ests(B) dated 15-9-1966 & No.
23/97/68-Ests(B). dt. 26-2-1969.]
5.7 Assessment Reports on Candidates
Ministries/Departments should send to the Commission annual
assessment reports on candi-dates appointed on the recommendation
of the Commission, in the proforma prescribed for the purpose
(Annexure XI). These reports should be sent for the first five
years of their service in respect of officers selected through the
competitive Examinations (excluding Defence Services and
Ministerial Services Examinations) and for a period of two years
after appointment (excluding
the period of probation) in the case of officers selected
through interview. Reports need not be sent for officers /Services
below Group A-Junior scale.
[Department of Personnel OM No. 23/12/71-Ests(B), dated
5.8 Absorption of Surplus Central Government Servants (i)
Officers declared surplus under the scheme for redeployment of
surplus staff as indicat-
ed in MHA OM No. 3/27/66-CS.II, dated 25-2-1966 will be
redeployed by the Central (Sur-plus Staff) Cell of the Department
of Personnel. Following procedure has been prescribed for the
redeployment against Group A & Group B services/posts which are
required to be filled through the UPSC
The cases of redeployment of surplus staff in the Cell will be
considered by the Union Public Service Commission (if necessary on
the basis of an interview) for appointment against Group A and
Group B Services/Posts filled otherwise than on the 'basis of
competitive examinations held by them. For the purpose, the
Controlling Authorities, who are already required to send to the
Director General, Resettlement Ministry of Defence, copies of
requisitions for filling of vacancies in Group A/Group B
Services/Posts simultaneously when they are placed with the
Commission [Cf. Para 1(ii) of Ministry of Home Affairs OM No.
14/42/65-Estt(D), dated 29th March, 1966] should also
simultaneously send the copies of requisition to the Central
(Surplus Staff) Cell in. the Department of Personnel. The Central
Cell will forward to the Commission within 10 days of the receipt
of a requisition, the detailed particulars of staff who may be
considered by them to be prima facie suitable for appointment
against the vacancies in question. If no recommendations are
received from the Cell within the aforesaid period of 10 days or if
the candidates recommended for consideration by the Cell are not
found suitable by the Commission, the Commission will proceed with
the recruitment for the posts in the usual manner.
[MHA OM No. 1/2/66-CS.111, dated 25-3-1968]
5.9.2 Where a member of the 'UPSC has to preside over meeting of
the DPC, the necessary documents should be sent to the Commission
along with the references requesting the commis-sion to nominate
one of their Members to preside over the DPC. The papers should be
com-plete as per the proformac as given in Annexure-II, duly filled
in and should be sent in good time before the meeting. It should be
ensured that the information furnished to the UPSC/DPC is factually
correct and complete in all respects. Cases where incorrect
information has been furnished should be investigated and suitable
action taken against the person responsible for it.
The recommendations made by the DPC before they are implemented
require approval of the Commission, if
(i) consultation with UPSC is compulsory under UPSC (Exemption
from Consultation) Regulations, 1958, as amended from time to time;
(ii) the Member of the Commission who presided over the DPC
specifically desires that the Commission should be consulted.
In such cases the Commission convey their approval while sending
the proceedings of the DPC. MOP OM No. 39011/215/73-Estt(D), dated
14-3-1977, OM No. 22011/6/75-Estt(D), dated 30-12-1976].
5.9.3 Where UPSC is associated with the DPC, the recommendations
of the DPC should be treated as recommendations of the UPSC. If it
is considered necessary by the appointing authority to vary or
disaeree with the recommendations made by the DPC, the procedure
prescrib-ed for over-ruling the recommendations of UPSC should be
followed. The relevant portion of
5 .4.6. It is not necessary to consult the 'Commission in regard
(i) the initial appointment to the Delhi, H.P. and Andaman and
Nicobar Islands Civil Service of any person who was previously a
permanent member of the Punjab Civil Service (Execuitve Branch) and
who has been finally allotted to H.P. under sub-section (2) of
Section 82 of the Punjab Reorganisation Act, 1966 (31 of 1966); '
(ii) the initial appointment to the Delhi, H.P. and Andaman and
Nicobar Islands Police Service of any person who was previously a
permanent Deputy Superintendent of Police or a permanent
Prosecuting Dy. Superintendent of Police of the Punjab Police and
who has been finally allotted to H.P. under sub-section .(2) .of
Section 82 of the Punjab Reorganisation Act, 1966 (31 of 1966).
[UPSC (Exemption from Consultation) Supplementary Regulations,
1969, MHA Notifin. No. 1'8/7/67-E,sts(B), dt. 15-3-1969.]
5.4.7. It .is mot necessary to consult the Commission in regard
to the appointment of hono-rary workers .in Civil Posts provided
that they are not made in any but the most exceptional cases and
that they would be confined to obtaining the services of highly
qualified persons in clearly advisory posts and not in any "cadre"
post or other existing post.
[MHA OM No. 18/15/54-Ests(B), dt. 26-2-1955.]
.5.5 Direct Recruitment by Competitive Examination.
5.5.1 The examination rules laying down inter alia the
conditions of eligibility and the scheme of examination for direct
recruitment are required to be notified by Government; and the
drafting of the rules of an examination is primarily the concern of
the Government. It is essential that the draft rules/comments on
the draft rules for the examination are referred to the Commis-sion
for their advice in time. Proposals, if any, for making changes in
the conditions of eligibility, etc. in respect of any particular
examination should also 'be -referred to the Commission for their
consideration well in time. Before doing so, such proposals should
invariably be discussed with the Commission's Secretariat, with a
view to ascertaining whether it would be feasible to consider those
proposals for the ,examination concerned, without delaying the
scheduled date for the notification of the rules.
The. above procedural matters should be strictly observed as
failure to do so is liable to upset the schedule of the
examination, with repercussions On the schedule of other
[MHA OM No. 23/11/67-Ests(B), dt. 14-7-1967 read with OM No.
23/38/69-Ests(B), dt. 13-34969 and OM No. 9/21/58-RPS, dt.
5.5.2 (a) Estimate of Vacancies.The Ministries/Departments
should assess carefully, on an annual basis, the 'number of
vacancies required to be filled during a particular recruitment
year, with due regard to all relevant consideration, including the
vacancies likely to occur as a result of retirement, promotions,
etc., and report these to the Commission in time for being notified
by them in their Notice for the information of prospective
(b) Any vacancies arising thereafter, but before the results are
announced, should be notified forthwith to the Commission. In Other
words, firm requirements of the Ministry/Department should be
'intimated to the Commission well before the results are
(c) Once the results are published, additional persons should
not normally be taken till the next examination. Nor should
vacancies reported before declaration of the results be ordi-narily
withdrawn after the declaration of the results. If, however, some
of the candidates recom-mended/allotted for appointment against the
specific number of vacancies reported in respect of a particular
examination do not become available for one reason or other, the
Commission may be approached within a reasonable time for
replacements from the reserves, if available. When
replacements are not available, the vacancies remaining unfilled
should be reported to the Corn- mission for being filled through
the next examination.
LIVIEIA OM No. 23/11/67-Ests(B), dt. 14-7-67, OM No.
23/38/69-Ests(B), dt. 13-3-1969
and OM No. 9/21/58-RPS, dt. 10-6-1959.]
5.6 Direct Recruitmentby Selection after interview. 5.6.1
(Estimate of. Vacancies.Employing Departments should estimate the
vacancies which are likely to occur in the normal course during
the succeeding year and .commu-nicate to the Commission. Whenever a
Ministry/ Department anticipates that its activities in a
particular field have been expanding and that the requirements of
the staff, therefor are likely to be heavy, the personnel
requirements should be planned carefully, so as to avoid
recruitment. [MHA OM No. 9/21/68-RPS, dt. 10-6-1969 read with OM
No. 23/38/69-Ests(B), dt.
5.6.2 Requisition for Recruitment.At the time of placing
requisitions with the Commis-sion the requisitioning authorities
should satisfy themselves inter cilia on the following points :
(a) If recruitment rules for the posts in question were framed
in consultation with the
(i) a requisition should be placed on the Commission only if
direct recruitment, otherwise than through a Competitive
Examination, is prescribed as a method of recruitment for the
posts, if a percentage of vacancies are to be filled by this
method, the vacancies in question should fall in the, relevant
(ii) if direct recruitment is prescribed as a residuary method
of recruitment, a requi-sition should be placed if the prior
methods of recruitment prescribed in the rules, like deputation,
promotion etc., have been tried and have failed;
(iii) the age limits, qualifications etc. proposed in the
requisition should be in accord-ance with those laid down in the
prescribed recruitment rules.
(b) If recruitment rules for the posts have not been framed in
consultation with the Com-mission or if the recruitment is proposed
to be made in a manner which departs in any respect from the
provisions prescribed in the recruitment rules, a requisition
should be placed with the Commission after an officer of the
Ministry, not below the rank of a Deputy Secretary. has discussed
the proposals personally with the Secretary of the Commission or
[MHA OM No. 18/20/54-Ests(B). ch. 8-9-54; MHA DO No.
31(7)/E0/55, dt. 12-3-55; MH A OM No. 18/2/63-Estt(B), dt. 18-1-63;
MHA DO No. 24/15/65-M.P. dt. 28-10-65; UPSC Circular letter No.
2/58/65-RA, dt. 17-10-66; MHA OM No. 23/37/63-Ests(B),
dt. 23-10-68.] (c) The orders of Government issued in connection
with reservation of posts for certain
communities (or for certain categories of persons) should be
carefully borne in mind and requisitions should clearly indicate
whether any of the posts are reserved. and if so, for whom they are
reserved, whether the posts may be treated as unreserved in case
the Commission are unable to find suitable persons of the
communities (or categories) for whom the posts are reserved.
(d) The requisition for recruitment should be carefully drafted
so that they are completely free from ambiguity, particularly
for the post. [MHA OM No. 23/37/69-Ests(B). dt. 23-10-68.]
(e) Requisitions for recruitment should be intimated to the
Commission in the prescrib-ed requisition Proforma UPSC 33
(Annexure X) inviting a reference to the earlier
requisition on the subject, if any.
107 Ivy 0 - 4-4-wrma,, ajt:cr
the procedurekas set out in the Ministry of Home Affairs OM No.
18/42/50-Estt. dt. 27-11-1950 is reproduced below :-
"The Government of India have decided that where the Union
Public Service Commission have been consulted in regard to any
appointment(s) the recommendations made by the Commission should
not be departed from unless, in the opinion of the Honourable
Minister concerned, exceptional circumstances exist which in the
public interest require such departure. In such a case the reasons
for holding this opinion should be communicated to the Commission
and the Commission given an oppor-tunity of further justifying
their recommendations. On the receipt of the observa-tions of the
Commission their recommendations should be considered further by
the Ministry concerned. If, after further consideration, the
Ministry still consider that the recommendations made by the
Commission should not be accepted, the case should be referred with
a self-contained summary to the Establishment Officer of the
Government of India who will place it before the Appointments
Committee of the Cabinet consisting of the Hon'ble Minister
administratively concerned with the appointment(s) In cases in
which the Hon'ble Home Minister or the Hon'ble Prime Minister
happens to be the Minister concerned with the appointment, the
Hon'ble Finance Minister will be added to the Committee. The
decision reached by the Appointments Committee in all such cases
should be communicated to the Commission by the Ministry
administratively concerned. Final orders in accordance with the
decision will also be issued by that Ministry, copy being endorsed
to the Commission."
5.10 Appointments on transfer/Deputation/Short -term
The Ministries/Departments of the Government of India are
required to observe the follow- ing steps in filling up vacancies
by transfer, on deputation (including short-term contract) /
(i) an accurate assessment of the vacancies to be filled by the
above method should be macie sufficiently in advance to enable them
to follow the prescribed procedure pro-perly.
(ii) Where-ever the recruitment rules prescribed different
sources and where various cate-gories of officers are eligible for
being considered, it can be considered by c: proper circulation of
the vacancies only where the Ministry concerned ensures that all
such sources /categories are tapped simultaneously. In other words,
the Departments - should not confine circulation of the vacancies
to only one or two sources mentioned in the recruitment rules.
(iii) a minimum period of at least two months should, as far as
possible, be given for receiving nominations.
(iv) As a corollary to item (ii) mentioned above where-ever
employees of the public sector undertakings/autonomous bodies and
non-Secretariat Officers are also eligible under the recruitment
rules, the Administrative Ministry concerned should specifically
request the Departments to reciculate the vacancy to all such
organisations with whom they are concerned so that the requirement
of the recruitment rules are duly met.
It is also considered that the Posts to be filled by
transfer/deputation should be published in all Employment News.
While making reference to the Commission for making selection
the following information/ documents should be sent :-
(!l the details of the applicants, both eligible and ineligible
in the proforma at Annexure Ix.
15-35 Pers. & Tgr.187
(II) Em-data of all the applicants signed by officers themselves
indicating their qualifica-tions, experience, assignments held in
the post, contributions made by them in the field of research,
(III) Complete and uptodate CRs.
(IV) Sob description/duties attached to the post. Besides,the
approval for appointment on transfer should be made keeping in view
guidelines : The cases of transfer fall in two categories
(a) where recruitment rules provide for appointment by transfer
on deputation/transfer and the proposal is only to absorb an
officer already selected on deputation.
(b) where recruitment rules provided for transfer on deputation
only at the time of initial selection of the officer concerned, but
have been amended subsequently to.include
So iar as the first category is concerned, the Commission will
consider the proposals for absorption where the following
conditions are fulfilled ;
(i) the initial selection on deputation basis should have been
made in consultation with the Commission.
(ii) the administrative Ministry should .certify that there is
no other deputationist in position appointed earlier to the.
officer now proposed for absorption, and in case there is any such
person, he is not willing to be considered for appointment on
(iii) the person concerned and the lending authority have given
their willingness for such permanent absorption.
(iv) the original circular letter calling for nominations for
deputation should have clearly mentioned the possibility of
permanent absorption (i.e. transfer).
In the second category of cases, i.e. where the "transfer" has
been provided in the rules subse- quent to the selection of person
on deputation, the Ministries/Departments should recirculate the
post, clearly indicating 'transfer' as a mode of recruitment and
then only make a reference to the Commission.
[DOP OM No. 39011/2/S/75-Estt(D) dated 14-3-1977; OM No. '30011
/8/81-Estt(D) , dated 18-7-1981 and 27:7-1981; OM No.
14017/17/83-Estt(RR). dated 17-7-1985 and 'OM No.
39012/20/85-Estt(B), dated '31-40-851.
6. Disciplinary Cases
A. Officers Serving under the Government of India in a. Civil
capacity other than. All India
6.1 Matters requiring consultationSub-clause (c) of clause (3)
of Article 320 of the Constitution requires that UPSC should be
consulted on all disciplinary matters affecting a person serving
under the Government of. India in a civil capacity, including
memorials or petitions re-lating to such matters. It is not
however, necessary to consult the Commission in regard to the
making of eny order in any disciplinary cases other than
(a) an original order by the President imposing any.of the
following penalties :-
(ii) Withholding of increments or promotion;
(iii) Recovery from pay of the whole or part of any pecuniary
loss caused to the Government by negligence or breach of
(iv) Reduction to a lower stage in the time scale of pay for a
specified period with further directions as to whether or not the
Government servant will earn incre-ments of pay during the period
of such reduction and whether on the expiry of such period, the
reduction will or will not have the. effect of postponing the
future increments of his pay.
(v) Reduction to a lower time scale of pay, grade, post or
service with or without 'further directions regarding conditions of
restoration to the grade or post or service from which the
Government servant was reduced and his seniority and pay on such
restoration to that grade. post or service;
(vi) Compulsory retirement. (vii) Removal from service.
(viii) Dismissal from service.
(b) an order by the President on an appeal against an order
imposing any of the said penalties made by a subordinate
(c) an order by the President over-ruling or modifying after
consideration of any petition or memorial or otherwise, an order
imposing any of the said penalties made by the President or by a
(d) an order by the President imposing any of the said penalties
in exercise of his powers of review and in modification of an order
under which none of the said penalties has been imposed.
[UPSC (EFC) Regulations, 1958, Regulation 5]
6.2 It is alSo not necessary to consult the Commission :
(i) in regard to any disciplinary matter affecting a person
belonging to a Defence Service (Civilian)'; and
(ii) in any case where the President proposed to make an order
of dismissal, removal or reduction in rank after being satisfied
that such action. is necessary in the interest of the security of
(UPSC (EFC) Regulations, 1958, Regulation 5).
B. Officers of All India Services
6.3 The Commission are required to be consulted in regard to the
making of the following orders in any disciplinary case affecting a
person belonging to an All India Services :
(a) an original order by the Central Government or the State
Government imposing on a member of the All India Service any
penalty specified in Wile 6 of the AIS (Discipline and Appeal)
Rules, 1969; [Rules 9, 10, 19, 4 and 24-A of the A.I.S. (DA) Rules,
(b) an order by the Central Government on an appeal against an
order by the State Government imposing any penalty specified in
clauses (i) to (vi) of rule 6 of the A.I.S. (Discipline and Appeal)
(c) an order by the Central Government or the State Government
revising of its own motion or otherwise under rule 24 or 24A of the
A.I.S. (Discipline and Appeal) Rules. 1969 an order passed by it
after consultation with the Commission.
6.4 Procedure. 6.4.1 ll references should be made direct to the
Commission by the Administrative Minis
try concerned in the form of an official letter. On all
occasions where a reference has to be made
to the Commission, no letter should ordinarily issue until after
an officer not below the rank of Deputy Secretary has discussed the
matter personally with the Secretary of the Commission or his
[MHA OM No. 18/18/48-Ests., dt. 20-8-49 & MHA D.O. No. F. 31
(7) -E.0./55, dated 12-3-55] 6.4.2 Disciplinary cases referred to
the Commission should be accompanied by all the
papers and information necessary to enable the Commission to
tender their advice. If any further documents or information are
required by the Commission, an officer of the Commission will
communicate the request personally to the appropriate officer of
the Ministry concerned who should immediately initiate necessary
[MHA OM No. 18/20/54-Ests(B), dt. 8-9-1954].
6.4.3 The official letter of reference to the Commission should
invariably he accompanied by the prescribed proforma (Annexure-XII)
showing the service particulars etc. of the officer concerned and
the details of case records. The proforma should be filled in
completely in all cases and care should betaken to ensure that the
cases are sent to the Commission complete in all respects, with all
relevant information and records arranged in the sequential order,
as per proforma, including the officer's CRs, in original. The
relevant documents are also to be ref-renced for facility of quick
verification and cross-checking of facts.
[MHA OM No. 234/2/66-AVD.II. dt. 30-3-66 & 18-3-68 &
Min. of Pers. & Trg., AR & PG & Pension, DP&T OM
Letter No. 142/13/84-AVD.I, dt. 28-5-85].
6.4.4 Original Cases (i) where an original order in a
disciplinary cases is to be passed by the President, care should be
taken, so.far as possible, to avoid expressing any opinion on.tbe
merits of the case while referring it to the Commission. Where no
enquiry has been held, i.e. so far as proceedings under rule 16 of
CCS (CC&A) Rules or a corresponding rule are concerned. only
the memorandum containing the allegations and the official's reply
thereto should be sent to the Commission and it shall not be
necessary to send a self-contained factual notes as a rule. But a
note should be sent where clarifications/comments have to be given
to explain the points made in the official's explanation. These
clarifications/comments should, however. be only factual and
procedural and should form part of the record.
(ii) Where an enquiry has been held, the Government will
consider the explanation fur-nished by the charged officer and the
findings of the Enquiry Officer, and come to a conclusion whether a
penalty is called for. While referring such cases to the
Commission, there may not be any need for preparing a
self-contained note except where it is necessary to clarify the
factual/ procedural points in the light of any remarks contained in
the enquiry report. The note should not, however, discuss the
merits of the case and should not record any findings on the
charges or express any opinion regarding the penalty to be imposed
on the officer.
[MBA, DOP&AR OM No. 39021/4/81-Estt(B), dt. 29-5-82).
(iii) While referring a disciplinary case to the Commission for
advice. the Ministries! Departments are to clearly indicate that
the disciplinary authority has come to a provisional conclusion
that a formal penalty is to be imposed on the charged officer.
[MHA DOP&AR OM No. 39021/13/84-Estt(B). dt. 17-9-84].
6.4.5 Cases of Appeal.While forwarding an appeal to the
Commission, there should not be any expression of opinion on the
merits of the case. It should, however, be ensured that comments of
the Disciplinary Authority on the appeal, as required under the
rules. are invariably sent to air Commission.
6.4.6 Procedure in cases of review on Menzorials/Petitions or
otherwiseIn terms of the provisions of the Union Public Service
Commission (Exemption from Consultation) Regulations. . the
Commission are required to be consulted only when the President
proposes to pass an order over-ruling or modifying, after
consideration of any petition or memorial or otherwise, an
1 1 1
imposing any of the penalties, made by him or by a subordinate
authority, or an order imposing any of the penalties in exercise of
his powers of review and in modification of an order under which
none of the penalties has been imposed. In such cases, the
Ministry/Department should indicate, in a separate note, or in the
forwarding letter, the considerations on account of which a
modification of the order already passed in the case is called for
and the extent to which the modification is sought.
6.4.7 In cases where, as a result of the review, it is proposed
to impose a penalty where no penalty has been imposed or to enhance
the penalty, and a show-cause notice to this effect is issued to
the officer, a note containing the Government's comments on any
factual/procedural points raised by the officer in the reply to the
show-cause notice should be forwarded to the Commission together
with other relevant papers, without, however, expressing any view
regard-ing the findings on the charges, or the penalty to be
imposed on the officer.
[DOP&AR OM 39021/4/81-Estt(B), dt. 29-5-82].
6.4.8 In disciplinary cases where orders of penalty/exoneration
passed by a subordinate authority are proposed to be modified on
revision or review by the President, the said orders should not be
set aside/cancelled, as strictly speaking cancellation of the
penalty, if done in the name of the President, amounts to
modification by the President of the earlier order of the
subordinate authority, for which prior consultation with the UPSC
is necessary under Regula-tion 5(1) of the UPSC (Exemption from
Consultation) Regulations, 1958. The correct pro-cedure in such a
case would be to take action in accordance with rule 29(1) or 29-A
of the CCS (CCA) Rules, 1965, without cancelling/setting aside the
orders of the subordinate authority and it is only in the final
stage when the orders are issued modifying the original penalty
that it would be necessary to set aside the original order of
6.4.9 The Commission are required to be consulted in regard to
the making of the following orders in the disciplinary cases of
(a) An order of the President withholding or withdrawing the
pension or any part of it; whether permanently or for a specified
period or recovering from the pensioner of the whole or part of any
pecuniary loss caused to Governinent if, in a departmental or
judicial proceedings, the pensioner is found guilty of grave
misconduct or negli-gence during the period of his service,
including service rendered upon re-employ-mefit after
[M.F. Notification No. F.4(30)-EV(C) /62, dt. 22-8-62]. (b) An
order of the President. in his capacity as the appointing authority
sanctioning authority as the case may be; withholding or
withdrawing a pension or part thereof, whether permanently or for a
specified period, if the pensioner is con-victed of a serious crime
or is found guilty of grave misconduct.
[M.F. Notification No. F.19(1)-EV/68, dt. 20-4-68]. (c) Any
order which the President may deem fit to make, in his capacity as
late authority. in respect of appeals made by pensioners against
orders passed by the appointing authority or pension sanctioning
authority as the case may be in cases of the nature specified in
(d) An order of the President (whether original) appellate or in
the exercise of power of review) awarding a pension less than the
full compensation pension admissible. under the relevant rules, to
an officer compulsorily retired from service as a penalty.
6.4.10 In all cases of withholding/withdrawing a pension, as a
sequel to departmental/ judicial proceedings instituted against a
Govt. servant, the Commission are required to he con-sulted before
orders are passed by the President. In these cases, it shall be
necessary to issue a
show cause notice to the Government servant concerned in
accordance with the instructions con-tained in the Ministry of
Finance (Deptt. of Expenditure) OM No. F.1.9(9)-EV/66 dt. 6-6-1967,
precisely indicating the extent of the proposed cut in pension. The
official's reply ihereto should be sent to the Commission, together
with other relevant papers and with a .note containing the
clarifications/comments explaining the points madein.the official's
[MHA. OM ,No. 39021/4/81-Estt(B). dt. 29-5-82].
6.4.11 The Commission should be informed of the action taken on
their advice in all cases. Ordinarily, an endorsement forwarding
copies of communications in which orders are conveyed will be
sufficient. The letter containing the findings of the Commission
shall form part of the records of the case and shall be
communicated to the officer or officers concerned along with the
orders of the authority empowered to pass orders in the case.
7. Reimbursement 01 Legal Expenses.
7.1 Cla-use (d) of Article 320(3) of the Constitution requires
consultation with the UPSC on any claim by a Government servant for
reimbursement of the costs incurred by him in defending legal
proceedings instituted against him in respect of acts done or
purporting to be done in the execution of his duty. The question
whether a case falls under Article 320(3) (d) of the Constitution
so as to require consultation with the Commission may at times be
difficult to determine. It may be stated generally that the
consultation is obligatory in a case where a reasonable connection
exists between the act of Government servant and the discharge of
his duties; the act must bear such relation to the official
-dutiesthat the Government servant could lay .a reasonable but not
a pretended or a fanciful claim that he did it in the course of the
per-formance of his duties. In this respect, the appropriate
authority for taking decision in each ease is the administrative
Ministry of the Government of India concerned (the Comptroller
& Auditor General of India in respect of personnel of IA and A
Department), who will consult the Finance and Law Ministries, where
In cases iv which consultation with the Commission is not
obligatory, it will be open to Government to seek the Commission's
advice if considered necessary.
[MHA 00 No. 45/5/53-Ests(A), dt, 8-1-1959. para 3].
7.2 References to the Commission on cases involving
reimbursement of legal expenses, should be accompanied by the
proforma at Annexure-XIII, duly completed in all respects and with
all the necessary documents referred to in item 9 thereof.
[UPSC letter No. 55/34/67-S.11, dt. 16-12-67 forwarded to
Ministries with circlar endor-sement No. 45/1/68-Ests(A), dt.
8. Extra Ordinary Pension
8.1 Under UPSC (Exemption from Consultation) Regulations
consultation with the Commission in regard to claims for award of a
pension in respect of injuries substained by a person while serving
under the Government of India in a civil capacity-vide Article
320(3) (e)- is not required in the case of
(a) A person belonging to an All India Service. or a Central
Service, Group A or a Central Service. Group B, in so far as claims
arising out of injuries sustained at
any time during which the proclamation, issued on 26th October,
1962, by the President under clause (1) of Article 352 of the
Constitution. remains in opera-tion, are concerned;
(b) a person belonging to a Central Service. Group C or a
Central Service, Group D. [UPSC (Exemption from Consultation)
Regulations. Regulation 61.
8.2 A person 'who is serving with a military force in a civil
capacity, irrespective of the fact that he is subject to the Army
or the Air Force Act, serves in a civil capacity Within the meaning
of clause ( .3) (e) of Article 320 of the Constitution. The fact
that he is paid from the Defence Estimates does not affect the
nature of his service. A civilian officer subjected to the Army
Act, 1950 by reason of Section 2(1).(i) of that Act and a civilian
officer subjected to the Air Force Act, 1950, by reason of section
2(1)(d) of the Air Force Act would not lose his civilian capacity.
The UPSC should therefore be consulted on any claim for the award
of a pen-sion to such person in respect of injuries sustained by
them while serving in a civil capacity with the military or Air
[MHA OM No. 18/26/50-Ests., dt. 6-11-50 read with OM No.
18/39/55-Ests(13), dt. 20-12-55]. 8.3 The Commission are also
required to be consulted in respect of any proposal to reduce
or enhance or discontinue any such pension or award. ilv11-1A OM
No. 18/18/48-Ests., dt. 20-8-19491.
9. Acceptance of, or disagreement with the Commission's
9.1 A convention has been established by the Government that in
the following classes of cases referred to the Commission the
recommendation made by that body should be accepted sa-.c in
exceptional circumstances :
(1) Quasi-judicial cases, .i.e.-
(a) Original orders, appeals. memorials, and petitions relating
to .disciplinary matters.
(b) Interpretation of existing conditions of service. (c)
Equitable treatment in the matters referred to the Commission in
. payment of compensation to officers affected by abolition of
) Selection for appointment of candidates by nomination subject
to any special directions that may .be given to the Commission in
the matter of -the -class of candi-dates to be nominated.
NOTE :Where the appointing authority considered the
circumstances so exceptional as to justify a:departure from the
recommendation of the Commission the reasons for that opinion
should be stated and the Commission given an opportunity, if they
so desire, for further justifying their recommendations before a
final decision is taken.
3) Recommendations made by the Commission for. the appointment
of a candidate on a higher initial pay than the minimum pay of the
post, when the requisition for recruitment sent to the Commission
admits of such higher initial pay being recom-mended by the
Commission or where the Commission are consulted on the question of
initial pay to be given to any candidate.
(4) Claims for cost incurred by Government servants in defending
legal proceedings instituted in respect of . acts done or
purporting, to be done in the execution or duty, referable to the
[MHA OM No. 18/18/48-Ests, dt. 20-8-1949. Appendix-II Para
9.2 Difference of opinion regarding recommendations of
Commission regarding Appoint-mentsAs indicated against paragraph
9.3 In cases involving matters other than appointments. whenever
any Ministry/Depart-ment propose not to accent the advice of the
Commission the case has to be shown to the Depart-ment of Personnel
before the orders are passed.
(Department of Personnel OM No. 18/6/70-Ests(B). dt.
1 1 4
9.4 In all cases in which the Department of Personnel propose.
in respect of services/posts under its control, not to accept the
advice of the Commission, whether in regard to appoint-ments or
other matters. the proposal should be placed before the
Secretaries' Committee on Internal Affairs and only thereafter
should the case be submitted to the Minister.
[Department of Personnel OM No. 18/6/70-Ests(B), dt.
9.5 Intimation of Government's decision to Commission on their
The Commission should be informed of the action taken on their
recommendations in all cases. Ordinarily, an endorsement forwarding
copies of communications in which orders are conveyed,
recommendations are made or other action taken, will suffice.
[MHA OM No. 18/18/48-Ests, dt. 20-8-1949. Appendix-II. para
10. Returns to be sent to the Commission.
The following returns are required to be sent to the Commission
regularly by the Minis-tries/Departments :
(1) As indicated against paragraph 5.4.5.(vi). (2) Quarterly
return in the prescribed proforma (Annexure-XIV) showing' the
of framing of recruitment rules for Groups AC posts under the
various Minis-tries/Departments, etc.
[MHA OM No. 20/21/66-Ests(D). dt. 2-3-67, MHA OM No.
2/74/68-Ests(D). dt. 5-6-68].
NOTE.The yearly return showing the lists of Group A and Group B
officers attaining the age of superannuation during the subsequent
year prescribed in MHA OM No. 18/8/56- Ests(B), dt. 11-6-56 has
been discontinued. It should, however, be noted that re-employment
of a superannuated officer attracts the provisions of regulation 4
of the UPSC (Exemption from Consultation) Regulations. 1958, and
reference in such cases to the Commission should be made as
required under the proviso to reeulation 4(1) and should not be
delayed till after the person re-employed has completed one year in
[Department of Personnel OM No. 18/11/72-Ests(B), dt.
ANNEXURE-I (Vide Para 3 -2)
PROFORMA FOR REFERRING PROPOSALS FOR PROMOTION TO THE UNION
PUBLIC SERVICE COMMISSION
1. Name of Ministry/Department/Offioe.
2. Names and designation of Members of the Departmental
Promotion Committee (copy of the orders consti-tuting the DPC to be
Name Designation Office Telephone No.
3. Grade or post to which promotion is to be made.
Designation Classi- Scale No. of posts Total No. of posts filled
No. of regular vacancies fication of pay in the grade on ad-hoc
basis falling in Promotion
Filled Unfilled Pmt. Temp. Total Existing/Anti- Total mated (for
current year panel only)
2 3 4 S 6 7
8 9 10
3. (a) Year-wise break un of the number of regular vacancies
indi- Tear cated in column 7 of item 3 [as required vide MHA OM No.
22011/3/76-Estt. (D) dt. 24-12-1980]
Note : Regular vacancy means as defined in Section IV of the
DOP&AR OM No. 22011/6/75-Estt. (D). dt. 30-12-76.
4. Recruitment Rules for the grade/post : (a) Date on which the
Recruitment Rules were notified in the
Gazette of India and UPSC reference under which they were
(b) Method of recruitment prescribed : (i) % direct recruitment.
(ii) % promotion. (iii) % deputation/transfer.
(c) Whether an up-to-date copy of the recruitment rules has been
enclosed (this should invariably be sent for reference). If any
changei in the recruitment rules have been agreed to by the
Commission after they were notified, details should be atta-ched.
It, after the approval oc" the recruitment ruld any other post has
been created which should normally be included in the field of
promotion, give details :
5. Grade or Po0. from which promotion is to be made.
Gen SC ST Total
. . Dmignation Classification Scale of pay Recruitment pres-
cribed for eligiblity for promotion
Whehter reservations are re-. quired to be made for SC and ST
for promotion from this G radt/post indicated in S. No. 3 above, in
accordance with the orders in this regards
16-35 Per & Trg./87 115
6. UPSC reference No. under which promotion to the gtadefpost
were last considered.
7. Seniority List
(a) Whether a seniority list as in the prescribed proforma
(Annexure-IB) has been enclosed.
(b) Whether all eligible officers, including those belonging to
SC and ST and those deputation etc. are included and whether those
belonging to SC, ST and those are on rieputa-tion are clearly
indicated in the seniority list.
(c) Whether the list, before finalisation was circu-lated to all
(d) Whether there are any officers whose seniority has not been
finalised. If so, give details.
(e) Whether the Seniority List (Annexure-IB) has been duly
authenticated by an officer not below the rank of Under Secretary
to the Government of India.
7.(A) An eligibility list showing sparately officers who are
eligible for different years for which the Select List is to be
prepared should be drawn up and enclosed. The eligibility list for
past years should be drawn up as on the 31st December of the year
for which the panel is drawn. In cases where there are more than
one feeder grade for which no specific quotas have been earmarked,
a common eligibility list should be forwarded.
8. Character Rolls.
Complete and up-to-date character rolls of all the eli-gible
officers are required.
(a) Whether a list (in duplicate) been attached showing the
names of officers whose character rolls are enclosed with this
(b) Are the character rolls complete and up-to-date? (Character
rolls should be sent only after they have been completed.)
9. Integrity Certificate :
Whether an integrity certificate, in terms of the instructions
contained in the Ministry of RA OM No. 119/71-Estt (D), dt.
22-1-1972 has been enclosed.
10. Self-Contained note for the DPC :
Whether a self-contained note for the DPC, ex-plaining the
proposals for promotion, has been enclosed.
Vide Item 6 of the DPC Proforma
Particuiarb of changes in the Seniority List.
Name of the Officers which were included in the last seniority
list but have been deleted in the present seniority list.
Reasons for deletion
Names of officers andell in the present Seniority List.
Post held substantively Remarks UPSC Reference in which
Vide Item 7 of the DPC Proforma
Seniority list of officers it the grade of as on
Sr. No. Name of the Officer Whether belongs to Date of Birth
Date of regular
Scheduled Caste or appointment to Scheduled Tribe. If
the grade not, say neither
*Signature of Authenticating Officer.
*To be signed by an officer of or above the rank of Under
ANNEXUR13-II (Vide Para 3.2)
PROFORMA FOR REFERRING PROPOSALS FOR CONFIRMATION
I. Name of Ministry/Department/Office :
2. Names & Designation of Members of the Departmental
Promotion Committee :
Name Designation Office Telephone No.
(Note:Copy of orders constituting the DPC to be attached)
3. Grade or post in which confirmation is to be made :
(c) Scale of pay
(d) Total number of permanent posts in the grade.
(e) (i) Total number of vacancies available for confir-mation
and the dates on which available.
*(ii)Number of vacancies falling in the direct re-cruitment
quota with dates on which they oc-curred.
*(iii)Number of vacancies falling in the promotion quota with
the dates on which they occurred.
(iv) Number of vacancies available for being filled by transfer
with dates on which they occurred.
(v) Whether appropriate reservation for SC/ST in Service/Posts
has been made ?
(vi) Details of Vacancies reserved for Scheduled
o be furnished only in cases of posts/services where specific
quotas have been prescribed for substantive appointment of
promotees/direct recruits/departmental examination candidates
4. UPSC reference number under which confirmation to the
post/grade were last considered.
3. Recruitment Rules for the Grade/Posts :
(a) Date on which the Recruitment Rules were notified in the
Gazettr.. of India & UPSC reference num-ber under which they
(b) Metod of recruitment prescribed :
(i) %direct recruitment
(ii) % promotion
(iii) % deputation/transfer
(c) Whether an up-to-date copy of the recruitment rules has been
enclosed? (This should invariably be sent for reference). If any
change in the Re-cruitment Rules have bean agreed to by the
Com-mission after they were notified, details should be
6, Seniority Lists :
(a) Whether a seniority list as in the proscribed pro- forma
(Annexure-IB) has been enclosed ?
(b) Whether all eligible officers, including those on deputation
and those holding the higher post on a local or purely ad-hoc or
temporary basis are included in the list ?
(c) Whether the list, before finalisation was circulated to all
(d) Whether there are any officers whose seniority has not been
finalised ? Ifso, give details.
(e) Whether the seniority list (Annexure-IB) has been duly
authenticated by an officer not below the rank of an Under
Secretary to the Government of India ?
(f) Whether the list has undergone any changes since it was last
placed before the DPC ? If so, give necessary details in the
(g) In cases of confirmation of officers appointed by different
methods e.g. promotion, Direct Re-cruitment or transfer, please
enclose separate seniority lists also in addition to combined
7. Character Rolls :
Complete and up-to-date character rolls of all the officers
assessed as 'Not Yet Fit' are required.
(a Whether a list (in duplicate) has been attached. showing the
names of Officers whose chara-racter rolls are enclosed with this
(b) Are the character rolls complete & up-to-date ?
(Character rolls should be sent only after they have been
(c) Names of officers, if any, in whose cases adverse remarks in
their character rolls were communicated to them and the time
allowed for submission of a representation is not yet over.
(d) Names of officers, if any, who have submitted
representations against adverse entries in their character rolls,
but decisions on the represen-tations have not yet been taken.
Whether the officers have completed satisfactorily the period of
probation ? The date of regular appointment & the date of
completion of pro-bation should also be given.
9. Integrity Certificate
Whether integrity certificate in terms of MHA No. 1/9/
7I-Estt.(D) dated 22nd January, 72 has been enclosed ? A
certificate regarding integrity should also be re-corded in the DPC
10. Whether the DPC for confirmation has been convened in time ?
If not. state the reason therefor.
11. Self-contained Note for the DPC :
Whether a self-contained note for the DPC explaining the
proposals for confirmation has been enclosed ?
Office Tele No.
SERVICES & POSTS EXCLUDED FROM THE PURVIEW OF THE UPSC.
(1) Posts in respect of which the authority to appoint is
specifically conferred on the President by the Cons-titution.
(2) Posts of Chairman or Members of any Board, Tribunal,
Commission, Committee or other similar authority created by or
under the provisions of a Statute.
(3) Posts of Chairman or Member of any Board, Tribunal,
Commission, Committee or other similar body appointed by or under
the authority of a resolution by either House of Parliament or by a
resolution of Govern-ment for the purpose of conducting any
investigation or enquiry into or for advising Government on
(4) Posts of Heads of Diplomatic, Consular and other similar
Indian Missions in countries abroad (e.g. Ambassadors, High
Commissioners, Ministers, Commissioners, Consuls General,
(5) Posts on the personal staff attached to holders of posts
mentioned in items (1) to (4) above.
(6) Posts in the Secretariat of the Lok Sabha and the Rajya
Sabha. (7) All technical and administrative posts in or under the
Atomic Energy Commission. (8) Judicial Commissioners, Additional
Judicial Commissioners, District Judges, Sessions Judges, Addi-
tional District Judges and Additional Sessions Judges in the
Union Territories. (9) All Civil and criminal judicial posts in
Union Territories under the control of a High Court or a Court
of a Judicial Commissioner, other than those included in item
(8). (10) All Group C and D Services and posts, save as otherwise
expressly provided in the relevant rules or
orders governing recruitment thereto. (11) Save as otherwise
expressly provided in the relevant recruitment rules or orders
thereto, any service or posts concerned with the Administration
of the Union Territories of Arunachal Pradesh and Mizoram.
(12) Posts in the Secretariat and Personal staff of the
President and Vice-President. (12A) Posts in the Government
Hospitality Organisation under the Ministry of External Affairs.
(13) National Research Professors under the Ministry of Scientific
Research and Cultural Affairs.
(14) Posts of Consutants and Chief Consultant in the Planning
Commission. (15) Posts of Private Secretary to the Solicitor
General of India and the Additional Solicitor General of
(16) All technical and administrative posts in or under (a) the
Electronics Commission, constituted by the Resolution of the
Government of India in
the Department of Cabinet Affairs No. 26/7/70`E.C., dated 1st
Feburary, 1971. (16A) The posts of Private Secretary to the Speaker
and Private 'Secretary to the Deputy Speaker of
the Legislative Assembly of Goa, Daman and Diu. (16 B) All
technical adminstrative posts in or under the Commission on
Additional Sources of Energy,
constituted by the Resolution of the Government of India in the
Cabinet Sectt. No. 64/1/1/80-Cab., dated the 12th March, 1981, for
a period of three years from the commencement of the Union Public
Service Commission (Exemp-tion from Consultation (Second Amendment)
(16 C) All Group A and Group B Scientific and Technical posts in
or under the Department of Non-Con-ventional Energy Sources for a
period from 15-5-1982 to ,14-5-1986.
[DOP&T Notification No. 39018/3/84-Estt (B), dt. 30-4-85 and
18-9-85) .File No. 1/14/84-S. II)
(16D) Recruitment/Promotions of scientific and technical
personnel in the Defence Research and develop- ment Organisation
(DRDO) under the Ministry of Defence.
(DOP&T Notification No. 39018/4182'Estt (B), dt.
18-5-1985--File No. 1/24/84-S. In.
(16E)All Group 'A' and Group 'W posts in or under the central
(17) Any Service or post or class of posts in respect of which
the Commission has agreed that it shall not be necessary for it to
ANNEXURE-TV (See Para 5 2 '2)
in the Ministry/Department of
Recruitment Rules for File No.
Name of Post No. of Posts
Classifica- Scale tion of pay
Whether selection post Or non-selec-tion post
Age for direct recruits
Whether Educational benefit and other quali-
of added heat ions requi- years of red for direct service
recruits admissible under rule 30 of the CCS (Pen- sion) Rules,
Whether age and edu-cational qualifications prescribed for