.!ITT,T117,7,7,172117,;

CHAPTER-V

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 Statutory Provisions.

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 of India;

(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 the

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

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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 certificate :

(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 Commission.

[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, 1958.

[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. 5-8-1965.1

3.7 Association of the Chairman or a Member of the UPSC with the special Recruitment Board for making selections for the scientists pool.

[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), dt. 13-10-76.1

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 provisions

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%.4•No. 9/11/55-RPS, dated 22-124959]

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).

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[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 of-

(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 I.]

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

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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 functions.

[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 at Annexure-VI.

(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 61

5.4. Appointments which may be. made without consulting the Commission.

5.4.1. Save as otherivise expressly provided in the rules governing recruitment n' the civil

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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, Group 'A';

.(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, Regulation 3].

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 with

-the'Commission: IMHA OM No. 18/10/58-Ests(B), dt. 9-1-59 Para 2.]

It is not necessary to consult the Commission in regard to the selection for a tempo-rary or officiating appointment to a post, if

,(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 Commission; and

(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 pending

selection through the Commission. they should make sure that the persons appointed conform 14-35Per Trg, /87

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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 qualifications

and experience.

[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 candidates.

[(MHA OM No. 18/18/48-Ests., dt. 20-9-1949, Appendix I Para 51

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 Commission 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 4.1

(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 Annexure-VII(b).

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 appointment.

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

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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 appointment.

(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 procedure.

(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) concerned.

[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. 25-9-1972.]

(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 05

(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 October, 1985]

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 Commission.

[MHA OM No. 18/5/49-Ests, dated 22-4-1949].

5.6.4 Participation of Departmental Representative in Interview Boards :

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

10 6

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 27-4-71]

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]

5.9.1 Promotions/Confirmations.

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; or

(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

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5 .4.6. It is not necessary to consult the 'Commission in regard to

(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); ' and

(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 examinations.

[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. 10-6-1959.]

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 candidates.

(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 announced.

(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

IL 04

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 Recruitment•by Selection after interview.

5.6.1 (Estimate of. Vacancies.—Employing Departments should estimate the number of 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 sporadic

recruitment. [MHA OM No. 9/21/68-RPS, dt. 10-6-1969 read with OM No. 23/38/69-Ests(B), dt.

13-3-1969.]

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

Commission-

(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 quota;

(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 his nominee.

[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 by Ministries/Departments ,

so that they are completely free from ambiguity, particularly regarding qualifications

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 Contracts.

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) / transfer :—

(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

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(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, etc..

(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 the following

guidelines :— The cases of transfer fall in two categories viz.

(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

transfer.

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 transfer basis.

(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

Service Officers.

6.1 Matters requiring consultation—Sub-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 :-

(i) Censure;

(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 orders;

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(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 authority;

(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 subordinate authority;

(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 the State.

(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, 1969].

(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) Rules. 1969;

(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

1 10

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 nominee.

[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 action.

[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 otherwise—In 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 order

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 penalty.

C. Pensions

6.4.9 The Commission are required to be consulted in regard to the making of the following orders in the disciplinary cases of pensioners :

(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 retirement.

[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 or pension

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 the appel-

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 (b) above.

(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

112

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 made•in.the official's reply.

[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 -duties•that 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 necessary.

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. 18-1-1968].

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.

113

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 Force.

[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 advice—conventions regarding.

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 regard to

. payment of compensation to officers affected by abolition of posts.

) 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 Commission.

[MHA OM No. 18/18/48-Ests, dt. 20-8-1949. Appendix-II Para 7].

9.2 Difference of opinion regarding recommendations of Commission regarding Appoint-ments•As indicated against paragraph 5.9.3.

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. 9-12-1970].

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. 9-12-1970].

9.5 Intimation of Government's decision to Commission on their Recommendations :

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 5].

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 progress

of framing of recruitment rules for Groups A—C 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 the post.

[Department of Personnel OM No. 18/11/72-Ests(B), dt. 22-9-1972].

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 attached).

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

quota

Filled Unfilled Pmt. Temp. Total Existing/Anti- Total mated (for current year panel only)

1

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 approved.

(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

116

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 concerned.

(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 reference ;

(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.

Signature

Designation .

Date

117

ANNEXURE.-IA

Vide Item 6 of the DPC Proforma

Particuiarb of changes in the Seniority List.

(I)

Name of the Officers which were included in the last seniority list but have been deleted in the present seniority list.

Reasons for deletion

1 2

!O .

Names of officers andell in the present Seniority List.

6.

Post held substantively Remarks UPSC Reference in which recommended/ approved

8 nn••n•••n••

6 7

4 5

1 18

ANNEXURE-IB

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.

Designation

Date

*To be signed by an officer of or above the rank of Under Secretary.

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 :

(a) Designation

(b) Classification

(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 Castes/Tribes.

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 etc.

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 were approved.

119

Ito

(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 attached.

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 concerned ?

(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 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 Annexure-I(A).

(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 list.

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 reference.

(b) Are the character rolls complete & up-to-date ? (Character rolls should be sent only after they have been completed).

(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.

121

Probation

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 minutes.

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 ?

Signature

Designation

Date.

Office Tele No.

ANNEXURE r

SERVICES & POSTS EXCLUDED FROM THE PURVIEW OF THE UPSC. (Para 4.2)

(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 specified matters.

(4) Posts of Heads of Diplomatic, Consular and other similar Indian Missions in countries abroad (e.g. Ambassadors, High Commissioners, Ministers, Commissioners, Consuls General, Representatives, Agents).

(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 governing recruitment

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

India.

(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) Regulations, 1982.

(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 administrative Tribunal.

(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 be consulted.

122

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,

1972

1

2

3

4

6a 7

Whether age and edu-cational qualifications prescribed for direct recruits will apply in the case of promotees

Period of probation, if any.

Method of rectt, whether by direct rectt. or by pro-motion or by deputation/transfer & percentage of the vacancies to be filled by various methods

In case of rectt. If a DPC exists, by Promotion/ what is its deputation! composition transfer, grades from which promotion/ deputation/ transfer to be made

Circumstances in which UPSC is to be consulted in miking tectt.

8

9

10

11 12

13

17-35 Per & Trag./87

ANNEXURE-V (See Para 5.2'•2)

FORM TO BE FILLED BY THE MINISTRY/DEPARTMENT WHILE FORWARDING PROPOSALS TO THE DEPTT. OF PERSONNEL AND THE UNION PUBLIC SERVICE COMMISSION FOR FRAMING RECRUITMENT RULES FOR POSTS.

1. (a) Name of the posts . •

(b) Name of the Ministry/Department (c) Number of posts . . (d) .Scale of pay

(e) Class.and Service:to which the posts belong (cf MHA Notification No. 20/16/60-Estt. [A), dt. 13-3-621 .

(f) Ministerial or non-ministerial (cf F.R. 9 (17).

2. Appointing Authority 3. Duties of the posts in details. 4. Describe briefly the method (s) adopted for filling the

posts hitherto.

5. Method (s) of recruitment proposed.

6. If the promotion is proposed as a method, of recruitment —

(a) Designation and number of the posts proposed to be included in the field of promotion.

(b) Number of years of qualifying service proposed to be fixed before persons in the field be come eligible for Promotion (cf MHA OM No. 1/5/58-RPS, dt. '26-2-58.)

(c) Percentage of vacancies in the grade proposed to be • filled by promotion. •

(d) Reasons for proposing the percentage in (c) above. (e) Have recruitment rules beenframed for the posts

proposed in the field of promotion? If framed in consultation with the Commission, please quote Commission's reference No. If consultation with the Commission was not required, please attach a copy of rules framed.

(f) In case the feeder posts are filled by promotion, the recruitment rules for the still lower posts (including the lowest post to which direct recruit-ment is one of the methods of recruitment) may be furnished.

(g) if Recruitment rules were not framed for the post in the field of promotion-

(i) Please indicate briefly the method of recruit-ment actually adopted for filling the posts. Please also state the percentages of vacancies filled by each of the methods.

(ii) Please state briefly the educational quali-fications possessed by the persons in the field of promotion.

(h) (i) Is the promotion to be made on selection or non-selection basis ?

(ii) Reasons for the proposal in (i) above. (i) If aDPC.exists, what is its composition..

124

1 2 b

(j) indicate if the feeder posts are having promotion channels to posts other than the one under consideration.

7. If promotion is not proposed as a method, please state why it is not considered desirable/possible/necessary.

S. If direct recruitment is proposed as a method of recruit-ment (cf MHA OM No. 2/45/55-RPS, dt. 8-12-1955) please state:—

(a) The percentage of vacancies proposed to be filled by direct recruitment.

(b) indicate if there are any promotional avenues for the direct recruits.

(c) (i) Age for direct recruits (of MHA OM No. 2/41/59-RPS, dt. 3-12-1959).

(ii) Is age relaxable for Government servants ?

(d) Educational and other qualifications required for direct recruits. (It may please be noted that the essential qualifications prescribed are relax-able at Commissions' discretion in case of candidates otherwise well qualified).

Essential :

Desirable :

(e) Whether EQ to be prescribed are in accordance with any Act(s) ? If so, please quote the rele-vant Act(s) under which it is necessary and also supply relevant extracts from the Act(s).

(f) Has the post been advertised by the Commission in the past ? If so, please quote Commission's

reference No.

9. If Direct recruitment is not proposed as a method, please state why it is not considered desirable/

possible/necessary.

10. (i) If promotion and direct recruitment are both Proposed as methods of recruitment will the educational qualifications proposed for direct recruits apply in case of promotees ?

(ii) If not, to what extent are the educational qualifications proposed to be relaxed in case of promotees.

11. (a) Is deputation/transfer proposed as a method of recruitment ? If so, please state the reasons for the proposal. Please state clearly whether deputation or transfer or both are proposed.

(b) The percentage of vacancies proposed to be filled by this method.

(e) The period of which deputation will be limited.

(d) The names of the posts or grades or services etc. from which deputation/transfer is proposed

MHA OM No. 2/25/60-Estt. (D), dt. 19-8-19601.

12.If any of the methods proposed fails, by what method are such vacancies proposed to be filled ?

13.(a) Whether the recruitment rules relate to a post

which has been upgraded `from Group , 'C' to

Group `B or Group 'B' to Group `A' or within the same Group ? If so, whether the necessary provision for initial constitution has been

proposed ?

12 6

(b) Whether the recruitment rules relate to a post which is proposed to be down graded 7 If so, whether necessary safeguards have been suggested in respect of the existing incumbents of that post 7

14. Special circumstances, if any, other than those covered by the rules, in which the Commission may be required to be consulted.

15. (a)_Whether the Department of Personnel and Training have concurred in the proposal 7

(b) Whether the Department of Pension and Public Grievances have concurred in for the grant of benefit of added years of service under the Pension Rules

16. 1f these proposals arc being sent in response to any reference from the Commission, please quote commission's reference No.

17. Names, Addresses and telephone Numbers of the Ministry's Representatives with whom these Pro-

. posals may be discussed, if necessary. for clarifi-cation/early decision.

Signature of the Officer sending the proposals.

Date : Telephone No.

Place :

ANNEXURE--VI

(See Para 5 2.2)

FORMS TO BE FILLED BY THE MINISTRY/DEPARTMENT WHILE FORWARDING PROPOSALS TO THE DEPARTMENT OF PERSONNEL AND THE UNION PUBLIC SERVICE COMMISSION FOR AMENDING APPROVED RECRUITMENT RULES

1. (a) Name of the posts.

(b) Name of the Ministry/Department

2. Reference number in which Commission's advice on recruitment rules was conveyed.

3.

Col. No. Provisions in the approved rules Revised Provision Reasons for the proposed. revision proposed.

4. Names, addresses and Telephone numbers of the Ministry, Representatives with whom these proposals may be discussed if necessary, for clarification/early decision.

Signature of the Officer.

Sending the proposals

Date :

Place: Telephone No.

127

ANNEXURE—VII (a) (Vide Para 5 -4 .5) (vi)

STATEMENT SHOWING APPOINTMENTS TO GROUP A Sr. B SERVICES/POSTS IN THE MINISTRY AND ITS ATTACHED AND SUBORDINATE OFFICES.

MINISTRY MONTH-- — _

PART I

Ad-hoc appointments made during the mmitit under Regulation 4 of UPSC (Exemption from

Consultation) Regulations, 195$.

1. Particulars in respect of the Post filled

(a) Name of' the post.

(b) Pay scale and qualification :

(c) Is the post permanent/temporary or a tenure post '? If temporary ; state period for which sanc-tioned and if this period is likely to be extended.

(d) is the vacancy regular or short-term ? If short- term state how it has been caused and its

duration.

(e) Whether, recruitment rules framed, if not, reasons

therefor.

(f) If the recruitment rules exist the number and date of Commission's letter approving the rules.

(g) Indicate how the vacancy is required to be filled, as per the recruitment rules and roster.

2. Particulars in respect of the person appointed :

(a) Name

(b) Date of application

(e) Whether appointment made by direct recruitment/ transfer on deputation/promotion etc.

(d) Whether the appointment is in accordance with recruitment rules, if not, state reasons and quote authority under which appointment is made.

(e) Appointment, if any, held under Govt. prior to the present appointment :—

(i) Name of Post.

(ii) Pay Scale and qualification.

(iii) Whether held on substantive/regular/ad hoc

basis.

(iv) Number and date of Commission's letter if the appointment was made in consultation with the Commission.

PART II

*Results of review made during the month of ad-hoc appointments continued beyond a period of six months under priviso (b) to Regulation 4.

(a) Number of cases where ad hoc appointments were continued beyond a period of six months.

Notc : *Attach a sparate statement furnishing relevant particulars individual cases. 128

1 29

(b) Number of cases where fresh estimate as to the period to which the present appointee is likely to hold the post, was made.

(c) Reasons for not making fresh estimate in the remaining cases.

(d) Whether the results •of review reported to the Commission and if so, indicate the number and date.

(e) Number of cases in which the estimate that the present appointee is likely to post for a period of more than one year.

(f) Number of such cases [as in (e)1 where the Commission has been consulted for filling up the post on regular basis.

(g) Reasons for not consulting the Commission for making regular appointment in other cases, if any.

Signature

Designation

Telephone No.

ANNEXURE—VII (b) (Vide Para 5 4 .5)

HALF YEARLY STATEMENT SHOWING AD HOC APPOINTMENTS TO GROUP A & B POSTS! SERVICES IN THE MINISTRIES/DEPARTMENTS vartai HAVE CONTINUED BEYOND ONE

YEAR. Name of the Ministry/ Department :

For the Half-year ending :

Name of Pay scale & Post Classification

Is the post permanent/ Temporary, if Temp, state period.for which sanctioned & if this Period is likely to be extended.

Date of Whether notified Whether any occurance rectt. reules exist. proposal has been of vacancy/ If so how the made to UPSC vacancies vacancy-is required for making a

to be filled as per selection, if so, rectt. rules/roster. Ministry/Deptt

letter No. & Date. may be indicated

1. 2. 3. 4. 5. 6.

1. 2.

Whether UPSC have recornatcnied any officer for appointment on regular

bas s. If so what is the delay in appointment ?

Name of the officer appointed or. ad-hoc basis and the date from which appointed.

Whether the ad-hoc appointment has already been reported to the Com-mission. If so, Ministry's letter No

and date in which rep) .ted.

7. 8. 9.

indicated hold the

ANNEX/IRE VIII

(fide Para 5.4.5 (yip]

STATEMENT OF INFORMATION REGARDING PROPOSALS FOR RE-EMPLOYMENT

Name of the Officer

2. Date of Birth/Superannuation .

(i) Designation, Classification and scale of pay, of the past in which re-employment is proposed to be made. Whe-ther the post is scientific/technical • •

(ii) Comparative statement (to be enclosed) of the educational qualifications, experience etc. required for the post and those possessed by the officer

Period of proposed re-employment

Designation, Classification and scale of pay of the post held by the officer on a regular basis before superannuation (quote number and date of the Commission's letter approving the appointment).

Reasons for proposing re-employment of the officer .

(i) The methods and fields of reertitment prescribed in the recruitment rules for the post (The Commission's letter approving the recruitment rules to be quoted). If pro-motion is the method of recruitment, whether this has been tried and it has failed (quote Ministry's reference forwarding the proposal for D.P.C.).

(ii) In case the recruitment rules have not been finalised, quote number and date of the Ministry's letter forwarding the recruitment rules to the Commission. .

(iii) In case draft rules have not been forwarded to the Com-mission, indicate action taken to frame the rules .

Specific action taken to make regular arrangements for filling the post on expiry of the proposed period of the re-employ-ment

(i) (a) Action taken to obtain the services of a younger officer to fill the post in accordance with the recruit-ment rules and .

(b) the date on which such action was actually initiated . (ii) Action taken to train a younger officer to take-over from

the superannuated officer on completion of proposed period of re-employment

(iii) Whether the MinistryiDepartmem are satisfied that adequate steps have been taken to ensure that the younger officer will he able to take-over on the expiry of the proposed period of re-employment

Whether this is the first re-employment or continuation of an earlier re-employment, if latter, date of expiry of the period and number and date of the Commission's letter of approval. State the initial date from which re-employment in the post has continued.

10. (a) Total number of posts in the grade .

(b) Number filled on a regular basis . (c) Number filled on ad liar basis and . (d) Number un-filled

130

131

I I. Whether a reference to the Ministry of Home Affairs has been made, in case such a reference is required before the Commission are consulted (of in this connection Para 4 (d) of MiiA OM No. 33/27/67-Esti. (A), dt. 30-11-1967). .

12. .Enclose complete and up-to-date character roll of the officer .

13. If the proposal is made when the officer is about to retire or has already retired, wily a reference to the Commission could not be made well in time . . . .

14. Name, Designation and telephone number of the Ministry's/ Department's representative to be contacted for further in-formation/papers, if necessary. .

Signature of the Officer—

Designation

Telephone No.

18-35 Per. & Trag.(8"

ANNEXURE-IX

(Vide Para 5.10)

No. Government of India Ministry of (Department of

New Delhi, the

To

Subject t-- Sir,

1 am directed to say that it is proposed to fill up a post of

in in the scale:of pay of Rs.

on transfer on deputation basislfrom 'amongsi

Possessing the following qualifications and experience. The period of deputation/contract shall ordinarily not ex-ceed ------years.

Essential : (1)

(2)

(3)

Desirable : (1)

(2)

Note :

2. The officer selected will have the option to draw his grade pay plus deputation (duty) allowance (in accor-dance with the Ministry of Finance OM No, 10 (24)-E. 111/60, dated 4th May, 1961 as amended from time to time) or to have his pay fixed in the scale of pay of the post subject to the restrictions contained in the Ministry of Finance OM No. F. 10(2)-E.Ill (B):60, dt. 9-3-64 as below :—

(i) For officers drawing basic pay above Rs. 7501- . 25% or Rs. 225!- whichever is less.

(ii) For officers drawing basic pay above Rs. 300/- and upto 30% of the pay or Rs. 100/- whichever is more. Rs. 750/-

3. It is requested that the applications (in duplicate) in the enclosed profonmte alongwith the complete and up-to-date confidential reports of the officers who could be spared in the event of their selection, may be sent to this Department/Ministry within 60 days from the date of issue of this letter. Applications received after the last date or without the confidential reports or otherwise found incomplete will not be considered. While forwarding the applications it may be verified and certified that the particulars furnished b.) the officers are correct and that no disciplinary case is pending or contemplated against the officer.

Yours faithfully,

PROFORMA

1. Name:

2. Date of 'Rink: • •

3. Date of retirement under Central!State Govt. Rules. • 4. Educational Qualifications. • 5. Whether Educational Qualification Required for the post

are satisfied If any qualification has been treated as equiva-lent to the one prescribed in the rule;, state the authority for the same.

132

133

Qualifications Required. Qualifications Possessed by the Officer--

Essential

(1) (2)

(3)

Desired

(1) (2)

6. Present post held, -date from which held and the scale of pay wad pay therein.

7. Ixperienc,e in the subject field of selection.

E. Details of service:

(1) Name of post and Employer.

(2) From- To

(3) Scale of Pay:—

(4) Nature of appointment i.e. whether • ad-hoc or re-

gular.

(5) Nature of duties performed in brief

9. Whether belongs to SC or ST. •

10. Remarks.

Signature of Candidate.

Proforma showing names and qualifications possessed by candidates and those prescribed in R. Rs.

S. Name of officer Present Essential Eligibility service Whether Biodata Remarks

No. & date of birth post held Qualifications in terms of scale of C.R.s. Eligible'

with ---1-4.--,—,.......1--J--•--1-1 pay recd. Ineligi-

date & Required Possessed — complete ble. If

scale of as per by Officer Required Possessed ineligi-

pay & pay R. Rs. as per by Officer ble the

therein R. Rs. reasons there- for

1 2 3 4 5 6 7 8 9 10

E.Q. 1. 2.

D.Q. I. 2.

ANNEXURE—X

FORM OF REQUISITION FOR RECRUITMENT (See Para 5 .6 .2)

To be Furnished in Duplicate Ministry/Department/Office.

I. REQUISITION for recruitment to the post(s) of

IL Brief particulars of the posts

Designation Pay scale* & the total Group & Total No. of posts sanctioned emoluments (excluding Service/Cadre CCA & HRA) to be drawn at the time of Permanent Temporary initial appointment

*Higher initial pay may be recommended by the Commission for specially qualified and experienced candidates.

MI: (a) Number of vacancies for which this requisition is Permanent Temporary Total being sent.

(b) How have the vacancies arisen?

(c) If a vacancy is permanent, whether it is to be filled on a permanent or temporary basis.

(d) If a vacancy is temporary, how long it is expected to last irrespective of the period for which it has been sanctioned.

IV. Break-up of the vacancies in column III above. (a) (i) Reserved for SC and not to be treated as unreserved.

(ii) Reserved for SC but to be treated as reserved for ST if no suitable SC candidates are available.

(iii) Reserved for SC but to be treated as unreserved if no suitable SC/ST candidates are available.

(iv) Reserved for ST but not to be treated as unreserved if no such suitable candidates are available.

(v) Reserved for ST but to be treated as reserved for SC if uo suitable ST candidates are available.

(vi) Reserved for ST but to be treated as unreserved if no suitable SC/ST candidates are available.

Total (b) (i) Reserved under the quota prescribed by Govt. for

ECOs/SSCOs who were commissioned during the Emergency on a temporary basis in the Armed Forces on or after 1-11-1962 and released later according to the phased programme/invalided out of service owing to a disability attributable to or aggravated by military service.

(ii) Reservation of (b) (i) above for— (1) SC (2) ST

Total

Note : The number of vacancies indicated against col. IV (b) (ii), for which no suitable SC or ST candidates be-come available will be treated as reserved for general candidates belonging to the category of ECO./SSCOs. If no such candidates are available. the reserved vacancies will be treated as unreserved.

1 34

i36

(c) Unreserved vacancies

Total of (a), (b) (i) & (c) above (Should tally with Col. Ill (a) above

V. (a) Have recruitment rules for the posts been approved by the UPSC?

(b) If so, please quote the number and date of-

(i) the Commission's letter.

(ii) the notification promulgating the rules. (c) If, according to the rules, a promotion of vacancies

should be filled by direct recruitment, please state clearly whether- (i) The present vacancy or vacancies fall in the

direct recruitment quota.

(ii) all vacancies falling in the direct recruitment quota have been included in the requisition.

(iii) If the answer to (ii) above is in the negative, please state clearly the number of vacancies not being reported and the reasons therefor.

(d) If the recruitment rules provide for other methods being tried before resorting to direct recruitment please indicate clearly the action taken in this be-half.

VI. *Particulars of persons who last held the post(s) regularly against the vacancies in Col. HE (a) about.

(a) Name (b) Reference number & date of the Commission's

letter.

VII. If any ad hoc interim arrangements were or have been made to fill the vacancies mentioned in Col. III(a) above, pending selection by the UPSC, please state

(a) the names of the persons so appointed the dates and duration of their appointments and their age, quali-fications, experience etc.

*NOTE:—(If necessary, this information may be given, in the form, above, or in an enclosure, duly signed by the officer who signs the requisition).

(b) whether the Commission were consulted in making the ad hoc arrangements mentioned in (a) above, if so, the number & date of the Commission's letter.

(c) If the answer to (b) is in the negative please state reasons for which a reference to the Commission was not made.

VIII. (a) Is the post pensionable or non-pensionable ? (b) Are there any Provident Fund or other benefits,

and if so, please specify. •

(c) Any special concessions. such as free quarters, light, water, etc.? • •

IX. Period of probation.

X. (a) Duties. • •

(b) Place or Places where the officer(s) will be required to serve.

XI. When istarc the selected candidate(s) required to join? . XII. Prospects of promotion to higher posts or time-scale

if provided in the approved recruitment rules. (Please indicate if it is desired to bring this information to the notice of candidates).

236

>an. Qualifications required:

(a) Essential

(b) Desirable

(c) Are the qualifications at (a) & (b) above in accord-ance with the approved recruitment rules? .

XIV. (a) Age limit(s) if any. (These will be strictly adhered to by the UPSC save in exceptional circumstances but will in no case be relaxed beyond a limit of three years).

(b) Are the age limits relaxable for Government servants?

(c) Are the limits & the relaxation under (a) & (b) above in accordance with the prescribed recruit-ment rules ? If not, please state reasons for the de-viation.

XV. Any other requirements or conditions not covered by the above columns.

XVI. If this requisition is being sent in response to any re-ference from the UPSC please quote their latest reference.

XVII. If direct recruitment was made previously for iden-tical posts please quote-

(i) Your latest reference number and date.

(ii) the Commission's latest reference number and date.

XVIII. Name, address and telephone number of the repre-sentative of the Ministry/Depte who will be de-puted to assist the UPSC at their interview.

?SIX. Name of the officer of the UPSC with whom the re-quisition has been discussed (vide MHA OM No. 23/37/68-Ests(B) dated 23rd October1968.

•It is certified that all vacancies on date which fall within the direct recruitment quota have been included in this requisition.

It is also certified that the number of vacancies reserved for Scheduled Castes & Scheduled Tribes as men-tioned in Col. IV above is in accordance with the reservation quota fixed by Government for these communities.

Place. Signature of the Officer

authorised to send the requisition.

Date. Telephone No.

*In case it has been decided that any of the vacancies should not be filled, full details thereof together with the period for which these are to be held in abeyance may be given separately in an annexure to be signed by the officer signing this requisition.

NOTE :-All answers in the requisition form should be given in words and not by dashes and dots. No column should be left blank.

ANNEXURE—XI

(See para 5.7)

PART-1 FACTUAL

Name:

Date of Birth:

Service/Department:

Post Held:

Record of Employment.

(a) Record of training Institutes attended, if any (for officers undergoing formal training). Percentage of marks secured at (1) the tests/examinations held (ii) during and at the end of the (iii) period of training. • (Separate sheet may be added, if necessary).

(b) Nature of duties on which he has been employed, e.g. Duties requiring public relations and field work, Formu-lation of Plans, general direct and execution thereof. Secretarial work of general nature. Supervision and control of subordinate staff. (Please list the above duties in order of importance.)

NoTE :— In the case of officers undergoing formal training at the National Academy of Administration or any other training institution. Please state, in brief, the duties/activities in which they were expected to participate outside the class-room.

EXPERIENCE PRIOR TO APPOINTMENT ON PROBATION

Period of probation/trial ends Number of days' leave (other than casual leave and special casual leave)

Assessed by Dated

Approved By Dated

PART—II

Performance factors.

Performance Grade

Exceeds Meets Just meets Partial- Does not require- fully requirements ly meets meet ments of require- of this job. require- require- this job ments of ments of ments of

this job this job_ this job

1

2 3

5 6

I. Mental Capacity

1. Efforts made to acquire know-ledge relevant to job.

2. Analtical ability

3. Power of Grasp. 4. Spirit of enquiry.

5. Power of expression

(a) Oral

(b) Written.

6. Sense of responsibility. 7. Ability to participate in dis-

cussions and seminars. 137

1 3 4 = 6

II. Work Habits and Attitudes

1. Aptitude. 2. Interest in work. 3. Promptness. 4. Initiative. 5. Originality. 6. Self-reliance. 7. Manner of performance(whether

methodical & orderly).

8. Thoroughness.

9. Punctuality. 10. Resourcefulness.

III. Stability

1. Poise

2. Fairness

3. Dependability.

IV. Ability to act along

1. Tact

2. Dealings with:

(a) Subordinates .

(b) Fellow-Officials

(c) Superiors.

(d) Public 3. Ability to-inspire others.

V. Ability to Manage

1. Quality of judgement

2. Decision making

3. Ability to plan and programme.

4. Direction and control.

5. Ability to evaluate the work of individuals and projects or schemes.

VI. Physical Fitness State of health, sportsmanship, etc.

COMMENTS

General appraisal of the officer's good and bad qualities in narrative form particularly those related to his integrity and ability to correct himself if his faults are pointed out to him. Decisions if any taken regarding fitness for drawing lst/2nd increments (where applicable).

Signature: Designation: Date:

REMARKS OF REVIEWING OFFICER

Brief remarks indicating what assessment of the reporting officer may be accepted or rejected or otherwise modified,

Signature of Reviewing Officer

Designation

Date

-4

139

REMARKS AND RECOMMENDATIONS OF THE REVIEWING BOARD -COMMITTEE.

Recommendation whether the probationer:

(1) Is Fit for retention/confirmation or

(2) Should be watched for another-months (here list what improvements are required in the probationer.)

or May be tried or for some other post where such a course is permissible under the relevant recruitment rules)

or

(4) May be reverted to his substantive post (here give reasons for recommending this course of action).

Or

(5) Should be discharged from Govt. service (here give reasons for recommending this course of action)

OVERALL GRADING FOR DUTIES

(1) Outstanding (2) Very good (3) Good (4) Satisfactory with some shortcomings.

(5) Not really satisfactory. (Please put a ring round the appropriate grading).

Signature of Chairman Reviewing Board/Committee.

ORDERS OF THE HEAD OF DEPARTMENT OR THE ADMINISTERING/CONTROLLING DEPARTMENT/ MINISTRY

(Signature of Head of Deptt. or Administering Controlling Department/ Ministry).

R.

(3)

19-35 Per.&Trg./87

ANNEXURE—XII

(See Para 6 .4 .3)

PROFORMA FOR FORWARDING DISCI PLINARY CASES TO THE UNION PUBLIC SERVICE COMMISSION

PART 1—SERVICE AND RELATED PARTICULARS

1. Name of charged officer and the service on which borne

2. (i) Whether temporary/permanent/contract service.

(ii) If confirmed, date of confirmation

(iii) Post, if any, in which quasi-permanent.

*3. Post held substantively if in permanent service.

(a) Designation

(b) Scale of pay (indicating stages. EB etc.)

(c) Pay drawn

(d) Date from which pay shown against (c) drawn.

(e) Date of next increment.

4. Post held at present.

(a) Designation

(b) Scale of pay . . (indicating stages, EB etc.)

(c) Pay drawn

(d) Date from which pay shown against•(c) drawn.

(e) Date of next increment.

5. The next lower post (along with pay scale)! Grade, th e officer would have hold but for his appointment to the present post he is holding.

6. Date of Birth

7. Date of joining Government service

B. Due date of retirement or actual date of retirement, If already retired.

9. (a) hitunum of monthly pension AdmIssibleisauctiouad

all Amount of gratuity admissible

Oh Amount of gratuity sanctioned (This information is required only in respect of cases of recovery from, or withholding of pensionary bene- fits)

(a) Appointing authority in respect of the post held at pre-sent, or the authorit ,, which actually appointed the per-son, if that authority is higher

(b) Authority comneten• to impose the penalty in respect of the post held at present. .

(e Anoellate authority in respect of the post held at present. Whether an oral enquiry. if reauired under the rules, has been hew

Name and destenation or the Inquiry Officer, appointed if any.

*Not to be filled in the case of All India Service Officer

140

PART D.—DETAILS OF CASE RECORDS

ALIZTHE RECORDS ARE REQUIRED TO BE ARRANGED AND C tOSS-REFERENCED, AS INDEXEi ;FLOW AND PAGE NUA4B3K.S OF TH.C. Fil.E/Fai.DERS TO BE INDICATED AGAINST EACH ITEM. ITEM Reference/Comments•

(A) Original Cases (Wnere the President or the Central Govt. or the State Govt. is the Disciplinary Authority and an order of penalty is to be passed for the first time)

(a) Complaint, if any, received by the authorities. (b) (i) Report of the Preliminary enquiry, if any, held in

the matter leading to the institution of formal disciplinary proceedings against the charged officer (together with depositions recorded).

(ii) Order, of suspension revocation of suspension, if any (c) Order, if any of the competent authority for joint/com-

mon proceedings where two or more government ser-vants are involved

(d) Charge sheet together with the statement of imputations, if any, alongwith records to prove its delivery or otherwise . .

(e) Reply of the charged officer (f) A note from the disciplinary authority explaining the

factual or procedural points, if any, raised in the charged officer's reply—in minor penalty cases where no en-quiry has been held. . .

(g) Order of the disciplinary authority appointing the In-quiry Officer. . . . .

(h) Order of the disciplinary authority appointing the Presenting Officer. . .

(i) Daily order sheets maintained by the inquiry Officer indicating the progress of oral enquiry. . .

U. Correspondence of the Inquiry Officer, if any, with the disciplinary authority, Charged Officer, Presenting Officer, Witnesses etc.

(k) (i) Depositions oral statements recorded from prose-cution witness and defence witnesses; replies of the charged officer to the questionaire, if any, prepared by the Inquiry Officer . . . •

(ii) Exhibits, both prosecution and defence alongwith a list thereof giving description of each exhibit.

(iii) Written statement of defence, if any of the Charged Officer before the Inquiry Officer

(1) Written brief, if any, submitted by the presenting Officer . . . • •

(m) Written brief, any, submitted by the Charged Officer.

(n) Inquiry Officer's report • • • - (o) Whether the disciplinary authority has considered the

merits of the case and come to the conclusion that a formal penalty is called for.

(B) Appeal Cases (Where the order of penalty has been passed by a subor-dinate authority and an appeal lies to the President) In . these cases all the documents listed in (A) should also be sent)

(a) Order passed by the disciplinary authority together with a note, if any, containing the conclusion, arrived at by him in respect of each cbarge

*Indicate references in terms of page numbers, file numbers, folders etc. Do not leave any column blank: f a document is not enclosed, indicate reasons.

1 42

(b) Appeal of the Office-/concerned. (c) Comments of the disciplinary authority on the appeal

including clarification on procedural points, if any, raised by the appellant.

(C) Revision/Review Cases (Where the appellate authority is subordinate to the President and a modification of the appellate order is sought by way of revision/review or where the President has passed the original order) [in these cases all the documents listed in (A) and (B) should also be sent]

(a) Appellate Authority's Order/President's Order (b) Petition/Memorial submitted by the Officer (c) Note indicating the Reviewing Authority's findings

on the charges, detailing the reasons warranting modi-fication of the penalty already imposed and the extent of such modification. . .

(d) Additional comments on the procedural or factual points, if any, raised in petition.

(D) Pension Cases

(Where the President proposes to withhold or withdraw pension otherwise admissible to the Officer as a result of disciplinary proceedings instituted deemed to continue in respect of an officer who has retired from service) [In these cases all the documents listed in (A) should also be sent.]

(a) Order of the President* if any, that the disciplinary pro-ceedings should be instituted/continued under the relevant Pension Rules.

(b) Show cause notice issued to the Officer indicating pre-cisely the quantum of cut proposed to be made in his pension and the period which it shall be operative.

(c) Reply of the officer to the aforesaid notice. (d) Comments on factual or procedural points raised by the

officer in his reply.

*Central Government in the case of All India Service Officers.

(E) General

(a) Miscellaneous documents regarding evidence such as the exhibits, statements, etc. referred to in (A) to (D) and extracts of relevant Rules, Codes, Manuals, Acts, judgements etc.

(b) Whether complete and uptodatt Confidential Roll of the Officer has been enclosed.

Signature

Name in Block letters of Officer of the Ministry/Department/State Govt.

signing this statement

Designation

Date

Telephone No

PARTICULARS RELATING TO THE CLAIM FOR REIMBURSEMENT REFERRED TO THE COMMISSION UNDER ARTICLE320 (3) OF THE LETTER NO. DATED

(A separate form should be used for each claimant) 1. Name of the Officer 2. Post held 3. Charges for which the officer was prosecuted.

ANNEXIJRE Xlii (See I'ara 7 .2)

01- LEGAL EXPENSES CONSTITUTION WITH

. (i) Case No (ii) „ (iii) „

Charge

4. (i) Date of alleged incident(s) (ii) Date when the case(s) was/were instituted (iii) Date of final judgement

5. The amount(s) claimed in reimbursement by the officer in the case(s).

6. (i) Whether the officer was prosecuted along with anybody else. If so, whether the defence was conducted jointly or separately.

(ii) In case of joint defence, was payment made by the clai-mant alone or was it shared with others? .

(iii) In the latter case, what was the proportion borne by the claimant?

7. Is any claim preferred by any other officer prosecuted along with the claimant pending with the MinistrylDepartment ? If so, the details of his claim may be furnished.

8. The basis on which the amount suggested by the Law Minis-try/Law Officer has been worked out, may be clearly indicated.

9. Whether all the relevant documents, particularly the follow-ing, have been enclosed:

(i) Original claim preferred by the officer. (ii) Certified copy of judgement obtained from the Court

or a copy of judgement certified by the Ministry/De-partment. • • • • • •

(iii) Certified copies of order sheet(s) or an authenticated document showing the dates when the case(s) was/ were posted for hearing and when the case(s) was/ were actually heard. -

(iv) Lawyer's stamped receipts (not Bills still to be paid by the claimant.)

(v) Vouchers and other authenticated receipts for stamps, clerkage and miscellaneous expenses claimed. In case receipts are not forthcoming due to any reason, the Ministry/Department may please certify that the expenditure claimed was, to their satisfaction, actually incurred.

10. Was the claimant punished as a result of departmental pro-ceedings instituted against him in connection with the acts for which he was prosecuted in the court of law; if so, com-plete record of such proceedings may be furnished.

Signature Name in block letters Designation Date

Tele. No. 143

ANNEXURE XIV [Sae Para 10(2)]

STATEMENT SHOWING THE NAMES ETC. OF SERVI CRS/POSTS IN RESPECT OF WHICH RECRUITMENT RULES HAVE NOT BEEN FRAMED.

Name of the Name of Date of cons- Details of Reasons for Remarks

Ministry/ Service/ titution of steps delay in

Department post and the Service/ taken to framing its classi- creation of frame R/ R/Rules for fication the post Rules for Services/

Services/ posts shown posts in column 2' shown in column 2

1 2 3 4 5 6

144