Main Article - May, 2005
MAINTENANCE OF POST-BASED ROSTERS IN CSIR LABS./INSTTS.
By
Ch. Srinivasa Rao, Under Secretary, CSIR, New Delhi
Introduction
The Constitution-Bench of the Hon'ble Supreme Court has held that the reservations for SC/ST/OBC should apply to posts and not to vacancies. Accordingly, an Order has been issued by the Govt. of India vide GoI MPPG&P, DP&T No.36012/2/96-Estt.(Res.) dated 2-7-1997 which was duly endorsed by CSIR vide their letter No.20/95/SC-ST Cell dated 25-7-1997.
By
Ch. Srinivasa Rao, Under Secretary, CSIR, New Delhi
Introduction
The Constitution-Bench of the Hon'ble Supreme Court has held that the reservations for SC/ST/OBC should apply to posts and not to vacancies. Accordingly, an Order has been issued by the Govt. of India vide GoI MPPG&P, DP&T No.36012/2/96-Estt.(Res.) dated 2-7-1997 which was duly endorsed by CSIR vide their letter No.20/95/SC-ST Cell dated 25-7-1997.
The above Order stipulates preparation of rosters based on the posts available in each Cadre/Group and that the vacancy-based rosters shall be replaced by post-based rosters. Recruitment/Promotions made w.e.f. 2-7-1997 have to be based on post-based rosters.
Post-based rosters have to be operated till such time the representation of persons belonging to reserved categories, in a cadre, reaches the prescribed percentage of reservation. Thereafter, the rosters need not be operated specifically as vacancies released by retirement, resignation, promotion, etc. of the persons belonging to the General and the Reserved categories are to be filled by appointment of persons from the respective category only.
Applicability of reservation
Reservations do not apply to the following categories: Armed forces; vacancies filled by deputation; personal staff of Ministers; temporary appointments for less than 45 days; and work-charged posts in emergencies.
Reservation does not apply to transfer on deputation/transfer where rules prescribe a percentage of posts to be filled by this method. The corresponding portion of posts should be excluded while drawing up the rosters.
S&T posts in grades above the lowest grade of Gr. A of the service concerned required for "conducting or for organizing, guiding and directing research" can be exempted from the purview of reservation orders.
Percentages of reservation
The percentage of reservation for appointment to Govt. service under Central/ State Govt. or PSUs is based on the population of SCs. STs and OBCs. Presently the figures are based on 1991 census according to which each category constitutes: 16.48% for SCs and 8.08% for STs. As far as OBCs are concerned the figure has been tentatively decided to be 27% and the reservation to this category has come into force w.e.f. 8-9-1993. The OBC category of staff who were recruited prior to 8-9-1993 have to be treated as General candidates.
The percentages for appointment to services shall be:
Direct Recruitment (DR)
1. On All India Basis:
i) By open competition
(200 Points: SC: 30; ST: 15; and OBC: 54)
SC: 15.0 ST: 7.5; OBC: 27.0
By Open Competition means all recruitments by (UPSC) whether through Written Examination or by Interview or both and recruitment made by other Authority including the Staff Selection Commission (SSC) or any other Authority through Written Competitive Tests (but not by Interview alone).
Through UPSC means Competitive Test held by any other Authority
ii) Otherwise than by Open Competition:
SC: 16 2/3; ST: 7.5; OBC: 27.0
Any recruitment not made by the UPSC or through Written Competitive Tests held by any other Authority would mean "Direct Recruitment otherwise than by Open Competition".
(120 Points: SC: 20; ST: 9; OBC: 31)
The following modes of recruitment are to be determined in accordance with the proportion of population to the population of the State/UT where the total percentage of reservation for SCs, STs & OBCs would be reduced suitably in the concerned State/UT so as to contain the total reservation up to 50%.
2. Direct recruitment to Gr. C & D posts which normally attract candidates from a Locality or Region.
3. Recruitment made through SSC:
i) Organisations which recruit candidates from a single common All India list prepared by the SSC
ii) Organizations which recruit candidates from the list prepared by the SSC on the basis of center-linked zonal basis
iii) A particular organization spreading into more than one State/UT
In the case of "DR", the existing quantum of reservation as per regional percentages applicable to different States/UTs would continue to be applicable.
The reservation orders apply to "Isolated posts" also. The posts to be filled by "DR" have to be grouped together with similar other posts for purposes of reservation.
A cadre or a grade or a division of Service consisting of less than 20 posts which may fall within the same group is treated as a small cadre and posts in such cadre or grade and other isolated posts have to be grouped. If it is not feasible to group the posts, then separate roster for a cadre with a strength of 13 or less number of posts has to be maintained. This roster has to be followed as such.
Once the prescribed percentages have been achieved, the vacancy created due to retirement, resignation, death, etc. of persons occupying those points shall be filled by appointment of persons of the respective categories only. For preparing roster, the total strength borne on each lower and higher cadre will be taken in to account. For "Selection" and "Non-Selection" posts, separate rosters are to be maintained.
Promotion
Reservation in "Promotion" in respect of SC and ST categories would continue till such time their representation reaches the prescribed percentages of reservation whereafter the reservation in "Promotion" shall continue to maintain the representation to the extent of the prescribed percentages for the respective categories. If a post falls vacant on account of the incumbent on leave, deputation, training, etc., such post can be filled by promoting an eligible official on the basis of seniority irrespective of the category to which such promotion belongs to.
Reservation in promotion has been introduced progressively and the present percentages of reservation in promotion are as under:
1. Promotion through limited Depart-mental Competitive Examination in Gr. B, C and D in grades or services in which the element of "DR", if any, does not exceed 75%:
SC: 15; ST: 7.5
2. Promotion by Selection (Merit-cum-Seniority) in or to Gr. B, C & D and from Gr. B to the lowest rung of Gr. A in grades or services in which the element of "DR", if any, does not exceed 75%: SC: 15; ST: 7.5.
3. Promotion by Seniority (Seniority subject to Fitness) in all Groups of A, B, C & D in grades or services in which the element of Through UPSC means Competitive Test held by any other Authority "DR", if any, does not exceed 75%:
SC: 15; ST: 7.5
In case of posts filled by "Promotion", no grouping is to be done. The reservation orders, wherever applicable, shall apply to each post filled by "Promotion" separately and individually. New rosters have been prescribed for cadres with 13 or less number of posts, where "grouping" is not found feasible.
Maintenance of separate rosters
Separate rosters have to maintained for posts filled by the following modes of Recruitment:
i) Appointment by Direct Recruitment
ii) Appointment by Promotion - with separate
rosters for each mode of "Promotion":
a) By Limited Competitive Examination
b) By Selection-cum-Seniority/Selection
by Merit
Grouping of S&T staff under MANAS
Revised roster for the posts at entry level in Group I grades under MANAS/Revised MANAS have to be filled up on local basis. In Gr.II (1) and (2) grades, the roster has to be maintained on Local or Regional basis. In respect of Gr.II (3), (4) and (5) grades, the roster is to be maintained on "All India Basis Otherwise than Open Competition". The names of the employees have to be plotted in the revised rosters in the order of their date of joining. The excess or shortfall of reservations may be adjusted in future appointments without disturbing existing appointments.
All the names of the incumbents in Gr.II who were recruited initially either in Gr. II (1) or (2) grades have to be plotted in a single roster which would be based on the roster meant for "Local or Regional basis". Their names have to be entered in the roster, irrespective of the fact of the present grade to which they belong at present. Similarly the names of all the incumbents in Gr. II who were initially recruited under Gr.II (3), (4) and (5) grades have to be plotted in a single roster which would be based on recruitment on "All India basis Otherwise than by Open Competition".
A single Roster has to be maintained for recruitment to the posts in respect of Gr.III grades of (1), (2), (3) & (4) on "All India basis otherwise than by Open Competition". Recruitment to Gr.III (5) and higher grades will be restricted to the number of posts earmarked for their grades. Rosters have to be maintained also in respect of Gr. IV (1) grade for which the reservation orders shall apply.
In respect of recruitment to be made on Local or Regional basis for cadres with 2 to 13 posts similar roster as given in Appendix to Annexure II and IV of DoPT O.M. No.36012/2/96-Estt.(Res.) dated 2-7-1997 may be prepared based on the percentage of reservation meant for respective Region/ State.
Recruitment to all these grades will be restricted to the number of posts in the roster. The Research Councils of respective CSIR Labs./Instts. can consider and decide as to how many posts could be filled at lateral level.
Reserved category recruited on merit
The persons belonging to reserved categories and are appointed on the basis of merit are not to be counted towards the quota meant for reservation, provided, they did not avail any of the concessions extended to such categories. Nevertheless, in future promotion, such candidate would retain his/her status and will be allowed the benefits of reservations accordingly. In the case of "DR", 50% limit on reservation will be computed including such cases. But in "Promotion", they will be taken into account for determining the limit of 50%.
Initial recruitment against the posts should be by the category for which the post is earmarked. Replacement of incumbents of posts shall be by rotation as shown horizontally against the cadre-strength as applicable.
Appointment of PH and others
There could be cases where a decision might have been taken by the Appointing Authority to fill up certain vacancies by persons with physical disabilities, or by Sportspersons or by appointment on compassionate grounds. It would be difficult to know before hand categories to which such candidates belong to. Wherever such difficulty is felt, perhaps, the Appointing Authority may, at his discretion, appoint such persons and get it adjusted against future appointments.
There are no specific points for appointment physically handicapped except for suggesting recruitment of one person in blocks of 33 posts (Point No.1-33, 34-67 & 68-100). Similarly no points are set for appointment of Sportspersons and appointment on compassionate grounds. Their reservation would continue to be on the basis of vacancies announced in the respective categories and against the respective communities.
Calculation of vacancies
For "DR" for a particular Recruitment Year or specified period on the basis of position from Reservation roster for SC/ST/OBC as applicable to fill short-fall, calculate vacancies and reservation from Reservation roster for short-fall of reservation for "Vertical Reservation" for SC/ST/OBC and "Horizontal Reservation" for Physically Handicapped, Sportsmen, Ex-Servicemen, Compassionate appointees, etc. duly applying 50% reservation including backlog/carry forward vacancies.
For recruitment by "Promotion", calculate vacancies for promotion for a Recruitment Year on the crucial date, and calculate short-fall of reservation for SC or ST from the reservation roster, and apply 50% limitation.
While in "Selection by Merit", supersession is allowed. In "Selection-cum-Seniority", no supersession is allowed. After the assessment by the DPC on the basis of Annual Confidential Reports as "Not yet Fit", "Average", "Good", "Very Good" and "Outstanding", select list has to be prepared and reservation for SC/ST where applicable has to be made.
In "Non-Selection" method, the term "Zone of Consideration" will not be applied. All the Officers have to be considered in the order of seniority and eligibility on the crucial date. However, all SC/ST Officers have to be considered irrespective of their seniority, provided they otherwise fulfil the criteria.
The present 20-point roster would continue to be maintained for equitable distribution of Direct Recruits and Promotees.
Exchange of reserved vacancies
Direct Recruitment: The unfilled reserved vacancies are to be carried forward till these are actually filled. However, in the third year and subsequent years of their carrying forward, the vacancies reserved for SC category can be filled by ST category candidates, and vice versa.
Promotion: Except for one category, i.e. "Promotion by Selection", exchange is permissible in the third year of the carry-forward. However, in the excepted category from Gr. C to Gr. B within Gr. B and from Gr. B to the lowest rung of Gr. A, where no carrying forward is permitted, exchange is permitted within the same year.
Reservation for OBCs is not applicable to the posts filled by "Promotion".
Exchange of vacancies done in the above manner will ensure that the structure and composition of the cadre remains unaffected over a period. This procedure also obviates the need for dereservation in the "Promotion Quota" in such grades.
Initial operation of rosters
At the point of initial operation of the roster, it will be necessary to determine the actual representation of the incumbents belonging to different categories in a cadre vis-à-vis the points earmarked for each category, viz. SC/ST/OBC and General, in the roster. This may be done by plotting the appointments made against each point of roster starting with the earliest appointee. Thus, if the earlier appointee in the cadre happens to be a candidate belonging to the SC, against point No.1 of the roster, the remark "Utilized by SC" shall be entered. If the next appointee is a General category candidate, the remark "Utilized by General category" shall be made against point No.2, and so on, till all appointments are adjusted in the representative rosters.
Representation of each reserved category has to be determined first as per prescribed percentages of reservation applicable to "DR" and "Promotion" and their total representation of respective reserved category in the cadre has to be worked out.
In "DR", while making these adjustments the SC/ST/OBC candidates who were recruited purely on their merit from 1-7-1998 except those who have taken the benefit of age concession, experience and number of chances from 1-7-1998 in "DR", shall be treated as General category candidates.
Excess representation of SC/ST, if any, would be adjusted in future appointments.
A senior-most official in a cadre belonging to a reserved category considered fit for promotion on Seniority-cum-Fitness basis will be promoted despite excess representation of such reserved category in that higher post but he would be shown against reserved category to which he belongs for the purpose of future adjustment.
Since recruitment is generally vacancy-based, it may so happen that the actual number of Promotees and Direct Recruits in the cadre does not correspond to the number of posts earmarked in the respective reservation roster. For the purpose of calculation of representation of reserved category in a cadre, total of Promotees and Direct Recruits may be taken. Rectification of the representation as per prescribed percentage by the prescribed mode of recruitment at the earliest possible should be the foremost exercise.
After completing the adjustment as indicated above, a tally should be made to determine the actual percentages of representation of appointees belonging to the different categories in the cadre. If there is an excess representation of any of the reserved categories, or if the total representation of the reserved categories exceeds 50%, it shall be adjusted in the future recruitment suitably.
While preparing post-based rosters for administrative posts, say Assistant Gr.I (General), the excess staff, if any, in a particular mode of recruitment such as DPC/DTQ/DR to the post may be proportionately shown against the vacant posts in the other mode(s) of recruitment for the said post. Recruitment will be carried out by restricting the number of posts to be filled keeping in view the over all sanctioned strength for the post. As and when an incumbent of a point vacates his post in any roster, that post will be filled by that particular mode of recruitment for which the roster is maintained and the category to which the post is earmarked.
In order to adjust such an imbalance, if any, inclusion of the excess candidates in a cadre in the roster in other cadres of the grade proportionately is permitted till the imbalance gets adjusted.
Maintenance of rosters
The existing vacancy-based 200-point, 120-point and 40-reservation rosters have been replaced by the new model post-based and 13-point reservation rosters. In a cadre comprising 200 posts where the recruitment rules prescribe a ratio of 50:50 for "DR" and "Promotions", the roster for "Direct Recruitment" shall have 100 points, and that for Promotion shall have 100 points; thus making a total of 200.
The number of points in the roster shall be equal to the number of posts in the cadre. Whenever there is an increase or decrease in the cadre strength, the roster shall be correspondingly expanded or contracted. Similarly the same exercise has to be done wherever there is a change in recruitment rules which affects the proportion of posts to be filled by a particular mode of recruitment.
In case of a cadre having 13 posts, initial recruitment will be as indicated therein and the next will be as indicated in the 1st recruitment. Thereafter, the next replacement would be the same as in the case of initial recruitment.
As a result of the adoption of revised rosters, if there is any excess of a particular category, it will be adjusted by future appointments and the existing appointments will not be disturbed.
The existing 1-point rosters for appointments to Gr. C and D posts will also have to be recast accordingly.
The appropriate roster in the prescribed form, as may be applicable to the post/ service concerned, is to be maintained in a register. The roster is to be operated on the principle of "replacement" and not as "running account".
Separate roster will be maintained for each cadre or grade.
Where posts to be filled by "DR" have been grouped, a roster has to be maintained for the group as a whole. Within each cadre or grade, separate rosters have to be maintained for posts by "DR" and posts filled by "Promotion", and within this a separate roster for each mode of "Promotion".
A common roster should be maintained for permanent appointments, temporary appointments likely to become permanent and temporary appointments likely to continue indefinitely.
Separate rosters are to be maintained for each Gr. D category of posts.
A separate roster has to be maintained for purely temporary appointments for 45 days or more which have no chance whatsoever of becoming permanent or continuing indefinitely. Similarly for ad hoc promotions, separate roster has to be maintained. Immediately after an appointment is made, the particulars of the person appointed have to be entered in the register in the appropriate column and the entry has to be duly signed by the Appointing Authority or by any other Officer authorized to do so.
Application of "squeezing"
The representation of each of the reserved category should be kept within its prescribed percentage and total reservation should in no case exceed 50 percent of the cadre. If necessary, "squeezing" may be done at the end of the roster for the reserved categories so as to reach the number of posts to be reserved for them without violating the 50% limit laid down by the Courts.
While operating the relevant roster, care should be taken to ensure that on no occasion the percentage of reserved category candidates exceeds 50%. If such a situation occurs at any time, the relevant reserved point occurring as a result of rotation has to be skipped.
The existing reserved category of persons, over and above the sanctioned strength will also count towards determining the representation of the reserved categories.
The method for making a roster is to multiply each post by the prescribed percentages of reservation for the different categories. The point at which the multiple for a community obtains a complete number or oversteps the number is to be reserved for that community; while taking care to evenly space out the different reserved categories. For example, in a 200-point roster, at point No.15 both OBC and SC get entitled. Since earlier reserved point No.4 has gone to OBC, point No.15 has to be reserved for SC and point No.16 for OBC.
Gaps in the roster
No gap should be left in completing the roster. It should be ensured that the names of SCs/STs and OBCs who have been selected against the reserved posts, should be shown against the respective reserved points in the roster, as and when they join. However, there could be cases where a point is earmarked for recruitment of SC/ST/OBC, and necessary action to fill that vacancy by a candidate of the respective reserved category has already been initiated and is in progress, keeping the reserved point temporarily unfilled till the reserved community candidate joins cannot be termed as a "gap".
Carry-forward of reserved vacancies
In "DR", if sufficient number of suitable candidates belonging to SC/ST/OBC is not available for appointment against reserved vacancies in a particular Recruitment Year, such vacancies are required to be carried-forward to subsequent Recruitment Years till these are filled.
Any recruitment of SC/ST/OBC candidate will first be counted against additional quota brought forward from the previous years in chronological order. If sufficient number of SC/ST/OBC candidates are not available to fill all the reserved vacancies, the carried-forward vacancies should be filled up first by the available SC/ST/OBC candidate and those carry-forwarded vacancies which were done comparatively later should be carried-forward further.
Backlog vacancies in respect of SC/ST/OBC categories have to be determined afresh as per the revised post-based rosters and are to be carried forward for future appointment.
Dereservation in promotion
Where recruitment to a grade is made both by "Promotion" and "DR", reserved vacancies falling in the For preparing roster, the total strength borne on each lower and higher cadre will be taken in to account. "Promotion Quota" which cannot be filled due to non-availability of eligible persons belonging to SCs and STs in the feeder cadre may be temporarily diverted to the "DR" quota and filled by recruitment of candidates belonging to SCs and STs, as the case may be, in accordance with the provisions in the recruitment rules relating to "DR".
In the subsequent year(s) when reserved vacancies in the DR quota become available, these may be re-diverted to the "Promotion Quota" to make up for the vacancies diverted earlier and filled from SC/ST candidates in the feeder cadre who might have then become eligible for promotion.
Diversion of reserved vacancies is not permissible in cases where the posts in a cadre are filled 100% by "Promotion" or in which there is no element of "DR" in recruitment rules. If no reserved category candidate is available, it should be clearly indicated while forwarding the proposal to the DPC as to whether the competent authority (Director of a Lab./Instt.) has approved dereservation of the reserved vacancy. Only in such case, a General category candidate will be recommended against reserved vacancy.
In the case of promotion wherever dereservation of the unfilled reserved vacancies is done, these are required to be carried-forward to three subsequent Recruitment Years.
Applicability of reservation
Reservations do not apply to the following categories: Armed forces; vacancies filled by deputation; personal staff of Ministers; temporary appointments for less than 45 days; and work-charged posts in emergencies.
Reservation does not apply to transfer on deputation/transfer where rules prescribe a percentage of posts to be filled by this method. The corresponding portion of posts should be excluded while drawing up the rosters.
S&T posts in grades above the lowest grade of Gr. A of the service concerned required for "conducting or for organizing, guiding and directing research" can be exempted from the purview of reservation orders.
Percentages of reservation
The percentage of reservation for appointment to Govt. service under Central/ State Govt. or PSUs is based on the population of SCs. STs and OBCs. Presently the figures are based on 1991 census according to which each category constitutes: 16.48% for SCs and 8.08% for STs. As far as OBCs are concerned the figure has been tentatively decided to be 27% and the reservation to this category has come into force w.e.f. 8-9-1993. The OBC category of staff who were recruited prior to 8-9-1993 have to be treated as General candidates.
The percentages for appointment to services shall be:
Direct Recruitment (DR)
1. On All India Basis:
i) By open competition
(200 Points: SC: 30; ST: 15; and OBC: 54)
SC: 15.0 ST: 7.5; OBC: 27.0
By Open Competition means all recruitments by (UPSC) whether through Written Examination or by Interview or both and recruitment made by other Authority including the Staff Selection Commission (SSC) or any other Authority through Written Competitive Tests (but not by Interview alone).
Through UPSC means Competitive Test held by any other Authority
ii) Otherwise than by Open Competition:
SC: 16 2/3; ST: 7.5; OBC: 27.0
Any recruitment not made by the UPSC or through Written Competitive Tests held by any other Authority would mean "Direct Recruitment otherwise than by Open Competition".
(120 Points: SC: 20; ST: 9; OBC: 31)
The following modes of recruitment are to be determined in accordance with the proportion of population to the population of the State/UT where the total percentage of reservation for SCs, STs & OBCs would be reduced suitably in the concerned State/UT so as to contain the total reservation up to 50%.
2. Direct recruitment to Gr. C & D posts which normally attract candidates from a Locality or Region.
3. Recruitment made through SSC:
i) Organisations which recruit candidates from a single common All India list prepared by the SSC
ii) Organizations which recruit candidates from the list prepared by the SSC on the basis of center-linked zonal basis
iii) A particular organization spreading into more than one State/UT
In the case of "DR", the existing quantum of reservation as per regional percentages applicable to different States/UTs would continue to be applicable.
The reservation orders apply to "Isolated posts" also. The posts to be filled by "DR" have to be grouped together with similar other posts for purposes of reservation.
A cadre or a grade or a division of Service consisting of less than 20 posts which may fall within the same group is treated as a small cadre and posts in such cadre or grade and other isolated posts have to be grouped. If it is not feasible to group the posts, then separate roster for a cadre with a strength of 13 or less number of posts has to be maintained. This roster has to be followed as such.
Once the prescribed percentages have been achieved, the vacancy created due to retirement, resignation, death, etc. of persons occupying those points shall be filled by appointment of persons of the respective categories only. For preparing roster, the total strength borne on each lower and higher cadre will be taken in to account. For "Selection" and "Non-Selection" posts, separate rosters are to be maintained.
Promotion
Reservation in "Promotion" in respect of SC and ST categories would continue till such time their representation reaches the prescribed percentages of reservation whereafter the reservation in "Promotion" shall continue to maintain the representation to the extent of the prescribed percentages for the respective categories. If a post falls vacant on account of the incumbent on leave, deputation, training, etc., such post can be filled by promoting an eligible official on the basis of seniority irrespective of the category to which such promotion belongs to.
Reservation in promotion has been introduced progressively and the present percentages of reservation in promotion are as under:
1. Promotion through limited Depart-mental Competitive Examination in Gr. B, C and D in grades or services in which the element of "DR", if any, does not exceed 75%:
SC: 15; ST: 7.5
2. Promotion by Selection (Merit-cum-Seniority) in or to Gr. B, C & D and from Gr. B to the lowest rung of Gr. A in grades or services in which the element of "DR", if any, does not exceed 75%: SC: 15; ST: 7.5.
3. Promotion by Seniority (Seniority subject to Fitness) in all Groups of A, B, C & D in grades or services in which the element of Through UPSC means Competitive Test held by any other Authority "DR", if any, does not exceed 75%:
SC: 15; ST: 7.5
In case of posts filled by "Promotion", no grouping is to be done. The reservation orders, wherever applicable, shall apply to each post filled by "Promotion" separately and individually. New rosters have been prescribed for cadres with 13 or less number of posts, where "grouping" is not found feasible.
Maintenance of separate rosters
Separate rosters have to maintained for posts filled by the following modes of Recruitment:
i) Appointment by Direct Recruitment
ii) Appointment by Promotion - with separate
rosters for each mode of "Promotion":
a) By Limited Competitive Examination
b) By Selection-cum-Seniority/Selection
by Merit
Grouping of S&T staff under MANAS
Revised roster for the posts at entry level in Group I grades under MANAS/Revised MANAS have to be filled up on local basis. In Gr.II (1) and (2) grades, the roster has to be maintained on Local or Regional basis. In respect of Gr.II (3), (4) and (5) grades, the roster is to be maintained on "All India Basis Otherwise than Open Competition". The names of the employees have to be plotted in the revised rosters in the order of their date of joining. The excess or shortfall of reservations may be adjusted in future appointments without disturbing existing appointments.
All the names of the incumbents in Gr.II who were recruited initially either in Gr. II (1) or (2) grades have to be plotted in a single roster which would be based on the roster meant for "Local or Regional basis". Their names have to be entered in the roster, irrespective of the fact of the present grade to which they belong at present. Similarly the names of all the incumbents in Gr. II who were initially recruited under Gr.II (3), (4) and (5) grades have to be plotted in a single roster which would be based on recruitment on "All India basis Otherwise than by Open Competition".
A single Roster has to be maintained for recruitment to the posts in respect of Gr.III grades of (1), (2), (3) & (4) on "All India basis otherwise than by Open Competition". Recruitment to Gr.III (5) and higher grades will be restricted to the number of posts earmarked for their grades. Rosters have to be maintained also in respect of Gr. IV (1) grade for which the reservation orders shall apply.
In respect of recruitment to be made on Local or Regional basis for cadres with 2 to 13 posts similar roster as given in Appendix to Annexure II and IV of DoPT O.M. No.36012/2/96-Estt.(Res.) dated 2-7-1997 may be prepared based on the percentage of reservation meant for respective Region/ State.
Recruitment to all these grades will be restricted to the number of posts in the roster. The Research Councils of respective CSIR Labs./Instts. can consider and decide as to how many posts could be filled at lateral level.
Reserved category recruited on merit
The persons belonging to reserved categories and are appointed on the basis of merit are not to be counted towards the quota meant for reservation, provided, they did not avail any of the concessions extended to such categories. Nevertheless, in future promotion, such candidate would retain his/her status and will be allowed the benefits of reservations accordingly. In the case of "DR", 50% limit on reservation will be computed including such cases. But in "Promotion", they will be taken into account for determining the limit of 50%.
Initial recruitment against the posts should be by the category for which the post is earmarked. Replacement of incumbents of posts shall be by rotation as shown horizontally against the cadre-strength as applicable.
Appointment of PH and others
There could be cases where a decision might have been taken by the Appointing Authority to fill up certain vacancies by persons with physical disabilities, or by Sportspersons or by appointment on compassionate grounds. It would be difficult to know before hand categories to which such candidates belong to. Wherever such difficulty is felt, perhaps, the Appointing Authority may, at his discretion, appoint such persons and get it adjusted against future appointments.
There are no specific points for appointment physically handicapped except for suggesting recruitment of one person in blocks of 33 posts (Point No.1-33, 34-67 & 68-100). Similarly no points are set for appointment of Sportspersons and appointment on compassionate grounds. Their reservation would continue to be on the basis of vacancies announced in the respective categories and against the respective communities.
Calculation of vacancies
For "DR" for a particular Recruitment Year or specified period on the basis of position from Reservation roster for SC/ST/OBC as applicable to fill short-fall, calculate vacancies and reservation from Reservation roster for short-fall of reservation for "Vertical Reservation" for SC/ST/OBC and "Horizontal Reservation" for Physically Handicapped, Sportsmen, Ex-Servicemen, Compassionate appointees, etc. duly applying 50% reservation including backlog/carry forward vacancies.
For recruitment by "Promotion", calculate vacancies for promotion for a Recruitment Year on the crucial date, and calculate short-fall of reservation for SC or ST from the reservation roster, and apply 50% limitation.
While in "Selection by Merit", supersession is allowed. In "Selection-cum-Seniority", no supersession is allowed. After the assessment by the DPC on the basis of Annual Confidential Reports as "Not yet Fit", "Average", "Good", "Very Good" and "Outstanding", select list has to be prepared and reservation for SC/ST where applicable has to be made.
In "Non-Selection" method, the term "Zone of Consideration" will not be applied. All the Officers have to be considered in the order of seniority and eligibility on the crucial date. However, all SC/ST Officers have to be considered irrespective of their seniority, provided they otherwise fulfil the criteria.
The present 20-point roster would continue to be maintained for equitable distribution of Direct Recruits and Promotees.
Exchange of reserved vacancies
Direct Recruitment: The unfilled reserved vacancies are to be carried forward till these are actually filled. However, in the third year and subsequent years of their carrying forward, the vacancies reserved for SC category can be filled by ST category candidates, and vice versa.
Promotion: Except for one category, i.e. "Promotion by Selection", exchange is permissible in the third year of the carry-forward. However, in the excepted category from Gr. C to Gr. B within Gr. B and from Gr. B to the lowest rung of Gr. A, where no carrying forward is permitted, exchange is permitted within the same year.
Reservation for OBCs is not applicable to the posts filled by "Promotion".
Exchange of vacancies done in the above manner will ensure that the structure and composition of the cadre remains unaffected over a period. This procedure also obviates the need for dereservation in the "Promotion Quota" in such grades.
Initial operation of rosters
At the point of initial operation of the roster, it will be necessary to determine the actual representation of the incumbents belonging to different categories in a cadre vis-à-vis the points earmarked for each category, viz. SC/ST/OBC and General, in the roster. This may be done by plotting the appointments made against each point of roster starting with the earliest appointee. Thus, if the earlier appointee in the cadre happens to be a candidate belonging to the SC, against point No.1 of the roster, the remark "Utilized by SC" shall be entered. If the next appointee is a General category candidate, the remark "Utilized by General category" shall be made against point No.2, and so on, till all appointments are adjusted in the representative rosters.
Representation of each reserved category has to be determined first as per prescribed percentages of reservation applicable to "DR" and "Promotion" and their total representation of respective reserved category in the cadre has to be worked out.
In "DR", while making these adjustments the SC/ST/OBC candidates who were recruited purely on their merit from 1-7-1998 except those who have taken the benefit of age concession, experience and number of chances from 1-7-1998 in "DR", shall be treated as General category candidates.
Excess representation of SC/ST, if any, would be adjusted in future appointments.
A senior-most official in a cadre belonging to a reserved category considered fit for promotion on Seniority-cum-Fitness basis will be promoted despite excess representation of such reserved category in that higher post but he would be shown against reserved category to which he belongs for the purpose of future adjustment.
Since recruitment is generally vacancy-based, it may so happen that the actual number of Promotees and Direct Recruits in the cadre does not correspond to the number of posts earmarked in the respective reservation roster. For the purpose of calculation of representation of reserved category in a cadre, total of Promotees and Direct Recruits may be taken. Rectification of the representation as per prescribed percentage by the prescribed mode of recruitment at the earliest possible should be the foremost exercise.
After completing the adjustment as indicated above, a tally should be made to determine the actual percentages of representation of appointees belonging to the different categories in the cadre. If there is an excess representation of any of the reserved categories, or if the total representation of the reserved categories exceeds 50%, it shall be adjusted in the future recruitment suitably.
While preparing post-based rosters for administrative posts, say Assistant Gr.I (General), the excess staff, if any, in a particular mode of recruitment such as DPC/DTQ/DR to the post may be proportionately shown against the vacant posts in the other mode(s) of recruitment for the said post. Recruitment will be carried out by restricting the number of posts to be filled keeping in view the over all sanctioned strength for the post. As and when an incumbent of a point vacates his post in any roster, that post will be filled by that particular mode of recruitment for which the roster is maintained and the category to which the post is earmarked.
In order to adjust such an imbalance, if any, inclusion of the excess candidates in a cadre in the roster in other cadres of the grade proportionately is permitted till the imbalance gets adjusted.
Maintenance of rosters
The existing vacancy-based 200-point, 120-point and 40-reservation rosters have been replaced by the new model post-based and 13-point reservation rosters. In a cadre comprising 200 posts where the recruitment rules prescribe a ratio of 50:50 for "DR" and "Promotions", the roster for "Direct Recruitment" shall have 100 points, and that for Promotion shall have 100 points; thus making a total of 200.
The number of points in the roster shall be equal to the number of posts in the cadre. Whenever there is an increase or decrease in the cadre strength, the roster shall be correspondingly expanded or contracted. Similarly the same exercise has to be done wherever there is a change in recruitment rules which affects the proportion of posts to be filled by a particular mode of recruitment.
In case of a cadre having 13 posts, initial recruitment will be as indicated therein and the next will be as indicated in the 1st recruitment. Thereafter, the next replacement would be the same as in the case of initial recruitment.
As a result of the adoption of revised rosters, if there is any excess of a particular category, it will be adjusted by future appointments and the existing appointments will not be disturbed.
The existing 1-point rosters for appointments to Gr. C and D posts will also have to be recast accordingly.
The appropriate roster in the prescribed form, as may be applicable to the post/ service concerned, is to be maintained in a register. The roster is to be operated on the principle of "replacement" and not as "running account".
Separate roster will be maintained for each cadre or grade.
Where posts to be filled by "DR" have been grouped, a roster has to be maintained for the group as a whole. Within each cadre or grade, separate rosters have to be maintained for posts by "DR" and posts filled by "Promotion", and within this a separate roster for each mode of "Promotion".
A common roster should be maintained for permanent appointments, temporary appointments likely to become permanent and temporary appointments likely to continue indefinitely.
Separate rosters are to be maintained for each Gr. D category of posts.
A separate roster has to be maintained for purely temporary appointments for 45 days or more which have no chance whatsoever of becoming permanent or continuing indefinitely. Similarly for ad hoc promotions, separate roster has to be maintained. Immediately after an appointment is made, the particulars of the person appointed have to be entered in the register in the appropriate column and the entry has to be duly signed by the Appointing Authority or by any other Officer authorized to do so.
Application of "squeezing"
The representation of each of the reserved category should be kept within its prescribed percentage and total reservation should in no case exceed 50 percent of the cadre. If necessary, "squeezing" may be done at the end of the roster for the reserved categories so as to reach the number of posts to be reserved for them without violating the 50% limit laid down by the Courts.
While operating the relevant roster, care should be taken to ensure that on no occasion the percentage of reserved category candidates exceeds 50%. If such a situation occurs at any time, the relevant reserved point occurring as a result of rotation has to be skipped.
The existing reserved category of persons, over and above the sanctioned strength will also count towards determining the representation of the reserved categories.
The method for making a roster is to multiply each post by the prescribed percentages of reservation for the different categories. The point at which the multiple for a community obtains a complete number or oversteps the number is to be reserved for that community; while taking care to evenly space out the different reserved categories. For example, in a 200-point roster, at point No.15 both OBC and SC get entitled. Since earlier reserved point No.4 has gone to OBC, point No.15 has to be reserved for SC and point No.16 for OBC.
Gaps in the roster
No gap should be left in completing the roster. It should be ensured that the names of SCs/STs and OBCs who have been selected against the reserved posts, should be shown against the respective reserved points in the roster, as and when they join. However, there could be cases where a point is earmarked for recruitment of SC/ST/OBC, and necessary action to fill that vacancy by a candidate of the respective reserved category has already been initiated and is in progress, keeping the reserved point temporarily unfilled till the reserved community candidate joins cannot be termed as a "gap".
Carry-forward of reserved vacancies
In "DR", if sufficient number of suitable candidates belonging to SC/ST/OBC is not available for appointment against reserved vacancies in a particular Recruitment Year, such vacancies are required to be carried-forward to subsequent Recruitment Years till these are filled.
Any recruitment of SC/ST/OBC candidate will first be counted against additional quota brought forward from the previous years in chronological order. If sufficient number of SC/ST/OBC candidates are not available to fill all the reserved vacancies, the carried-forward vacancies should be filled up first by the available SC/ST/OBC candidate and those carry-forwarded vacancies which were done comparatively later should be carried-forward further.
Backlog vacancies in respect of SC/ST/OBC categories have to be determined afresh as per the revised post-based rosters and are to be carried forward for future appointment.
Dereservation in promotion
Where recruitment to a grade is made both by "Promotion" and "DR", reserved vacancies falling in the For preparing roster, the total strength borne on each lower and higher cadre will be taken in to account. "Promotion Quota" which cannot be filled due to non-availability of eligible persons belonging to SCs and STs in the feeder cadre may be temporarily diverted to the "DR" quota and filled by recruitment of candidates belonging to SCs and STs, as the case may be, in accordance with the provisions in the recruitment rules relating to "DR".
In the subsequent year(s) when reserved vacancies in the DR quota become available, these may be re-diverted to the "Promotion Quota" to make up for the vacancies diverted earlier and filled from SC/ST candidates in the feeder cadre who might have then become eligible for promotion.
Diversion of reserved vacancies is not permissible in cases where the posts in a cadre are filled 100% by "Promotion" or in which there is no element of "DR" in recruitment rules. If no reserved category candidate is available, it should be clearly indicated while forwarding the proposal to the DPC as to whether the competent authority (Director of a Lab./Instt.) has approved dereservation of the reserved vacancy. Only in such case, a General category candidate will be recommended against reserved vacancy.
In the case of promotion wherever dereservation of the unfilled reserved vacancies is done, these are required to be carried-forward to three subsequent Recruitment Years.
References
1. Swamy's Compilation on Reservations and Concessions for SCs and STs, OBC (Mandal Commission), etc. (2002)
2. Swamy's Compilation of Fundamental Rules and Supplementary Rules (Pt. I-V) 2003 & 2004)
3. GoI MPPG&PDP&T O.M. No. 36012/2/96-Estt. (Res.) dt. 25-7-1997; CSIR Lr. No.20/95/SC-ST Cell dt. 25-7-1997.
4. GoI DoPT O.M. No. 36012/2/96-Estt. (Res.) dt. 2-7-1997
5. CSIR Lr. No. 20/95/SC-ST Cell dt. 28-8-1998.
PROFORMA FOR MAINTAINING POST-BASED ROSTERS
to be attached......
1. Swamy's Compilation on Reservations and Concessions for SCs and STs, OBC (Mandal Commission), etc. (2002)
2. Swamy's Compilation of Fundamental Rules and Supplementary Rules (Pt. I-V) 2003 & 2004)
3. GoI MPPG&PDP&T O.M. No. 36012/2/96-Estt. (Res.) dt. 25-7-1997; CSIR Lr. No.20/95/SC-ST Cell dt. 25-7-1997.
4. GoI DoPT O.M. No. 36012/2/96-Estt. (Res.) dt. 2-7-1997
5. CSIR Lr. No. 20/95/SC-ST Cell dt. 28-8-1998.
PROFORMA FOR MAINTAINING POST-BASED ROSTERS
to be attached......
