Chapter 13 Reservation Policy

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BSNL India For Internal Circulation only Page 1

Chapter-13

RESERVATION POLICY

Introduction :

The State

Article 12

The State includes the Government and Parliament of India and the Government and the Legislature of each of the State and all local or other authorities within the territory of India or

under the control of the Government of India.

Article 46

The state shall promote with special care the educational and economic interests of the weaker

section of the population, and particular the SCs and STs and shall protect them from social

injustice and all forms of exploitation.

Equality before law

Article 14

The state shall not deny to any person equality before the law or the equal protection of the

laws within the territory of India.

Prohibition of discrimination on grounds of religion, race, caste, sex or place

of birth:

Article 15:

(1) The State shall not discriminate against any citizen on grounds only of religion,

race, caste, sex, place of birth or any of them.

(2) No citizen shall, on grounds only of religion, race, caste, sex, place or birth or any of them, be subject to any disability, liability, restriction or condition with regard to:

(a) access to shops, public restaurants, hotels and place of public entertainment; or

(b) the use of wells, tanks, bathing ghats, roads and places of public resort maintained wholly or partly out of State funds or dedicated to the use of the

general public.

(3) Nothing in this article shall prevent the State from making any special provision for women and children.

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(4) Nothing in this article or in clause (2) of Article 29 shall prevent the State from making any special provision for the advancement of any socially and educationally

backward classes of citizens or for the Scheduled Castes and the Scheduled

Tribes.

Amendment: Clause (4) was inserted by the Constitution amendment (First Amendment) Act, 1951.

Equality of opportunity in matters of public employment:

Article 16:

1. There shall be equality of opportunity for all citizens in matters relating to

employment or appointment to any office under the State.

2. No citizen shall, on grounds only of religion, race, caste, sex, descent, place of birth, residence or any of them, be ineligible for, or discriminated against in respect

of, any employment or office under the State.

3. Nothing in this article prevent Parliament from making any law prescribing, in regard to a class or classes of employment or appointment to an office under the

Government of, or any local or other authority within, a State or Union territory,

any requirement as to residence within that State of Union territory, prior to such

employment or appointment.

4. Nothing in this article shall prevent the State from making any provision for the reservation or appointments or posts in favour of any backward class of

citizens, which, in the opinion of the State, is not adequately represented in the

services under the State.

4A. Nothing in this article shall prevent the State from making any provision for

reservation in matters of promotion, with consequential seniority, to any class or classes of posts in the services under the State in favour of the Scheduled Castes

and the Scheduled Tribes which, in the opinion of the State, are not adequately

represented in the services under the State.

4B. Nothing in this article shall prevent the State from considering any unfilled

vacancies of a year which are reserved for being filled up in that year in accordance

with any provision for reservation made under clause (4) or (4A) as a separate class

of vacancies to be filled up in any succeeding year or years and such class of

vacancies shall not be considered together with the vacancies of the year in which

they are being filled up for determining the ceiling of fifty per cent reservation on

total number of that year.

5. Nothing in this article shall affect the operation of any law which provides that the incumbent of an office in connection with the affairs of any religious or

denominational institution or any member of the governing body thereof shall be a

person professing a particular religion or belonging to a particular denomination.

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Amendment:

Clause (4A) was inserted by the Constitutional amendment (77th

and 92nd

amendment Act,

1995 (92nd

amendment was made effective from 17-06-1995).

Clause (4B) was inserted by the Constitutional amendment (81st amendment Act, 2000)

(Circulated vide Government of India, Department of Personnel & Training O.M. No.

36012/5/97-Estt.(Res.)Vol.II dated 20th

July, 2000.

.

Claims of Scheduled Castes and Scheduled Tribes to services and posts

Article 335

The claims of the members of the Scheduled Castes and Scheduled Tribes shall be taken into

consideration, consistently with the maintenance of efficiency of administration, in the making

of appointments to services and posts in connection with the affairs of the Union or of a State.

Provided that nothing in this Article shall prevent in making of any provision in favour of the members of the Scheduled Castes and Scheduled Tribes for relaxation in

qualifying marks in any examination or lowering the standards of evaluation, for

reservation in matters of promotion to any class or classes of services or posts in

connection with the affairs of the union or of a State.

Amendment:

Above quoted para was inserted by the 82nd

Constitutional amendment Act, 2000.

(Circulated vide Government of India, Department of Personnel & Training O.M. No.

26012/23/96-Estt.(Res.)Vol.II dated 3rd October, 2000)

(a) Govt. of India had issued orders on 23.12.1970, 21.1.1977 and 10.4.1989 providing

guidelines for certain relaxations / concessions in the matter of qualifying marks /

standards of evaluation of performance in favour of candidates belonging to SCs /

STs while considering them for promotion.

(b) The Supreme Court held in S. Vinod Kumar vs. Union of India (JT 1996 (8) SC 643) case that the validity of such lower qualifying marks / lesser standards in the

matter of promotion of SCs / STs is not permissible in view of the command

contained in Article 335 of the Constitution. In view of this the Govt. withdrew the

concession vide Govt. of India, Deptt. of Per. & Trg. O.M. No. 36012/23/96-

Estt.(Res.), dated 22.7.1997.

(c) Consequent to addition of provision to Article 335, as above, the Govt. has now

restored the position for lesser standards of evaluation in the matters of

promotions of SCs/STs vide Govt. of India, Deptt. of Per. & Trg. O.M.dated 3rd

October, 2000.

National Commission for Scheduled Castes and Schedule Tribes:

Article 338 and 338A

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Earlier under Article 338 of Constitution, the Government of India constituted National

commission for Schedule Caste and Schedule Tribes in the year 1992. Consequently vide 89th

amendment act, 2003 dated 28-09-2003 the article 338 was amended such that

1. Article 338 became relevant for Scheduled Castes only after the amendment.

2. A new Article, i.e. Article 338A was include in the Constitution after 338, to set up a

separate Commission for Schedule Tribes.

3. A person belongs to Schedule Caste / Schedule Tribe can directly approach National / Regional commissions for redressal of his / her grievances

Notification of amendment of Article 338 was issued on 19.2.2004 to enable the Govt. to set up

two separate Commissions. Rules for appointment of two commissions, their status, tenure, etc.

notified on 20.2.2004.

National Commission for Scheduled Castes:

Article 338:

(1) There shall be a Commission for the Scheduled Castes to be known as the National

Commission for the Scheduled Castes.

(2) Subject to the provision of any law made in this behalf by Parliament, the Commission shall consist of a Chairperson, Vice Chairperson and three other members and the conditions of service and tenure of office of the Chairperson, Vice Chairperson and other Members so appointed shall be such as the President may by rule determine.

(3) The Chairperson, Vice Chairperson and other Members of the Commission shall be appointed by the President by warrant under his hand and seal.

(4) The Commission shall have the power to regulate its own procedure.

(5) It shall be the duty of the Commission:

(a) to investigate and monitor all matters relating to the safeguards provided for the Scheduled Castes under this Constitution or under any other law for the time

being in force or under any order of the Government and to evaluate the

working of such safeguards;

(b) to inquire into specific complaints with respect to the deprivation of rights and safeguards of the Scheduled Castes;

(c) to participate and advise on the planning process of socio economic development of the Scheduled Castes and to evaluate the progress of their

development under the Union and any State;

(d) to present to the President, annually and at such other times as the Commission may deem fit, reports upon the working of those safeguards;

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(e) to make in such reports recommendations as to the measures that should be taken by the Union or any State for the effective implementation of those

safeguards and other measures for the protection, welfare and socio economic development of the Scheduled Castes; and

(f) to discharge such other functions in relation to the protection, welfare and development and advancement of the Scheduled Castes as the President may,

subject to the provisions of any law made by Parliament, by rule specify.

(6) The President shall cause all such reports to be laid before each House of Parliament along with a memorandum explaining the action taken or proposed to be taken on the

recommendations relating to the Union and the reasons for the non acceptance, if any, of any of such recommendations.

(7) Where any such report, or any part thereof, relates to any matter with which any State Government is concerned, a copy of such report shall be forwarded to the Governor of

the State who shall cause it to be laid before the Legislature of the State along with a

memorandum explaining the action taken or proposed to be taken on the

recommendations relating to the State and the reasons for the non acceptance, if any, of any of such recommendations.

(8) The Commission shall, while investigating any matter referred to in sub clause (a) or inquiring into any complaint referred to in sub clause (b) of clause (5), have all the powers of a Civil court trying a suit and in particular in respect of the following

matters, namely:-

(a) summoning and enforcing the attendance of any person from any part of India and examining him on oath;

(b) requiring the discovery and production of any document;

(c) receiving evidence on affidavits;

(d) requisitioning any public record or copy thereof from any court or office;

(e) issuing commission for the examination of witnesses and documents;

(f) any other matter which the President may, by rule, determine.

(9) The Union and every State Government shall consult the Commission on all major policy matters affecting Scheduled Castes.

(10) In this article, references to the Schedule Castes shall be construed as including references to such other backward classes as the President may, on receipt of the report

of a Commission appointed under clause (1) of article 340, by order specify and also to

the Anglo Indian community. Tenure of Office: 3 Years.

Status

(i) Chairperson Rank of Cabinet Minister

(ii) Vice Chairperson Rank of Minister of State

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(iii) Members Rank of Secretary to the Govt. of India.

National Commission for Scheduled Tribes:

Article 338A.

(1) There shall be a Commission for the Scheduled Tribes to be known as the National

Commission for the Scheduled Tribes.

(2) Subject to the provisions of any law made in this behalf by Parliament, the Commission shall consist of a Chairperson, Vice Chairperson and three other Members and the conditions of service and tenure of office of the Chairperson, Vice Chairperson and other Members so appointed shall be such as the President may be rule

determine.

(3) The Chairperson, Vice Chairperson and other Members of the Commission shall be appointed by the President by warrant under his hand and seal.

(4) The Commission shall have the power to regulate its own procedure.

(5) It shall be the duty of the Commission:-

(6) The President shall cause all such reports to be laid before each House of Parliament along with a memorandum explaining the action taken or proposed to be taken on the

recommendations relating to the Union and the reasons for the non acceptance, if any,

of any of such recommendations.

(7) Where any such report, or any part thereof, relates to any matters with which any State Government is concerned, a copy of such report shall be forwarded to the Governor of

the State who shall cause it to be laid before the legislature of the State alongwith a

memorandum explaining the action taken or proposed to be taken on the

recommendations relating to the State and the reasons for the non acceptance, if any, of any of such recommendations.

(8) The Commission shall, while investigating any matter referred to in sub clause (a) of inquiring into any complaint referred to in sub clause (b) of clause (5), have all the powers of a Civil Court trying a suit and in particular in respect of the following

matters, namely;-

(a) summoning and enforcing the attendance of any person from any part of India and examining him on oath;

(b) requiring the discovery and production of any document; (c) receiving evidence on affidavits; (d) requisitioning any public record or copy thereof from any Court or office; (e) Issuing commission for the examination of witnesses and documents; (f) Any other mater which the President may, by rule, determine.

(9) The Union and every State Governments shall consult the Commission on all major policy matters affecting Scheduled Tribes.

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Tenure of Office: 3 Years.

Status

(i) Chairperson Rank of Cabinet Minister

(ii) Vice Chairperson Rank of Minister of State

(iii) Members Rank of Secretary to the Govt. of India.

Schedule Castes:

Article 341:

(1) The President may, with respect to any State or Union territory, and where it is a State, after consultation with the Governor thereof, by public notification, specify the castes,

races or tribes or parts of or groups within castes, races or tribes which shall for the

purposes of this Constitution be deemed to be Scheduled Casts in relation to that State

or Union territory, as the case may be.

(2) Parliament may by law include in or exclude from the list of Scheduled Castes specified in a notification issued under clause (1) any caste, race or tribe, or part of or

group within any caste, race or tribe, but save as aforesaid a notification issued under

the said clause shall not be varied by any subsequent notification.

Scheduled Tribes:

Article 342

(1) The President may with respect to any State or Union territory, and where it is a State,

after consultation with the Governor thereof, by public notification, specify the tribes or

tribal communities or part or groups within tribes or tribal communities which shall for

the purposes of this Constitution be deemed to be Scheduled tribes in relation to that

State or Union territory, as the case may be.

(2) Parliament may be law include in or exclude from the list of Scheduled Tribes specified in a notification issued under clause (1) any tribe or tribal community or part of or

group within any tribe or tribal community, but save as aforesaid a notification issued

under the said clause shall not be varied by any subsequent notification.

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Relaxation and concession at a glance

SC/ST OBC

1 Upper Age Limit 5 Years 3 Years

2 Upper age limit if the

candidate is handicapped

15 Years 8 Years

2

TA to attend Interview

Test

Reimbursable- By 2nd

class-

shortest Route- To end Fro-

from nearest Railway station

to the place of interview /

Test.

Not applicable

3 Application Fee

Fully Exempted No exemption

4 Examination Fee Fully Exempted No exemption

5 Experience / Qualification

for Direct Recruitment

Relaxable at the discretion of

Competent Authority.

Not Relaxable

6 Standard of suitability Relaxable Relaxable

7 Rule of Exclusion Not applicable Applicable

8 Reservation in Promotion Applicable Not applicable

9 Candidates coming on

merit in Direct

Recruitment.

Not to be adjusted against

reservation quota.

Not to be adjusted

against reservation

quota.

10 Liaison Officer Separate for SC/ST. Separate for OBC

N.B.

1. Reservation for SC/ST/OBC put together not to exceed 50% of vacancies in a year. 2. Reservation for SC/ST/OBC put together not to exceed 50% of the cadre.

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INSTITUTIONAL SAFEGUARDS

National Commission for Scheduled Castes and Scheduled Tribes:

Two separate National Commission and 17 Regional Commission, in accordance with the

Constitutions, have been set up by the Government. These Commissions are vested with

certain powers to functions for the safeguard the interests of the Scheduled Castes and the

Scheduled Tribes.

Earlier under Article 338 of Constitution, the Government of India constituted National

commission for Schedule Caste and Schedule Tribes in the year 1992. Consequently vide 89th

amendment act, 2003 dated 28-09-2003 the article 338 was amended such that

4. Article 338 became relevant for Scheduled Castes only after the amendment.

5. A new Article, i.e. Article 338A was include in the Constitution after 338, to set up a

separate Commission for Schedule Tribes.

6. A person belongs to Schedule Caste / Schedule Tribe can directly approach National /

Regional commissions for redressal of his / her grievances

Notification of amendment of Article 338 was issued on 19.2.2004 to enable the Govt. to set up

two separate Commissions. Rules for appointment of two commissions, their status, tenure, etc.

notified on 20.2.2004.

Committee of Parliament on Welfare of Scheduled Castes/Scheduled Tribes

In addition to the National and Regional Commissions for the schedule case and Schedule

Tribes, a Committee of Parliament on the Welfare of Scheduled Castes / Scheduled Tribes was

also set up. The committee includes 45 members. 30 members are nominated from Lok Shbha

and 15 members are nominated from Rajya Shbha. The Committee inter-alia examines the

position regarding representation of Scheduled Castes / Scheduled Tribes in the services under

the various Ministries and other government organisations and makes suitable

recommendations for effective implementation of policies and programmes concerning

Scheduled Castes and Scheduled Tribes.

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SERVICES SAFEGUARDS The policy with regard to reservation of posts and services under the State in terms of Article

16(4) of the Constitution of India continued for the Scheduled Castes and Scheduled Tribes

both in direct recruitment and promotions. Reservation for Socially and Educationally

Backward Classes was introduced with effect from 8-9-1993 as a part of implementation of the

Mandal Commission's recommendations. Efforts were intensified by the Government of India

to increase the representation of SC and ST in services under the Government of India, Public

Sector Enterprises and Nationalised / Public Sector Banks during the year under report by

launching a special drive to make good the shortfalls in various categories of posts through

recruitment and reserving vacancies to the maximum extent (50%) permissible under the

Supreme Court ruling on the matter.

On the attainment of Independence, instructions were issued on 21.9.47 providing for

reservation of 12.5% of vacancies for SCs in respect of recruitment made by open competition.

In case of recruitment otherwise than by open competition this percentage was fixed at

16.67%. After the Constitution was promulgated, MHA, in its Resolution of 13.9.50, provided

5 per cent reservation of STs apart from the percentage fixed for SCs already in force. The

1951 Census showed that the percentage of SCs in the total population was 15.05 per cent and

that of ST 6.31%. The percentages were not revised at that time as a comprehensive bill

revising the lists of SCs and STs was under consideration. The other reason for not revising the

percentage was that reservation had already been provided for SCs in posts filled otherwise

than by open competition to the extent of 16.66 per cent and instructions had also been issued

for following a regional and local percentage for Group C and Group D posts attracting

candidates from a locality or region. The 1961 Census revealed that the Scheduled Castes and

Scheduled Tribes population in proportion to the Indian population stood at 14.64 per cent and

6.80 per cent respectively. Accordingly, the percentage of reservation for SCs and STs was

increased from 12.5% and 5% to 15 % and 7.5% respectively on 25.3.70. The 1971 Census did

not warrant any such review. The actual impact of 1981 Census figures on all India

percentages could not be known because the Census of 1981 could not be carried out in the

State of Assam. Same is true of 1991 Census as the Census of 1991 could not be held in the

State of Jammu and Kashmir.

Reservations have been extended to other modes of promotion in stages. In 1957, reservations

were provided for Scheduled Castes and Scheduled Tribes in departmental competitive

examinations. Reservations in promotion by selection in Group C and Group D were provided

in 1963 and in the same year reservation in departmental competitive examination was limited

to Group C and D only. The position was slightly changed in 1968 when reservations in limited

departmental examination to Group B, C and D and promotion by selection to Group C and D

were subjected to a condition that element of direct recruitment should not exceed 50 per cent.

Reservation in promotion by seniority subject to fitness came in 1972 subject to the condition

that the element of direct recruitment does not exceed 50 per cent. In 1974, reservations in

promotion by selection from Group C to Group B, within Group B and from Group B to the

lowest rung of Group A were introduced provided the element of direct recruitment does not

exceed 50 per cent. The limitation of the direct recruitment not exceeding 50 per cent was

raised to 66.67% in 1976 and to 75% in 1989.

The Supreme Court had in the Indira Sawhney case permitted the reservation for the Scheduled

Castes and Scheduled Tribes in promotion to continue for a period of five years from 16.11.92.

Consequent to this judgment the Constitution was amended and Article 16(4A) was

incorporated. In pursuance of this Article, instructions have been issued on 13.8.97 to continue

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the reservation in promotions for the Scheduled Castes and Scheduled Tribes in the

Services/Posts under the Central Government beyond 15.11.97 till such time as the

representation of each of these categories in each cadre reaches the prescribed percentages.

READY RECONER OF PERCENTAGE OF RESERVATION AVAILABLE FOR SCs / STs / OBCs IN RECRUITEMENT AND PROMOTION

Sl.

No. Method of Recruitment Promotion

Roster

Applicable

1.

2.

3.

Recruitment on All India Basis

i. By open competition (including selections through

any Public Service

Commission or Banking

Recruitment Board without

examination)

ii. Otherwise than by open competition

Recruitment to Group C and D posts

normally attracting candidates from

a location or region.

Promotions based on

i. Departmental competitive Exams. to Group B, C and D

posts in which the element of

direct recruitment, if any, does

not exceed 75%.

ii. Selection to Group B, C and D and from Group B to

the lowest rung of Group a in

which the element of direct

recruitment, if any, does not

exceed 75%.

iii. Seniority subject to fitness to Group A, B, C and

D post in which the element

of direct recruitment, if any,

does not exceed 75%.

SC-15%

ST-7.5%

OBC - 27%

SC-16.66%

ST-7.5%

OBC-25.84%

Proportionately to the

populations of SCs and

STs in the respective

states or regions, OBCs

upto 27% depending upon

the percentages for SCs

taken together.

SC-15%

ST-7.5%

OBC-nill

SC-15%

ST-7.5%

OBC-nill

SC-15%

ST-7.5%

OBC-nill

200 Points

(Page No.2.7)

120 Points

(Page No. 8-

11)

120 Points

(Page No.12-

17)

200 Points

(Page No.18-

24)

200 Points

(Page No.18-

24)

200 Points

(Page No.18-

24)

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PROCEDURAL AND MISCELLANEOUS SAFEGUARDS

1. Representation of SC/ST/OBC, Minorities and Women on Selection Boards/Committees:

Instructions have been issued on 11.7.95 that wherever a Selection Committee/Board exists or

has to be constituted for making recruitment to ten of more vacancies in Group C or Group D posts/services, it shall be mandatory to have one member belonging to SC/ST/OBC and one member belonging to Minority Community in such Committees/Boards. Further one of the

Members of the Selection Committee/Board whether from the general category or from the

minority community or from SC/ST/OBC, should be a lady failing which a lady member

should be co-opted on the Committee/Board. It may also be ensured that where the number of

vacancies against which selection is to be made is less than ten, no effort should be spared in

finding a Scheduled Castes/Scheduled Tribes/Other Backward Classes officer, a Minority

Community officer and a lady officer for inclusion in such Committees/Boards.

2. Examination and interview boards

Whenever recruitment is made on the basis of competitive examinations, centres for such examinations should be set up at all places where a sizable number of tribal candidates

appear at examination in addition to the usual centres of examinations.

Where selection is made by interview, the Recruitment Boards should be sent to places where there is concentration of candidates belonging to Scheduled Tribes.

3. Special training programmes

In pursuance of the recommendations of the Parliamentary Committed on the Welfare of

Scheduled Castes and Scheduled Tribes, the Ministries/Departments should draw up special

training programmes including in-service training programmes in which necessary training

could be provided to SC/ST candidates. The training progrmmes should be drawn up in such a

way that it should be possible for SC/ST candidates to derive the maximum advantage from

such training programmes. The Training division of the Department of Personnel and Training

will render technical assistance, if any, needed by the Ministries/Departments in drawing up

the training programmes and would also undertake periodical review of such training

programmes as and when required.

4. Forwarding of applications for appointment elsewhere

Applications for employment elsewhere of temporary or permanent Central Government

servants belonging to SCs/STs should be readily forwarded except in very rare cases where

there may be compelling grounds of public interest for withholding such applications. The

withholding of applications should be an exception rather than a rule in the case of SC/ST

employees who should be afforded every facility for improving their prospects. In cases where

such applications are withheld and could not be forwarded due to compelling grounds of public

interest, they should be reported within a month to the Liaison Officer in the Administrative

Ministry/Department or in offices under the Head of Department.

5. Selection of persons for posts abroad

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Whenever a Ministry/Department, etc., makes selection of persons for posting in its units, etc.,

located in a foreign country, it should see that eligible employees belonging to SCs/STs are

also considered along with others for such postings.

6. Effectiveness in the development and protection of SCs/STs to be

indicated in Confidential Reports.

The Reporting Officers should give their specific comments on the effectiveness of the officers

dealing with development and protection of Scheduled Castes and/or Scheduled Tribes, in the

column in the Reporting Officers part of Confidential Reports. All cadre controlling authorities are to incorporate in the Reporting Officers part of the CR form a column as under

Effectiveness in the development and protection of Scheduled Castes and/or Scheduled Tribes :

Attitude towards Scheduled Castes and/or Scheduled Tribes.

Sensitivity to social justice.

Ability to take quick and effective action to prevent and quell atrocities and ensure justice to Scheduled Castes and/or Scheduled Tribes.

Effectiveness in bringing about the development of Scheduled Castes and/or Scheduled Tribes.

7. Terms Scheduled Caste/Scheduled Tribe only to be used in all official matters and not Harijan/Girijan.

For all official transactions, matters, dealings, certificates, etc., the Constitutional terms

Scheduled Castes and Scheduled Tribes in English and their appropriate translation in other national languages should alone be used for denoting the persons belonging to these categories,

and the terms Harijan/Girijan should not be used.

8. SC/ST employees may write direct to National Commission for

SCs/STs.

SC/ST employees are permitted to write to the National Commission for Scheduled Castes and

Scheduled Tribes direct on matters relating to appointments against the reserved quota. It is

not necessary for them to seek prior permission of the concerned administrative

Ministries/Departments for sending their representations to the Commission.

9. Reservation of Seats in Gram Panchayats

Article 243D of the constitution provide provision for the reservation of seats for SC and ST in every Panchayat and the number of seats so reserved shall bear, as nearly as

may be, the same proportion to the total number of seats to be filled by direct election

in that Panchayat as the population of the Scheduled Castes in that Panchayat area.

The offices of the Chairpersons in the Panchayats at the village or any other level shall be reserved for the Scheduled Castes, the Scheduled Tribes and women in such manner

as the Legislature of a State may, by law, provide.

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10. Educational Safeguard

The importance of educational development of the weaker sections of the society was recognized many decades ago by the Government of India and extended incentives and

concessions to these sections of society (now SCs and STs) vide the Government of

India Act, 1935. After independence and on the adoption of the Constitution,

safeguards were built into the administrative system through special provisions

incorporated in the Constitution.

The Articles which contain educational safeguards for SC & ST are 29(1), 46, 15(4), and 350 A. Of these Articles 15(4) and 46 are more important in so far as educational

development is concerned. Article 46 included among the Directive Principles of State

Policy provides that the "State shall promote with special care the educational and

economic interests of the weaker sections of the people, and particularly of those

belonging to the Scheduled Castes and Scheduled Tribes and shall protect them from

social injustice and from all forms of exploitation". This article did not give any power

to the Government to take or adopt any specific measure for educational development

of Scheduled Castes and Scheduled Tribes. Article 15 of the Constitution was,

therefore, amended through the Constitution (First Amendment) Act, 1951 and Clause

4 added to it Article 15(4). This empowered the State to make special provisions for the

educational development of SC & ST and as a result the Government reserved seats for

SC & ST in educational institutions including technical and professional institutions

like medical and engineering colleges.

In response to the special obligation placed on the Government of India by Article 15(4) of the Constitution to make special provisions, the then Ministry of Education

(now Ministry of Human Resource Development) for the first time addressed letter on

23-11-1954 to the Chief Secretaries of all the State Governments suggesting that 20%

seats should be reserved for the Scheduled Castes and Scheduled Tribes in educational

institutions with a provision of 5% relaxation in minimum qualifying marks for

admission wherever required. This was slightly modified in April, 1964, where a

distinct percentage of 15% for Scheduled Castes, and 5% for Scheduled Tribes was laid

down and was also made interchangeable. The Ministry of Health and Family Welfare

also came forward and separately issued letters to the Vice Chancellors of the

Universities having Medical Faculties to reserve 15% seats for Scheduled Castes and

5% for Scheduled Tribes with 5% relaxation in minimum qualifying marks for

admission to all post-graduate medical and Dental colleges.

The University Grants Commission had also issued guidelines to the Universities and colleges under their respective control to ensure that the Scheduled Caste and

Scheduled Tribe students were allowed due concession in the matter of admission in all

under graduate as well as post-graduate courses in the various streams. The percentage

of reservation for Scheduled Tribes was revised upwards from 5% to 7.5% in 1982. At

present the following percentage are allowed for Scheduled Caste and Scheduled Tribe

students in admission to the various undergraduate and post-graduate courses of

general; technical, medical and other professional education in the Universities and

colleges:

Scheduled Castes: 15%

Scheduled Tribes: 7.5%

Reservation for SC & ST is also available in the allotment of seats in general hostels.

In addition to the above safeguards for admission in educational institutions and allotment of seats in general hostels, the Central and State Governments have initiated a

number of other measures like award of various types of scholarships / stipends /

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opening of book banks for engineering and medical students, mid-day meals, books,

stationery and uniforms etc., (for primary school students) for development of

education among the Scheduled Castes and Scheduled Tribes.

Girls' hostels for SC & ST

This scheme was started in the Third Five Year Plan with the intention to enable SC / ST girls students to pursue education at pre-matric and post-matric levels even at places away from their homes which they otherwise would not have been able to do for

want of accommodation. This centrally sponsored scheme is implemented on 50:50

basis (100% in other UTs) for construction of hostel buildings, extension of existing

hostels for SC/ST girls studying in middle and higher levels of education. Central

assistance is also provided to the voluntary organizations Non-Govt. / Private

organizations only for the extension of hostels provided the organization is willing to

cover 10% of the total expenditure and remaining 90% in such cases is shareable

between the Central and State Government on 50:50 basis. In the capacity of 100

inmates, 10% of the seats are to be reserved for non-SC / ST students. The maintenance

of the hostels is the responsibility of the concerned States / UTs. They should have to

make adequate provisions in the budget. This would, also help in checking the high

drop-out rate among SC/ST women. This centrally sponsored scheme started in 1989-

90 is implemented on the same pattern as that of girls hostels mentioned earlier.

National Overseas Scholarship For SC, ST And Other Students And Passage

Grants For Higher Studies Abroad

Scholarships under this scheme are provided to meritorious SC/ST, Denotified, Nomadic and Semi-nomadic tribes, SC converts to other religion and the children of

landless Agricultural Labourers/Traditional Artisans for advanced degree and post-

doctoral studies abroad. Passage grants are also provided to students who are in receipt

of a merit scholarship from a foreign Government or institution, in case such

scholarships does not include the costs of passage. 30 National overseas scholarships

and 9 passage grants are available each year.

Admissions Of SC/ST In Higher Education With Particular Reference To

Central Universities

It is a Constitutional obligation that the provisions of reservation for SC/ST as embodied in the Constitution of India and the policy of the Government of India framed

in this regard from time to time for the up-liftment of these communities is followed in

the field of higher education also. With a view to meeting this requirement the UGC

which is an apex body had been bringing to the notice of the University Colleges and

the State Govts. the guidelines of the Government of India regarding reservation for

SC/ST in the matter of Universities and Colleges. The UGC was set up in 1956 by an

Act of Parliament for the promotion of University Education and determination and

maintenance of standards in teaching, examination and re- search. This was necessary

as the Constitution of India envisages that coordination of higher education is a cen-

tral responsibility. The UGC functions as per provisions contained in its Act (UGC, Act

1956) and rules regulations framed as per the provisions in the Act.

In order to bring SC/ST to the main stream of life and see that they also get proper representation in different courses of higher education being provided by the

Colleges/Universities including Central Universities UGC has been contributing

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towards social equity and up-liftment of the underprivileged sections of society through

special schemes as well as specific provisions for these sections within regular

schemes.

Different percentage of reservations have been fixed for SC/ST in the Universities of different States in accordance with the percentages of SC/ST population to the total

population of that state. The broad principal is that the reservation percentage for

SC/ST should not be less than their population percentage. In the case of Central

Universities, the percentage of reservation is 15% for SC and 7.5% for ST. It is implied

that all reserved seats according to the percentage of reservation fixed should be filled

up. There had been ample of guidelines issued by the UGC by following which it

would have been possible to fulfill reservation. However to put the matter on still

clearer and firmer basis the UGC issued revised guidelines for full implementation of

reservation in admission. These guidelines were issued by the Additional Secretary vide

his D. O. letter F-8-1093(SCT) dated 15th June, 1993 to fully cooperate and help in

bringing about complete success- in implementation of reservation policy in the

Universities. The revised guidelines are quite comprehensive and if implemented

properly, would go a long way in fulfilling the aspirations of the SC/ST to get higher

education in different streams.

In order to look at the actual representation of SC & ST students in different courses in the Central Universities, efforts were made to collect information from the UGC. The

information pertains to six faculties i.e. Humanities and Social Sciences, Science

including Agricultural Sciences, Engineering Technology, Medical Sciences,

Professional Courses other than Medical and Engineering Technology and other

Courses for the year 1992-93. The information tabulated -and given at Table 1 gives a

very dismal picture of the representations of SC & ST students in the above mentioned

courses. Course wise breakup in respect of Jamia Milia Islamia and Banaras Hindu

University was not available and no information in respect of Indira Gandhi Open

University was made available to the UGC. Based on the information made available

by UGC it may be seen that representation of SCs in different courses ranged from

2.60% to 9.92% and in respect of STs it was 0.09% to 6.41%. Their representations are

nowhere close to 15% and 7.5% as prescribed in case of Central Universities. This is a

matter of serious concern and the concerned Universities, UGC and Ministry of Human

Resources Development should try to find out the causes of poor representation of these

communities in these courses. As mentioned earlier we shall have to ensure that intake

at primary, middle and secondary levels is increased and at the same time the dropout

and wastage at these levels are checked, and those promising among these communities

are picked up and placed in the public schools and they should be provided extra

coaching from lower levels so that they may compete with other students and their

representation may also increase in different courses. As mentioned earlier the

Centrally Sponsored scheme of up-gradation of merit of SC/ST should be fully

exploited in this regard. Besides the above mentioned scheme the concerned

Universities should also ensure that remedial courses meant for SC/ST students are

regularly continued and those universities which have not started these courses should

start without any further loss of time.

11. Miscellaneous Complaints

The Commission has also been receiving complaints of miscellaneous nature which do not

involve breach of any particular safeguard or right of SC/ST under the Constitution, a law or an

order of the Government but where the Complainants feel harassed or inconvenienced or seek

help.

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During 1993-94, the Commission received about three hundred petitions containing complaints

of miscellaneous nature. These petitions included cases of requests for providing financial

assistance for community services, extension of welfare schemes and some problems faced by

individuals belonging to SC/ST like non payment of their dues, denying facilities meant for

SC/ST people, etc.

a. Nineteen cases were received which sought financial assistance. Most of these cases related to matters like construction of houses, providing financial assistance to

SC/ST, compensation due to loss of property in fire, help for higher education, training

courses, establishment of village or small scale industries, etc. All cases have been

taken up with the concerned authorities for taking necessary action. In addition to this

fourteen cases relating to community services were received in the Commission, out of

which five cases relate to activities of Societies, cleanliness and providing basic

facilities to SC/ST. Cases have been taken up with the concerned authorities. In many

cases replies are awaited. Four cases related to digging of tubewells for SC/ST, hospital

facilities, establishing of rest-houses and developmental problems of SC/ST.

b. Cases regarding welfare schemes of SC / ST were also received in the Commission from SC / ST representationists of various States / UTs. In many of these

cases, the representation was regarding waiver of loan or enhancement of loan limit.

These cases have also been taken up with the concerned authorities. In one case the

concerned authority informed that the petitioner was not entitled to waiver of loan. In

another case regarding enhancement of loan limit, the Commission did not take any

action as the petitioner had requested the Commission to approach the bank authorities

for enhancement of bank loan, which the Commission feels, is outside its working area.

c. A case regarding penalty imposed on a Scheduled Caste L.P.G. dealer was received. The case was taken up with the principal, i.e., M/s Bharat Petroleum Ltd. The

Company informed that the dealer was involved in malpractices and was issuing

irregular unauthorised gas connections and that was the reason why penalty was

imposed. The Commission did not find any reason to pursue the matter further.

d. Other cases received were regarding such matters as providing electricity connections and allotment of land, etc., to persons belonging to SC/ST. The requests

have been taken up with the concerned authorities for suitable action although they are

not cases of violation of any safeguard or right.

e. Four cases regarding illegal and forceful occupation of shops of SC persons by higher caste people were received. Out of these four cases one was sub-judice. Other

cases were referred to concerned authorities for suitable action.

f. The Commission received 22 petitions regarding general problems of SC/ST. Most of the cases were regarding alleged harassment of SC/ST over different matters

such as non-payment of salaries, some demands of SC/ST and developmental problems,

etc. All the cases were referred to State Governments or the authorities concerned for

suitable action except for one case which did not fall under the purview of this

Commission. Final replies in the above cases are still awaited.

g. Two petitions regarding provision of better drinking water facilities to SC/ST were also received. Both the cases were taken up with concerned authorities for suitable

action.

h. A case regarding death of tribals in Madhya Pradesh allegedly due to malaria was received in this Commission. It could not be established that the deaths had

occurred due to malaria but were caused by different ailments and old age. However,

the State Government has been advised to take up concerted programmes for these

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primitive tribals for whom nothing much seems to have been done. A case was received

regarding removal of a liquor godown. The concerned District Magistrate was

requested to take necessary action in the matter.

i. A complaint was received regarding cheating of a SC person on the pretext of giving employment to his daughter. The petitioner was advised to approach the local

police.

j. Maintenance of cleanliness in a SC basti was the subject matter of another petition received. The District Collector was requested to take suitable action.

k. Case regarding cancellation of traveling agency belonging to a SC person was received. The matter was taken up with the concerned authority (Indian Airlines) and it

was found that the petitioner himself was involved in malpractices and had no prima

facie case for the Commission to take any further action.

Preference in allotment of Distributive agencies/dealership for petroleum products

Article 46 included among the Directive Principles of State policy provides: "The State shall promote with special care the educational and economic interests of the weaker

sections of the people, and in particular, of the Scheduled Caste and the Scheduled

Tribes, and shall protect them from social injustice and all forms of exploitation".

Article 15(4) empowers the State to make any special provision for the advancement of any socially and educationally backward classes of citizens or for Scheduled Castes and

Scheduled Tribes.

Efforts made in the country for the development of Scheduled Castes and Scheduled Tribes have not resulted in bringing about substantial improvement in their economic

condition primarily on account of the enormity of the problem. One such area of

support is in the matter of providing dealerships to them in the commodities over which

the State exercise control.

Reservation of 25% in dealerships for Scheduled Castes and Scheduled Tribes was introduced by then Ministry of Petroleum, Chemicals and Fertilizers in September,

1977. From September 1977 to June 1980 advertisements for dealership were common

for all categories with preference to applicants belonging to Scheduled Castes and

Scheduled Tribes, subject to other things being equal. Guidelines were revised by the

Ministry in June, 1980 and it was desired that locations for new dealerships to be

allotted to Scheduled Caste and Scheduled Tribe persons may be predetermined by the

industry and a roster maintained State wise. There are four Public Sector Corporations

engaged in Petroleum activities, viz; Indian Oil Corporation Ltd; Hindustan Petroleum

Corporation Ltd; Bharat Petroleum Corporation Ltd; and Indo-Burma Petroleum Ltd.

These four Corporations allot the dealership/distributive agencies for petrol, diesel,

Superior Kerosine Oil and L.P.G. etc. 25% of all these dealerships are reserved for

Scheduled Castes and Scheduled Tribes.

Further keeping in view of the fact that the majority population in Arunachal Pradesh, Meghalaya, Nagaland and Mizoram belong to Scheduled Tribes, the percentage

reservation of dealerships etc. for Scheduled Tribes in these

The Indian oil Corporation began implementing reservation orders from the year 1974 for all their agencies/dealership excepting 'B' site retail outlets i.e. dealer owned and

dealer-operated outlets. Other companies were nationalised later and reservation in

dealership allotment was made effective in respect of these companies only from 23-9-

77.

The Government has accepted reservation in allotment of quotas in dealership in petroleum products. In this regard the first step would be to ensure that these

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opportunities are brought to the notice of aspirants SC & ST who are actually potential

beneficiaries. It will also be necessary to suitably modify the terms and conditions of

the agency which may vary from one area to another depending on the general

socioeconomic conditions in each case so that adequate number of potential candidates

come forward to take up the agencies. Particularly in the more backward areas even the

relaxed conditions may be quite stiff. Therefore, to workout a system of assistance

directly or in collaboration with other institutions to enable those who do not have their

own resources to come into this business. When any individual SC/ST may take any

agency he must be helped to stabilise himself in the area which is unknown to him. The

above mentioned steps are taken and carefully looked after by the

institution/Government. In this way the constitutional obligation has been fully

discharged.

Ministry of Petroleum and Natural Gas has issued letter to four PSUs saying that reservation will be provided to the members of Scheduled Castes/Scheduled Tribes in

the matter of engaging road transport trucks for movement of all petroleum products

such as LPG, HS/HSD, BKO, Lubes etc. in bulk or packed by the Public Sector Oil

Companies. The percentage of reservation will be 15% and 7 1/2% for Scheduled

Castes and Scheduled Tribes respectively on all India basis. The Scheduled

Caste./Scheduled Tribe members should, however, fulfill all tender conditions and they

will not be eligible for any price preference or relaxation of standards. If adequate

number of Scheduled Caste/Scheduled Tribe candidates are not available in any

particular year the unfilled quota may be allotted to the unreserved categories in that

year. However, the unfilled quota may be carried forward to the next tender also and

offered to Scheduled Caste/Scheduled Tribe candidates. If the quota of the previous

tender is not filled even in the next tender, the unfilled quota of the previous tender may

be de-reserved and allotted to general categories. This reservation policy was to be

made operative w.e.f. 18.8.1994 and was to be made applicable to all future cases

where new transportation agreements have to be concluded by the oil companies.

Eleven representations were received regarding allotment of dealership/agencies for L.P.G. in the Commission. In seven cases requests were made by the representationists

that their cases may be recommended by the Commission or the Commission

recommend for grant of dealership. It does not come within the purview of the

Commission to recommend cases for dealership agencies without any specific and valid

grounds of violation/deprivation of economic or any type of safeguards for SC/ST. Four

cases have been taken up with the authorities.

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RESERVATION ROSTER GUIDELINES

To give proper effect to the percentages of reservation prescribed by the Govt. of India for

SCs, STs and OBCs every appointing authority shall treat the vacancies as reserved or

unreserved according to the respective reservation rosters. Initially the vacancy-based rosters

were prescribed I order to implement the Govt. Policy on reservation of jobs for the SCs, STs

and the OBCs. Each vacancy was treated as reserved or unreserved as per the roster point on

which it fell. The application of the percentages of reservation through the vacancy-based

roster was called into question before courts. The constitution Bench of the Supreme Court in

the case of R.K. Sabharwal Vs State of Punjab as well as J.C.Malik vs. Ministry of Railways, held in 1995 that the reservation of jobs for the backward classes i.e. SC, ST and

OBC should apply to posts and not to vacancies. Accordingly the vacancy-based rosters were

replaced by the Govt. of India by post-based rosters with effect form 02.07.1997, as per details

below:

1. Recruitment made on all India basis by open / written competitive examination the 200 point roster (refer DoPT Order No. 36012/2/96/Estt (Res), dated 2

nd July, 1997).

2. Recruitment made on all India basis otherwise than by open / written competitive examination in the 120 point roster (refer DoPT Order No. 36012/2/96-Estt (Res), dated

2nd

July, 1997).

3. Recruitment of Group C and D posts attracting candidates form a locality or region through Employment Exchange according to 100 point roster (refer DoPT Order No.

36012/2/96-Estt (Res), dated 2nd

July, 1997).

4. Posts filled by promotion to which reservation orders apply, in the 200 points roster (refer DoPT Order No. 36012/2/96-Estt (Res), dated 2

nd July, 1997).

The Post-based roster would be prepared on the following principles:

1. Since reservation for OBCs does not apply to promotions, there shall be separate rosters for direct recruitment and for promotions.

2. The number of points in the roster shall be equal to the number of posts in the cadre. In case there is any increase or decrease in the cadre strength in future, the rosters shall be

expanded / contracted correspondingly.

3. Cadre for the purpose of a roster shall mean a particular grade and shall comprise the number of posts to be filled by a particular mode of recruitment in terms of the applicable

recruitment rules. Thus in a cadre of say 200 points, where the recruitment rules prescribed a

ratio of 50:50 for direct recruitment and promotion, two rosters one for direct recruitment and

one for promotion (when reservation in promotion applies) each comprising 100 points shall

be drawn up on the lines of the respective model rosters.

4. Since reservation does not apply to transfer on deputation/transfer, where the recruitment rules prescribe a percentage of post to be filled by this methods , such posts shall

be excluded while preparing the roster.

5. In small cadres of up to 13 posts, the method prescribed for preparation of rosters does not permit reservation to be made for all the three categories. In such cases, the administrative

Ministries/Department may consider grouping of posts in different cadres as prescribed in

MHA OM No. 4221/49-NGS dated 28.01.1952 and subsequent orders reproduced at pages 70

to 74 of the Brochure on Reservation for Scheduled Castes and Scheduled Tribes (8th

Edition)

and prepare common rosters for such groups. In the event it is not possible to resort to such

grouping the rotational rosters for cadre strength upto 13 posts may be followed.

6. At the stage of initial operation of roster with effect from 02.07.97, it will be necessary to adjust the existing appointments in the roster. This will also help in identifying the

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excesses/shortages, if any, in respective categories in the cadre. This may be done starting

from the earliest appointments and making an appropriate remark utilized by

SC/ST/OBC/GEN, as the case may be against each point in the rosters as explained in the

explanatory notes reproduced below. In making these adjustments, appointments of

candidates belonging to SC/ST/OBCs which were made on merit (and not due to reservation)

are not be counted towards reservation. In other words, they are to be treated as general

category appointments. SC/ST candidates appointed on their own merit (by Direct

Recruitment or Promotion) and adjusted against unreserved points will retain their status of

SC/ST/OBC and will be eligible to get unreserved benefit of reservation in future or further

promotions, if any. 50% limit on reservation will be computed by excluding such reserved

category candidates who are appointed / promoted on their own merit without violating any

relaxation/concession or against unreserved points/vacancies.

7. Excess, if any, would be adjusted through future appointments and the existing appointments would not be disturbed.

The principles of operating these rosters as explained in the detailed instructions have been

reproduced below:

1. As hitherto, those rosters are only an aid to determine the entitlement of different categories with regard to the quota prescribed for them. They are not to determine

seniority.

2. The model rosters have been drawn up keeping in mind two fundamental principles i.e. the reservation for the entitled categories is to be kept within the prescribed percentage

of reservation and the reservation should in no case exceed 50% of the cadre.

3. There should be separate rosters for direct recruitment and for promotion where reservation in promotion applies.

4. The number of points in each roster shall be equal to the number of posts in a cadre. 5. While cadre is generally to be construed as the number of posts in a particular grade,

for the purpose of preparation of roster, it shall comprise posts required to be filled by a

particular mode of recruitment in terms of the applicable recruitment rules. To illustrate

in a cadre comprising 200 posts, where the recruitment rules prescribe a ratio of 50:50

for direct recruitment and promotions the roster for direct recruitment shall have 100

points and that for promotion also shall have 100 points. thus making a total of 200.

6. As indicated in the model roster, the method for making a roster is to multiply each post by the prescribed percentage of reservation for the different reserved 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. Thus, at point no. 15, in the roster at Annexure-II both

OBC and SC gets entitled. However, since earlier reserved point has gone to OBC,

point No. 15 has been reserved for SC and point no. 16 for OBC.

7. Since reservation does not apply to transfer/transfer on deputation, where rules prescribed a percentage of posts to be filled by this method, the corresponding

proportion of posts should be excluded while drawing up rosters.

8. It would be noted that at the end of the roster squeezing has been done for the reserved categories to reach the number of posts to be reserved for them without

violating the 50% limits laid down by the Courts, While drawing up rosters, the cadre

controlling authorities should similarly Squeeze the last point of the roster. Such squeezing may not, however be done where it would violate the rule of 50%.

9. Whenever there is any increase or decrease in the cadre strength the roster shall be correspondingly expanded or contracted. The same will also apply whenever there is a

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change in recruitment rules, which affects the proportion of posts to be filled by a

particular mode of recruitment.

10. The roster is to be operated on the principle of replacement and not as a running account as hitherto. In other works the points, at which reservation for different categories applied are fixed as per the roster and

11. vacancies caused by retirement etc. of persons occupying those points shall be filled by appointment of persons of the respective categories.

12. While operating the roster, person belonging to communities for whom reservation has been made, but who are appointed on merit and not owing to reservation, should not be

shown against reserved points. They will occupy the unreserved points.

13. In case of all cadres (up to 13 posts) all the posts shall be earmarked on the same pattern as in the model post based rosters. Initial recruitment against these posts shall be

by the category for which the post is earmarked. Replacement of incumbents of posts

shall be by rotation as shown horizontal against the cadre strength as applicable. While

operating the relevant roster, care will have to be taken to ensure that on no occasion

the percentage of reserved category candidates exceed 50%. If such a situation occurs

at any time, the relevant reserved point occurring, as a result of rotation will be skipped.

14. 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--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 Schedule Castes, against point no. 1 of the roster, the

remarks 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 and so forth till all appointments are adjusted in the respective rosters. In

making adjustments, SC/ST/OBC candidates on merit, shall be treated as general

category candidates.

15. 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. Vacancies arising from retirement

etc. of candidates belonging to such categories shall be filled by appointment of

candidates belonging to the categories to which the relevant roster points, against which

the excess occur, belong.

16. Since recruitment is generally vacancy based, it may happen that the actual number of promotes and direct recruits in the cadre does not correspond to the number of points

earmarked in the respective reservation roster. For the purpose of calculations of

representation of reserved category in a cadre, total of promotes 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, however, be the goal.

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ANNEXURE-I

EXPLANATORY NOTES:

Principles for making and operating post-based rosters.

1. As hitherto, these rosters are only an aid to determine the entitlement of different

categories with regard to the quota reserved for them. They are not to determine

seniority.

2. The model rosters have been drawn up keeping in mind two fundamental principles the reservation for the entitled categories is to be kept within the prescribed percentage

of reservation and the total reservation should in no case exceed 50% of the cadre.

3. There should be separate rosters for direct recruitment and for promotions where

reservation in promotion applies.

4. The number of points in each roster shall be equal to the number of posts in a cadre.

5. While cadre is generally to be construed as the number of posts in a particular grade,

for the purpose of preparation of roster, it shall comprise posts required to be filled by a

particular mode of recruitment in terms of the applicable recruitment rules. To

illustrate, in a cadre comprising 200 posts, where the recruitment rules prescribe a ratio

of 50:50 for direct recruitment and promotions, the roster for direct recruitment shall

have 100 points and that for promotion shall have 100 points-this making a total of 200.

6. As indicated in the model roster, the method for making a roster is to multiply each post

by the prescribed percentages of reservation for the different reserved categories. The

point at which the multiple for a community obtain 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, Thus, at point No. 15, in the roster at Annexure-II, both

OBC and SC get entitled. However, since earlier reserved point has gone to OBC, point

No. 15 has been reserved for SC and point No. 16 for OBC.

7. Since reservation does not apply to transfer/transfer on deputation, where rules

prescribe a percentage of posts to be filled by this method, the corresponding

proportion of posts should be excluded while drawing up the rosters.

8. It would be noted that at the end of the roster, squeezing has been done for the reserved categories to reach the number of posts to be reserved for them without

violating the 50% limit laid down by the Courts. While drawing up rosters, the cadre

controlling authorities should similarly squeeze the last points of the roster. Such squeezing may not, however, be done where it would violate the rule of 50%.

9. Whenever there is any increase or decrease in the cadre strength, the roster shall be

correspondingly expanded or contracted. The same will also apply whenever there is a

change in recruitment rules which affects the proportion of posts to be filled by a

particular mode of recruitment.

10. The roster is to be operated on the principle of replacement and not as a running account as hitherto. In other words, the points at which reservation for different categories applies are fixed as per the roster and vacancies caused by retirement etc; of

persons occupying those points shall be filled by appointment of persons of the

respective categories.

11. While operating the roster, persons belonging to communities for whom reservation has

been made, but who were appointed on merit and not owing to reservation, should not

be shown against reserved points. They will occupy the unreserved points.

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12. In the case of small cadres (up to 13 posts), all the posts shall be earmarked on the same pattern as in the model post-based rosters. Initial recruitment against these posts

shall 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.

While operating the relevant roster, care will have to be taken to ensure that on no

occasion the percentage of reserved category candidates exceed 50%. If such a situation

occurs at any time, the relevant reserved point occurring as a result of rotation will be

skipped.

Initial Operation.

1. 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--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 Schedule Castes, 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 and so forth till all appointments are adjusted in the respective rosters, In

making these adjustments, SC/ST/OBC candidates on merit, in direct recruitment, shall

be treated as general category candidates.

2. 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 the are 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. Vacancies arising from retirement,

etc, of candidates belonging to such categories shall be filled by appointment of

candidates belonging to the categories to which the relevant roster points, against which

the excesses occur, belong.

3. Since recruitment is generally vacancy-based, it may 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 calculations

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 however be the goal.

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DOUBTS & CLARIFICATIONS IN RESPECT OF MAINTE NANCE OF POST-

BASED REVISED RESERVATION ROSTERS

(Ref. DoP&T OM No. 36012/2/96-Estt. (Res.) DATED 2-7-1997)

Sl.

No.

Doubts Clarification

1 Whether the new revised rosters will be effective from the pane! year 1998 i.e., 1-1-

1998 and whether the concept of panel year and cut off date (1st October of the panel year) will continue to be applicable?

Government orders on post- based rosters are

effective from July 2, 1997. Recruitments/pro

motions made on or after July 2, 1997 have to

be based on post- based rosters. The existing concept of panel year and cut off date will continue to be applicable.

2 Whether combined rosters for Senior AO: AO/AAO: SO/Senior Auditor:

Auditor/Senior Ac c Accountant cadres

taking into account the combined strength

of higher and lower cadres are to be

maintained or separate rosters for higher

and lower cadres are to be maintained?

As the posts of Senior AO/AAO/ Senior

Auditor / Senior Accountant are promotional

posts for AO / SO / Auditor / Accountant

reactively, separate rosters are to be

maintained for lower and higher posts. For preparing the roster, the total strength

borne on each lower and higher cadre will be

taken into account. The rosters may have to be

expanded/contracted depending upon the in

crease/decrease in the strength. 3(a) How the excess persons over sanctioned

strength (due to due to deputation, etc.) in a

cadre are to be shown in the roster?

Roster is to be prepared taking into account

the total strength of the cadre.

(b) Whether the reserved category persons working above the sanctioned strength will

also count towards determining the

representation of those Yreserved

categories?

Yes

(c) How the excess of SC/ST over their required percentages in a cadre is to be

shown in the roster at the time of its initial

operation?

Roster is to be prepared as per 3 (a) above and the incumbents are to be plotted

against each point of the roster as explained in

Annexure-I of DP & T, O.M. dated2-7-1997.

The excess representation of SC/ST, if any,

would be adjusted in future appointments as

per Para. 2of caption Initial Operation of Annexure-l ibid

(d) Whether in a cadre where number of reserved category candidates are less than

their required percentages, only reserved

category candidates should be filled till

such time their prescribed percentage are

reached?

While filling up the reserved category posts as

per their prescribed percentages, the limit of

50% reservation in a year in each cadre will

have to be kept in view.

4 Whether existing quantum of reservation as per regional percentages would continue or

it is to be revised as 15% for SC, 71/2

% for

ST and 27% for OBCs as shown in

Annexure-Il of DoP&T O.M., dated 2-7-

1997?

In the cases of direct recruitment, the existing

quantum of reservation as per regional

percentage applicable to different States/i/n

ton Territories and shown in An Annexure-Il

of DoP & T O.M. No. 36012/ 22/93-Estt.

(SCT), dated 29-12-1993 would continue to

be applicable.

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5(a) Reserved category candidates appointed through direct recruitment on the basis of

their own merit are not to be counted

against reserved points. Does it apply to

promotion cases also?

No

(b) Whether reserved category candidates recruited on the basis of their own merit and

treated as unreserved will be allowed the

benefits of reservation in promotion to next

higher post?

Treating a reserved category candidate as

unreserved does not take away his/her status

as belonging to reserved category. In future

promotion, such candidate would retain

his/her caste status and will be allowed the

benefits of reservation accordingly.

(c) Whether a senior most official in a cadre belonging, to reserved category considered

fit for pro motion on seniority-cum-fitness

basis will be promoted to higher post

despite excess representation of such

reserved category in that higher post? Also,

whether he would be shown against

unreserved point in the roster?

Yes, but he would be shown against reserved

category to which he belongs for the purpose

of future adjustment.

(d) Whether 50% limit on reservation would apply in the cases of reserved category

candidates who are selected on their own

merit in recruitment/promotion?

In the cases of direct recruitment, 50% limit

on reservation will be computed excluding

such cases. But in promotion, they will be

taken into account for determining the limit of

50%. 6 Whether separate rosters for se lection and

non-selection posts are to be maintained? Yes, separate rosters for selection and non-

selection posts are to be maintained. 7(a) How the total representation of reserved

categories in a cadre is to be determined

when the percentage of reservation in

promotion and in direct recruitment are

different?

Representation of each reserved category is

first to be determined separately as per the

prescribed percentages of reservation

applicable to different methods of

appointment, i.e., promotion and direct

recruitment and then them total representation

of respective re served category in the cadre is

to be worked out (See illustration No.1) (b) How the excess persons working against

promotion quota in a cadre having both

methods of appointment i.e., promotion and

direct recruitment are to be adjusted in the

roster at the initial stage and thereafter?

Whether promotion is to be stopped till the

prescribed quota is reached?

Under the existing vacancy-based recruitment

Rules, number of posts in a particular quota is

not specified and as such there is no question

of adjustment of excess or less number of

persons in a particular quota. Separate rosters

are to he prepared for different methods of

appointment taking into account the strength

of incumbents coming under a particular

method of appointment Promotions will continue to be made on the

basis of available vacancies and their

allocation as per Recruitment Rules. (c) How the excess or less representation of a

reserved category (or categories) in separate

methods of appointment in a cadre are to be

adjusted?

The representation of respective reserved

categories should not exceed the prescribed

percentages. as worked out in Si. No. 7 (a).

taking into account their combined

representation in direct recruitment as well as

promotion. Adjustments of representation of

reserved categories between different methods

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of appointment in a cadre may be effected

accordingly. (d) Whether present 20-point roster maintained

for equitable distribution of direct recruits

and promotees would continue?

Yes, it would continue.

8 How the backlog of SC/STI OBCs is to be cleared through future recruitments in view

of the 50% limitation on recruitment and the

total reservation limit being 50% of the

posts?.

Backlog of SC/ST/OBCs is to he determined

afresh as per the revised post-based rosters.

Vacancies against reserved points will

continue to be filled keeping in view the limit

of 50% reservation on total vacancies being

filled in a panel year. 9(a) Whether the existing practice of

degeneration would continue in the cases of non-availability of eligible

reserved category candidates or the reserved

points in Doubts the roster are to be kept

unfilled till eligible candidates of reserved

category become available?

Yes, the practice of degeneration would

continue Detailed instructions in this regard will

follow.

(b) Whether the carried-forward re served vacancies would be considered in fresh

panels or would lapse due to

implementation of post-based revised

rosters?

The reserved vacancies are to be determined

afresh on the basis of post-based revised

rosters and are to be carried forward for future

adjustments.

(c) Whether the existing practice of exchange between SC and ST would continue?

Yes

(d) Whether restriction of not more than 50% of vacancies to be filled in a recruitment year

by re served categories would continue to

be applicable?

Yes

(e) Whether provisions contained in DoP&T O.M.No. 1401 7/30/a9- Estt. (RR), dated

10-7-1990 regarding temporary diversion of

reserved vacancies falling in pro motion

quota to direct recruitment quota in the case

of non-availability of eligible SC! ST

persons in the feeder cadre would continue

to be applicable?

Yes

10 Whether the instructions contained in DoP&T OM, dated 2- regarding grouping of

posts f. small cadres up to 13 posts are

applicable to promotional cadres also and

whether separate rosters are to be prepared

for cadres having strength of less than 13

posts?

Grouping of isolated individual posts and

small cadres for the purpose of reservation

orders is permissible only in the cases of

direct recruitment and not in the posts filled

by promotion. However, notwithstanding the

instructions on grouping of posts, it would be

advisable to maintain separate rosters for each

small cadre as per the model/instructions

contained in DoP&T OM, dated 2-7-1997. 11(a) How the cases of appointment to Peons

post by transfer of Chowkidar / Farash /

Waterman / Safaiwala are to be treated in

the roster?

Since reservation is riot applicable to

appointments by transfer, the cadre strength of

Peon for the purpose of maintenance of roster

would exclude the number of posts filled by

such transfer.

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(b) Whether a combined roster for various Group D posts may be maintained since maintenance of separate roster for the post

of Safaiwala may leave a large number of

general category posts vacant?

Separate rosters are to be maintained for each

Group D post. In the case of appointment to the post of Safaiwala, since persons belonging

to reserved categories but selected on their

own merit are not to be treated as belonging to

reserved categories, the posts meant for

general category will not remain vacant. 12 How the vacancies in a cadre earmarked for

deputations/ promotions / compassionate

appointment /sports quota appointments,

where categories to which persons would

belong are not known, would be filled by

appointments of persons of respective

categories?

Appointments to a cadre from whatever

source are to be made against available

vacancies in respective categories.

13 Whether the existing system of determining the seniority of promotees vis-a-vis direct

recruits in the cadres of Auditor/Accountant

/ Clerk with the help of a 20- point roster

would continue?

Yes

14(a) Whether the Staff Selection Commission, with whom the requisition has already been

placed on the basis of existing vacancy-

based reservation roster should be asked not

to sponsor candidates in view of the revised

instructions?

The candidates sponsored by SSC against the

requisition sent earlier may he appointed but

adjusted against the revised roster

(b) Whether the appointments to be made against the dossiers received from SSC on

the basis of earlier indents are to be taken to

existing roster which will he closed on 31-

12-I 997?

Yes

15 Whether leave reserve not exceeding 10% of the sanctioned strength of each cadre is

to be taken into account while determining

reservations for each category in that cadre?

Yes, as clarified at SI. Nos. 2 and 3(a).

16 Whether the caste status of existing staff should be called to as certain

the representation of OBC category in each

cadre?

Reservation for OBCs is not applicable to

posts tilled by promotion. In the cadres having

element of direct re

Chapter 13 Reservation Policy

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