Dr. H.S. Rana Additional Director

Dr. H.S. RanaAdditional Director

National Institute of

Public Adminisration701, Barton Centre

M.G. Road,BangalorePIN: 560 001

E-mail: [email protected]

Doctrine of SC/ST- An SC must be a Hindu or a Sikh or a Baudh / Neo Baudh.

- An ST may be from any religion.

ARTICLES15

16 (4) (a) (b)4633834134267335+

Proviso

SAFE GUARDS

• 1. Social, Educational, Cultural, • 2. Religious• 3. Economic• 4. Political• 5. Safe Guard for Employment

SCHEDULED CASTES

• They are spread all over the Country and are below the poverty line. Apart from being socially, Educationally and Economically backward they suffer from the additional disability of untouchability. SC’s were notified for the first time under the Govt. of India Act, 1935 vide GOI (SC) order 1936 Earlier, they were “depressed classes”

SCHEDULED TRIBES

• They live in inaccessible hilly and remote areas and are cut off from the mainstream. They were specified for the first time after Independence only.

• Main Characteristics which are common to all STs, are

• 1. Tribal origin• 2. Primitive way of life• 3. Habitation in remote and less easily accessible areas• 4. Generally backward• 5. Traditional occupation

HISTORICAL BACKGROUND AND CONSTITUTIONAL SAFEGUARDS FOR

SCHEDULED CASTES AND SCHEDULED TRIBES

• YEAR POPULATION

SC% ST% Total%

1951 15.3% 6.3% 21.55%

1961 14.67% 6.8% 21.47%

1971 14.80% 6.94% 21.74%

1981 15.47% 7.85% 21.74%

1991 16.33% 8.01 24.34%

2001 16.20% 8.20% 24.40%

HISTORICAL BACKGROUND AND CONSTITUTIONAL SAFEGUARDS FOR

SCHEDULED CASTES AND SCHEDULED TRIBES

• Amount 25% which constitutes the poorest section of the population and also Socially, Educationally and Economically backward.

YEAR IMPORTANCE

1901 27.4% Population DC

1909 Minto - Morley Reforms

1928 Simon Commission

1931 Hutton’s Census

1932 Second Round Table Conference at London :

a. Separate Electorateb. Communal Awardc. Poona Pact

1934 Open competition – No success

1935 Government of India Notification

YEAR IMPORTANCE

1936 SC - 1935 – Rest - BT

1937 Congress Governments

1938 Removal of Civil Disabilities of Malabar Entry of Temple act

1942 Review

1943 Res. 8.33% Population 12.72% No Fee - - Age 3 Years

1946 12.50% Reservation

1947 16.66% In Direct Recruitment. Assam,Bihar,Madhya Pradesh,Orissa Special Provision

1949 Scheduled Tribes Census

1950 Ad hoc – 5% Res. for ST

1957 First order regarding Reservation in promotion was issued

1961 15% SC and 7.50% ST rationalized

YEAR IMPORTANCE

1967 Yardi Committee on Reservation

1968 Parliamentary Committee on welfare of SC/ST

1978 Reservation in Promotion in Banks

1989 De-Reservation in DR banned w.e.f. 01.04.1989 ( 25.04.1989)

1990 Benefits of Reservation to Buddhists

1990 National Commission for SC/ST was setup

1992 50% ceiling in reservation by Supreme Court – Still in Vogue

1993 OBC orders were implemented(08.09.1993)

1997 Post based Rosters for Reservation (02.07.1997)

IMPORTANT DATES

• CATEGORY EFFECTIVE DATE • OF RESERVATION• SC 21-09-1947 (DR)• ST 13-09-1950 (DR)• SC/ST 1957 (PR)• DIVRSION OF RESERVED POSTS PR TO DR 10-07-1990• OBC 08-09-1993 (DR)• SC/ST/OBC 02-07-1997 (PBR)• REVISED GUIDELINES FOR PROMOTION 08-02-2002• NO EXCHANGE 06-11-2003• NEW CREAMY LAYER 04-02-2004 NATIONAL • COMMISSION FOR STs 19-02-2004• NEW % AGE FOR LOCAL RECRUITMENT 05-07-2005• PWD ROSTER IN NEW FORMAT 29-12-2005• NEW ZONE OF CONSIDERATION 06-01-2006

MOTION OF PROMOTION

YEAR IMPORTANCE

1950 ARTICLE 16(4) EMPOWERED THE STATE TO PROVIDE FOR RESERVATION IN APPOINTMENTS (DR)

% AGE – 15% SC 7.5% ST

- EXCLUDING DEFENCE AND JUDICIAL SERVICES.

- % AGE OF

PROMOTION 15% SC,

7.5% ST = 22.5%

UPTO ENTRY LEVEL OF GROUP ‘A’ ( L R) ALONGWITH RELAXATIONS, CONCESSIONS, LOWERING LEVEL OF EVALUATION

1957 LTD DEPTT. COM. EXAM.

1962 RANGACHARI V/s RAILWAYS : MADRAS HIGH COURT 16 (4) – DR

- INVALID. SUPREME COURT REVERSED

1971 HIRALAL V/s STATE OF PUNJAB : HIGH COURT – TURNED DOWN – SUPREME COURT AGAIN UPHELD

1981 AKHIL BHARATIYA SHOSHIT KARMACHARI V/s UNION OF INDIA CHALLANGED RELAXATIONS, CONCESSIONS, LOWERING LEVEL OF EVALUATION SUPREME COURT UP-HELD RELAXATIONS, CONCESSIONS, LOWERING LEVEL OF EVALUATION.

1986 JAGANNATHAN Vs AUDITOR – GENERAL OF INDIA – SUPREME COURT ESTABLISHED RESERVATION IN DR & PROMOTIONS ARTICLE 16(4)

1992 INDIRA SAWHNEY V/s UNION OF INDIA (MANDAL COMMISSION) LARGER BENCH OF SUPREME COURT DECIDED – 16 (4) NDID NOT PROVIDE RES. FOR PROMOTION W/o LOWERING LEVEL OF EVALUATION

ARTICLE

335EFFICIENCEY OF ADMINISTRATION : 15.11.1997

1996 VINOD KUMAR V/s UNION OF INDIA. UPTO 15.11.1997 WITH ADDITIONAL TRAINING OR CR – YES

LOWERING LEVEL OF EVALUATION – NO

77th AMENDMENT

(1995)

RELAXATIONS, CONCESSIONS, SPTE STD OF EVALUATION

199722.07.1997

AND13.08.1997

RELAXATIONS, CONCESSIONS, SPTE STD OF EVALUATION – WITHDRAWN. PROMOTION POLICY TO CONTINUE BEYOND 16.11.1997 W/o WITHDRAWING OM DT. 22.07.1997

LATEST RESERVATION IN PROMOTION – YES RELAXATIONS, CONCESSIONS, LOWERING LEVEL OF EVALUATION – NOW

MERIT ( DR & PR )RELAXATIONS O.M. DATED- Age – Limit 22-05-1989- Experience 02-07-1997- Qualification 01-07-1998- Permitted number of Chances in WT 11-07-2002-EZOC 31-01-2005

METHOD : NON – SEELCTION (SENIORITY)GROUPWISE A YES / CF / TY(15% SC - B YES / CF / TY-7.5% ST) C YES / CF / TY

D YES / CF / TY

METHOD : SELECTION

GROUPWISE A UPTO LR/NOCF/SY(15% SC - B YES/NOCF/SY7.5% ST) C YES / CF / TY

D YES / CF/ TYTIME BOUND YES. BUT….

ELEMENT OF DR EXCEEDS 75% NO RES. SINGLE VACANCY RES P UR C/F TY

ZONE OF CONSIDERATION

No. of

vacanciesNormal size of

Zone of Consideration

Extended Zone of Consideration

for SC/ST

1 5 5

2 8 10

3 10 15

4 12 20

5 14 25

No. of vacancies

Normal size of Zone of

Consideration

Extended Zone of

Consideration for SC/ST

6 16 30

7 18 35

8 20 40

9 22 45

10 24 50

11 24 55

12 24 60

13 24 65

No. of vacancies


Consideration

Extended Zone of


14 24 70

15 26 75

16 27 80

17 29 85

18 30 90

19 32 95

20 33 100

30 48 150

No. of vacancies


Consideration

Extended Zone of


40 63 200

50 78 250

60 93 300

70 108 350

80 123 400

90 138 450

100 153 500

SAFEGUARDS AGAINST SUPERSESSION OF SCHEDULED CASTES AND SCHEDULED TRIBES

IN PROMOTION • (1) In promotion to Group ‘A’ and within

Group ‘A’ and to Group ‘B’ and within Group ‘B’, the cases should be submitted to the Board of Directors for its approval.

• (2) In promotion to and in Group ‘C’ & ‘D’,

the cases should be submitted to the Managing Director, for approval

ALLOTMENT OF QUARTERS

• 60 Point Roster

CATEGORY SC/ST ( 2 : 1 )

A & B Type SC = 10,20,40,50

ST = 30,60

C & D Type SC = 20,40

ST = 60

MIGRATION

• Within the State YES• Out of State NO• MARRIAGE

Does not change the Status• Conversion And Re-conversion YES• ADOPTIONS

15 Years, Residing, Customs, Approval DC

OBC’S• Only in Direct Recruitment = 27% with Exclusion

to Creamy Layer.

• (Exclusion no to apply to persons working as artisans or engaged in hereditary occupations, callings.)

• OBCs reservation applied to all groups of Posts

A/B/C/D.

• Effective date of reservation for OBCs is 8-9-1993. • No reservation in Promotions for OBCs.

Relaxation for OBCs • Relaxed standards may be provided to

OBC candidates as in case of SC/ST candidates in written examinations and interviews in order to fulfill the quota earmarked to OBCs.

(1) The upper age limit prescribed for Direct Recruitment shall be relaxed by 3 years in respect of OBCs.

(2) No De-reservation and all those vacancies reserved for OBCs should be C/F for 3 years or till the vacancies be filled, whichever is earlier.

PERSONS WITH DISABILITIES(PWDs)

3% VH = 1% HH = 1% OH = 1%

• VH• (1) Total absence of sight.• (2) Visual acuity not exceeding 6/60 or

20/200 (Snellen) in the better eye with correcting lenses

• (3) Limitation of the field of vision subtending an angle of 20 degrees nor worse.

PERSONS WITH DISABILITIES(PWDs)

3% VH = 1% HH = 1% OH = 1%

• HH• The Hearing Impaired are those in whom the

sense of hearing is non-functional for ordinary purposes of life. Those who do not hear, understand sounds at all with amplified speech and those having hearing loss more than 90 decibels in the better ear or total loss of hearing in both ears.

• OH• 40% PPD. (permanent partial – disability) • Reservation in all Four Categories for DR. • In Promotions : “C” & “D” Categories only

DEFINITION OF EX-SERVICEMAN

• The ex-serviceman (Re-employment in Central Civil Services and Posts) Rules, 1979 as modified by the Gazette Notification dated 27th Oct. 1986, defines ex-serviceman as a person who has served in any rank whether as a combatant or non-combatant in the Regular Army, Navy and air force of the Indian Union and


• (i) who retired from such service after earning his/her pension ; or

• (ii) Who has been released from such service on medical grounds attributable to military service or circumstances beyond his control and awarded medical or other disability pension ; or

(iii) Who has been released, otherwise than on his own request, from such service as a result of reduction in establishment ; or


• (iv)Who has been released from such service after completing the specific period of engagements, otherwise than at his own request or by way of dismissal or discharge on account of misconduct or inefficiency, and has been given a grapery ; and includes personnel of the Territorial Army of the following categories, namely:

• (i) pension holders for continuous embodied service

• (ii) persons with disability attributable to military service

• (iii)gallantry award winners


As per clarification issued in the Notification No. 36034/5/85-Estt.(SCT) dated 27.03.1987 any person who has been released up to 30th June, 1987

(a) at his own request after completing 5 years service in the Armed Forces of the Union ; or

• (b) after serving for a continuous period of six months after attestation, otherwise at his own request or by way of dismissal or discharge on account of mis-conduct or inefficiency or has been transferred to the reserve pending such release ;

shall also deemed to be an ex-serviceman.

OPERATIVES FOR MAINTENANCE OF

POST – BASED ROSTERS • 1. Dates• Reservation for SC/St from the date of

Inception/receipt of Government orders.

• Reservation for OBC with effect from 08-09-1993

• Post-based Rosters with effect from 02-07-1997

• Plotting of appointments / Promotions as on 02-07-1997

• (Only persons in positions to be plotted chronologically. Persons retired, Promoted, died, etc are not to be included)

2.2 Percentage (Promotion)

Category SC ST PWD

“A” 15% 7.5% -

“B” 15% 7.5% -

“C” 15% 7.5% 3%

“D” 15% 7.5% 3%

OPERATIVES FOR MAINTENANCE OF POST – BASED ROSTERS

2.3 Reservation of each of the reserved category should at NO POINT OF TIME exceed the prescribed share.

3. DefinitionCategories of Classes

“A” or Class I Scale of Pay Rs. 8,000-13,500 and above (CDA)

“B” or Class II Rs. 6,500-10,500 and 5,500-9000

“C” or Class III

Rs. 4,000 and above but less than Rs. 9,000/-

“D” or Class IV

Less than Rs. 4,000/-

“D(s)” or Class IV

Less than Rs. 4,000/-

“D(s)” Means Chowkidar /Farash /Waterman /Safai wala

In Banks-Officer Cadre, Clerical Cadre and sub-

staff cadre only.• Cadre = No. of Posts in a

particular Grade

• Post = Appointment, Job, Office orEmployment

• Appointment = Direct Recruitment orPromotion or Deputation

or Transfer or Contract

• Vacancy = Unoccupied post or office

• Position =To which a person is • Appointed• Reserved Post =Earmarked for a reserved• Category• Unreserved Post=Not earmarked for reserved• Category (single vacancy in a • Year becomes unreserved)• De-reserved Post=Owing to non-availability of• Reserved candidate, vacancy is de-reserved (Banned in DR) Carry Forward = De-reserved vacancies are carried forward to 3 years for Filling up later in

DR-and promotion by Non-selection

• Back log & Shortfall = Shortfall of a particular

Shortfall reserved category in a Cadre means the difference between the total numbers of Posts reserved for that Category as per the post based reservation roster in that cadre and the number of persons belonging to that category who are holding the posts in the cadre.

Backlog reserved vacancies are the vacancies, which were earmarked reserved in an earlier recruitment year but remained unfilled in the previous recruitment year due to non-availability of suitable candidates belonging to that category and are still lying unfilled.

•Replacement = Vacancy should be filled up by the earmarked category only, on completion of quota only.

•Grouping = Isolated posts to be grouped with main groups (Earlier 20, Now 13)

ROSTER –(MAIN)Category/

ClassMode Post

‘A’ / I All India Basis by open competition

No. of posts (200 points)

‘B’/ II All India Basis by open competition


‘A’ / I All India Basis otherwise than by open competition


‘B’ / II All India Basis otherwise than by open competition


Promotion

Category/ Class

‘A’ / I 200 points for Main Roster and 13 points for Mini Roster

‘B’ / II 200 points for Main Roster and

13 points for Mini Roster

‘C’ / III 200 points for Main Roster and


‘D’ / IV 200 points for Main Roster and


‘D(s) / IV 200 points for Main Roster and


Roster (Mini) Horizontal Roster for 13 or lesser

posts based on 200 or 120 posts. Please see the Difference between points No. 13 of mini Roster of open competition and otherwise than by open Competition.

Roster can be contracted or

extended in future.

Category/ Class

Mode Post

‘C’/III Direct Recruitment on local basis

(100 Points)*

‘D’/IV Direct Recruitment on local basis

(100 Points)*

‘D(s)/IV Direct Recruitment on local basis

(100 Points)*

Reserved points for Main and Mini Rosters are calculated based on state-wise reservation.

2. Percentage (Recruitments)

Category Mode Direct Recruitment on All India Basis

SC ST OBC PWD X.Man

‘A’ By open competition

15 7.5@ 27 3(x) -

‘B’ By open competition

15 7.5@ 27 3(x) -

‘A’ Otherwise than by Competition

16.66 7.5@ 25.84@

3(x) -

‘B’ Otherwise than by competition

16.66 7.5@ 25.84@

3(x) -

Cont..

2. Percentage (Recruitments)

Category Mode Direct Recruitment on All India Basis

SC ST OBC PWD X.Man

‘C’ Local Recruitment As per Regional Percentage

- - - 3(x) 14.5(x)

‘D’ Local Recruitment as per Regional Percentage

- - - 3(x) 24.5(x)

‘D’(s) Local Recruitment as per Regional Percentage

- - - 3(x) 24.5(x)

(X) Vertical reservation becomes horizontal reservation (interlocking PWD & X-man will be accommodated as per their castes).

@ Never venture to round it off.

Re-Casting the Rosters

Ensure that reservation should in no case exceed 50% of the cadre strength

Separate Rosters for Direct Recruitments and Promotions.

Single Vacancy concept year-wise.

For 50% ceiling, year is a unit.

EARMARKING The No.of points in each Roster shall be

Equal to the no.of posts in a cadre. Multiply each post by the prescribed percentage of Reservation for the different reserved categories and when the Multiple for a community obtains a complete number or oversteps, the number is to be earmarked for that Community. If 2 communities share one point, the community who has been awarded reservation immediate earlier, should be skipped off.

EARMARKING

SC /ST senior most official in a cadre considered fit for Promotion On seniority-cum fitness basis will be promoted despite excess representation and would be shown as reserved for SC/ST and would be adjusted in future.

50% Ceiling = Merit SC / ST / OBC candidates

would be excluded in DR and PR

EARMARKING

- Separate Rosters for selection and non-selection posts.

- Reservation % age is different in DR and promotion. In a cadre total will be taken – 50%

- Backlog of SC/ST/OBC is to be determined a fresh.

- PWD & Ex. Man : Vertical = Horizontal = Interlocking.

- No Roster for ad-hoc appointments

EARMARKING- No Roster for adhoc promotion- No Roster for time bound promotion

(Relaxation to SC/ST up to the extent of short fall)

- No Roster for promotion by selection, in the posts of above the lowest rung of group ‘A’

- No entry for transfers or deputations. However, on absorption take them in to DR.

- New post-based Rosters are written on replacement bases and not on running accounts basis.

EARMARKING- Squeezing as per your requirement without

violating 50% ceiling.- SC/ST/OBC appointed on merit but with

relaxation of age, experience or qualification will be adjusted Against reserved points but without these relaxations, they will be adjusted against UR points.

- Surplus / excess to be adjusted in future recruitments.

- Tally to be made as on 02.07.1997 initially and thereafter, every year on 31st December. In case of combined cadres, number of recruitments and number of Promotions should be taken into account to know the total representation.

6. Important Operatives- Effective date if 02.07.1997. Vacancy-

based Roster should be closed. Back-log or excess will be calculated as on 02.07.1997. Earlier back-log or excess has got no meaning now.

- Grouping in DR is possible. Isolated

posts can be clubbed with regular cadre, based on similar scale / Qualification / Nature of work/category. However, no clubbing in Promotion and D(s) posts in DR is allowed.

- Excess No.of SCST/OBC will be adjusted in future. OBC recruitments will be calculated from 08.09.1993. Earlier appointments are to be ignored.

- No Roster for promotional posts where element of DR exceeds 75%.

- No Roster for Transfers/deputations.- No Roster for daily rated staff. - No Roster for appointment made for

less then 45 days.

• Rosters should be prepared with pencil initially. These may be got written in good hand writing in hard bound/leather bound Register in the prescribed format.

• Hard bound cover page of

Recruitment Roster may be green and cover of promotion Roster may be red.

- A label should be affixed on all the

cover pages, which may contain : Name of Organization :

Recruitment / Promotion Roster :Class / Category :Posts :

- The first Page ( inside ) of the Roster

may carry this certificate :

CERTIFICATECertified that this Recruitment / Promotion Roster contains Pages ___________ from 01 to ________ and it has come into existence with effect from ____________________________ Place : Signature :Date : Name :

*Designation / Seal*Preferably of appointing authority or of

authorized person. The second page (inside) may contain following information :

A-INDEXSL.NO. POST PAGE _______________________________________ B- Post clubbed ( if any ) C- Percentage: SC : ST : OBC : PWD : X-

Man: All the headings in all the Registers

(Rosters) should be got printed bilingually.

Appointing authority / Authorized person

should initial all the entries with dates.

R.P

RES NAME DATE SC/ ST/ OBC/UR

UTILIZED

BY SC/ ST/ OBC/UR

(+)/

(-)/

-

07 SC A 01-04-1999

SC SC -

SC SC-M/UR

SC(-1)

ST ST SC(-1),

ST(+1)

ST ST-M/UR SC(-1)

R.P

RES NAME DATE SC/ ST/ OBC/UR

UTILIZED

BY SC/ ST/ OBC/UR

(+)/

(-)/

-

07 SC A 01-04-1999

OBC OBC SC(-1)

OBC(+1)

OBC OBC-M/UR

SC(-1)

UR UR SC(-1)

KNOW RESERVATION

NO RESERVATIONS

THANK YOU.

Dr. H.S. Rana Additional Director

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