NTPC HR Policy Manual PDF

HUMAN RESOURCES
POLICY MANUAL

(Updated as on 31.01.2012)

NTPC LIMITED
CORPORATE HUMAN RESOURCES DIVISION
HR‐POLICY GROUP

NTPC Limited Section:0101
Corporate Human Resources Division Issue No: II Rev.No.:0
HR Policy Manual Issue Date: 26.09.2011
Recruitment Policy and Procedures Updated as on: 31.01.2012
Page: 1 of 41
RECRUITMENT POLICY AND PROCEDURES
Preamble
NTPC subscribes to the belief that efficiency, effectiveness and success of the
organisation depends largely on the skills, abilities and commitment of the
employees who constitute the most important asset of the organisation.
NTPC is therefore resolved to provide a framework of policies which will

enable the Organisation to attract the right talent for the jobs and make it
available at the right time and in right number with the ultimate objective of
ensuring optimum and effective utilisation of the human resources in a
climate of satisfaction, development and growth.
In pursuance of the above objectives and consistent with the Company's

social and national obligations, NTPC hereby makes the following policy
statement to be called NTPC RECRUITMENT POLICY AND
PROCEDURES to govern, regulate and generally facilitate recruitment of
personnel in the Projects, Offices and Establishments of the Company.
1.0 Preliminary
1.1 The policy statement and the rules and procedures made hereunder will be
applicable to recruitment and selection of employee of all classes and
categories irrespective of whether they are against regular, temporary,
casual, or trainee posts, unless specifically stated otherwise.
1.2 Classification of employees into regular, temporary, casual and trainee for
the purpose of this policy will be the same as defined in the Company's
Service Rules and Standing Orders.
2.0 Manpower Planning and Budgeting
2.1 In all Divisions and Projects of the Company, before the end of August every
year, each Department will review the adequacy or otherwise of the available
manpower with reference to the tasks and targets and determine the additional
requirements of manpower in qualitative and quantitative terms for the
immediately following financial year.
2.2 Based on the requirements of additional manpower of the individual

departments, the detailed manpower plan for the financial year will be
prepared jointly by the Planning and Personnel Departments for the Division
as a whole giving specific details of each new posts other than casual posts and
justification therefor and this manpower plan containing details of
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expenditure involved will form a part of the overall Manpower Budget of the
Division.
2.3 The requirements of casual and other contingent staff will not form a part of
the Manpower Budget as the same will be shown only in terms of estimate of
expenditure to be incurred in respect thereof as a part of the Works Budget.
2.4 Annual manpower plans including the additional manpower requirements

along with all relevant details and estimated cost involved for all the Divisions/
Projects will be consolidated into an integrated Company Manpower Plan
which will form a part of the annual budget to be submitted for approval of the
Board of Directors.
2.5 On approval by the Board, these manpower plans will constitute sanction for
creation of posts including posts of trainees and form the general basis of
recruitment during the financial year.
3.0 Creation of Posts
3.1 Notwithstanding the Board's overall sanction for the creation of posts as
above, specific sanction for each new post from the competent authority will be
necessary before initiation of action for filling the posts and the competent
authority will issue the necessary sanction depending on the requirements
from time to time during the year within the approved budget sanction and
manpower plans subject, however, to policies and directives that may be
issued by the Board of Directors and/or Chairman and Managing Directors, as
the case may be.
3.2 For the purpose of according sanction to the creation of regular, trainee and
temporary posts in different categories within the approved budget provisions
and approving appointments to such posts, the following will be the competent
authorities to be referred to hereinafter as the Appointing Authority5.
S.N. Posts Authority
Top posts, as per Board's resolution Board of Directors

a under Agenda item 5-4, other than
posts to which appointments are made
by the President.
b All executive posts in the level of E7 Chairman &

Managing Director
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c All executive posts including Executive Director (HR)

Trainees other than those included in
(a) & (b) above.
d All non-executive posts including GM (HR) at

trainees Corporate Centre,
Head of Division at
Project
3.3 In respect of casual posts for a duration of not more than 30 days. Heads of
Department not below the rank of Deputy General Manager will be the
appointing authority who will, however, consult the HR Department prior to the
issue of such sanctions.
Provided that no extension will be granted to any employee in such casual

posts beyond 30 days, whether with a break of service or without, except with
the approval of the Appointment Authority as prescribed in Clause 3.2.
3.4 While the authority competent to sanction creation of posts will have the
flexibility to appropriate posts as between various functions under his control
subject to overall provisions in the budget, no non- executive post shall be
created unless such post is included in the approved budget and manpower
plans except with the prior approval of the Chairman & Managing Director
who may accord the necessary approval only in exceptional cases. Proposals for
creation of such posts not covered by the annual manpower plan will be
accompanied by full justifications and explanation of reasons and circumstances
due to which the necessary provision could not be made at the time of
formulating the annual manpower plan.
4.0 Job Title, job Specifications, Role Outline and Pay scales
4.1 Job specifications indicating the eligibility requirements in terms of minimum

educational and/or professional qualifications, length, nature of quality of
experience, upper age limit etc. and a general outline of the role and
responsibilities will be laid down in respect of each job title along with the pay
scale or consolidated daily/monthly wage rate in which the posts in the
category will be operated.
4.2 To ensure uniformity and consistency, such job titles, job specifications and
role outlines together with the pay scale applicable in respect of all categories
of posts will be issued by the Corporate Centre from time to time with the
approval of the Chairman and Managing Director.
4.3 No appointment shall be made to any post in the Company unless the person
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fulfills the minimum eligibility requirements and conforms to the specifications

prescribed for the post except where general relaxations are made in the
case of reserved vacancies for candidates belonging to Scheduled Castes,
Scheduled Tribes, other backward classes, Ex-servicemen and other special
categories.
Provided, however, that in special and exceptional cases appointments may

be made subject to the approval of the Appointing Authority in relaxation of
the prescribed specifications where the Appointing Authority is satisfied that
such relaxation is essential in the interest of the Company.
5.0 Induction Levels
5.1 Keeping in view the need for induction of experienced personnel during the
formative stage of a new organization, recruitments in NTPC during the initial
years may take place at levels of the organizational hierarchy but, while
manning the positions it should be ensured as far as possible that the number
inducted in higher grades within a cadre is proportionately smaller than the
number inducted in the lower grades.
5.2 At the appropriate stage of the growth of the organization, recruitments will be
restricted by and large to the induction levels as specified in Schedule I, so as to
ensure that prospects of career growth of existing employees are in no way
impaired.
5.3 Infusion of new blood to the executive and supervisory cadres will be through the
Executive Trainee and Diploma Trainee Schemes under which training based on
specific requirements of the Company will be imparted to the fresh professional
graduates and diploma holders to be recruited on a regular annual basis.
6.0 Agencies for Recruitment
6.1 All recruitment to the executive cadres inclusive of executive trainees for all
Divisions and Projects of the company will be centralized in the Corporate
Center and dealt with by the Corporate HR Division.
6.2 Until such time as the Company's Projects do not have their separate training
facilities, all recruitments of Diploma training scheme will be done by the
Corporate HR Division.
6.3 In respect of all other non-executive personnel, recruitments will be done by

the HR Department of the Division/Project concerned.
7.0 Sources and Modes of Recruitment

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7.1 For recruitment of professional personnel in Company's executive cadre

including executive trainees, selection, will be made on all India basis and for
this purpose, the posts to be filled will be duly notified through press
advertisements and Company Notice Boards and/or through circulars issued to
Government Departments and Public Sector Undertaking where suitable
candidates of the required expertise are expected to be available.
7.2 In respect of recruitment to non-executive posts carrying a maximum basic

pay of Rs. 1250/- per month (DPE OM No. 2(48)/91-DPE (WC) dt. 6.4.92) and
below all vacancies will be notified to the Employment Exchanges in terms of
Employment Exchanges (Compulsory Notification of Vacancies) Act. 1959.
Provided that notifications for recruitment to reserved vacancies will also be

issued to Association concerned. Copies of notification may also be sent
simultaneously to the Central Employment Exchange and other employment
exchanges in the neighbouring district within the state and Government and
Semi- government organisations and/or the positions may be advertised in the
local press subject, however, to the condition that all things being equal,
preference will be given to suitable candidates sponsored by the concerned
Employment Exchange.
7.3 In respect of recruitment to non-executive posts carrying a basic pay of above

Rs. 2500/- per month, recruitment will be made from the region comprising the
State in which the Division/Project/Establishment concerned is located and
the neighboring States and for this purpose notification for filling the
vacancies will be issued in the newspapers and also to the employment
exchanges of the region through the Central Employment Exchange in
addition to the Notice Board in the Company's premises.
Provided that recruitment may be made to such posts from outside the region
where the appointing authority is satisfied that suitable candidates in
adequate number may not be available within the region. Provided that to
facilitate recruitment to the reserved vacancies, copies of such notifications
will also be issued to the various agencies and associations as stated above.
7.4 In addition to the above induction of executive and specialist non-executive

personnel may be made as deemed necessary and appropriate by the
authority competent to create the posts from one or more of the following
sources :
(a) deputation from Central/State Governments/ Electricity Boards and

Public Sector Organisations where suitable personnel on terms
offered by the Company may not be available at the right time from
other sources where the time and cost involved in processing
recruitments through open advertisements may not be justified in
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view of the number or nature of posts to be filled.
(b) campus interview and recruitment to the posts in the grade of E2A
and Executive Trainees from reputed engineering/management
institutions to be specified.
(c) candidates located through personal contacts and talent survey,

only in respect of posts requiring specialist knowledge and
expertise and/or exceptional qualification and merit subject to
approval by the Appointing Authority.
8.0 To fill Job Openings by Selection from within
8.1 The internal candidates who fulfill all eligibility requirements may be
considered along with other candidates.
Provided, however, that they should not have been considered for a similar
position in any of the Departments/ Units of the Company and found
unsuitable in the course of one year preceding the time of the current
recruitment.
8.2 For being considered for selection from within the organization on the basis of
internal circulars for a job opening in a particular grade, employees in the
next lower grade only will be eligible.
8.3 Subject to fulfillment of minimum eligibility requirements and other prescribed

criteria, directly recruited regular employees including deputationists will be
considered eligible for selection to a post in open competition with external
candidates.
8.4 Applications of all internal candidates will be forwarded to the HR

Department by the Head of the Department who should give in his forwarding
statement:
(a) Comments on the suitability of the candidates for the post applied for.
(b) Assessment of the performance of the candidate.
(c) Remarks whether or not candidate can be released in case he is

selected without detriment to the job currently being handled by him.
9.0 Preference for Candidates Belonging to Scheduled Castes/ Scheduled

Tribes/Other backward Classes/Ex-Servicemen, Displaced Persons
etc.
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9.1 Towards the fulfillment of the Company's social and national obligations it
will always be NTPC's endeavour to provide gainful employment on a
preferential basis to the members of the economically backward classes, ex-
servicemen, persons uprooted from the project areas and other unfortunate
sections of the society and for this purpose the directives of the
Government concerning reservation of vacancies and special concession to
be allowed to such candidates will be most strictly and conscientiously
adhered to. Details of the directives currently in force are given in Schedule
II.
10.0 Application Formalities
10.1 No appointment other than appointments on deputation will be made in the

Company except on the basis of an application giving details and particulars
as may be prescribed from time to time.
10.2 While as a rule, for all recruitments applications should be in the forms
prescribed for different categories from time to time as far as possible,
applications on plain paper may also be resorted to wherever necessary
keeping in view the urgency for manning the post and the lead time involved.
10.3 Unless specifically exempted by the appointing authority, all applications for job
positions in the Company will be accompanied by a Demand Draft of the value
of Rs.50/- for executive posts, Rs.250/- for the posts of executive trainees and
Rs. 10/- for non-executive posts other than those covered by the Employment
Exchanges (compulsory Notification of Vacancies) Act, 1959.Provided that
candidates belonging to Scheduled Castes and Scheduled Tribes and Ex-
servicemen will be exempted from the payment of application fees.
10.4 In the case of all recruitments based on open advertisements and public
notifications, there will be a last date for the receipt of application after which no
application will be entertained for the posts advertised except, with the approval of
the appointing authority who may permit applications to be entertained after the
expiry of the last date in special cases if he is satisfied that there is good and
sufficient cause and justification for such relaxation.
11.0, Forwarding of Applications of Candidates from Government and Public

Undertakings
11.1 Consistent with the guidelines issued by the Bureau of Public Enterprises vide
BPE's Memo No.2 (172)/71- BPE (GM) dated August 18, 1971 NTPC will accept
applications only if they are forwarded through proper channels in respect of
persons employed in the Central and State Governments and in those Public
Undertakings whose rules provide for carry forward of gratuity, leave, provident
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fund and other benefits or transfer on movement to another organization in the

public sector with the consent of both the organizations concerned.
Provided, however, that applications from candidates from public undertakings

referred to above may be accepted without being forwarded through proper
channels if the candidate submits a declaration along with the application
stating that if selected for appointment in NTPC on terms acceptable to him :
(a) he will be agreeable to forego the benefits of carry forward of

leave, gratuity etc; and
(b) he will be able to produce a 'No Objection Certificate' and secure

due release from his present organization within the stipulated notice period.
11.2 In respect of candidates from public undertakings who, despite the

aforementioned guidelines from DPE, do not provide for carry forward of leave,
gratuity and other benefits even in respect of persons whose applications are
forwarded through proper channel, applications may be entertained directly as in
the cases of candidates from private sector organizations and the requirement
of proper channel will not apply
Applications submitted through proper channel may be processed on the

basis of advance copies but the candidate, if and when called for interview,
must submit a 'No Objection Certificate' from his present employer which must
also state that he will be relieved in the event of his selection for appointment
in NTPC.
1 1 .4 In respect of candidates from Government and public sector organisations

who apply through proper channel, HR department will obtain copies of the
annual appraisal reports or their abstracts in NTPC's reference check forms
which will be placed before the Selection Board during or after interview but
before the finalisation of the panel of selected candidates.
12.0 Requisition of Manpower
12.1 The respective departments will forward their manpower requirements in

prescribed requisition forms to the HR Department through the respective
Appointing Authority competent to sanction creation of posts indicating therein
the last dates by which placement of personnel is desired for different posts
keeping in view the normal lead time for recruitment.
12.1.1 Presently recruitment is banned except in those areas where vacancies are
approved by the Director (HR) after the approval is put up justifying the
requirement.
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12.2 The requirements will be examined with reference to the sanctioned manpower in
the budget by the HR Department who, before proceeding with recruitment,
will verify whether the post/ posts can be filled :
(a) out of acceptable transfer requests pending, if any.
(b) recommended inter-functional adjustments of posts.
(c) record of surplus staff (internal) suitable for deployment.
(d) executive trainees, diploma trainees and other trainees / apprentices
whose completion of training coincides with the requirements.
13.0 Processing of Applications
13.1 All applications received against a specific notification/ advertisement will be

subjected to a preliminary scrutiny by the HR Department who will ensure
that:
(a) Applications are duly completed and accompanied by the prescribed

application fees and were received within the permitted time.
(b) Age of the applicant is within the prescribed limit.,
(c) Qualifications and experience of the candidates conform to those

prescribed
(d) Applications have been submitted 'Through Proper Channel' whenever

required.
(e) In the case of candidates from Schedule Castes and Scheduled Tribes,
OBC, Ex-Servicemen etc. application is accompanied by a certificate to that effect
from the competent authority.
13.2 The applications that fulfill the prescribed requirements after preliminary
scrutiny as above will be listed and forwarded to the Department concerned for
further scrutiny with a view to selecting for test/interview only those candidates
who are considered suitable in terms of nature and quality of technical
knowledge and professional expertise required for each specific post.
13.3 On completion of the screening by the function concerned, the Head of the
Department will forward to the HR Department the list of candidates
considered eligible for test/interview, spelling out clearly the criteria adopted for
screening and the basis of rejection of applications in each case.
13.4 While the applications will be screened at the appropriate executive level
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depending upon the grade of the post to be filled, it is advisable for the Head of
the Department concerned to ensure as far as practicable that the scrutiny is
carried out by the Officer of the Department who will be participating in the
selection process as the expert member in the Selection Board representing the
Department.
13.5 After the applications are finally screened, HR Department will prepare a final list of
eligible candidates in order of merit based on the criteria determined in the
course of earlier scrutiny and other relevant factors keeping in view the reserved
vacancies and the special relaxation for candidates belonging to Scheduled
Castes and Scheduled Tribes etc. and this short list after approval by the
appointing authority or the officer to whom powers in this behalf are delegated
will form the basis for candidates being called for selection test and/or interview.
13.6 Relaxation in advertised criteria, in critical areas, is allowed based on the merit
and requirement with the approval of the competent authority as per Delegation
of Powers.
14.0 Selection Process and Constitution of Selection Boards
14.1 Various selection methods like trade tests, written tests, group discussions
etc. may be employed depending on the requirements of the job for which
selection is being made and for this purpose, the HR Department
association with the concerned Department wherever necessary will evolve

and prescribe uniform methods of selection in all Units for similar jobs.
14.2 All direct appointments to every post in the Company, whether regular,
temporary, trainee or casual, except appointments on deputation from
Government organisations and public sector undertakings, will be made only,
on recommendation of a duly constituted Selection Board/ Committee.
1 4 .3 All appointments to the executive and managerial cadres of the Company

including Executive Trainees will be made on the recommendations of the
NTPC Central Selection Board, guidelines for the constitution of which are
given in Schedule III.
14.4 All appointments to posts in various non-executive categories including

Diploma Trainees/Apprentices will be made on the basis of
recommendations of Selection Boards/Committees constituted for the purpose
which must include representatives from the following sources at the
appropriate executive level depending on the posts:
(a) Concerned Department/Function

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(b) HR Department
(c) District/Local Administration at appropriate level but not below

the rank of Deputy collector/Sub-Divisional Officer/Magistrate.
14.5 The Selection Boards/Committees will be constituted by the HR Department

in each case with the approval of the Appointing Authority.
14.6 Honorarium and reimbursement of boarding and lodging expenses may be

made to Members of the Selection Boards/ Committees from outside the
organisation as per rates and rules in this regard laid down by the Corporate
Centre from time to time.
NOTE: It should be ensured while constituting selection committees that the members
of the selection committee are not related (close or distant) to the candidates
appearing in the interview.
15.0 Interviews and Role of Selection Board
15.1 The candidates included in the short-list of rated applications referred to in

Clause 13.5 above will be called upon to undergo a prescribed selection
process which may consist of:
(a) an interview before the Selection Board, or
(b) a test and/or group discussion followed by an interview of all
candidates before the Selection Board, or
(c) an elimination test and/or group discussion followed by an

interview before the Selection Board of only those who qualify
in the test and/or group discussion.
15.2 All candidates called for interview who come from places beyond a
distance of 32 kms will be reimbursed actual expenses incurred on
travel to and from the place of interview on production of money receipt,
or any other supporting documentary evidence in respect of the onward
journey, limited to :
I class/ACC I class return rail For all executive posts in the salary
fare/return air fare by the shortest grade of E7A and above
route
I class/II class AC Sleeper return rail For executive posts in the salary grade
fare by the shortest route of E2A and above
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Second class return rail fare by the For executive posts in the salary grade
shortest route of E1 including Executive Trainees and
all non- executive posts including
Diploma, and other Trainees under
company's Training Scheme
The shortest route for this purpose will be from the place to which the
interview call letter was mailed to the appointed place of interview or the
place from where the actual journey commenced, whichever is nearer.
15.3 The call letters to the candidates for appearing for interview before the
Selection Board, to be issued by registered post or under certificate of
posting, not later than ten clear days before the date of interview should,
inter alia state clearly the post and the grade/grades for which the
candidate will be considered and other formalities that he will be
required to comply with prior to the interview.
15.4 In the case of recruitment for vacancies reserved exclusively for the
Scheduled Castes/Schedule Tribes and OBC separate interviews
exclusively for candidates belonging to these communities will be held
before the Selection Board which should include, whenever possible, a
member of Scheduled Castes and Scheduled Tribes or a Manager of the
Corporation belonging to any of these communities as required under the
Presidential directives issued in this regard.
15.5 HR Department will make available to the members of the Selection Board
the following documents and particulars regarding the candidates called
for interview:
(a) A copy of the advertisement/notification together with the

specific requirements and the duties and responsibilities of the
posts.
(b) Bio-data of each candidate.
(c) Applications in original.
(d) Appraisal reports and comments of forwarding authority in the

case of internal candidates.
(e) Annual appraisal reports wherever available in the case of

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candidates from Government and public sector organizations

whose applications have been forwarded through proper
channel.
(f) Results of Tests/Group Discussions held prior to interview, if any.
(g) Special information, if any, relevant to Selection regarding

any candidate
15.6 Apart from participating generally in the selection process, the

representative of the HR Department in the Selection Board will have
the following specific responsibilities:
(a) At the commencement of the proceedings of the Selection

Board he will brief the members generally on the specific
requirements, responsibilities and remuneration for each post,
approximate number of suitable candidates to be selected and
empanelled for immediate and further requirements and any
other matter relating to the Selection.
(b) While the specialist/technical members of the Selection Board

will be primarily concerned with the suitability of the
candidates in terms of knowledge, skill expertise and technical
and professional competence, it will be the primary
responsibility of the HR representative to call the attention of
the Board to the attitudinal, motivational and personality
aspects relevant to the job requirements.
(c) He will ensure consistency in the selection standards, starting

salaries, status and seniority keeping in view the existing
position with the organization and comparative position
prevailing generally in the open market and particularly in
similar organizations in the government and public sector.
(d) He will assist the Board in the negotiation of the terms

including starting salary, grade, seniority, status, time
allowed for joining etc. and furnish relevant information
regarding allowances, benefits, amenities, career prospects,
service rules and other allied matters if and when asked for
by any candidate.
(e) At the end of each interview he will review and seek feedback on
availability/non-availability of adequate number of proper kind of
candidates for the particular job and the need for development and
training of such personnel internally.
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15.7 Keeping in view the qualifications, experience, results of tests/group

discussion, if any and other relevant facts vis-a-vis the specific requirements
of the posts and on the basis of the standards of technical skill, professional
competence and overall personality factors as assessed from the candidates
performance in the interview, the Selection Board will assign a final
percentage marks to each candidate considered suitable and recommend a
panel of names of all such suitable candidates in order of merit on the basis
of the marks so assigned.
Provided that when two or more candidates secure equal marks they will be
empanelled in the chronological order of their dates of birth, the oldest being
placed first among them.
Provided also that in respect of the reserved vacancies, the Board will draw
up and recommend a separate panel of names of suitable candidates belonging
to Scheduled Castes, Scheduled Tribes and other Backward Classes.
15.8 While making its recommendations of names of suitable candidates, the

Selection Board may make special mention of the following wherever
appropriate :
(a) The amount of starting basic salary in cases where initial pay is to
be fixed above the minimum of the grade.
However due to problems of anomaly in pay fixation arising out,

the pay fixation norms for new entrants being followed are as under :
FOR CANDIDATES FROM PSUs FOLLOWING IDA PATTERN :
The pay being drawn in the previous organisation is protected

and a joining benefit, upto a maximum of amount equivalent to 2
increments at the minimum of the scale the offer to be made, is
allowed. Next annual increment in the previous organisation, if
due within next six months, is also accounted for.
FOR CANDIDATES FROM GOVT./PSUs FOLLOWING CDA

PATTERN:
The pay is arrived at by adding the intended joining benefit as

above with the existing basic pay and fixing at the stage available
in the relevant scale of pay of NTPC. The difference of DA is taken
care of by allowing Personal Adjustment.
FOR CANDIDATES FROM PRIVATE SECTOR :
Two types of salary payments are resorted to by the private

companies (i) Pay structure clearly defined i.e. Basic Pay, DA,
HRA etc. and (ii) consolidated pay. The practices evolved to deal with
such cases are :
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i) For candidates joining from organizations where defined pay

structure is available, the amount on which provident fund
deductions are made is protected by offered basic pay + Dearness
Allowance. No joining benefit is allowed.
(ii) For candidates joining from organizations where consolidated

pay system is prevalent, up to 80% of consolidated salary is
protected by basic pay + Dearness Allowance.
(b) Any remarks regarding accelerated promotion to the next higher grade
subject to satisfactory performance in exceptional cases of candidates
who are too senior to start afresh in the grade to which they are
selected but not senior enough for selection to the higher grade for
reasons of internal company policy.
(c) Area/areas of specialization and strength where the candidate would be

best suited.
(d) Any other recommendation/remark considered relevant and necessary in

respect of any candidate.
1 6 .0 Operation of Panel of Selected Candidates
The Central Selection Board, based on the merit and performance of the
candidate during the interview, awards marks to them by consensus. Based on
fulfilling the criteria for length of service advertised for each level and also on
the marks awarded by the CSB, the candidates are placed on the panel at
appropriate level, Separate panels are drawn for General, SC/ST and OBC
categories. The minimum qualifying marks required for placement in panel for
different categories of candidates are :
General Category 55%

OBC Category 50%
SC/ST Categories 45%
16.1 The panel of candidates in order of merit as recommended by the Selection

Board, on approval by the Appointing Authority, will form the basis for issue of
offers of appointment.
16.2 The functional panel of selected candidates will normally remain valid and
operative for a period of six months from the date of approval and on expiry of
this period it will cease to operate unless decided otherwise by the appointing
authority for reasons to be recorded in writing.
16.3 Based on the panel as recommended by the Selection Board, HR Department

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will issue offers of appointment to one or more candidates in the
order given in the panel depending on the number of posts as sanctioned by

the appointing authority from time to time.
16.4 Where there is a separate panel of selected candidates from the Scheduled
Castes and Scheduled Tribes in respect of vacancies exclusively reserved for
them, the model roster prescribed by the Government (see Schedule IV
Appendix I & II) will be followed while making offers of appointment.
17.0 Offers of Appointment
17.1 HR Department will issue the offers of appointment in the prescribed form in
duplicate and the contract of appointment will be completed on receipt of the
letter of acceptance along with the copy of offer duly signed by the candidate.
17.2 Based on the length of notice period, for release from the present employment
as indicated in the application form or during interview and depending on the
urgency of filling the vacant post, the offer of appointment will state the last
date by which the candidate must join the Company failing which the offer of
appointment will be deemed to have been withdrawn unless an extension of
the last date has been granted by the appointing authority prior to the expiry
of the joining time as indicated in the offer appointment.
17.3 Upon approval by the competent authority, offers of appointments are sent by
Registered Post giving 30 days time for joining. However, extension in joining
upto four months based on the merit of the case, after approval of the
competent authorities, is also allowed.
18.0 Medical Fitness
18.1 Nobody will be appointed to any post in the Company whether regular,
temporary, trainee or casual unless he is declared physically fit as per the
medical fitness standards prescribed for the post after a medical examination by
the Company's authorised medical officer/officers at the time of appointment in
the Company's service.
1 9 .0 Joining Formalities
1 9 .1 Employees on the first appointment to the Company's service will furnish to

the HR Department copies of documents and other details and particulars as
given in Schedule V.
19.2 In case of recruitment to executive and supervisory posts, prescribed application

blanks will include a column for the candidates to give names of two references
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to whom, in the event of selection of the candidate, reference will be made in

the prescribed form for eliciting their views and opinions on the suitability of
the candidate for employment in the Company.
19.3 On appointment of a person in the Company, the District authorities concerned

will be requested to verify and report on the antecedents of the person in the
prescribed attestation form, in terms of directives issued by the Government from
time to time in this regard.
Provided, however, that such verification of antecedents may not be insisted

upon in the case of persons employed in the Government/Semi-Govt.
Organizations and Public Sector Undertakings, immediately prior to the
appointment in NTPC, subject to the condition that in the case of persons coming
from Semi-Government Organizations and Public Sector Undertakings,
satisfactory evidence is made available in support of the fact that due
verification of antecedents was made at the time of their appointment to the Semi-
Government Organization or Public Sector Undertaking, as the case maybe.
20.0 Interpretation and Amendments
20.1 In case of any doubts arising with regard to any of the provision in the
Recruitment Policy and Procedures and in the cases not covered by these
rules, final authority of interpretation will vest in the Chairman and Managing
Director whose decision will be final.
21.0 Appointment on Ad-hoc Basis
21.1 Despite our efforts to induct personnel through regular employment, need
arises in critical areas to induct personnel on ad-hoc basis to meet the shortfall of
personnel in exigencies of work.
21.2 In areas where requirement of personnel is not of regular nature i.e.

requirement is not likely to continue for a long time.
21.3 The main areas to meet the requirement of short durations are Medical,
Resettlement and Rehabilitation, MGR and Sociologist.
21.4 Duration of Employment
21.4.1 The appointment on ad-hoc basis is done initially for a period of six month to
one year and can be extended upto a maximum period of two years on merits
of each case with the approval of the Competent Authority. However, in
exceptional circumstances, engagement on ad-hoc basis beyond a period of
two years can be made with approval of Director (HR).
Page: 18 of 41
21.4.2 The Competent Authority for appointment in Projects is Executive Director of

the concerned region for ad-hoc posts in executive cadre and for non-
executives General Manager of the Project. For appointments on ad-hoc
basis done from Corporate Center in executive cadre the Competent Authority
is Director (HR)
21.4.3 With respect to the cases not covered above, CMD would be the Competent
Authority.
21.5 Selection Procedure
21.5.1 Doctors/Sociologists/IGS Facilitators on ad-hoc basis are inducted through

selection process as done in cases of regular employment i.e. by Advertisement
or notification to relevant Institutions.
21.6 Compensation Package
21.6.1 The rate of compensation to the persons engaged on ad-hoc basis is fixed by
Corporate Center with the approval-of the Competent Authority. The present
rates of compensation are as under :
Sociologists engaged on adhoc-basis
Sl.no Adhoc-post Compensation Remarks

(Rs.)
1 Sociologists 10,000/- In addition, medical

engaged on facilities for self and rent
adhoc-basis free accommodation
(bachelor's
accommodation at
Projects) is also
admissible.
Medical Consultants engaged on Adhoc / Visit basis: (w.e.f. 1.10.2009)
ADHOC DOCTORS
S.N. QUALIFICATION/ EXPERIENCE PAYMENT (PER MONTH)

Page: 19 of 41
1. MD/MS in relevant specialty Monthly fee Rs. 34000/-

Allowances/Reimbursements Rs. 11500/-
2. MBBS + 1 Year Exp. Monthly fee Rs. 24000/-
Or Allowances/Reimbursements Rs. 8500/-
MBBS + PG Dip in the relevant
speciality
3. Homeopathic Degree / Diploma of Monthly fee Rs. 19200/-
not less than 4 years duration as Allowances/Reimbursements Rs. 6800/-
included in the II Schedule of
Homeopathic Central Council Act,
1973 with post internship
experience of 2 years. Valid
license to practice is essential
4. Ayurvedic Degree / Diploma of Monthly fee Rs. 19200/-
not less than 4 years duration as Allowances/Reimbursements Rs. 6800/-
prescribed for appointment as
Medical Officer in the
Government with Post internship
experience of 2 years. Valid
license to practice is essential
5. BDS having established practice Monthly fee Rs. 24000/-
of five years. Allowances/Reimbursements Rs. 8500/-
VISITING CONSULTANTS
S. QUALIFICATION/ EXPERIENCE PAYMENT (PER VISIT BASIS)
No.
1. MD/MS in relevant speciality having Rs. 3000-3100 per half day visit
established practice of 3 years (Max. Rs.45500/-) limited to 15
half day visits in a month at one
project
2 MBBS having PG Diploma in the Rs.2100-2200 per half day visit
relevant speciality and having (Max. Rs.32500/-) limited to 15
Page: 20 of 41
established practice of 3 years half day visits in a month at one

project
3 Homeopathic Degree / Diploma of not Rs.1700-1800 per half day visit

less than 4 years duration as included in (Max. Rs.26000/-) limited to 15
the II Schedule of Homeopathic Central half day visits in a month at one
Council Act, 1973 with post internship project
experience of 5 years. Valid license to
practice is essential
4. Ayurvedic Degree / Diploma of not less Rs.1700-1800 per half day visit
than 4 years duration as prescribed for (Max. Rs.26000/-) limited to 15
appointment as Medical Officer in the half day visits in a month at one
Government with post internship project
experience of 5 years. Valid license to
practice is essential
5. BDS having established practice of five Rs.2100-2200 per half day visit
years. (Max. Rs.32500/-) limited to 15
half day visits in a month at one
project
• Doctors engaged on adhoc basis may also be given medical facilities for
self and rent free accommodation (bachelor’s accommodation at Project)
22.0 Delegation of Powers Relating to Various Activities in Recruitment
Delegation of Powers relating to recruitment shall be as per relevant clauses of

Section VI & VII-A of the DOP.
SCHEDULE-I
Induction Levels :
Non-Executives
Page: 21 of 41
Unskilled Group W 0 level

Skilled Group & equivalent Secretarial
and Clerical Staff W3 & W4 levels
Supervisory & equivalent Categories SI & W7 levels
Executives
Executive E1 / E 2 level
Page: 22 of 41
SCHEDULE-II
Concessions To Candidates Belonging To The Scheduled Castes/Tribes:
Reservation of posts, as per the rosters prescribed by the Government
i) For direct recruitment on all-India basis:
a) By open competition (i.e through UPSC or by means of open competitive test held
by any other authority) Scheduled Casts 15% Scheduled Tribes 7 1/2 % and OBCs
as per the roster given in Appendix-I.
b) Otherwise Scheduled Casts 16 2/3%, Schedule Tribes 7 1/2% and OBCs as per the
roster given in Appendix II.
ii) For direct recruitment made on local regional basis, as in the roster given in Appendix III.
The upper age limit will be enhanced by 5 years in case of all cadres/groups for SC/ST
categories and by 3 years for OBC Categories.
Though the level of qualifications shall not be lowered, the degree of attainment in these
qualifications shall be lowered, for SC/ST categories only e.g. if the prescribed standard is a
first class degree, it will be relaxed to a degree.
For SC/ST categories the experience will be relaxed by :
- - a maximum of one year if prescribed-experience is 3 to 5 years.

a maximum of two years if prescribed experience is 6 to 10 years.
No application Fee is required to be paid by candidates belonging to SC/ST categories

provided a copy of caste certificate is enclosed with the application.
In case of written test and interview, 10% relaxation in marks is allowed to candidates
belonging to SC/ST/OBC categories.
Under no circumstances will the units exceed these limitations unless the Chairman &
Managing Director directs to alter these limitations depending on whether or not the
possibilities of fulfilling obligations in this regard are remote.
Concessions To Persons Displaced From The Areas Acquired For the Project:
In lower scales preference should be given to persons displaced as a result of setting up new
units, particularly in backward and tribal areas specially to SC/ST.
Page: 23 of 41
Reservations Of Posts For Ex-Servicemen And Dependents Of Those Killed In Action
1. Reservation of vacancies : For direct recruitment 141/2% of the vacancies in each of

the categories of class III posts and 241/2% of vacancies in each of the categories of Class IV
posts.
2. Relaxation regarding age limits and educational qualifications will be as per the
directive of the Governement.
Page: 24 of 41
SCHEDULE III
NTPC Central Selection Board will be set up with the following constitution :
a) One member from amongst persons of eminence and integrity with a

suitable background in selection of personnel such as retired members
of UPSC or former Chief Executive/Heads of reputed organizations.
He could be appointed on a part time but continuing basis as
Consultant or on a fee and-expenses basis.
b) Appointing Authority or any of his nominees from amongst officers in

senior-most managerial cadres in the Corporate Office.
c) General Manager/Head of the Unit or Division concerned or in the

case of Corporate Office, Head of the Division concerned.
d) Not less than one specialist Adviser in the concerned specialization

whether from within or outside the Corporation.
e) Representative of HR Department
Chairman of the Board will be the member from (a) above or in his
absence in special cases, Chairman of the Corporation or any of his
nominees not below the rank of Deputy General Manager
Page: 25 of 41
SCHEDULE -IV
APPENDIX -I
MODEL ROSTER FOR POSTS FILLED BY PROMOTION
-------------------------------------------------------------------------------------------------------------------------------
Points in Whether Points in Whether
the Roster Unreserved the Roster Unreserved
or Reserved or Reserved
----------------------------------------------------------------------------------------------------------------------------------------------
-
1 Scheduled Caste 21 Unreserved

2 Unreserved 22 Scheduled
Caste
3 Unreserved 23 Unreserved
4 Scheduled Tribe 24 Unreserved
8 Schedule Caste 28 Scheduled
Caste
11 Unreserved 31 Scheduled Tribe
14 Scheduled Caste 34 Unreserved
16 Unreserved 36 Schedules
Caste
17 Scheduled Tribe 37 Unreserved
------------------------------------------------------------------------------------------------------------------------------------------
----
NOTE : 1. If there are only two vacancies to be filled in a particular year, not more
thanone may be treated as reserved and if there be only one vacancy, it would
Page: 26 of 41
betreated as unreserved. If, on this account a reserved point is treated

asunreserved, the reservation may be carried forward to the subsequent three
recruitment years.
2. For direct recruitment on All India basis through open competitive

examinationa 200 point roster has been introduced affording reservation to
SC (15%), ST(7'/2%) and OBCs (27%). Model roster at (APPENDIX- 1A).
Page: 27 of 41
APPENDIX -I (A)
MODEL 200 POINT ROSTER FOR THE POSTS FILLED BY

DIRECT RECRUITMENT ON ALL INDIA BASIS BY OPEN COMPETITION
Points Whether Unreserved Points Whether Unreserved Points Whether Unreserved

or Reserved in the roster or Reserved in the roster or Reserved in the roster
Page: 28 of 41
1. Scheduled Castes 37. Other Backward Classes 73. Other Backward Classes
2. Unserved 38. Unserved 74. Unreserved
3. Scheduled Tribe 39. Other Backward Classes 75. Other Backward Classes
4. Unreserved 40. Unreserved 76. Unreserved
5. Other Backward Classes 41. Scheduled Castes 77. Scheduled Caste
7. Scheduled Caste 43. Other Backward Classes 79. Other Backward Classes
9. Other Backward Classes 45. Scheduled Tribes 81. Scheduled Castes
11. Other Backward Classes 47. Other Backward Classes 83. Other Backward Classes
13. Scheduled Castes 49. Scheduled Castes 85. Scheduled Tribes
17. Scheduled Tribes 53. Scheduled Castes 89. Scheduled Castes
21. Scheduled Caste 57. Scheduled Tribes 93. Scheduled Castes
25. Other Backward Classes 61. Scheduled Castes 97. Scheduled Tribes
27. Scheduled Castes 63. Other Backward Classes 99. Other Backward Castes
29. Other Backward Classes" 65. Other Backward Classes 101. Scheduled Castes
31. Scheduled Tribes 67. Scheduled Castes 103. Other Backward Classes
35. Scheduled Castes 71. Scheduled Tribes 107. Scheduled Castes
MODEL 200 POINT ROSTER FOR THE POSTS FILLED BY

DIRECT RECRUITMENT ON ALL INDIA BASIS BY OPEN COMPETITION

Page: 29 of 41
109. Other Backward Classes 140. Unserved 1 71 . Other Backward Classes

110. Unserved 141. Scheduled Castes 172. Unserved
111. Scheduled Tribes 142. Unserved 173. Scheduled Castes
112. Unserved 143. Other Backward Classes 174. Unserved
1 1 3. Other Backward Classes 144. Unserved 175. Other Backward Classes
1 14. Unserved 145. Other Backward Classes 176. Unserved
115. Scheduled Castes 146. Unserved 177. Scheduled Tribes
116. Unreserved 147. Scheduled Castes 178. Unserved
1 1 7. Other Backward Classes 148. Unserved 179. Other Backward Classes
1 18. Unserved 149. Other Backward Classes 180. Unserved
119. Other Backward Classes 150. Unserved 181. Scheduled Castes
120. Unserved 151. Scheduled Tribes 182. Unserved
121. Scheduled Castes 152. Unserved 183. Other Backward Classes.
123. Other Backward Classes 154. Unserved 185. Other Backward Classes
125. Scheduled Tribes 156. Unserved 187. Scheduled Castes
129. Scheduled Castes 160. Unserved 191. Scheduled Tribes
1 3 1 . Other Backward Classes 162. Unserved 193. Other Backward Classes
133. Scheduled Castes 164. Unserved 195. Scheduled Castes
134. Unreserved 165. Scheduled Tribes 196. Unserved
137. Scheduled Tribes 168. Unserved 199. Unserved
139. Other Backward Classes 170. Unserved
APPENDIX -II
MODEL ROSTER FOR THE POSTS FILLED BY DIRECT RECRUITMENT

Page: 30 of 41
ON ALL INDIA BASIS OTHERWISE THAN BY OPEN COMPETITION

1. Scheduled Caste 41. Scheduled Caste 81. Scheduled Caste

3. Scheduled Tribe 43. Scheduled Tribe 83. Scheduled Tribe
7. Scheduled Caste 47. Scheduled Castes 87. Scheduled Caste
1 1 . Other Backward Classes 51. Other Backward Classes 91. Other Backward Classes
28. Unreserved 68. , Unreserved 108. Unreserved
37. Scheduled Caste 77. Scheduled Caste 117. Other Backward Classes
Page: 31 of 41
APPENDIX-III
ROSTER SHOWING THE POINTS TO BE RESERVED FOR

SCHEDULED CASTES, SCHEDULED TRIBES AND OBCS IN A 100 POINT
ROSTER WHERE RECRUITMENT IS MADE ON A LOCAL OR REGIONAL
BASIS
----------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------
Sl.No. Name of State/Union Territory Actual points to be reserved in a 100 point roster for SC/
Percentage of reserva- ST/OBC
tion of SC/ST/OBC
1, 2. 3. 4.
1. Andhra SC 1,7, 13,19,25,31,37,43,49,55,63,69,77,83,89(15) Points

Pradesh ST 3,23,39,59,79,95(6) Points
15 SC/6 OBC 5,9,11,15,17,21,27,29,33,35,41,45,47,51,53,57,61
ST/27 OBC 65,67,71,73,75,81,85,87,91,93(27) Points
2. Assam SC 3,19,33,53,73,89(6) Points

6 SC/1 1 ST 1,9, 21, 29, 39, 49, 57, 67, 75, 85,93(11) Points
ST/27 OBC OBC 5,7,11,15,17,23,27,31,35,37,41,43,47,51,55,59,61,65,69,71,
77,79,31, 83,87,91, 95(27) Points
3. Bihar SC 1,7,13,19,27,33,39,43,51,57,63,69,77,83,89(15) Points

15 SC/9 ST 3, 15,25,37,47, 59,67,79,93(9) Points
ST/26 OBC OBC 5,9,11,17,21,23,29,31,35,41,45,49,53,55,61,65,71,73,75,81,
85,87,91,95,97,99(26) Points.
4. Gujarat SC 3,17,31,45,59,73,87(7) Points

7 SC/14 ST 1,7,15,21,29,35,43,49,57,63,71,77,85,91(14) Points
ST/27 OBC OBC 5,9,11,13,19,23,25,27,33,37,39,41,47,51,53,55,61,65,67,69,
75,79,81,83,89,93,95(27) Points.
5. Haryana SC 1,5, 11,15, 21,25, 31, 35, 41, 45, 51, 55,61, 65, 71, 5,81,85,89(19) Points.
19 SC/Nil ST Nil
ST/27 OBC OBC 3,7,9,13,17,19,23,27,29,33,37,39,47,49,53,57,63,67,69,73,77,79,83,
87, 89,93, (27) Points
6. Himachal SC 1,5,9,13,17,21,25,29,33,37,41,45,49,53,57,61,65,69,73,77,81,85,89,93,97(25)
Pradesh ST Points
25 SC/5 OBC 3,23,43,63,85(5) Points
ST/20 OBC 7, 11, 15,19,27,31,35,39,47,51, 55,59,67,71,75,79,87,91,95,99(20) Points
Page: 32 of 41
7. Jammu & SC 3,15,27, 37,47, 59,69,83,93(9) Points

Kashmir ST 1,9, 17, 25, 33,41, 49, 57, 65, 73, 81, 89,97(13) Points
9 SC/13 OBC 5,7,11,13,19,21,23,29,31,35,39,43,45,51,53,55,61,63,67,71,75,79,85,
ST/27 OBC 87,91,95,99(27) Points
8. Karnataka SC 1,7,13,19,27,33,39,45,51,57,63,69,77,83,89(15) Points

15 SC/5 ST 3,29,53,79,93(5) Points
ST/27 OBC OBC 5,7,11,13,19,21,23,29,31,35,39,43,45,51,53,55,61,63,67,71,75,79,85,87,91,
95,99(27) Points
ROSTER SHOWING THE POINTS TO BE RESERVED FOR

SCHEDULED CASTES, SCHEDULED TRIBES AND OBCS IN A 100 POINT
ROSTER WHERE RECRUITMENT IS MADE ON A LOCAL OR REGIONAL BASIS
1. 2. 3. 4.
9. Kerala SC 1,9, 19,29,39,49,59,69,79,89(10) Points

10 SC/1 ST/27 ST 3(1) Points
OBC OBC 5,7,11,15,17,21,23,27,31,35,37,41,45,47,51,55,57,61,65,71,73,77,81,
85, 91, 95, 99(27) Points
10. Madhya SC 3, 11, 19, 23,31, 35,43, 51, 59,63, 71,75,83, 87(14) Points
Pradesh ST 1,5,9,13,17,21,25,29,33,37,41,45,49,53,57,61,65,69,73,77,81,85,
14 SC/23 89(23) Points.
ST/13 OBC OBC 7,15,27,39,47,55,67,79,91,93,95,97,99(13) Points
11. Maharashtra SC 3,17,31,45,59,73,87(7) Points

7 SC/9 ST/27 ST 1,11, 23,33,43,55,67,79,91(9) Points
OBC OBC 5,7,9,13,19,21,25,27,35,37,39,41,47,51,53,57,61,65,69,71,75,81,83,
89,93,95,99(27) Points
12. Manipur SC 3 (1) Points

1 SC/27 ST/22 ST 1,5,9,13,17,19,23,25,29,33,37,41,45,49,53,57,61,67,71,75,79,83,85,
OBC 89,91,95,97(27) Points
OBC 7,11,15,21,27,31,35,39,43,47,51,55,59,63,65,69,73,77,81,87,93,
99(22) Points
13. Meghalaya SC 3(1) Points

1 SC/44 ST/5 ST 1,5,9,11,13,15,17,19,21,23,27,29,31,33,35,37,39,41,45,47,49,51,53,
OBC 55,59,61,63,65,67,69,71,73,75,77,79,81,83,85,87,89,91,93,95,
97(44) Points
OBC 7,25,43,57,99(5) Points
Page: 33 of 41
14. Mizoram SC Nil

Nil SC/45 ST/5 ST 1,3,7,9,11,13,15,17,19,21,23,25,27,29,31,33,35,37,39,41,43,45,47,49,
OBC 51,55,59,61,63,65,67,69,71,73,75,77,79,81,83,85,87,89,93,95,
99 (45) Points
OBC 5,53,57,91,97 (5) Points
15. Orissa SC 3,11,19,23,31,35,43,51,59,63,71,75,83,87,95(15) Points

15 SC/23 ST 1,5,9,13,17,21,25,29,33,37,41,45,49,53,57,61,65,69,73,81,85, 89(23)
ST/12 OBC Points
OBC 7,15,27,39,47,55,67,79,91,93,97,99(12) Points.
16. Punjab SC 1,5,9,13,17,19,23,25,29,33,37,41,45,49,53,57,61,67,71,75,79,83,85,

27 SC/Nil 89, 91, 95,97(27) Points
ST/23 OBC ST Nil
OBC 3,7,11,15,21,27,31,35,39,43,47,51,55,59,63,65,69,73,77,81,87,93,
99(23) Points
17. Rajasthan SC 1,7,13,19,25,31,37,43,49,55,61,67,73,79,85,91,97 (17) Points

17SC/12ST/21 ST 3,11,21,27,35,45,51,59,69,75,83,93 (12) Points
OBC OBC 5,9,15,17,23,29,33,39,41,47,53,57,63,65,71,77,81,87,89,95,
99(21) Points
ROSTER SHOWING THE POINTS TO BE RESERVED FOR SCHEDULED CASTES,

SCHEDULED TRIBES AND OBCS IN A 100 POINT ROSTER WHERE RECRUITMENT IS
MADE ON A LOCAL OR REGIONAL BASIS
1. 2. 3. 4.
18. Sikkim SC 3,23,41,59,77,93 (6) Points

6 SC/23 ST 1,5,9,13,17,21,27,31,35,39,45,49,53,57,61,65,69,75,79,83,87,91,95(23) Points
ST/21 7, 11, 15,19, 25,29,33,37,43,47, 51, 55,63,67,71, 73,85,89,97,99(21) Points
OBC OBC
19. Tamil SC 1,5,11,15,21,25,31,35,41,45,51,55,61,65,71,75,81,85,91(19) Points

Nadu 3 (1) Point
19 SC/1 ST 7,9,13,17,23,27,29,33,37,43,47,49,53,57,59,63,67,69,73,77,79,83, 87,89,93,95,99(27)
ST/27 OBC Points.
OBC
Page: 34 of 41
20. Tripura SC 3, 11, 17,23,31, 37,45,53,59,65,71,77,83,89,95(1 5) Points.

15 ST 15,9,13,15,19,21,27,29,33,35,39,41,47,49,51,55,61,63,67,69,73,75,79,81,85,87,91,93(29)
SC/29 Points
ST/6 OBC 7,25,43,57,97,99(6) Points
OBC
21. Uttar SC 1,5,11,15,21,25,31,35,41,45,51,55,61,65,71,75,81,85,89,95,

Pradesh 99 (21) Points
21 SC/1 ST 3 (1) Points
ST/27 OBC 7,9,13,17,19,23,27,33,37,39,43,47,49,53,57,59,63,67,69,73,77,79, 83,87,91,93,97(27)
OBC Points
22. West SC 1,5,9,13,17,21,27,31,35,39,45,49,53,57,61,65,69,75,79,83,87,

Bengal 9 1(22) Points
22 SC/6 ST 3,23,43,63,85,97(6) Points
ST/22 OBC 7,11,15,19,25,29,33,37,41,47,51,55,59,67,71,73,77,81,89,93,95,
OBC 99(22) Points
Union Territories
'l. Andaman SC Nil .

Nicobar ST 1,9,17,25,33,43,51, 59,67,75,83,93(12) Points
Islands OBC 3,7,11,15,19,21,27,29,31,35,39,45,47,53,55,61,65,69,71,77,79,81,85,89,95,97,99
Nil SC/12 (27) Points
ST/27 OBC
2. Chandigarh SC 1,7,15,21,29,35,43,49,57,63,71,77,85,91(14) Points

14 SC/Nil ST Nil
ST/27 OBC OBC 3,5,9,13,17,19,23,27,31,33,37,41,45,47,51,53,59,61,67,73,79,81,87,89,93,95,99(27)
Points
3. Dadra and SC 3,53(2) Points

Nagar ST 1,7,9,11,13,15,17,19,21,23,25"27,29,31,33,35,37,39,41)43,45,
Haveli 47,51,57, 59,61,63,65,67, 69,71, 73,75, 77,79,81,83,85, 87 ,89,91, 93,97(43) Points
2 SC/43 5,49,55,95,99(5) Points
ST/5 OBC OBC
4. Daman & SC 1,49(2) Points

Diu ST 3 (1) Points
2 SC/1 OBC 5,9,11,15,17,21,25,29,35,39,43,47,53,55,57,61,65,69,71,73,77,79, 83,87,91,95,99
ST/27 OBC (27) Points
5. Pondicherry SC 1,7, 11, 19, 25, 31, 37, 45, 51, 57, 63,69, 75, 81, 87,93(16) Points
16 SC/Nil Nil
ST/27 OBC 3,5,13,15,21,23,27,33,35,39,41,43,47,49,53,59,61,65,67,73,77,79,
ST 85,89,91,95,99(27) Points.
OBC
Page: 35 of 41
N.B.
1. In respect of Arunachal Pradesh, Nagaland and Lakshdweep there is no change in the

existing reservation rosters.
2. For Goa, the reservation rosters will be the same is given in respect of the Union
Territory of Daman and Diu.
3. For Delhi, the rosters as prescribed for recruitment on all-India basis is to be followed.
SC—Scheduled Castes, ST—Scheduled Tribes, OBC—Other Backward
Classes
Page: 36 of 41
SCHEDULE -V
Joining Formalities:
In case of appointments to regular scale of pay the employees jointing the

Organization will report to the HR Department of the Unit he is joining and will
furnish the following:
i) Joining report
ii) A written undertaking regarding his:
a) Marital Status b) Home-town

Employment of Spouse in any
c) Immovable property d) Embassy or Foreign mission
iii) Medical fitness certificate
iv) Attested copies of bio-data
v) Attested copies of certificates and testimonials
vi) A character certificate from a gazetted officer

vii) Release and pay certificates in case if employees from
Government
/ Public
Sector
Undertaking
s.
viii) Attestation Forms for verification of the antecedents.
Those appointed as Trainees will be required to execute and furnish bonds,

undertaking to complete the training course and thereafter to serve the
Company for a minimum period as laid down in the bond
Page: 37 of 41
Policy Guidelines to Govern and Regulate Recruitment

of Casual Employees
Introduction
Indiscriminate and unplanned induction of casual/muster roll staff specially during

construction of Projects have been the root cause off over-manning and industrial strife in
many Undertakings in the public sector, Continuation in service of casual employees for long
periods at wage rates considerably lower than that of employees in regular pay scales
performing identical jobs, apart from causing discontent and frustration and consequent
demand for regularisation, is also to be discouraged as an unfair labour practice.
Employer also incurs certain legal liabilities under different statutes arising out off continued
employment beyond certain stipulated periods. For example all appointments for a period of 3
months and more, by whatever name called, attract the provisions of Employment Exchange
(Compulsory Notification of Vacancies) Act 1959. Similarly provisions regarding retrenchment
and lay off under the Industrial Disputes Act are applicable as soon as an employee completes
continuous service of 240 days. Employer is also liable for implementing the Employees Provident
Fund Act in all cases of employees who have completed a minimum of 60 days service. Presidential
Directives on reservation of posts for Scheduled Castes and Scheduled Tribes are applicable to
vacancies above 45 days duration
It is against the above backdrop that it is proposed to lay down the following policy guidelines
with regard to employment of persons on casual basis. The guidelines will not cover
Consultants, Specialists, Advocates etc. engaged against fee, honourarium or on retainership
basis.
1. It will be the endeavour of all concerned in NTPC to determine the manpower

requirements both in the long term and in the short term for all categories based on a
systematic assessment of tasks and targets keeping in view the Company's policy to
restrict the number of casual employees to the barest unavoidable minimum.
2. There will be no creation of and appointment to posts in Executive and Supervisory

categories on casual basis except in very special circumstances in which case the
power for creating such casual posts shall vest exclusively in the Chairman &
Managing Director.
3. The three broad categories of non-supervisory posts that can be operated on casual basis
are ;
A. Posts for which budget sanction exists such as regular posts operated on casual
basis, posts which are likely to exist for the entire duration of the Project and for jobs
of short duration but of recurring nature.
Page: 38 of 41
Posts for which budget sanction exists such as where placement of employees on
regular basis may take time; and for leave vacancies.
C. Posts for which budget sanction does not exist and wage payments are charged
directly to the concerned works. These may be of two categories.
- Jobs of short duration which can be anticipated in advance; and
Unforeseen jobs of short duration for which no advance planning can be

possible.
A. Categories covered under 'A' are as follows "
i) Regular posts operated on casual basis, initially with a view to watching

performance and general conduct before the incumbents are regularised. This
would be restricted to posts in unskilled categories only.
ii) Posts which are likely to exist for the entire duration of the Project, but might
result in the incumbents being rendered surplus on completion of the Project.
Specially in the unskilled and semi-skilled categories, all care should be taken
(in selecting the personnel) to ensure that only those persons are appointed
who have the education and potential for being trained and developed
eventually as skilled and semi-skilled workers capable of being absorbed in
the regular establishment of power station.
iii) Jobs of short duration and of recurring nature within the project as a whole,
where it is possible to determine the minimum number of employees in
unskilled, semi-skilled and other non-supervisory categories for necessary
sanction by the Board of Directors and may be filled by the employees initially
on daily rated basis with a view of eventual regularisation
Recruitment to all the above posts for which budget sanction exists will be
done in the same manner as for regular posts i.e. job specification. Employment
Exchange procedure and medical examination etc. will be adhered to HR
Department will recruit and the appointing authority for these posts will be
same as for regular posts.
B. Apart from the above, the recruitment of casual manpower in non-

supervisory categories may take place in cases :
i) Where placement of employees on regular basis may take time owing to formalities
to be complied with. This will however be restricted to such posts which are required
to be filled urgently, and if the required personnel is not placed in position, certain
Page: 39 of 41
equipment/machines will be kept idle. However, in no case will it be operated in

unskilled categories.
ii) Where regular employee is absent on leave and substitute is not available. For a
period of absence less than 15 days normally no substitute will be provided.
For the purposes of recruitment the above posts will be classified into the following
categories.
a) Casual vacancies for duration of not more than 30 days
Recruitment may be made to fill these casual vacancies by the Head of Department,
not below the rank of Manager, with the concurrence of HR Department which will issue
necessary order in this regard and maintain necessary record. Such employees will
be taken on the Muster Roll for a duration not exceeding 30 days and their services
dispensed with on expiry of the stipulated period. No such employee taken on Muster
Roll will be retained in service, beyond 30 days except with specific sanction of
General Manager, for which the HR Department will issue the necessary orders and
maintain records.
b) All appointments of Casual posts for a duration of 31 days but less then 90
days
These appointments will be made by Head of the HR Department on requisition of the

indenting department, after obtaining the due sanction of the General Manager.
For purposes of all such appointments, HR Department will maintain a panel of

suitable candidates by following the appropriate recruitment procedure and subject to
compliance of the following conditions :
- The names of the candidates considered must have been sponsored by

Employment Exchange.
- Candidates must meet all prescribed eligibility standards including medical

fitness.
Panel should be prepared on the basis of selection interviews to be conducted before

a duly constituted Selection Board as indicated in the general 'Recruitment policy and
Procedures'.
In respect of the above posts the appointment order will clearly specify the duration
and appointment will stand automatically terminated on expiry of the stipulated period.
C. Posts for which budget sanction does not exist and wage payments are charged
directly to the concerned works
Page: 40 of 41
Jobs of short duration and not of recurring nature may be categorized into two :
i) Jobs of short duration which can be anticipated in advance. Such

jobs may be contracted out well in advance and no casual labour
should be engaged.
ii) Unforeseen jobs of short duration for which no advance planning can
be possible. In these cases casual labour may have to be engaged,
but it should be done with the approval of GM as per guidelines given
below:
All appointments of less than 90 days duration will be made with the
specific approval of the GM. The recruitment will be done by the HR
Department on the requisition of the indenting department. HR
Departments may keep a list of names for different types of jobs to
meet these urgent requirements.
Appointment of any individual on casual basis under clause 'B' and 'C' for
more than 89 days with or without break is not permissible unless at least 3
calender months have elapsed since the last termination.
Page: 41 of 41
RECORD OF REVISIONS
Section-Clause No. Revision Revision Amendment Details

No. Date
0101-Record of 0 13.02.2012 Provision Added
Revisions
PREPARED BY REVIEWED BY APPROVED BY
S R Sahoo Vijaya Lakshmi M Sanjay Singh

M(HR) M(HR) DGM(HR)
Service Rules Updated as on: 31.01.2012
Page: 1 of 17
SERVICE RULES
1.0 Short Title
1.1 These Rules may be called NTPC Service Rules.
2.0 Definitions
In these rules, unless there is anything repugnant in the Subject or context:
(a) “Appointing Authority" in relation to an employee means the authority empowered

by management to make appointment to the category or grade of post in which
the employee for the time being is included or to the post which the employee
for the time being holds.
(b) "Board " Means the Board of Directors of the Corporation.
(c) "The Corporation" means NTPC Ltd.
(d) “Competent Authority" with reference to the exercise of any powers under the
rules means the Executive or authority to whom such powers are delegated by
the management either in general or in particular.
(e) "Management" means the Board of Directors and if authorized by the Board, the
Chairman and Managing Director or any other Executive of the Corporation so
authorized.
(f) “Apprentice/Trainee" means a learner who is paid a stipend during the period of
his apprenticeship/training excluding Apprentices taken under Apprentices Act,
1961.
Note: The terms and conditions of employment and the period of training of all
apprentices/trainees will also be governed by the contract of
apprenticeship/employment and service bond and will be subject to the rules or orders
framed by the management from time to time.
g) "Casual Employee" means an employee whose employment is of

occasional or casual nature.
(h) "Daily Rated Employee" means a casual employee appointed on

daily wage rates.
(i) "Employee" means a person appointed to a post in the Corporation

to do any work.
NB : 1 These rules have come into force from 3.4.1979
(j) "Part- Time Employee" means an employee who is not appointed to

work on full time basis.
Page: 2 of 17
(k) "Probationer" means an employee who is, provisionally employed

with a view to being considered for appointment on the regular
establishment of the Corporation.
(l) "Regular Employee" means an employee who has been engaged in

a vacancy on the regular establishment of the Corporation and
except in the cases of those who are exempted from probation as
laid down hereunder, has been declared in writing to have
satisfactorily completed his probation period in one or the other
post.
(m) "Temporary Employee" means an employee who has been engaged

on a temporary basis or against a temporary post for a specified
period or for work which is of an essentially temporary nature,
likely to be completed within a specific period.
(n) "Employee on Deputation/Foreign Service" means when an

employee of some other organization is deputed for service in the
Corporation at its request or vice-versa he is said to be on
"Deputation/Foreign Service".
(o) "Notice" means any communication in writing given or affixed on

the notice board.
(p) "Notice Board" Means the Notice Board specially maintained in a

conspicuous place at or near the main entrance or entrances of the
establishment for the purpose of displaying notices.
(q) “Executive” means an employee holding a post in the executive

cadre of the Corporation.
(r) “Non-Executive” means an employee who is not an executive.
(s) “Unauthorized Absence” means absence by an employee from his /

her duty or place of work without authority either without sanction
of any leave or after expiry of sanctioned leave, if any.
3.0 Classification
3.1 The employee of the Corporation shall be classified as:
(a) Regular
Page: 3 of 17
(b) Probationer
(c) Temporary
(d) Causal/Daily Rated/Muster Roll
(e) Part-Time
(f) Apprentice/ Trainee
(g) On foreign Service
These employees are further categorized as Executives and Non-Executives.
4.0 Scope and Application:
These rules shall be applicable to all employees of NTPC Ltd. except.
(a) Employees governed by the Standing Orders to be framed under the Industrial
Employment (Standing Order) Act 1946, to the extent of provisions of the said
Standing Orders.
(b) Employees on deputation and/or foreign service from the government, public sector
Undertaking or Semi-government Organisation unless the term of deputation / foreign
service other-wise stipulate.
(c) Casual/Daily Rated/Muster Roll/Part time employees in whose case, rules 6.0, 11.0,
12.0,13.0, 14.0, 20.0, 22.0, 24.0 and 26.0 and other provisions of the other rules
specifically made applicable, wholly or partially, to such employees shall,
however, apply.
(d) Any other employee who may be excluded, at the discretion of the management,
from operation of any or all of the Rules, wholly or partially.
5.0 Exhibition
A copy of these Service Rules (and orders passed by the management in pursuance
thereof) shall be affixed on the Notice Board
6.0 Amendments and Interpretation
6.1 These Service Rules may be amended, modified, altered or rescinded from time to time
by the Board and shall take effect in accordance with the orders issued.
Page: 4 of 17
6.2 All amendments, modification, alterations or additions made to these Service Rules and
any notices, orders or instructions issued there under shall be notified from time to time
and affixed on the Notice Board.
6.3 The Chairman & Managing Director may relax any of these rules to mitigate the hardship
caused to any employee or class/category of employees, at his discretion for reasons to be
recorded by him. He may also make supplementary rules/orders to give effect to the
objective of these rules including any procedural changes.
6.4 If any doubts arise relating to the correct interpretation of these rules, the decision of the
management thereon shall be final and binding.
6.5 These rules shall be subject to the Corporation's Articles of Association.
7.0 Appointments
Subject to the NTPC Recruitment Policy and Procedure, the following conditions shall
apply to all appointments in the Corporation.
7.1 Age
7.1.1 The age of a person at the time of appointment to the service of the Corporation shall not
be less than 18 years and shall not exceed the upper age limit, including any relaxation
thereof as prescribed by the management.
7.1.2 (i) Every employee must declare, on his first appointment, his date of birth according to
the Christian Era, and produce confirmatory evidence like Matriculation or School
Leaving Certificate evidence as may be acceptable to the management.
(ii) An employee is unable to produce, for reasons beyond his control, documentary
evidence of his age, he shall state his age and make a written Affidavit sworn before
a Magistrate/Oath-Commissioner making a declaration (services of an employee
giving a deliberately false affidavit are liable to be terminated) that the age as stated
by him is correct. Where an employee is unable to state his exact date of birth, he
can state approximately the year or year and the month in which case the 1st of July
in the former case and 1st of the month in the latter case will be treated as the date of
birth.
(iii) In all cases referred to in clause (ii) above, the age of an employee as stated in
the affidavit will be accepted and entered in the records of the Corporation
subject to the condition that the said age is certified as correct to the best of his
judgment by the Medical Officer authorised by the Corporation for the purpose.
The opinion of the Authorised Medical Officer, who may subject the employee to
any medical test as he deems fit, shall be binding on the employee in this regard.
Page: 5 of 17
(iv) The date of birth record with the Corporation at the time of his appointment shall not
be altered except in cases of clerical error or on production of conclusive
documentary evidence as stipulated herein along with reasons for non- production of
such evidence earlier.
7.2 Conviction by Court, etc.
The fact about any criminal proceedings pending in any court of law, conviction by a court
of law or any other fact which could debar him from entering into the service of the
Government/Public Undertaking or existence of any subsisting contract of service with
any other employer must be clearly conveyed at the time of making application and
subsequently, if such a thing has happened after submission of the application or
obtaining appointment or joining the service of the Corporation.
7.3 Medical Fitness :
Every candidate (other than a deputationist) appointed to a post in the Corporation shall
be r e q u i r e d to undergo a medical examination by the Corporation's authorised
doctor/medical b o a r d . In case of a deputationist getting absorbed in the services of the
Corporation, he shall be required to undergo medical examination at the time of his
a bsor p ti on . All appointments will be subject to the candidate's medical fitness as per
prescribed standards for the post. The opinion of the Corporation's authorised
doctor/medical board in this regard shall be final. This shall, however, not apply to an internal
candidate of the Corporation who has already been medically examined and declared fit at the
time of his initial appointment. An employee shall be liable to be medically examined any
time during the p e r iod of his employment w i t h t h e C o r p o r a ti o n .
7.4 Verification of Character and Antecedents
Confirmation on initial appointment in the Corporation shall be subject to satisfactory

verification of character and antecedents in the prescribed form by the prescribed
authorities in accordance with the directives issued by the Government from time to time,
except in the case of employees who are selected from Government / Semi-Government /
Public Sector Under takings, provided, however, that in such cases copies of the
verification reports or a certificate to that effect is obtained from his previous employer
before the employee is confirmed in the service of the Corporation.
Such verification, if considered necessary may be obtained subsequently at any time during
the course of employment.
8.0 Liability for Service
8.1 An employee in the service of the Corporation shall be liable to be transferred to any of its
Project, Division, Office or any other place or location or job where he may be posted for any
Page: 6 of 17
of the Corporation's work in any part of the country or abroad as may be required by the
competent authority.
8.2 An employee shall be liable to be transferred on deputation/foreign service to any Department

of the Government or any of the Public Sector Undertaking/Joint Venture anywhere in India
or abroad at the discretion of the management subject to the condition that the terms and
conditions in the totality on such transfer shall not be inferior to those applicable to him
immediately prior to the transfer.
8.3 Liability for Defense Service
All Engineering or Medical Graduates appointed to any post in the Corporation shall, if so
required by the appointing authority, be liable to serve in any of the Defense Services or
in posts connected thereto for a period up to four years including the period spent on
training, if any, provided that unless the Government of India decides otherwise, such
persons shall not:
(a) Be required to serve as aforesaid after the expiry of ten years from the date of
their appointment:
(b) Ordinarily be required to serve as aforesaid after attaining the age of 40 years
in the case of Engineering Graduates and after attaining the age of 45 years in
the case of Medical Graduates.
9.0 Probation and Confirmation
9.1 Unless otherwise provided in the terms of appointment or any other agreement or award,
the following rules shall govern the probation and confirmation of an employee:
9.1.1 All employees on first appointment in the service of the Corporation including employees
appointed to a higher grade on the basis of an open selection shall be placed on
probation for a period of one year during which period their performance will be watched
with a view to determining their suitability for confirmation against the regular post.
9.1.2 The following categories of employees shall be exempted from the requirement of
probation.
9.1.2.1Permanent employees of the Government and Semi-Government organisations and

regular employees of Public Sector Undertakings who join initially on deputation / foreign
service for a period prior to their permanent absorption in the service of the Corporation.
9.1.2.2Permanent employees of the Government and Semi-Government organisations and

regular employees of Public Sector Undertakings who are entitled to retain lien in the
previous posts as per rules of the said organisations provided they surrender their lien on
the service of the previous employer. Provided that where an employee chooses to retain
lien on the service of the previous organisation he may do so subject to the condition
that the Corporation shall bear no liability whatsoever on that account.
Page: 7 of 17
9.1.2.3An employee who is on deputation/foreign service or an employee who retains lien on the
service of the previous employer shall be deemed to be confirmed as a regular employee
with effect from the date he surrenders his lien on the service of the previous employer.
In respect of other employees who are exempted from probation under these rules, they
shall be deemed to be confirmed as regular employees with effect from the date of joining
the service of the Corporation.
9.1.4 The period of probation may be extended at the discretion of the competent authority, but
will not be extended by more than one year save for exceptional reasons to be recorded
in writing.
9.1.5 Unless exempted under these Rules, every employee appointed in the Corporation's
service will be issued a formal order of confirmation on satisfactory completion of
probationary period or the extended period of probation, as may be applicable. The
employee will be deemed to be on probation until so confirmed in writing.
9.1.6 An order relating to confirmation or extension of probation will normally be communicated

within one month from the date of completion of the probationary period or extended
period of probation. Non-compliance of this stipulation will not, however, result in
automatic confirmation of the employee.
9.1.7 If during the probationary period or extended period of probation, the performance,
progress and general conduct of the employee are not found satisfactory or unto the
standard required for the post, his services are liable to be terminated at any time by
giving such notice or payment of salary in lieu thereof without assigning any reason
provided hereinafter.
10.0 Training
10.1 Employees are liable to undergo such training/ induction/refresher courses for such
period and undertake such examinations/tests, as may be prescribed by the
management from time to time.
11.0 Hours of Work
11.1 Every employee shall comply with such instructions as are issued from time to time
relating to attendance arrival and departure, the period and hours of work for different
classes of employees. Every employee shall be at work at the time fixed and notified by
the competent authority from time to time.
11.2. Attendance shall be marked daily according to the method prescribed by the
management from time to time.
11.3. Employees who are required to sign in attendance register will mark the time of reporting
for duty as per instructions issued by the competent authority from time to time.
11.4. Absence from duty including absence due to late coming, shall be reckoned as follows :
Page: 8 of 17
11.4.1 An employee who does not report for duty on time may not be taken on work, and his
absence for the day will be treated, at the discretion of the competent authority, as leave with
or without pay or as absence from duty.
11.4.2 Nothing in this rule shall prejudice the right of the management/Corporation for
deduction of wages for the period of absence and/or for taking disciplinary action
against the delinquent employee as per Conduct, Discipline & Appeal Rules.
12.0 Holidays
12.1 The list of festival/closed holidays shall be notified by the management, in the beginning of
the year or at any time thereafter, if necessary.
12.2 Casual employees will he entitled only to the three National Holidays subject to their being
on duty on the working day preceding and succeeding the holiday.
13.0 Entry and Exit
13.1 Every employee shall enter and leave the Corporation's premises by such gates as may
be prescribed. Employees entering or leaving the premises are liable to be detained and
searched by such staff as may be authorised for this purpose by the management.
14.0 Identity Cards
14.1 Every employee of the Corporation would be provided with an identity card.
14.2 Every employee shall show his identity card if required to do so by the representative(s)
of the Corporation authorised to check the card and regulate entry of persons to the
premises of the Corporation.
14.3 The first issue of the card will be free of charge. Loss of the card shall immediately be
reported by the employee to the management. A new card shall be issued on payment of
rupees four hundred only.
14.4 Every employee leaving the service of the Corporation for any reason whatsoever, shall
surrender his identity card.
15.0 Change of Address
15.1 Every employee must notify to the management his residential address on joining the
Corporation's service and must also notify any changes therein.
16.0 Payment of Wage

Page: 9 of 17
16.1 Wages due to an employee shall be paid before the expiry of the seventh/tenth day after
the last day of the wage period in respect of which the wages are payable in accordance
with premises of the Law.
16.2 Any wages due to an employee but not paid on the prescribed day on account of their
being unclaimed shall be paid on subsequent working days on demand by the employee
during the time fixed by the management.
16.3 All claims for unclaimed wages must be submitted within three years from the date on
which the wages became due to the employees. If no claim is made for the unclaimed
wages within a period of three years, the claim would be treated as time-barred.
16.4 Deduction from Wage Bills:
16.4.1 Deductions from the wages of an employee may be made for the following purposes :
(i) for house accommodation provided by the Corporation;
(ii) for amenities and services supplied by the Corporation;
(iii) for recovery of advances or for adjustment of over-payments;
(iv) income-tax or any other tax levied by the Government;
(v) deduction required to be made by orders of a Court or other authority competent

to make such order;
(vi) for refund of any advance taken from the Employee's Provident Fund;
(vii) deductions made with the written authorization of the employee for;
(1) payment of Life Insurance premium or for the purpose of purchase of

Government securities for investment in Small Savings Securities or the
like as may be decided by the Corporation
2) payment of subscription or other charges due to any of Employee's

Clubs duly recognised by the Corporation.
(3) payment of subscription or contribution to Provident Fund or any other

Fund sponsored or approved by the Corporation or to comply with any
statutory requirement.
(viii) deduction of amounts due to the Corporation from an employee on any account;
(ix) any other deductions made with the written authorisation of the employee
concerned;
Page: 10 of 17
(x) fines;
(xi) for unauthorized absence from duty;
(xii) for damage to or loss of goods e xp r e s s l y entrusted to the employee for

custody or for loss of money for which he is required to account.
17.0 Overtime
17.1 The management reserves the right to require any employee to work overtime including
work on weekly holidays and festival holidays in accordance with the instructions of the
management issued from time to time. He is also liable to be called for duty at any time.
For such overtime work done, compensatory off or overtime allowance payment as
admissible under the rules/law, will be allowed to such categories of employees and at
such rates as may be specified by the management from time to time.
18.0 Pursuing Higher Studies
18.1 Any employee who wishes to acquire higher/additional qualifications by pursing any
course of education/training in any institution either by attending such course(s)
personally or through postal coaching, may do so only after obtaining specific sanction
of the management. Such permission will not be accorded in case it is considered that the
same will interfere with the proper performance of his duties.
19.0 Official Tours
An employee shall be liable to proceed on tour in the course of his official duty to any
place within India or abroad as and when so required by the management for which he
shall be p a i d as per TA Rules of the Corporation.
20. Removal of Books Drawings, and other Papers etc. outside Corporation's
Premises:
20.1 No employee shall carry with him outside the Office/Project premises any papers, books,
drawings, photographs, instruments, apparatus, documents or any other property of the
Corporation except with the approval of the competent authority.
20.2 Any documentation or information received or obtained by an Employee, during the

course of his official duty, from outside sources shall be the property of the Company.
21.0 Inventions
21.1 Within one month of taking up employment with the Corporation, it shall be incumbent on
every employee who has taken out or applied for either individually or jointly with any
other party, patents or is in possession of any inventions/discoveries, to furnish to the
Corporation a list of such patents taken out or applied for and the titles and nature of the
invention/ discoveries in his possession and demonstrate if so required by the
Management.
Page: 11 of 17
21.2 In the course of any investigation undertaken by him in the employment of the
Corporation or within a period of five years after the termination of his employment with
the Corporation, if any employee makes any invention or discovery which can be
reasonably deemed to be in consequence of his employment in the Corporation, he
shall hold them in trust on behalf of the Corporation and shall forthwith disclose to the
Corporation full and complete description and nature of the said invention and the mode
of performing the same. He shall not publicize the results without the approval of the
Corporation. The Corporation shall have the absolute discretion to adopt, use, permit,
assign, change or transfer patents for such inventions/discoveries.
22.0 Safety
Employees shall be bound to observe safety rules as notified from time to time by the
management and to use safety equipment and take other precautions as are
necessary. Breach of safety regulations shall be deemed to be misconduct and the
employee shall be liable to punishment.
23.0 Forwarding of Applications
23.1 For Employment outside NTPC
23.1.1 During probation period, normally no application will be forwarded.
23.1.2 Subject to Rule 23.1.3, after an employee has been promoted, no application will be
forwarded during the first year after promotion. Thereafter one application per year may
be forwarded.
23.1.3 If an employee has completed his probation on his initial appointment and has been
confirmed, no application will be forwarded during the first year from the date he has
been confirmed, thereafter, one application per year may be forwarded.
23.1.4 Regular employees of NTPC who are selected for appointment in other
Government/Public Sector Organization against applications duly forwarded by the
Corporation may, on specific request, be permitted at the discretion of the management
to retain lien in NTPC for a period of one year, subject to the condition that leave salary
contribution and CPF contribution (both the employee's and employer's shares) are
paid to NTPC either by the employee himself or by the new employer.
23.1.5 Applications from persons who have executed service bonds with NTPC will not be
forwarded during the period for which they are liable to serve the Corporation in terms of the
service bond.
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23.1.6 Applications from employees who remain in the same scale of pay for a period of five
years or more, may be forwarded without any restriction on the number of applications.
23.1.7 Issue of No Objection Certificate for Interview :
If an employee is unable to route his application through proper channel because the
advertisement has not mentioned about the same or because of shortage of time, at the
time of interview, he may be issued NOC only if such a request is accompanied by a
photocopy/attested copy of the advertisement and if according to the last date of receipt of
application as mentioned in the advertisement, the employee concerned was eligible for
getting his application forwarded.
23.2 For employment in Corporation's Projects and Corporate Center.
23.2.1 Applications of departmental candidates in response to open advertisement or internal

circulars for appointment to the next higher grade may be considered if the applicants have
served a minimum of two years in their existing scale of pay. If, however, an employee
satisfies the specifications for the post advertised or circulated as the case may be, the
requirement of a minimum service of two years may be relaxed at the discretion of the
management.
23.2.2 In case of such Supervisors in Technical category who qualify in AMIE, a total of Six
application per year can be forwarded for outside job based on their individual requests.
23.2.3 Internal candidates may apply for posts in the next higher grades advertised or notified
openly in the press and/or elsewhere including employment exchange, subject to the
following conditions;
(i) Internal candidate must have served for a minimum 2 years in his existing grade in
NTPC.
(ii) Internal candidates must fully satisfy the job requirements and specifications as advertised
or notified including the minimum period of service in the specified grades.
Reference Clause (i) & (ii) above will be the last date of receipt of applications as stated
in the advertisement or notification. For the purpose of determining length of service in the
specified grade under condition(s) seniority weightage granted at the time of i n i t i a l
appointment will be taken into account2.
24.0 Termination
24,1 Eventualities :
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Subject to the provisions of law for the time being in force, an employee's services may be
terminated in any one of the following ways :
(a) termination in terms of service contract ;
(b) resignation ;
(c) retrenchment ;
(d) retirement ;
(e) medical unfitness ;
(f) death ;
(g) dismissal or removal from service as a result of disciplinary action ;
(h) On unauthorized absence.
24.2 In terms of service contract :
The services of an employee may be terminated by giving such notice or pay in lieu thereof as
may be prescribed in the contract of his service. In the absence of any such specific
provision in the contract of service, the services of the employee may be terminated in the
following manner:
24.2.1 Service of a temporary e m p l o ye e s h a l l s t a n d automatically terminated at the end of

the period as specified in the order of appointment or on completion of work for which he
was engaged, whichever is earlier. The services of such an employee may be terminated
even before expiry of the specified period or before completion of the said work by one
month's notice on either side or payment of salary in lieu thereof. If the unexpired period out
of the specified period is less than one month, the notice period or pay in lieu thereof will
be correspondingly reduced.
24.2.2 The services of a casual employee can be terminated without assigning any reason or
giving any notice.
24.2.3 The services of a fresh recruit on probation can be terminated without assigning any
reason by giving one month's
notice on either side or payment of salary consisting of pay and dearness allowance
in l i e u thereof3.
24.2.4 The services of a regular employee can be terminated by either side by giving three
months' notice if he is an executive or one month's notice if he is a non-executive or
payment of salary consisting of pay and dearness allowance in lieu thereof3.
24.3 Resignation:
Page: 14 of 17
24.3.1 An employee resigning from the services of the Corporation shall be required to give
such notice as is prescribed in his service contract or in the absence thereof as per the
provisions indicated under Rule 24.2 above.
24.3.2 Under no circumstances shall the resignation tendered by an employee whose conduct is
under investigation, be
accepted, without the sanction of the authority competent to dismiss him.
Note Where an employee submits resignation duri ng p endency or where disciplinary

proceedings are contemplated, the resignation may be accepted by the
appointing authority if charges are not in the nature of moral turpitude, criminal
offence, bribery or corruption or where substantial loss to Company is involved or
where the evidence against delinquent employee doesn't warrant or j u s t i f y
a s s u m p t i o n t h a t if the departmental proceedings were continued, the
employee would be removed or dismissed from service. However, in other cases
of lesser nature, in the letter accepting the resignation, it must be indicated that
the enquiry proceedings were pending or contemplated against the employee.
This principle will apply in case of superannuation also.
24.4 Retrenchment:
When it becomes necessary to resort to termination by way of retrenchment, the same

shall be carried o u t in accordance with procedures as prescribed in the relevant
Act/Acts.
24.5 Retirement
The normal age of retirement for the employees of the corporation shall be 60 years i.e.
from the afternoon of the last day of the month in which the employee completes the age
of 60 years.
Note In the event of the date of birth of an employee falling on the first day of a month, the
concerned employee shall retire in the afternoon of the l a s t day of t h e previous
month.
Illustration:
(i) Date of birth of an employee 15.1.1943
Date of Retirement 31.1.2003AN
(ii) Date of Birth 1.4.1943

Page: 15 of 17
Date of Retirement 31.3.2003AN
No employee shall be granted extension in service beyond the age of 60years.
24.6 Medical unfitness :
An employee is liable to be discharged at any time from service on being found medically
unfit to continue in the service of the Corporation.
24.7 Death :
Pay and allowances of an employee may be drawn in his name up to the day of his demise,
the hour at which it took place having no effect on the cl a im of his outstanding dues.
24.8 As a result of disciplinary action :
Employees may be removed or dismissed from the service of the Corporation as a result
of disciplinary action in accordance w i t h the NTPC C o n d u c t , Discipline and Appeal
Rules.
24.9 Termination on account of unauthorised absence :
An employee who remains unauthorisedly absent from duty or place of work either
without sanction of any leave or after expiry of sanctioned leave, if any, and does not
report for duty for any reason whatsoever within 90 consecutive days from the date of
his/her unauthorised absence, shall automatically lose lien on his/her post and he/she
shall be deemed to have voluntarily abandoned and left the service of the corporation
without notice.
Provided, however, if the employee subsequently substantiates and accounts for his/her
unauthorized absence from duty within 90 consecutive days from the date of the
termination order to the entire satisfaction of the management, the management may
regularize his/her period of unauthorized absence on such terms and conditions as it may
deem fit and proper.
24.10 Option to employees for pre-mature retirement :

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Not withstanding anything contained in these rules, an employee who has attained the
age of 58 years and has put in a minimum of 20 years service in NTPC may resign by
giving notice in writing to the appointing authority of not less than three months / one
month as the case may be and on acceptance thereof, retire from service of NTPC. The
employee so released will be entitled to all retirement benefits as in case of normal
superannuation including the post retirement medical facilities admissible to an employee
retiring on attaining the age of superannuation.
25.0 Service Certificate
On receipt of a request, every employee may be furnished with a service certificate at the
time of discharge, dismissal, termination of his service, resignation or retrenchment,
giving duration of his employment in the Corporation, posts held by the employees, pay
scale of the last post held and the pay drawn by the employee at the time of his leaving
the Corporation.
26.0 Return of Corporation’s Property, Equipment, Tools etc
Every employee leaving the service of the Corporation shall, before leaving, return all
property or equipment or tools belonging to the Corporation issued or lent to him in
connection with his employment in the Corporation. The cost of such property, equipment
or tools not so returned shall be deducted from his pay or the amount due to him or
recovered otherwise.
Authority
1. Corporate Personnel Circular No. 27/79, dt. 3.4.1979.

2. Corporate Personnel Circular No. 87/81, dt. 20.11.1981.
3. Corporate Personnel Circular No. 113/83 dt. 7.6.1983.
4. Corporate Personnel Circular No. 01:Pers:7 (11.1) dt. 7.5.1984.
6. Corporate Personnel IOM No. 01: Rev :7 (11.1) dt. 23.8.1989.
7. Corporate Personnel IOM No. 01 : Pers : 7 (11.1) dt. 4.1.1991.
8. Corporate Personnel IOM No. 01 : Pers : 7(11.1)/247 dt. 22.02.1994.
9. Corporate Personnel Circular No. 382/98 dt. 29/5/98.
10. Corporate Personnel Circular No. 412/99 dt. 15/3/99.
11. Corporate Personnel Circular No. 415/99 dt 13/5/99.
12. Corporate HR Circular No. 530/2004 dt. 1/9/2004
Page: 17 of 17
RECORD OF REVISIONS

No. Date
Revisions
Kanhaiya Harleen Sachdeva D S Rao

M(HR) M(HR) AGM(HR)
Conduct, Discipline and Appeal Rules Updated as on: 31.01.2012
Page: 1 of 50
CONDUCT, DISCIPLINE AND APPEAL RULES
Rule 1 Short title and Commencement
(i) These rules may be called Conduct, Discipline and Appeal Rules, 1977.
(ii) They shall come into force on 1St April, 1977.
Rule 2 Application
These rules shall apply to all employees except:
(i) those in casual employment or paid from contingencies;
(ii) those governed by the Standing Orders under the Industrial Employment
(Standing Orders) Act, 1946. (2)
Rule 3 Definitions
In these rules, unless the context otherwise requires :
(a) "Employee" means a person in the employment of the undertaking other than the
casual, work-charged or contingent staff or workmen as defined in the Industrial
Employment (Standing Orders) Act, 1946, but includes a person on deputation to
the Company.(2)
(b) "Workman" means a person as defined in the Industrial Employment (Standing

Orders) Act, 1946, and to whom the provisions of these rules shall not apply.(2)
(c) "Company" means the NTPC Limited.
(d) "Board" means the Board of Directors of the Company and includes, in relation to
the exercise of powers, any committee of the Board/Management or any officer
of the Undertaking to whom the Board delegates any of its powers.
(e) "Chairman/Managing Director" means the Chairman/ Managing Director of the

Company.
(f) "Disciplinary Authority" means the authority specified in the Schedule appended
to these rules and competent to impose any of the penalties specified in Rule 23.
NB : These rules come into effect from 1.4.1977.

Page: 2 of 50
g) "Competent Authority" means the authority empowered by Board of Directors by

any general or special rule or order to discharge the function or use the powers
specified in the rule or order.
(h) "Government" means the Government of India.
(i) "Appellate Authority" means the authority specified in the Schedule appended to
these rules.
(j) "Reviewing Authority” means the authority specified in the Schedule attached to
these rules.
(k) "Family" in relation to an employee includes :
(i) the Wife or husband, as the case may be, of the employee, whether
residing with him or not but does not include a wife or husband, as the
case may be, separated from the employee by a decree or order of a
competent court.
(ii) sons or daughters or step-sons or step-daughters of the employee and

wholly dependent on him, but does not include a child or step-child who
is no longer in any way dependent on the employee or of whose custody
the employee has been deprived by or under any law.
(iii) any other person, related whether by blood or marriage to the employee
or to such employee's wife or husband and wholly dependent on such
employee.
(l) "Public Servant" shall mean and include a person as mentioned in Section 21 of
Indian Penal Code as amended from time to time.
(m) “Designated employee” means(21)

(i) The Chairman & Managing Director, other whole-Time and Part-Time
Directors and Chief Vigilance Officer
(ii) All Executive Directors
(iii) All General Managers
(iv) All Additional General Managers
(v) All Heads of Finance of Projects / Stations / Divisions / Regions and other
offices
(vi) All executives working in Corporate Finance and Accounts Departments
of the Company including in Internal Audit, Taxation, International
Finance, Budget, Bonds / Public Deposit Cell / IPO Cell.
(vii) All executives working in Corporate Monitoring Group, Corporate
Planning, Fuel Management, Commercial, Operation Services and Joint
Venture & Consultancy of Corporate Centre.
(viii) All Heads of Department of Planning & Systems (P&S), Technical
Services, Fuel Management, Operation Services and Commercial
Department at all Projects / Stations / Divisions / Regions and other
Offices.
(ix) All executives working in the Company Secretariat.
Page: 3 of 50
(x) All Special Technical Assistants (STAs) and Secretarial staff at executive
level of Chairman & Managing Director / Functional Directors / Chief
Vigilance Officer
(xi) STA of all Executive Directors at different offices
(xii) The Directors and all employees of the subsidiary companies with
equivalent responsibilities as detailed above.
(xiii) Such other employees of the Company including of subsidiary companies
that may be notified by the Compliance Officer, from time to time, with the
approval of the Reporting Officer
Note1: Depending on the change in the scope of responsibility of an employee,
the Compliance Officer with the approval of Reporting Officer may
exclude any employee from the list of Designated Employees.
Note 2:In case any of the designated employee separates from the services of
the Corporation due to superannuation / resignation / termination etc. he
shall continue to be considered as such for a further period of six months
subsequent to the date of his separation from the Corporation as
envisaged under SEBI (Prohibition of Insider Trading) Regulations, 1992.
Rule 4 General(10)
(1) Every employee of the Company shall at all times :
i) maintain absolute integrity;
ii) maintain devotion to duty; and
iii) do nothing which is unbecoming of a public servant.
(2) Every employee of the Company holding a supervisory post shall take all
possible steps to ensure the integrity and devotion to duty of all employees for
the time-being under his control and authority.
(3) (i) Not withstanding anything contained in these rules, the Competent Authority shall,
if it is of the opinion that it is in the public interest so to do, have the absolute right
to retire prematurely any employee in the executive or supervisory category who
has attained the age of 50 years on the ground of his/her being medically unfit or
inefficient, by giving him notice of 3 months/1 month in writing or 3 months/1
month basic pay and allowances in lieu of such notice as may be applicable to the
employees under the terms and conditions of service. Guidelines and Procedure
for pre mature retirement is placed at Annexure IV(19),(20)
(ii) In addition, an employee who is prematurely retired as above will also be entitled to the
following benefits:-
a) Leave Salary for unavailed Earned leave and Half pay leave subject to
maximum of 300 days & 240 days respectively.
b) Full Provident fund contribution of the employer with accretions thereto the
account of employee, subject to provisions of the provident fund rules
applicable.
Page: 4 of 50
c) Gratuity for each completed year of service or part thereof as admissible under
the Gratuity Rules.
d) Transfer benefits for self and family for proceeding to home-town or the place
where he intends to settle in India as admissible under NTPC Travelling
Allowance (TA) Rules.
Rule 4A Prohibition of sexual harassment of working women (12),(15)
(1) No employee shall indulge in any act of sexual harassment of any woman at her work
place.
(2) Every employee who is in charge of a work place shall take appropriate steps to
prevent sexual harassment to any woman at such work place.
Explanation: For the purpose of this rule, “sexual harassment” includes such unwelcome sexually
determined behavior, whether directly or otherwise, as:
(a) Physical contact and advance;

(b) Demand or request for sexual favours;
(c) Sexually coloured remarks;
(d) Showing any pornography;
(e) Any other unwelcome physical, verbal, or non-verbal conduct of a sexual
nature;
Rule 4B Where there is an act of sexual harassment committed by any employee as defined
in Rule 4A of NTPC CDA Rules, the complaints committee established in the offices /
units of NTPC for inquiring into such complaints, shall be deemed to be the Inquiry
Authority appointed by Disciplinary Authority for the purpose of these rules.
Rule 5 Misconduct
Without prejudice to the generality of the terms "misconduct", the following acts
of omission and commission shall be treated as misconduct:
(1) Theft, fraud or dishonesty in connection with the business or property of the
Company or of property of another person within the premises of the Company.
(2) Taking or giving bribes or any illegal gratification.
(3) Possession of pecuniary resources or property disproportionate to the known

sources of income by the employee or on his behalf by another person, which the
employee cannot satisfactorily account for.
(4) Furnishing false information regarding name, age, father's name, qualifications
ability or previous service or any other matter germane to the employment at the
time of employment or during the course of employment.
(5) Acting in a manner prejudicial to the interests of the Company.

Page: 5 of 50
(6) Willful insubordination or disobedience, whether or not in combination with

others, of any lawful and reasonable order of his superior.
(7) Absence without leave or over-staying the sanctioned leave for more than four
consecutive days without sufficient grounds or proper or satisfactory explanation.
(8) Habitual late or irregular attendance.
(9) Neglect of work or negligence in the performance of duty including malingering or

slowing down of work.
(10) Damage to any property of the Company.
(11) Interference or tampering with any safety devices installed in or about the
premises of the Company.
(12) Drunkenness or riotous or disorderly or indecent behavior in the premises of the

Company or outside such premises where such behavior is related to or
connected with the employment.
(13) Gambling within the premises of the establishment.
(14) Smoking within the premises of the establishment where it is prohibited.
(15) Collection without the permission of the competent authority of any money within
the premises of the Company except as sanctioned by any law of the land for the
time-being in force or rules of the Company.
(16) Sleeping while on duty.
(17) Commission of any act which amounts to a criminal offense involving moral
turpitude.
18) Absence from the employee's appointed place of work without permission or
sufficient cause.
(19) Purchasing properties, machinery, stores, etc. from or selling properties,

machinery, stores, etc., to the Company without express permission in writing
from the competent authority.
(20) Commission of any act subversive of discipline or of good behavior.
(21) Abetment of or attempt at abetment of any act which amounts to misconduct.
(22) Contravention of the “Code of Internal Procedures and Code of corporate

disclosure practices for prevention of Insider Trading” under SEBI (Prohibition of
Insider Trading) Regulations 1992, in dealing with the Securities of NTPC by
designated employees”. (25)
(23) Breach of Code of Conduct for Board Members by Whole time Directors.
Page: 6 of 50
(24) Breach of Code of Conduct for Senior Management Personnel by Senior

Management Personnel.
NOTE: The above instances of misconduct are illustrative in nature, and not
exhaustive.
Rule 6 Employment of near relatives of the employees of the Company in any

company or Firm enjoying patronage of the Company
(1) No employee shall use his position or influence directly or indirectly to secure
employment for any person related, whether by blood or marriage to the
employee or to the employee's wife or husband, whether such a person is
dependent on the employee or not.
(2) No employee shall, except with the previous sanction of the competent authority,
permit his son, daughter or any member of the family to accept employment with
any private firm with which he has official dealings, or with any other firm, having
official dealings with the Company. Provided that where the acceptance of the
employment cannot, await the prior permission of the competent authority, the
employment may be accepted provisionally subject to the permission of the
competent authority to whom the matter shall be reported forthwith.
(3) No employee shall in the discharge of his official duties deal with any matter, or
give or sanction any contract to any company or any other person if any of his
relatives, as defined under Indian Companies Act, 1956 is employed in that
company or under that person or if he or any of his relatives is interested in such
matter or contract in any other matter and the employee shall refer every such
matter or contract to his official superior and the matter or the contract shall
thereafter be disposed off according to the instructions of the Authority to whom
the reference is made. (The extract of section 6 of the Indian Companies Act
1956, defining Relative is at Annexure-III).(5)
Rule 7 Taking part in Demonstrations
No employee of the company shall engage himself or participate in any

demonstration which involves incitement to an offense.
Rule 7.1 Taking part in political activities (7)
An employee is prohibited to take part in political activities as detailed hereunder:
i) to be an office bearer of a political party or an organisation which takes

part in politics;
ii) to take part in or assist in any manner in any movement/agitation or

demonstration of political nature;
iii) to take part in an election of any legislature or local authority; and

Page: 7 of 50
iv) to canvas in any election to any legislature or local authority.
Rule 7.2 Promotion under Suspension or Pending Disciplinary Proceedings (6)
No employee under suspension or against whom decision has been taken to

charge sheet, or where the charge sheet has been issued or where a criminal
case is pending against him shall be promoted until he is unconditionally
reinstated or exonerated, he will be allowed promotion with retrospective effect,
but the financial benefit accruing due to promotion will be allowed with effect from
the date his promotion order is issued and no arrears will be payable on this
account unless specifically mentioned otherwise in the promotion order.
However, in respect of those employees who have been recommended for
promotion by Corporate Promotion Committee (CPC) and in whose case
decision to issue charge sheet has not been taken by the Competent Authority,
order of promotion be issued in normal course. This has been already circulated
vide IOM No. 01 : Pers : 7 (13.1) dated 17/11/1988.
7.2.1 The cases of employees against whom disciplinary proceedings are pending or
contemplated but are otherwise eligible for consideration for promotion shall also
be considered by the CPC along with all other cases. The recommendations of
the CPC, including 'unfit for Promotion" will be kept in a sealed cover. The cover
will be so super scribed 'Findings regarding suitability for promotion to the
grade/post of ........in respect of Shri..........................; not to be opened till the
conclusion of the disciplinary case/criminal prosecution against
Shri............................ The proceedings of the CPC need only contain the note
The findings are contained in the attached sealed cover'. The same procedure
will be followed by the subsequent CPCs convened till the disciplinary
case/criminal prosecution pending against the employee concerned is finally
concluded.
7.2.2 In the event of delay in the conclusion of the disciplinary proceedings/criminal

prosecution, the delay not being attributable to the charged employee, and the
disciplinary proceedings/criminal prosecution against the employee concerned are
not concluded even, after the expiry of two annual CPCs from the date of the
meeting of the first CPC which kept its findings in respect of the employee in the
sealed cover, the Appointing Authority may review the case of the employee,
provided he is not under suspension, and consider and order promotion of
employee on adhoc basis, provided his case was recommended by CPC keeping
in view the totality of the case, the availability of vacancy etc. The order of
promotion should make it clear that the promotion is purely on adhoc basis, till
further orders, and it confers no right on the employee for regular promotion and
that the Competent Authority reserves the right to cancel/revoke the adhoc promotion
or to revert, at any time the employee to the post from which he was promoted on
adhoc basis, without any formal proceedings.
7.2.3 On conclusion of disciplinary cases/criminal prosecution etc. the promotion of the

employee will be regulated as under:
(i) If the employee concerned is finally acquitted and is fully exonerated, the
sealed cover recommendation shall be opened and in the event the
Page: 8 of 50
employee was recommended for promotion by the Committee, the

promotion shall be made effective from the date as would otherwise have
been announced as if there were no proceedings against him. The
financial benefits accruing due to promotion will be allowed with effect
from the date of promotion order and no arrear will be payable on this
account, unless specifically mentioned otherwise in the promotion order.
(ii) If any penalty is imposed as a result of the disciplinary proceedings or if

he is found guilty in the criminal prosecution against him, the findings of
the sealed cover shall not be considered. His case for promotion may be
considered by the next CPC in the normal course and having regard to
the penalty imposed on him. Such employee shall, however, not receive
promotion during currency of the punishment. Where adhoc promotion
has been given as at 7.2.2 above it will be cancelled/revoked.
Rule 8 Connection with Press or Radio
(1) No employee of the Company shall, except with the previous sanction of
the competent authority, own wholly or in part, or conduct or participate in
the editing or management of, any newspaper or other periodical
publication.
the competent authority or the prescribed authority, or in the bonafide
discharge of his duties, participate in a radio broadcast or contribute any
article or write any letter either in his own name or anonymously,
pseudonymous or in the name of any other person to any newspaper or
periodical
Provided that no such sanction shall be required if such broadcast or

such contribution is of a purely literary, artistic or scientific character.
Rule 9 Criticism of Government and the Company
No employee shall, in any radio broadcast or in document published under his

name or in the name of any other person or in any communication to the press,
or in any public utterances, make any statement:
(a) Which has the effect of adverse criticism of any policy or action of the
Central or State Governments, or of the Company; or
(b) Which is capable of embarrassing the relations between the Company

and the public.
Provided that nothing in these rules shall apply to any statement made or views
expressed by an employee, of a purely factual nature which are not considered to
be of a confidential nature, in his official capacity or in due performance of the
duties assigned to him:
Page: 9 of 50
Provided further that nothing contained in this clause shall apply to bonafide
expression of views by him as an office-bearer of a recognised trade union for the
purpose of safeguarding the condition of service of such employees or for
securing an improvement thereof.
Rule 10 Evidence before Committee or any other Authority
(1) Save as provided in sub-rule (3), no employee of the Company shall,

except with the previous sanction of the competent authority, give
evidence 'in connection with any enquiry conducted by any person,
committee or authority.
(2) Where any sanction has been accorded under sub-rule (1), no employee
giving such evidence shall criticise the policy or any action of the Central
Government or of a State Government or of the Company.
(3) Nothing in this rule shall apply to :

(a) Evidence given at any enquiry before an authority appointed by
the Government, Parliament or a State Legislature or any
Company.
(b) Evidence given in any judicial enquiry; or
(c) Evidence given at any departmental enquiry ordered by author-

ities subordinate to the Government.
Rule 11 Unauthorized Communication of Information
No employee shall, except in accordance with any general or special order of the
Company or in the performance in good faith of the duties assigned to him, com-
municate, directly or indirectly, any official document or any part thereof or
information to any officer or other employee, or any other person to whom he is
not authorized to communicate such document or information.
Rule 12 Gifts
(1) Save as otherwise provided in these rules, no employee of the Company

shall accept or permit any member of his family or any other person
acting on his behalf, to accept any gift.
Explanation: The explanation "gift" shall include free-transport, board,

lodging or other service or any other pecuniary advantage when provided
by any person other than a near relative or a personal friend having no
official dealings with the employee.
Note : An employee of the Company shall avoid acceptance of lavish or

frequent hospitality from any individual or firm having official dealings with
him.
(2) On occasions such as weddings, anniversaries, funerals or religious

Page: 10 of 50
functions, when the making of gifts is in conformity with the prevailing

religious or social practices, an employee of the Company may accept
gifts from his near relatives but he shall make a report to the competent
authority if the value of the gift exceeds Rs.7000/-.
(3) On such occasions as are specified in sub-rule (2) an employee of the

Company may accept gifts from his personal friends having no official
dealings with him, but he shall make a report to the competent authority if
the value of any such gift exceeds Rs.7000/-.
(4) In any other case, an employee of the Company shall not accept or per-
mit any member of his family or any other person acting on his behalf to
accept any gifts without the sanction of the competent authority if the
value thereof exceeds Rs.1500/-. Provided that when more than one gift
has been received from the same person/firm within a period of 12 months,
the matter shall be reported to the competent authority if the aggregate
value of the gifts exceeds Rs.1500/-
Rule 12A Dowry

"No employee of the Company shall
(i) give or take or abet the giving or taking of dowry; or
(ii) demand, directly or indirectly, from the parent or guardian of a bride or

bridegroom, as the case may be, any dowry".
Note : For the purposes of this rule, 'dowry' has the same meaning as defined in
the Dowry Prohibition Act, 1961 (No.28 of 1961), which reads as follows :
"Definition of Dowry"
In this Act, 'dowry' means any property or valuable security given or agreed to be
given either directly or indirectly
(a) by one party to a marriage to the other party to the marriage; or
(b) by the parents of either party to a marriage or by any other person, to

either party to the marriage or to any other person, at or before or after
the marriage as consideration for the marriage of the said parties, but
does not include dower or mahr in the case of persons to whom the
Muslim Personal Law (Shariat) applies.
Explanation I - For the removal of doubts, it is hereby declared that any

presents made at the time of a marriage to either party to the marriage in
the form of cash, ornaments, clothes or other articles, shall not be
deemed to be dowry within the meaning of this section, unless they are
made as consideration for the marriage of the said parties.
Explanation II - The expression "valuable security" has the same

meaning as in Section 30 of the Indian Penal Code.
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Rule 13 Private Trade or Employment
the competent authority engage directly or indirectly in any trade or
business or undertake any other employment:
Provided that an employee may, without such sanction undertake hon-

orary work of a social or charitable nature of occasional work or a literary,
artistic or scientific character, subject to the condition that his official duties
do not thereby suffer.
(2) Every employee of the Company shall report to the competent authority if
any member of his family is engaged in a trade or business or owns or
manages an insurance agency or commission agency.
(3) No employee of the company shall, without the previous sanction of the
competent authority, except in the discharge of his official duties, take part
in the registration, promotion or management of any bank or other
company which is required to be registered under the Companies Act,
1956 (1 of 1956) or other law for the time being in force or any co-operative
society for commercial purposes.
Provided that an employee of the company may take part in the

registration, promotion or management of a Consumer/House Building Co-
operative Society substantially for any benefit of employees of the company
registered under the Co-operative Societies Act, 1912 (2 of 1912) or any
other law for the time- being in force, or of a literary, scientific or charitable
society registered under the Societies Registration Act 1860 (21 of 1860) or
any corresponding law in force.
(4) No employee of the Company may accept any fee or any pecuniary
advantage for any work done by him for any public body or any private
person without the sanction of the competent authority.
Note : Amount of fee an employee may accept for any work done by him with
prior permission of the Competent Authority.
(i) For one time assignment performed with the prior approval of the
competent authority, honorarium fees etc. received by the employees
concerned may be retained by them in full; and
(ii) For recurring and continuous assignments such as lectures for
evening classes, part time or other courses, honorarium fees etc.
upto an amount of Rs.1500/- per annum may be retained by the
employees concerned. However, if the amount received is beyond
Rs.1500/- per annum then the employees concerned shall be
required to deposit 1/3rd of the amount, in excess of Rs. 1500/-with
the Company.
Page: 12 of 50
Rule 14 Investment, Lending and Borrowing
No employee shall, save in the ordinary course of business with a bank, the Life
Insurance Corporation or a firm of standing, borrow money from or lend money to
or otherwise place himself under pecuniary obligation to any person with whom
he has or is likely to have official dealings or permit any such borrowing, lending or
pecuniary obligation in his name or for his benefit or for the benefit of any member
of his family.
Rule 15 Insolvency and Habitual Indebtedness
(1) An employee of the Company shall avoid habitual indebtedness unless he

proves that such indebtedness or insolvency is the result of circumstances
beyond his control and does not proceed from extravagance or dissipation.
(2) An employee of the company who applies to be, or is adjudged or declared

insolvent shall forthwith report the fact to his competent authority.
Rule 16 Movable, Immovable and valuable property
(1) No employee of the Company shall, except with the previous knowledge of the
competent authority, acquire or dispose of any immovable property by lease,
mortgage, purchase, sale, gift or otherwise, either in his own name or in the name of
any member of his family.
(2) No employee of the Company shall except with the previous sanction of the
competent authority, enter into any transaction concerning any immovable or
movable property with a person or a firm having official dealings with the employee
or his subordinate.
(3) Every employee of the company shall report to the competent authority every
transaction in movable property either in his name or in the name of any member of
his/her family within one month of such transaction, if the value of such property
exceeds Rs. 20,000/- in case of all executives, employees in the grades of W9-W11
and S2-S4. In respect of other employees the transactions to be reported are those
which exceed Rs. 15,000/- in value. The transactions to be reported under this are :
(7), (27)
(i) Deposits in a Bank or deposits in a Savings Bank Account made by a public

servant from out of his salary or accumulated savings do not come within the
scope of Rule 16(3).
(ii) Any payment received from the previous employers towards gratuity, LTC,
leave encashment etc if it exceeds the prescribed monetary limit in value.
(iii) Employee need not report to the prescribed authority the fact of his having
taken an insurance policy or National Saving Certificate, if the annual
premium thereon or amount thereof is less than the monetary limit
prescribed in Rule 16(3) of the NTPC CDA Rules 1977. He should,
however, submit a report to the prescribed authority at the time of receiving
Page: 13 of 50
the sum assured as survival benefit/ on maturity of the policy. On maturity of

NSCs etc, the same should be reported to the prescribed authority if the
maturity value exceeds the monetary ceiling.
(iv) It would be necessary for the public servant to report to the prescribed
authority the purchase of Postal or National Savings Certificates, deposits in
Public Provident Fund (PPF) account etc. exceeding the prescribed
monetary limit in value, from out of his salary or accumulated savings or
deposits in Bank or Post Offices, as these come in the scope of Rule 16(3).
Purchases of Postal or National Savings Certificates, deposits in PPF
account etc. should therefore be reported provided it exceeds the prescribed
monetary limit.
(v) Credit Card payments exceeding the monetary ceiling for each single
transaction is to be intimated if it leads to the acquisition of movable
property.
(vi) Tax refunds received from Income Tax Department exceeding the
prescribed limit due to him while filling the IT return, has to be reported as a
transaction in movable property as and when the refund is received by him.
(vii) Shares are movable property for the purpose of Rule 16(3) of the NTPC
CDA rules, 1977, if an individual transaction exceeds the amount prescribed
in Rule 16(3), the intimation to the prescribed authority would be necessary.
In case of futures / options report to the prescribed authority will be
necessary where the margin money exceeds the stipulated monetary limits.
(4) Every employee shall, on first appointment in the Company, submit a return of
assets and liabilities in the prescribed form giving the particulars regarding : (23)
(a) the immovable property inherited by him, or owned or acquired by him or

held by him on lease or mortgage, either in his own name or in the name of
any member of his family or in the name of any other person;
b) shares, debentures, and cash including bank deposits inherited by him or

similarly owned, acquired, or held by him;
(c) Every employee shall, on first appointment in the company, submit a

return of assets and liabilities in the prescribed form giving the particulars
regarding other movable property inherited by him or similarly owned,
acquired, or held by him if the value of such property exceeds
Rs.15,000/-. (7)
(d) debits and other liabilities incurred by him directly or indirectly;
(e) every employee shall beginning 1st January submit a return of immovable
property / movable property and assets / liability as per prescribed
formats each calendar year.
Page: 14 of 50
* The statement of property returns should be submitted in forms as

placed in Annexure V, VI
(f) every employee shall beginning 1st January furnish information in form 3
placed at Annexure VI regarding total transactions in shares, securities,
debentures & investments in mutual funds etc. exceeding Rs. 25,000
during a calendar year.
(5) The competent authority may at any time, by general or special, order ask an
employee to submit, within a period specified in the order, a full and
complete statement of such movable or immovable property held or acquired
by him or on his behalf or by any member of his family as may be specified in
the order. Such statement shall, if so required by the competent authority,
include details of the means by which, or the source from which such
property was acquired.
(6) (i) A full time Director or any executive/employee involved in the

decision making process of fixation of price of an IPO / FPO of shares of
NTPC shall not apply either himself/herself or through any member of
his/her family or through any other person acting on his / her behalf for
allotment of shares (which includes all types of equity related
instruments) in an IPO / FPO of NTPC, even out of the category of
preferential quota reserved for employees / directors of NTPC.
(ii) All executives / employees including full time Directors of NTPC

who are in possession of unpublished price sensitive information would
be prohibited from dealing / transacting either in their own name or
through any member of their family in the shares of their own company.
(iii) Full time Director or executives / employee of NTPC or any

member of his / her family or any person acting on his / her behalf shall
not apply for shares out of any preferential quota reserved for employees
/ Directors of other companies.
(iv) All employees of NTPC would be required to disclose to the

company all transactions of purchase / sale in shares worth Rs. 20,000/-
or more in value or existing holding / interest in the shares worth Rs.
20,000/- or more in his / her own company either in his / her own name
or in the name of any family member to report to the company indicating
quantity, price, date of transaction and nature of interest within 4 working
days.
Rule 17 Canvassing of Non – official or other influence
No employee shall bring or attempt to bring any outside influence to bear upon any
superior authority to further his interests in respect of matters pertaining to his service
in the company.
Rule 18 Marriages(4)
Page: 15 of 50
(1) No employee shall enter into or contract, a marriage with a person having
a spouse living; and
(2) No employee, having a spouse living, shall enter into or contract, a

marriage with any person :
Provided that the Chairman & Managing Director may permit an

employee to enter into or contract, any such marriage as is referred to in
clause (1) or clause (2) if he is satisfied that
(a) such marriage is permissible under the personal law applicable to

such employee and the other party to the marriage; or
(b) in the opinion of the CMD good and sufficient reasons exist for
doing so.
(3) An employee who has married or marries a person other than that of Indian
nationality, shall forthwith intimate the fact to his appointing authority.
Rule 19 Consumption of Intoxicating Drinks and Drugs(4)
An employee of the Company shall:
(a) strictly abide by any law relating to intoxicating drinks or drugs in force in
any area in which he may happen to be for the time being;
(b) not be under the influence of any intoxicating drink or drug during the
course of his duty and shall also take due care that the performance of
his duties at any time is not affected in any way by the influence of such
drink or drug;
(c) refrain from consuming any intoxicating drink or drug in a public place;
(d) not appear in a public place in a state of intoxication;
(e) not use any intoxicating drink or drug to excess.
Explanation I
For the purpose of this rule 'public place' means any place or premises (including clubs,
even exclusively meant for members where it is permissible for the members to invite
non-members as guests, bars and restaurants, conveyance) to which the public have or
are permitted to have access, whether on payment or otherwise.
Explanation II
An employee of the Company should refrain from consuming intoxicating drinks even at
official parties arranged by Foreign Missions whether within the Mission premises or in
halls/lounges exclusively reserved or at parties arranged by Government, public
undertakings or semi-Government Organizations where foreigners are entertained or at
similar parties hosted by others.
Page: 16 of 50
Rule 19A Observance of small family norms as per National Population Policy
Every employee should ensure that:
(i) He does not have more than three children after 30.9.77; and
(ii) Where he has more than three children on 30.9.77, the number is not exceeded,
after that date.
Rule 20 Suspension
(1) The appointing authority or any authority to which it is subordinate or the

disciplinary authority or any other authority empowered in that behalf by
the management by general or special order may place an employee
under suspension :
(a) Where a disciplinary proceeding against him is contemplated or is

pending; or
(b) Where a case against him in respect of any criminal offence is

under investigation or trial.
(2) An employee who is detained in custody, whether on criminal charge or

otherwise, for a period exceeding 48 hours shall be deemed to have
been suspended with effect from the date of detention by an order of the
appointing authority and shall remain under suspension until further
orders.
(3) Where a penalty of dismissal or removal from service imposed upon an

employee under suspension is set aside on appeal or on review under
these rules and the case is remitted for further enquiry or action or with
any other directions, the order of his suspension shall be deemed to
have continued in force on and from the date of the original order of
dismissal or removal and shall remain in force until further orders.
(4) Where a penalty of dismissal or removal from service imposed upon an

employee is set aside or declared or rendered void in consequence of or
by a decision of a court of law and the disciplinary authority, on
consideration of the circumstances of the case, decides to hold a further
inquiry against him on the allegations on which the penalty of dismissal
or removal was originally imposed, the employee shall be deemed to have
been placed under suspension by the appointing authority from the date
of the original order of dismissal or removal and shall continue to remain
under suspension until further orders.
(5) An order of suspension made or deemed to have been made under this
Rule may at any time be revoked by the authority which made or is
deemed to have made the order or by any authority to which that
authority is subordinate.
Rule 21 Subsistence Allowance

Page: 17 of 50
(1) An employee under suspension shall be entitled to draw subsistence

allowance equal to 50 percent of his basic pay provided the disciplinary
authority is satisfied that the employee is not engaged in any other
employment or business or profession or vocation. In addition he shall be
entitled to Dearness Allowance admissible on such subsistence
allowance and any other compensatory allowance of which he was in
receipt on the date of suspension provided the suspending authority is
satisfied that the employee continues to meet the expenditure for which
the allowance was granted.
(2) Where the period of suspension exceeds six months, the authority which
made or is deemed to have made the order of suspension shall be
competent to vary the amount of subsistence allowance for any period
subsequent to the period of the first six months as follows :
(i) The amount of subsistence allowance may be increased to 75

percent of basic pay and allowance thereon if, in the opinion of
the said authority, the period of suspension has been prolonged
for reasons to be recorded in writing not directly attributable to
the employee under suspension.
(ii) the amount of subsistence allowance may be reduced to 25

percent of basic pay and allowances thereon if in the opinion of
the said authority, the period of suspension has been prolonged
due to the reasons to be recorded in writing, directly attributable
to the employee under suspension.
(3) If an employee is arrested by the Police on a criminal charge and bail is

not granted, no subsistence allowance is payable. On grant of bail, if the
competent authority decides to continue the suspension, the employee
shall be entitled to subsistence allowance from the date he is granted
bail.
Rule 22 Treatment of the Period of Suspension
(1) When the employee under suspension is re-instated, the competent

authority may grant to him the following pay and allowances for the period
of suspension :
(a) if the employee is exonerated and not awarded any of the

penalties mentioned in Rule 23, the full pay and allowances
which he would have been entitled to, if he had not been
suspended, less the subsistence allowance already paid to him;
and
(b) if otherwise, such proportion of pay and allowances as the

competent authority may prescribe.
(2) In a case falling under sub-clause (a), the period of absence from duty
will be treated as a period spent on duty. In case falling under sub-clause
Page: 18 of 50
(b), it will not be treated as a period spent on duty unless the competent
authority so directs.
Rule 23 Penalties (22)
The following penalties may be imposed on an employee, as hereinafter

provided, for misconduct committed by him or for any other good and sufficient
reasons.
Minor Penalties
(a) Censure;
(b) Withholding of increments of pay with or without cumulative effects;
(c) Withholding of promotion;
(d) Recovery from pay or such other amount as may be due to him, of the
whole or part of any pecuniary loss, caused to the Company by
negligence or breach of orders.
(e) Reduction to a lower stage in the time scale of pay for a period not
exceeding 3 years, without cumulative effect and not adversely affecting
his terminal benefits.
Major Penalties
(f) Save as provided in clause (e), reduction to a lower stage in the time
scale of pay for a specified period, with further directions as to whether
or not the employee will earn increments of pay during the period of such
reduction and whether on expiry of such period, the reduction will or will
not have the effect of postponing the future increment of pay.
(g) Reduction to a lower time scale of pay, grade, post or service which shall
ordinarily be a bar to the promotion of the employee to the time scale of
pay, grade, post from which he was reduced, with or without further
directions regarding conditions of restoration to the grade or post from
which the employee was reduced and his seniority and pay on such
restoration to that grade or post.
(h) Compulsory retirement (other than by way of premature retirement under

the NTPC CDA Rules).
(i) Removal from service which shall not be a disqualification for future
employment under the Govt. or the Corporation / Company owned or
controlled by the Govt.
(j) Dismissal from service which shall ordinarily be a disqualification for

future employment under the Govt. or the Corporation / Company owned
or controlled by the Govt.
Provided that, in every case in which the charge of possession of assets

disproportionate to known sources of income or the charge of
Page: 19 of 50
acceptance from any person of any gratification, other than legal

remuneration, as a motive or reward for doing or forbearing to do any
official act is established, the penalty mentioned in clause (i) or (j) shall
be imposed.
Provided further that in any exceptional case and for special reasons
recorded in writing, any other penalty may be imposed.
(k) Wage freeze (i.e. no increase in the Basic pay, DA and other
allowances).
(l) Ineligible for future participation in employee stock option plans.
The penalties at (k) and (l) are to be awarded in case of misconduct for indulging
in Insider trading while dealing with the securities of NTPC by designated
employees.
Explanation: The following shall not amount to a penalty within the meaning of this rule:
i) withholding of increment of an employee on account of his work being

found unsatisfactory or not being of the required standard, or for failure
to pass a prescribed test or examination :
ii) stoppage of an employee at the efficiency bar in a time scale, on the

ground of his unfitness to cross the bar;
iii) non - promotion, whether in an officiating capacity or otherwise, of an

employee, to a higher post for which he may be eligible for consideration
but for which he is found unsuitable after consideration of his case;
iv) reversion to a lower grade or post, of an employee officiating in a higher

grade or post, on the ground that he is considered, after, trial, to be
unsuitable for such higher grade or post, or on administrative grounds
unconnected with is conduct;
v) reversion to his previous grade or post, of an employee appointed on

probation to another grade or post, during or at the end of the period of
probation, in accordance with the terms of his appointment;
vi) termination of service :
(a) of an employee appointed on probation during or at the end of the

period of probation, in accordance with the terms of his
appointment;
(b) of an employee appointed in a temporary capacity otherwise than

under a contract or agreement, on the expiry of the period for
which he was appointed, or earlier in accordance with the terms
of his appointment;
(c) of an employee appointed under a contract or agreement in

Page: 20 of 50
accordance with the terms of such contract or agreement; and
(d) of any employee on reduction of establishment.
(e) of an employee consequent upon abandonment of employment

due to overstaying his sanctioned leave beyond the period
originally granted/subsequently extended or absenting
unauthorisedly ab initio, for a period of more than 90 consecutive
days. (17),18)
Rule 24 Disciplinary Authority
The Disciplinary Authority, as specified in the Schedule, or any authority higher than it,
may impose any of the penalties specified in Rule 23 on any employee.
Rule 25 Procedure for Imposing Major Penalties (26)
(1) No order imposing any of the major penalties specified in Clauses (f),
(g), (h), (i), (j) (j), (k) and (l) of Rule 23 shall be made except after an
inquiry is held in accordance with this rule.
(2) Whenever the disciplinary authority is of the opinion that there are
grounds for inquiring into the truth of any imputation of misconduct or
misbehavior against an employee, it may itself enquire into, or appoint
any public servant or retired public servant and/or retired NTPC/PSU
employee (hereinafter called the inquiring Authority) to enquire into the
truth thereof. (13),(14),(16)
(3) Where it is proposed to hold an inquiry, the disciplinary authority shall

frame definite charges on the basis of the allegations against the
employee. The charges, together with a statement of the allegations, on
which they are based, a list of documents by which and a list of
witnesses by whom, the article of charge are proposed to be sustained,
shall be communicated in writing to the employee, who shall be required
to submit within such time as may be specified by the Disciplinary
Authority (not exceeding 15 days), a written statement whether he admits
or denies any of or all the articles of charge.
Explanation : It will not be necessary to show the documents listed with

the charge-sheet or any other document to the employee at this stage.
(4) On receipt of the written statement of the employee, or if no such

statement is received within the time specified, an enquiry may be held
by the Disciplinary Authority or by Inquiring Authority appointed under
sub-clause (2) : (12)
Provided that it may not be necessary to hold an inquiry in respect of the

charges admitted by the employee in his written statement. The
disciplinary authority shall, however, record its findings on each such
charge.
Page: 21 of 50
(5) Where the disciplinary authority itself inquires or appoints an inquiring

authority for holding an inquiry, it may, by an order appoint a public
servant to be known as the "Presenting Officer" to present on its behalf
the case in support of the articles of charge.
(6) The employee may take the assistance of any other public servant but
may not engage a legal practitioner for the purpose.(3)
Provided that the employee shall not take assistance of a public servant
who has two pending disciplinary cases on hand in which he has to
function as Defence assistant.
7) On the date fixed by the inquiry authority, the employee shall appear
before the inquiring Authority at the time, place and date specified in the
notice. The inquiring authority shall ask the employee whether he pleads guilty
or has any defence to make and if he pleads guilty to any of the articles of
charge, the inquiring authority shall record the plea, sign the record and
obtain the signature of the employee concerned thereon. The inquiring
authority shall return a finding of guilt in respect of those articles of
charge to which the employee concerned pleads guilty.
(8) If the employee does not plead guilty, the inquiring authority shall
adjourn the case to a later date not exceeding thirty days, after recording an
order that the employee may, for the purpose of preparing his defence:
i) inspect the documents listed with the charge- sheet;
ii) submit a list of additional documents and witnesses that he

wants to examine; and
iii) be supplied with the copies of the statement of witnesses, if any, listed
in the charge-sheet.
Note : Relevancy of the additional documents and the witness referred to in sub-
clause 8 (ii) above will have to be given by the employee concerned and
the documents and the witnesses shall be summoned if the inquiring
authority is satisfied about their relevance to the charges under inquiry.
(9) The inquiring authority shall ask the authority in whose custody or
possession the documents are kept, for the production of the documents
on such date as may be specified.
(10) The authority in whose custody or possession the requisitioned documents

are, shall arrange to produce the same before the inquiring authority on
the date, place and time specified in the requisition notice:
Provided that the authority having the custody or possession of the

requisitioned documents may claim privilege if the production of such
documents will be against the public interest or the interest of the
Company. In that event, it shall inform the inquiring authority accordingly.
Page: 22 of 50
(11) On the date fixed for the inquiry, the oral and documentary evidence by
which the articles of charge are proposed to be proved shall be produced
by or on behalf of the disciplinary authority. The witnesses shall be
examined by or on behalf of the Presenting Officer and may be cross-
examined by or on behalf of the employee. The Presenting Officer shall
be entitled to re-examine the witnesses on any points on which they
have been cross-examined, but not on a new matter, without the leave of
the inquiring authority. The inquiring authority may also put such questions to
the witnesses as it thinks fit.
(12) Before the close of the prosecution case, the inquiring authority may, in its
discretion, allow the Presenting Officer to produce evidence not included
in the charge- sheet or may itself call for new evidence or, recall or re-examine,
any witnesses. In such case the employee shall be given opportunity to
inspect the documentary evidence before it is taken on record, or to cross-
examine a witness, who has been so summoned.
(13) When the case for the disciplinary authority is closed, the employee may
be required to state his defence, orally or in writing, as he may prefer. If the
defence is made orally, it shall be recorded and the employee shall be
required to sign the record. In either case a copy of the statement of
defence shall be given to the Presenting Officer, if any, appointed.
(14) The evidence on behalf of the employee shall then be produced. The
employee may examine himself in his own behalf if he so prefers. The
witnesses produced by the employee shall then be examined and shall
be liable to cross-examination, re-examination and examination by the
inquiring authority according to the provision applicable to the witnesses for the
disciplinary authority.
(15) The inquiring authority may, after the employee closes his case and shall
if the employee has not examined himself, generally question him on the
circumstances appearing against him in the evidence for the purpose of
enabling the employee to explain any circumstances appearing in the
evidence against him.
(16) After the completion of the production of the evidence, the employee and
the Presenting Officer may file written briefs of their respective cases within
15 days of the date of completion of the production of evidence.
(17) If the employee does not submit the written statement of defence referred
to in sub-rule (3) on or before the date specified for the purpose or does
not appear in person, or through the assisting officer or otherwise fails or
refuses to comply with any of the provisions of these rules, the inquiring
authority may hold the enquiry ex-parte.
(18) Whenever any inquiring authority, after having heard, recorded the whole
or any part of the evidence in an inquiry ceases to exercise jurisdiction
therein, and is succeeded by another inquiring authority which has, and
which exercises, such jurisdiction, the inquiring authority so succeeding may
Page: 23 of 50
act on the evidence so recorded by its predecessor, or partly recorded by its

predecessor and partly recorded by itself:
Provided that if the succeeding inquiring authority is of the opinion that

further examination of any of the witnesses whose evidence has already
been recorded is necessary in the interest of justice, it may recall,
examine, cross examine, and r e - e xa m i n e any such witnesses as
hereinbefore provided.
(19) (i) After the conclusion of the inquiry, report shall be prepared and it
shall contain :
(a) a gist of the articles of charge and the statement of the

imputations of misconduct or misbehavior;
(b) a gist of the defence of the employee in respect of each article of

charge;
(c) an assessment of the evidence in respect of each article of

charge;
(d) the findings of each article of charge and the reasons therefore.
Explanation If in the opinion of the inquiring authority the proceedings of the

inquiry establish any article of charge different from the original
articles of the charge, it may record its findings on such article of
charge:
Provided that the findings on such articles of charge shall not be

recorded unless the employee has either admitted the facts on
which such article of charge is based or has had a reasonable
opportunity of defending himself against such article of charge.
(ii) The inquiring authority, where it is not itself the disciplinary authority
shall forward to the disciplinary authority the records of inquiry
which shall include :
(a) the report of the inquiry prepared by it under sub-clause

(i) above.
(b) the written statement of defence, if any, submitted by the

employee referred to in sub-rule (13);
(c) the oral and documentary evidence produced in the

course of the enquiry;
(d) written briefs referred to in sub-rule (16) if any; and the

orders, if any, made by the disciplinary authority and the
inquiring authority in regard to the inquiry.
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Rule 26 Action on the Inquiry Report
(1) The disciplinary authority, if it is not itself the inquiring authority, may for
reasons to be recorded by it in writing remit the case to the inquiring
authority for fresh or further inquiry and the inquiring authority shall
thereupon proceed to hold the further inquiry according to the provisions of
Rule 25 as far as may be.
(2) The disciplinary authority shall, if it disagrees with the findings of the
inquiring authority on any article of charge, record its reasons for such
disagreement and record its own findings on such charge, if the evidence
on record is sufficient for the purpose.
(3) If the disciplinary authority having regard to its findings on all or any of
the article of charge is of the opinion that any of the penalties specified in
Rule 23 should be imposed on the employee it shall, notwithstanding
anything contained in Rule 27 make an order imposing such penalty.
(4) If the disciplinary authority having regard to its findings on all or any of
the articles of charge, is of the opinion that no penalty is called for, it may
pass an order exonerating the employee concerned.
Rule 27 Procedure for Imposing Minor Penalties (26)
(1) Where it is proposed to impose any of the minor penalties specified in

clauses (a) to (e) of Rule 23, the employee concerned shall be informed
in writing of the imputations of the misconduct or misbehavior against
him and given an opportunity to submit his written statement of defence
within a specified period not exceeding 15 days. The defence statement,
if any, submitted, by the employee shall be taken into consideration by
the disciplinary authority before passing orders.
(2) The record of the proceedings shall include :

i) a copy of the statement of imputations of misconduct or
misbehavior delivered to the employee;
ii) his defence statement if any; and
iii) the order of the disciplinary authority together with the reasons
therefore.
Rule 28 Communication of Order
Orders made by the disciplinary authority under Rule 26 or 27 s h a l l be

communicated to the employee concerned, who shall also be supplied with a copy of
the report of inquiry, if any.
Rule 29 Common Proceedings
Where two or more employees are concerned in a case, the authority competent
Page: 25 of 50
to impose a major penalty on all such employees may make an order directing
that disciplinary proceedings against all of them may be taken in a common
proceedings and the specified authority may function as the disciplinary authority
for the purpose of such common proceedings.
Rule 30 Special Procedure in Certain Cases
Notwithstanding anything contained in Rule 25 or 26 or 27, the disciplinary

authority may impose any of the penalties specified in Rule 23 in any of the
following circumstances :-
i) the employee has been convicted on a criminal charge, or on the strength

of facts or conclusions arrived at by a judicial trial; or
ii) where the disciplinary authority is satisfied for reasons to be recorded by it

in writing that it is not reasonably practicable to hold an enquiry in the;
manner provided in these Rules; or
iii) where the disciplinary authority is satisfied that in the interest of the
security of the Corporation/Company, it is not expedient to hold an
enquiry in the manner provided in these rules.
Rule 31 Employees on deputation from the Central Government or the State

Government etc.
i) Where an order of suspension is made or disciplinary proceeding is

taken against an employee, who is on deputation to the Company from
the Central or State Government or another public undertaking, or a local
authority, the authority lending his services (hereinafter referred to as the
"Lending Authority") shall forthwith be informed of the circumstances
leading to the order of his suspension, or the commencement of the
disciplinary proceeding, as the case may be.
ii) In the light of the findings in the disciplinary proceeding taken against the
employee :
(a) If the Disciplinary Authority is of the opinion that any of the minor
penalties should be imposed on him, it may pass such orders on
the case as it deems necessary after consultation with the
Lending Authority:
Provided that in the event of a difference of opinion between the

Disciplinary and the Lending Authority, the services of the
employee shall be placed at the disposal of the lending Authority.
(b) If the Disciplinary Authority is of the opinion that any of the major
penalties should be imposed on him it should place his services
at the disposal of the Lending Authority and transmit to it the
proceedings of the enquiry for such action as it deems
necessary.
Page: 26 of 50
iii) If the employee submits an appeal against an order imposing a minor

penalty on him under sub-rule (ii)(a), it will be disposed of after
consultation with the Lending Authority :
Provided that if there is a difference of opinion between the Appellate

Authority and the Lending Authority, the services of the employee shall
be placed at the disposal of the Lending Authority, and the proceedings
of the case shall, be transmitted to that authority for such action as it
deems necessary.
Rule 31.1 Continuation of Disciplinary Proceedings after superannuation (30)
An employee against whom disciplinary proceedings have been initiated shall

cease to be in service on the date of superannuation but the disciplinary
proceedings will continue as if he was in service until the proceedings are
concluded and final order is passed in respect thereof. The concerned officer will
not receive any pay and / or allowance after the date of superannuation. He will
also not be entitled for the payment of retirement benefits till the proceedings are
completed and final order is passed thereon except his own contribution to CPF.
31.1.1 The continuation of disciplinary proceedings after superannuation shall be only in
major penalty cases involving financial recoveries.
Rule 32 Appeals (26)
i) An employee may appeal against an order imposing upon him any of the
penalties specified in Rule 23 or against the order of suspension referred
to in Rule 20. The appeal shall lie to the authority specified in the
Schedule.
ii) An appeal shall be preferred within one month from the date of
communication of the order appealed against. The appeal shall be
addressed to the Appellate Authority specified in the Schedule and
submitted to the authority whose order is appealed against. The authority
whose order is appealed against shall forward the appeal together with
his comments and the records of the case to the appellate authority
within 15 days. The appellate authority shall consider whether the
findings are justified or whether the penalty is excessive or inadequate
and pass appropriate orders within three months of the date of appeal.
The appellate authority may pass order confirming enhancing, reducing
or setting aside the penalty or remitting the case to the authority which
imposed the penalty or to any other authority with such direction as it may
deem fit in the circumstances of the case :
Provided that if the enhanced penalty which the appellate authority

proposes to impose is a major penalty specified in clauses (f), (g), (h), (i),
(j), (k) & (l) of Rule 23 and an inquiry as provided in Rule 25 has not
already been held in the case, the appellate authority shall direct that such
an enquiry be held in accordance with the provisions of Rule 25 and
thereafter consider the record of the inquiry and pass such orders as it
Page: 27 of 50
may deem proper. If the appellate authority decides to enhance the

punishment but an enquiry has already been held as provided in Rule 25,
the appellate authority shall give a show cause notice to the employee as to
why the enhanced penalty should not be imposed upon him. The
appellate authority shall pass final o r d e r after t a k i n g i n to account
the representation, if any, submitted by the employee.
RULE 33 REVIEW (26)
Notwithstanding anything contained in these rules, the reviewing

authority as specified in the Schedule may call for the record of the case
within six months of the date of the final order and after reviewing the
case pass such orders thereon as it may deem fit. Provided that if the
enhanced penalty, which the reviewing authority, proposes to impose, is
a major penalty specified in clauses (f), (g), (h), (i), (j), (k) & (l) of Rule 23
and an enquiry as provided under Rule 25 has not already been held in
these cases, the reviewing authority shall direct such an enquiry be held
in accordance with the provisions of Rule 25 and thereafter, consider the
record of the enquiry and pass such order as it may deem proper. If the
reviewing authority decides to enhance the punishment but an enquiry
has already been held in accordance with the provisions of Rule 25, the
reviewing authority shall give show cause notice to the employee as to
why the enhanced penalty should not be imposed upon him. The
reviewing authority shall pass final order after taking into account the
representation, if any, submitted by the employee.
SCHEDULE OF DELEGATION OF POWERS
The delegation of powers in respect of disciplinary matters arising out of vigilance

cases for employees in the grade of Rs. 20600-46500 (El) and above are as per
Annexure-II. Group case would cover situations where two or more employees
are involved in a case and disciplinary action would be taken against all of them •
in a common proceeding, except where the various employees involved are
subject to different sets of disciplinary rules.
PROCEDURE FOR DISCIPLINARY PROCEEDINGS
Vigilance Department will submit the investigation reports to the designated

Disciplinary Authority as at Annexure II who will decide on initiation or otherwise
of the disciplinary proceedings. Detailed procedure for conduct of proceedings in
respect of minor, major penalties and disposal of appeals is as under:
Note:
Notwithstanding anything contained hereinbefore, the schedule of Delegation of

Power, procedure for conduct of proceedings in respect of minor, major penalties &
disposal of appeals in disciplinary cases arising out of vigilance investigations will be
as below6:
Page: 28 of 50
1. Proceedings in respect of minor penalty
In cases in which the Disciplinary Authority has decided to institute minor

penalty proceedings, the Corporate Vigilance will forward the draft
charge-sheet and other necessary papers to the designated Disciplinary
Authority, for signature and issue of the charge-sheet. As far as possible,
the charge-sheet will be issued to the charged officer within 15 days of its
receipt.
The final decision will be taken by the Disciplinary Authority after taking
into consideration the facts of the case, the statement of defence
submitted by the employee, the advice of the Corporate Vigilance and
merits of the case. In case the Disciplinary Authority is satisfied that there
is no case against the employee it may, decide to exonerate the
employee.
Incase the disciplinary authority is satisfied that the charge (s) against the
employee are established, it will decide on the penalty to be imposed,
taking into consideration the gravity of the charges, material on record,
written statement of the employee etc. and keeping in mind that the
penalty that is imposed is not disproportionate to the gravity of
misconduct (s).
2. Proceedings in respect of major penalty
After the decision for initiation of disciplinary proceedings is taken, the

Corporate Vigilance will forward the draft charge-sheet alongwith other
necessary papers to the concerned disciplinary authority who will sign
and issue the charge-sheet, within 15 days of receipt of the case from
Vigilance Department, as far as possible. The Disciplinary Authority will
go through the facts of the case, the written statement of defence
submitted by the employee in response to charge-sheet, Vigilance advice
and after applying its mind may decide to exonerate the employee if it is
satisfied that charges are not tenable and pass a speaking order to the
effect. Where the Disciplinary Authority is not satisfied with the reply, it
may order an enquiry. The enquiry officer so appointed shall be an officer
who is at least one rank higher than the charged officer. In such a case,
the enquiry officer will conduct the enquiry as per procedure laid down
under the rules and expeditiously submit the Enquiry Report to the
Disciplinary Authority, preferably within three months. The Enquiry
Report will be referred to the vigilance Department who will render
necessary advice. The Disciplinary Authority w i l l go through the material on
record; proceedings of enquiry, findings of the Enquiry officer, the advice of
the vigilance department etc. before taking a final decision in the matter, and
pass speaking order, leading to :
imposition of a major penalty;
or
Page: 29 of 50
imposition of a minor penalty, if it is satisfied that charges proved are not

grave enough to warrant imposition of major penalty;
or
exoneration of the employee, if charges are not proved, as the case may be
or
remit the case back to Enquiry Officer for fresh or further enquiry under Rule
26 (1) of NTPC CDA Rules.
Where the decision of the Disciplinary Authority is at variance with the

Vigilance Advice, the matter will be referred to next higher authority before
imposing punishment except in case where CMD is the Disciplinary
Authority. In such a case his decision shall be final.
If the disciplinary Authority comes to the conclusion that the charges proved
in the inquiry and the misconduct committed by the employee is so grave as
to warrant removal/dismissal from the service, it shall forward the papers to
the appropriate appointing authority, indicated in Annexure, for taking
decision in the matter. The Delegation under CDA Rules stands modified to
the extent incorporated in the Annexure.
3 Disposal of Appeals
On an appeal preferred by the penalised employee in all cases under the

CDA Rules, the Appellate Authority will consult the Vigilance
Department and shall pass an appropriate speaking order after
taking into consideration the facts on record, the comments of
the Disciplinary Authority and advice of the Vigilance
Department.
Rule 34 Service of Orders, Notice etc.
Every order, notice and other process made or issued under these rules shall be
served in person on the employee concerned or communicated to him by
registered post at his last known address.
Rule 35 Power to Relax Time Limit and to Condone Delay

Save as otherwise expressly provided in these rules, the authority competent
under these rules to make any order may, for good and sufficient reasons or if
sufficient cause is shown, extend the time specified in these rules for anything
required to be done under these rules or condone any delay.
Rule 36 Savings
(1) Nothing in these rules shall be construed as depriving any person to
whom these rules apply, of any right of appeal which had accrued to
him under the rules, which have been superseded by these rules.
Page: 30 of 50
(2) An appeal pending at the commencement of these rules against an order

made before the commencement of these rules shall be considered and
orders thereon shall be made, in accordance with these rules.
(3) The proceedings pending at the commencement of these rules shall be
continued and disposed as far as may be, in accordance with the
provisions of these rules, as if such proceedings were proceedings
under these rules.
(4) Any misconduct etc. committed prior to the issue of these rules shall be
deemed to be a misconduct under these rules.
Rule 36 A Notwithstanding anything contained in these rules for the purpose of disciplinary
proceedings under Rules 20 to 35 (both inclusive) wherever the terms
Disciplinary Authority and Competent Authority have been used either
interchangeably or otherwise, they shall mean the authorities as specified in the
schedule appended to the CDA rules for exercising various powers as detailed
therein.
Rule 37 Removal of doubts
Where a doubt arises as to the interpretation of any of these rules the matter
shall be referred to the Board for final decision.
Rule 38 Amendments
The Board may amend, modify or add to these rules, from time to time, and all
such amendments, modifications or additions shall take effect from the date
stated therein.
AUTHORITY
1 Corporate Personnel IOM No. 01:Pers:7(12) dt. 27.4.1977
2 Corporate Personnel Circular No. 16/78 dt. 12.8.1978
3 Corporate Personnel Circular No. 114/83 dt.8.6.1983.
4 Corporate Personnel Circular No. 172/85 dt.22.8.1985.
5 Corporate Personnel IOM No. 01:Pers:7(11.1) dt. 30.05.88
7 Corporate Personnel IOM No. 01:Pers:7(13.2) dt. 3.2.1989
9 Corporate Personnel IOM No. 01:Pers:7(13.2)/250 dt. 6.6.94

Page: 31 of 50
13 Corporate Personnel Circular No. 01:Pers:7(13.2)/396/98 dt. 8.10.98
14 Corporate Personnel Circular No. 01:Pers:7(13.2)/398 dt. 15.10.98
17 Corporate Personnel IOM No. 01:PErs:7(13.2)/336 dt. 8.10.98
19 Corporate Personnel IOM No. 01/HR/7(13.2)/433 dt. 12.11.2001
20 Corporate HR Circular No. 489/2002 dt. 07.06.2002
25 Corporate HR Policy IOM No. 01/HR-Pol/7(13.2)/619 dt. 28.09.05
27 Corporate HR Policy IOM No. 01/HR-Pol/7(13.2)/629 dt. 16.01.06
28 Corporate HR-Policy IOM No. 01/HR-Policy/7(13.2)/633 dt. 10.02.06
30 Corporate HR Policy IOM No. 01/HR-Policy/7(13.2)/664 dt. 12.03.07

Page: 32 of 50
Annexure-I
Schedule of Delegation of Powers in Respect of Disciplinary Matters Under NTPC

Conduct Discipline and Appeal Rules.(30),(8)
Authorities to Exercise
Subject Matter Extent of Powers Delegated
Powers
1 2 3
1. Authority competent to Full powers in respect of the employees Executives in the rank of
issue charge sheet in the grades of Rs.11500-26000 (W3) Asstt. Engineer and above or
and below under their control equivalent and Supervisor and
Supervisor Gr.l.
Full powers in respect of the employees Executives not below the rank
in the grades of Rs.14500-32000 (W6) of Senior Engineer or
and , below under their control. equivalent
in the grades of Rs.20000-42500 (W of Deputy Manager or
11) 20000-42500 (S4) and below equivalent.
under their control.
Full powers in respect of the employees Head of Department not below

in the grades of Rs.24900-50500 (E2A) the rank of Manager or
and below under their control. equivalent.
Full powers in respect of the employees Head of Department not

in the grades of Rs.29100-54500 (E3) below the rank of Sr.
and below under their control. Manager or equivalent.

in the grades of Rs.32900-58000 the rank of Dy. General
(E4)and below under their control. Manager or equivalent.
Full powers in respect of the General Manager

employees in the grades of
Rs.36600-62000 (E5)and below,
Full powers in respect of the Executive Director/Functional

employees in the grades of Rs.43200- Director.
66000 (E6) and below, under their
control.
Page: 33 of 50
Full powers in respect of the Chairman & Managing

employees in the grades of Rs. Director
62000-80000 (E9)(excluding
Functional Directors) and below
2. Authority competent Full powers in respect of the Head of Department not below
to appoint Inquiring employees in the grades of Rs.24900- the rank of Manager or
Authority 50500 (E2A) and below, under their equivalent,
control.
Full powers in respect of the Head of Department not

employees in the grades of Rs.29100- below the rank of Sr. Manager
54500 (E3) and below, under their or equivalent
control.
Full powers in respect of the Head of Department not below

employees in the grades of Rs.32900- the rank of Deputy General
58000 (E4) and below, under their Manager or equivalent.
control.

employees in the grades of Rs. 36600-
control
Full powers in respect of the Executive Director/ Functional

43200-66000 (E6)and below, under
their control.

62000-80000 (E9)(excluding
Functional Directors) and below.
3. Authority competent to Full powers in respect of the Executive not below the rank of
pass order of employees in the grades of Dy. Manager or equivalent
suspension pending Rs.14500-32000(W6)and below,
enquiry/trial under their control.
Full powers in respect of the Executives not below the rank

employees in the grades of of Manager or equivalent
Rs.20000-42500(W 1 1)/
20000-42500 (S4) and below, under
their control.
Page: 34 of 50
Full powers in respect of the General Manager/Executive

employees in the grades of Director/Functional Director.
Rs.36600-62000 (E5)and below,
Full powers in respect of the Chairman & Managing Director

employees in the grades of Rs.
620000-80000 (E9)(excluding
4. Authority Competent Same as in Sl.No.1 Same as in Sl.No.1

to impose minor
penalties
5. Authoritycompetent to
impose major penalties
:
a) Other than removal from Full powers in respect of the Executives not below the rank
service and dismissal employees in the grades of Rs.14500- of Manager or equivalent
32000 (W6)and below, under their
control.

employees in the grades of Rs.20000- of Sr. Manager or equivalent
425000 (Wll)/ 20000-425000 (S4) &
below, under their control.
Full powers in respect: of the General Manager

employees in the grades of Rs.29100-
control.

employees in the grades of Rs.32900- Director
58000 (E4)and below, under their
control.
73000 (E7) and below
Full powers in respect of the Board of Directors

employees in the grades of 62000-
80000 (E9) (excluding Functional
Directors) and below.
Page: 35 of 50
b) Removal from service Full powers in respect of the Appointing Authority

and dismissal employees in the grades of
Rs.51300-73000 (E7) and below,

62000-80000 (E9) (excluding
6. Appellate authority in the Full powers in respect of the Executive/Authority next higher to
matter of disciplinary employees under their control. the one which imposed the
cases (minor & major penalty.
penalties, other than
removal from service &
dismissal
7. Reviewing authority in Full powers in respect of the Executive/Authority next, higher to

the, matter of employees under their control. the Appellate Authority.
disciplinary cases
(minor& major penalties,
other than removal from
service & dismissal)
8. Appellate Authority in the Full powers in respect of the Authority next higher to the
matter of removal from employees under their control Appointing Authority
service/dismissal
9. Reviewing Authority in Full powers in respect of the Chairman & Managing

the matter of employees in the grades of Rs.20000- Director
removal from 42500(Wll) & of Rs.20000-42500 (S4)
service/dismissal and below.
Full powers in respect of all employees Board of Directors

in the grades of Rs. 62000-8000
(E9)(excluding Functional Directors)
and below.
Page: 36 of 50
B 1. For the purpose of items at Sl.Nos. 6, 7 and 8 the authority next higher to the Chairman
& Managing Director means the Company's Board of Directors.
2. Functional Directors mean all the full-time Directors on the Board appointed by the
President of India.
3. The grades/pay scales shown above are the existing scales of pay. On revision
the corresponding revised pay scales will replace the above pay scales.
4. In cases where CMD is the Disciplinary Authority the power of signing of the
documents/communications such as chargesheet, order appointing inquiring
authority, order of suspension pending enquiry/trial etc., shall be delegated to
authorities as under, subject to overall control and the final decision being with the
CMD in such disciplinary matters.(8),(9),(24)
The above is applicable in cases where CMD is the Appellate Authority or reviewing
authority.
Level of Employees against Competent Authority

whom action is proposed
a. Manager and Sr. Manager Project Head (GM/AGM)
b. DGM/AGM Regional ED/ED at C.C or

Director in charge in absence of ED.
c. GM D(HR)
d. ED CMD
Page: 37 of 50
ANNEXURE - II
MODIFIED SCHEDULE OF DELEGATION OF POWERS IN RESPECT OF DISCIPLINARY

MATTERS UNDER NTPC CONDUCT, DISCIPLINE & APPEAL RULES FOR EMPLOYEES IN
THE GRADE OF RS. 20600-46500 & ABOVE (6), (28), (29)
Level of Disciplinary Authority Appellate Reviewing

Executives ……………………………………..................... Authority Authority
Minor Penalty Major Penalty Removal and

Dismissal,
Compulsory
retirement
1. Employees in General Manager General Appointing Executive/ Executive/
the grade of Manager Authority Authority Authority
Rs.24900- next higher next higher
50500(E2A) & to the one to t h e
below under which Appellate
the control. imposed the Authority.
penalty
2. Employees in General Manager Executive Appointing Do do

the grades of Director Authority
Rs. 29100-
54500 (E3) &
below under
their control.
3. Employees in General Manager ED / Functional Appointing do do

Rs. 32900-
58000(E4) &
below under
their control
4. Employees in Executive Director ED / Functional CMD do do

the grades of Director
Rs. 36600-
62000 (E5) &
below under
their control
Page: 38 of 50
5. Employees in Executive CMD do do do

the grades of Director/Functional
Rs. 43200- Director
66000(E6)&
below under
their control.
6. Employees in CMD CMD CMD Board of -

the Grades of Directors
Rs. 51300-
73000(E7) and
below

the grades of Directors
Rs. 51300-
73000 (E7A)
and below
8. Employees in CMD Board of Board of - -

the grade of Directors Directors
Rs. 62000-
80000 (E9)
(Excluding
Functional
Director) &
below
9. Group Cases Disciplinary Authority shall be as for the highest ranking officer.
-
Page: 39 of 50
ANNEXURE-III
EXTRACT FROM INDIAN COMPANIES ACT, 1956
SECTION 6 - Meaning of 'Relative' - A person shall be deemed to be a relative of another if, and
only i f -
(a) they are members of a Hindu Undivided family; or
(b) they are husband and wife; or
(c) the one is related to the other in the manner indicated in Schedule (I-A).
SCHEDULE I-A
List of Relatives
1. Father
2. Mother (including step-mother)
3. Son (including step-son)
4. Son's wife (Daughter-in-law)
5. Daughter (including step-daughter)
6. Grand parent (both paternal & maternal)
7. Son's son (Grand son)
8. Son's son's wife (Grand daughter-in-law)
9. Son's daughter (Grand daughter)
10. Son's daughter's husband (Grand-son-in-law)
11. Daughter's husband (son-in-law)
12. Daughter's son (Grand son)
13. Daughter's son's wife (Grand daughter-in-law)
14. Daughter's daughter (Grand daughter)
15. Daughter's daughter's husband (Grand son-in-law)
16. Brother (including step-brother)
17. Brother's wife (sister-in-law)

Page: 40 of 50
18. Sister (including step-sister)
19. Sister's husband (brother-in-law)

Page: 41 of 50
Annexure IV
GUIDELINES & PROCEDURE FOR PREMATURE RETIREMENT (19),(20)

(UNDER RULE 4.3 OF CDA RULES)
1.0 COVERAGE :
The provision for Premature Retirement of employees in the public interest on grounds of
medical unfitness and inefficiency shall be applicable to employees in the Executive and
Supervisory categories who have attained the age of 50 years.
2.0 GUIDELINES ON MEDICAL UNFITNESS :
2.1 Instances where an employee may be considered for Pre-mature retirement on

ground of medical unfitness shall be as under :
2.1.1 He/she has been continuously absent on extra-ordinary leave or absent

without leave on medical grounds for a period of 120 days or more
(including Sundays and Holidays) ; or
2.1.2 He / she has been intermittently absent on extra ordinary leave or absent
without leave for reasons of sickness for a total period of 180 days
(inclusive of Sundays and Holidays) or more during a continuous period
of eight months ; or
2.1.3 An employee has been attending office, but is found to be mentally

deranged.
2.2 Employees who have been rendered medically unfit (permanent partial
disablement) on account of accident while on duty shall not be covered in this
Scheme.
2.3 The above provisions for Premature Retirement on medical grounds are
independent of and without prejudice to the right of the Company under clause
24 of NTPC Service Rules.
3.0 GUIDELINES ON INEFFICIENCY :
3.1 Executives :
3.1.1 An employee who has secured “Below Average” rating or lower in his
Annual Appraisal Report twice during last four years; OR
3.1.2 Who has secured “Average” / Below Average” / lower ratings

continuously in last four years; Or
3.1.3 Who has been awarded minor penalty on three occasions or major
penalty on two occasions in entire service career
3.2 Employees in supervisory category :

Page: 42 of 50
3.2.1 An employee who has secured “Satisfactory” / lower ratings in his Annual
Appraisal Report twice during last four years ; Or
3.2.2 Who has secured “Satisfactory” / “Unsatisfactory” ratings continuously in

last four years ; Or
3.2.3 Who has been awarded minor penalty on three occasions or major
penalty on two occasions in entire service career.
4.0 PROCEDURE ON MEDICAL UNFITNESS :
4.1 Instances where an employee is found to be covered under Clause 2.1,

concerned department of the employee may forward the case recommending
Premature Retirement to the Appointing Authority. Alternatively, the concerned
HR Department may under such circumstances, suo moto, recommend the case
for Premature Retirement to the Appointing Authority.
4.2 The Appointing Authority, on receiving recommendations from concerned

Department / HR Department, shall constitute a Medical Board, consisting of
Chief Medical Officer and two more Doctors of which one will be from outside.
The concerned employee shall be referred to the Medical Board for medical
examination.
4.3 The Medical Board will submit its report to the Appointing Authority. The report of
Medical Board should contain interalia the following :
4.3.1 The disease of the employee.
4.3.2 Whether the disease is curable to enable the employee to perform his
normal duties without frequent absence on account of sickness within a
period of 12 months.
4.3.3 Whether the disease is infectious or contagious
4.3.4 Whether the employee is suffering from lunacy or mental derangement

making him unsuitable for services of the Company or whether his
presence in working premises is likely to pose hazards to others.
4.4 Based on the report of Medical Board, if the Appointing Authority comes to the
conclusion that the employee is not fit to resume his duties within a period of next
12 months; or if the employee is suffering from such disease that he is not likely
to perform his normal duties without frequent absence due to sickness / medical
grounds; or if the employee is suffering from lunacy or mental derangement or
such infectious or contagious disease that his presence is likely to pose health
hazards to others; or the nature of disease / mental derangement is such that the
services of the employee cannot be utilized by the Company, the Appointing
Authority may order for Premature Retirement.
5.0 PROCEDURE ON INEFFICIENCY (Executives) :

Page: 43 of 50
5.1 A Committee consisting of three Functional Directors including Director (HR)

shall be constituted with the approval of CMD for examining the cases meeting
the criteria stated in para 3.1 above.
5.2 Counseling before placing the case before Committee :
5.2.1. All cases where overall Annual Appraisal Report rating is “Average” /
lower, counseling will be done by GM in case of E1-E4; ED in case of E-
5, Functional Director in case of E6-E7A and CMD in case of E8-E9
indicating the deficiencies on the part of the concerned executive, with a
view to give opportunity to the concerned executive to improve in the
next assessment year.
5.2.2. The concerned Executive will be counseled each time the AAR rating is
“Average” / lower in the relevant assessment year.
5.2.3. A brief on the counseling done will be communicated to the employee

concerned after the counseling is done.
5.3 Procedure of placing the cases before Committee
5.3.1 On receipt of Annual Appraisal Reports after signature of Chairman of

Moderation Committee, the Regional HOHR will scan all the reports in
case of E1-E5. In respect of E6 & above, scanning will be done by GM
(HR), CC.
5.3.2 At the time of scanning the reports, the HOHR/GM(HR) will also identify
the Executives which meet the criteria as stated at para 3.1 above. All
such cases will be placed before the Committee as at para 5.1 above.
5.3.3 The Committee will go through the complete records relating to

performance of the executives as at para 5.1 above. On the basis of his
records / records of correction done by Chairman moderation Committee
/ documents / feedback from his Head of Project/Station/Department and
Regional EDs as also the Performance Appraisal Reports, the
Committee will identify the cases where it feels Pre-mature retirement is
warranted.
5.3.4 Counseling before pre-mature retirement by the Committee : Committee

will also counsel each of the executives short listed as at para 5.3.3
above and review their performance again after 6 months. In case it
finds that desired improvement in performance is not shown by the
executive, it will recommend to the Competent authority i.e., CMD for
premature retirement.
5.3.5 Based on the recommendations of the Committee, show cause notice

with the approval of CMD will be issued to the concerned executive.
5.3.6 The reply of the employee to the show cause notice, alongwith the
recommendations of the Committee will be put up to the CMD for
decision.
Page: 44 of 50
6.0 PROCEDURE ON INEFFICIENCY (Supervisory category) :
6.1 Respective units (Projects/Station/Offices) shall identify the supervisors meeting

the criteria for pre mature retirement after DPC.
6.2 Identical procedure as at para 5.0 will be followed for supervisors except that :
6.2.1 Criteria for inefficiency shall be as per Clause 3.2.
6.2.2 Counseling will be done by concerned HOD (not below the rank of
DGM).
6.2.3 The constitution of Committee in case of employees in supervisory

category shall be as under :
For deciding the cases of employees of Projects / Regional HQ :

Members will be two Heads of Projects not below the level of AGM/GM
and the Regional Head of HR will coordinate the activities of the
Committee.
For deciding the cases of other employees in the supervisory category :

Members will be two executives not below the level of AGM/GM and
AGM(HR) CC will coordinate the activities of the Committee.
6.2.4 The Competent Authority for deciding the cases of employees of

Project/Regional HQ will be Regional ED. For other employees in the
supervisory category, cases will be decided by ED (HR).
7.0 GENERAL:
7.1 Order of premature retirement of employees in the public interest will be

issued as per format at Annexure-B by the Appointing Authority.
7.2 In the event of refusal by the employee to accept the order of Premature
Retirement, the same will be sent by Registered / Speed Post / Courier
at the last known address available in his personal file / other official
records. This would be deemed as service of the Order to the employee.
7.3 If Voluntary Retirement Scheme is in operation at the relevant time

during which action on pre-mature retirement is proposed, and if the
concerned employee under consideration for pre-mature retirement is
otherwise eligible for VRS, he on his own volition may apply for VRS and
Management shall have no objection to the same.
7.4 CMD reserves the right to make amendments / modifications / additions /

deletions to the above rules / procedures or make supplementary rules
that may be required from time to time.
Page: 45 of 50
Annexure-B to Annexure IV
ORDER OF PREMATURE RETIREMENT
Whereas, the CMD / D(HR) / ED is of the opinion that it is in the Public Interest to prematurely
retire Mr./Ms. __________________, employee No. ____________, Designation
______________, Department _________________, on account of medical unfitness /
inefficiency.
Now therefore, in exercise of the powers conferred by Rule 4.3 of Conduct, Discipline and Appeal
Rules, the CMD / D(HR) / ED hereby gives notice or pay in lieu of notice period (3 months / 1
month) to ____________________________ (Name and Employee No. )
_________________________ (Designation and Department) that Mr. / Ms.
______________________ having already attained the age of 50 years, shall retire from service
on ____________.
Date _____________ Signature / Name of the

Place ____________ Appointing Authority
To,
Mr./Ms. _________________
Employee No. ____________
Designation ____________
Department ____________
ACKNOWLEDGEMENT (From the Employee)

I, ______________________ (Name & Employee No.) now holding the post of
________________________ (Designation & Department) here by acknowledge the receipt of
the Original Notice of the Order of Pre-Mature Retirement dated __________.
Signature ____________
Name ____________
Designation ___________
Place ____________
Date ____________
Page: 46 of 50
Annexure V
FORM NO. 1(23)
STATEMENT SHOWING DETAILS OF IMMOVABLE PROPERTY ON FIRST APPOINTMENT AND ALSO AS ON 1ST JANUARY OF EACH CALENDAR
YEAR (eg. Lands, Houses, Shops, Other Buildings etc.) (Rule 16(4) of Conduct, Discipline and Appeal Rules, NTPC refers)
NAME : EMP.NO : DEPARTMENT :
DESIGNATION : DATE OF JOINING : PRESENT BASIC PAY :
POSTING LOCATION / RAX/TELEPHONE NO. :
S.No. Details / Description of Property If not in own name, How and when Value of the Total annual Remarks
and its location state in whose acquired property (See Note income from the
(See notes 1&5 below) name held and (see Note 2 & 6 3 below) property
House/Building/Land No. his/her relationship, below)
if any to the
employee
1 2 3 4 5 6 7
Signature :
Date :
Page: 47 of 50
Contd page 2 Form 01 (Property Return)
Note 1 If the property is not wholly owned, the extent of shares may also be indicated
Note 2 For the purpose of Co. 4 the term ‘lease’ would mean a lease of immovable property from year to year or for any term exceeding one year
of reserve yearly rent. When however the lease of immovable property is obtained from a person having official dealings with the
employee, such a lease should be mentioned in this column irrespective of the term of lease whether it is short term or long term, and the
periodicity of the payment of rent.
Note 3 In col.5 should be shown :
a) Whether the property has been acquired by purchase, mortgage, or lease. The price of premium paid for such acquisitions.
b) Where it has been acquired by lease, the total annual rent thereof also
AND
c) Where the acquisition is by inheritance, gift or exchange, the approximate value of the property so acquired.
Note 4 The annual return in respect of immovable property may also be submitted in this form as on 1st January
Note 5 Name of Distrcit, Division, Taluka & Village in which the property is situated and also its distinctive number etc. will be given in Col. 2
Note 6 Whether the purchase, mortgage, lease, inheritance, gift or otherwise & name with details of person/persons from whom acquired, Address
& Communication, if any with the person/persons concerned are also given in column.
( Signature ) Date :
Page: 48 of 50
Annexure VI
FORM NO. 3 (23)
DETAILED STATEMENT IN RESPECT OF SHARES / DEBENTURES PURCHASED UNDER

PROMOTERS / EMPLOYEES QUOTA AS ON 1ST JANUARY, 2006
NAME : EMP.NO: DEPT :
DATE OF JOINING : PRESENT BASIC PAY :
POSTING LOCATION/RAX/TELEPHONE NO.
S.No. Name of the No. of Face Cost of Whether How Position held at the
Company Shares Value acquisition Promoters/ acquired time of acquisition
Employees and if the company
quota had any borrowing or
other facilities at that
time
1 2 3 4 5 6 7 8
A. Self :-
B. Spouse and Dependent Children :
Note : Any addition / deletion to this statement as on 1st January …… and profit/loss incurred by
me are given below :-
Place : Signature
Date :
Instructions at page 2
Page: 49 of 50
Contd page 2 Form 03 (Property Return)

Note 1 In the case of shares, securities, debentures, etc., in face value and
approximate market value as on the date of statement may be mentioned
Note 2 In case of Life Insurance Policy, the date of maturity may also be stated
Note 3 Under B, information may be given regarding items like (a) gold/gold
ornaments: approximate weight only be stated (b) Silver ornaments, etc.
(approximate weight) (c) other precious metals, items of jewelry, precious
stones forming part of jewelry, etc. Approximate value to be stated (i) Car (ii)
Scooters / Motorcycles (iii) Refrigerator / Air conditioner / Radio / Radiograms /
Television sets and other articles, the value of which is individually more than
Rs. 15000/-
Note 4 In column 4, may be indicated whether the property has been acquired by
purchase, gift or otherwise
Note 5 Under liabilities, brief details should be given
Note : Use extra form if space is not enough
( Signature ) Date :
(To be submitted alongwith the Assets & liability statement as on 1st January every year)
Form for giving information where total transactions in shares, securities, debentures and
investments in mutual fund schemes exceed Rs. 25000/- during the calendar year 200…,as on 1st
January)
1. Name & Designation :
2. Scale of pay & present pay :

PF Index No :
3. Details of each transaction made in shares, debentures, mutual funds, scheme, etc.
during calendar year :
4. Particulars of the party / firm with whom transaction is made :
5. Source or sources from which financed :
6. Any other relevant fact which you may like to mention
Declaration :
I hereby declare that the particulars given above are true
Place : Signature :
Date : Designation:
Page: 50 of 50
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Guidelines for Disciplinary Procedure Updated as on: 31.01.2012
Page: 1 of 62
GUIDELINES FOR DISCIPLINARY PROCEDURE
CHAPTER-I
DISCIPLINE AND INDISCIPLINE
1.1 Discipline means orderly behavior. It means voluntary and willing compliance
of rules and regulations and instructions and also development of right habits
of conduct in work with others at the work-place.
1.2 Why do we want Discipline :
(a) Discipline is a must in any organisation for improving employee

morale as well as to increase the productivity which is the ultimate
goal of any organisation.
(b) Discipline is of utmost importance for harmonious working with a

view to achieve Company's objectives.
(c) It is the moral responsibility of the employer to not allow a minority of

the employees who are indisciplined to affect the life of the majority.
1.3 How does Indiscipline arise:

In most of the cases, indiscipline of a worker is the expression of his reaction to his
environment. Usually the causes of indiscipline are:
(a) Lack of awareness of Company's rules and regulations;

(b) False promises made by superiors;
(c) Absence of any procedure to handle grievances;
(d) No action taken when required;
(e) Personal frustrations and misunderstandings.
There could be many other different reasons for indiscipline depending upon
individual differences.
1.4 Corrective and Punitive Action:
Since any case of indiscipline is basically a behavioral problem, it is necessary

that before taking any punitive action, all efforts should be made to improve the
behavior of the employee by correcting him through education, counseling,
persuasion and cautioning. However, if all the efforts to improve the employee fail, the
controlling officer should never hesitate to reprimand the employee, and if the
misconduct is serious or has been repeated, to report the matter to the superiors for
appropriate disciplinary action.
Page: 2 of 62
CHAPTER—II
ACTS OF MISCONDUCT
2.1 Misconduct means improper conduct or wrongful behaviour. However, while

dealing with employees in an organisation, the term 'misconduct' has to be seen
with reference to the rules and regulations applicable to the various categories of
employees working in the organisation.
2.2 In N T P C, to decide whether a particular act is an act of misconduct or not, we

have to keep in mind the following four documents:
(a) Standing Orders

(b) Conduct, Discipline & Appeal Rules
(c) Service Rules
(d) Contract/Agreement of Appointment or Appointment Letter.
2.3 Standing Orders:
Under the Industrial Employment (Standing Orders) Act, 1946, NTPC is

required to have its own Standing Orders duly certified by the Government
Labor Department. The Act requires the employers to define with sufficient
precision the conditions of employment and acts of misconduct etc. and to
make these conditions known to their workmen. The object is to make clear to
workmen and employers their respective rights and obligations due to the
ignorance of which they may not take recourse to wrong actions leading to
discontent and conflicts. But till the time the certified Standing Orders come
into existence in NTPC's Projects/ Units, the Model Standing Orders
appended to the said Act will be operative in the Projects/Units.
The Standing Orders are applicable to workmen of NTPC. As per Standing

Orders, Workman means any person (including an apprentice)
employed..................... to do any skilled or unskilled manual, supervisory,
technical or clerical work for hire or reward.......... but does not include any
such person................... who is employed mainly in a managerial or
administrative capacity, or who, being employed in a supervisory capacity,
draws wages exceeding five hundred rupees per mensem or exercises, either
by the nature of the duties attached to the office or by reason of the powers
vested in him, and performs functions mainly of a managerial nature.
N.B. Standing Orders have been certified in respect of Singrauli, Korba,

Ramagundam, Farakka, Rihand, Vindhyachal, Kahalgaon, Talcher – Angul,
Talcher – Kaniha, Kawas, Jhanor – Gandhar, Dadri, Kayamkulam and
Faridabad.
The acts of misconduct laid down in the Model Standing Orders are as shown in
Annexure 'A' (as soon as a Project/Unit gets its own certified Standing Orders, this
list in Annexure 'A' will automatically be replaced by the list of acts of misconduct
of the certified Standing Orders of the Project/Unit).
Page: 3 of 62
2.4 Conduct, Discipline & Appeal Rules:
These are the rules framed by NTPC which are applicable to all deputationist
and also to persons who are not covered by Standing Orders. List of acts of
misconduct as per Conduct, Discipline & Appeal Rules is as shown in Annexure
'B'
2.5 Service Rules:
These are the rules framed by NTPC defining the terms a n d conditions of
employment and also prescribing the obligations of the employers. These are
applicable to all the employees of NTPC except:
(a) employees governed by Standing Orders to the extent of the provisions of

the said Standing Orders;
(b) deputationist unless the terms of deputation otherwise stipulate.
Any act committed by an employee in breach of Service Rules to the extent they
are applicable to him, will be considered an act of misconduct. Hence, referring to
Service Rules is relevant in this context.
2.6 Contract of Appointment:
Basically the appointment letter issued to an employee governs his employment

with the organisation. Hence, while taking a disciplinary action against any
employee for an act of misconduct committed by him, the management has to
keep in mind the terms and conditions stipulated in the offer of appointment given
to the concerned employee, over and above which only the other rules and
regulations will become applicable to the employee concerned
Page: 4 of 62
CHAPTER- III
REPORT OF MISCONDUCT T
3.1 Complaint is the starting point of any disciplinary action. For taking
disciplinary action against any employee for having committed an act of
misconduct, the management should invariably get a specific written
complaint. Complaint is nothing but a clear, sequential narration of the facts of
incidence of indiscipline by the complainant, in the shape of a report to his
superior.
3.2 Since any disciplinary action may go haywire if the complaint is not proper, every
complainant should bear in mind the following:
(a) Don't rely on memory. Reduce to writing whatever has happened

immediately.
(b) Submit your complaint in the shape of report of misconduct without any
delay to superiors.
(c) Avoid dictating the complaint to somebody else.
(d) Avoid type-writing the complaint, if possible. It is advisable to send it in

hand-writing.
(e) Don't add your impressions or guesses but narrate the actual facts.
(f) Take written statements of all whoever has any facts relating to the
complaint or witnessed the incident.
3.3 The Report of misconduct should invariably give the following details:
(a) Full name of the person who committed the act of misconduct;
(b) Designation;
(c) Ticket No./Punch Card No./Employee No.;
(d) Section/Deptt./Division;
(e) Shift or Relay in which the employee was working;
(f) Date and time of incident;
(g) Place of occurrence;
(h) Details of misconduct;
(i) Name of witnesses, if any;
(j) Recorded statements, if any;
For report of misconduct, the guidelines suggested in an Annexure 'C' might be

followed.
Page: 5 of 62
Page: 6 of 62
STAGE-11 If the charge(s) are proved, check the

past record and if any conciliation or
adjudication proceedings are going on,
check Industrial Disputes Act provision,
check whether protected workman
Final Show-cause notice before

punishment if provided under rules
Page: 7 of 62
STAGE-12
STAGE-13 Study the reply given by employees to

final chow-cause notice
Give clarification, if any, asked for in reply

STAGE-14 to final show-cause notice
Punishments Order
STAGE-15
STAGE-16 Appeal by the accused employee
STAGE-17 Reply to appeal after review and final

punishment order
Implementation of punishment order

and closing the file
STAGE-18
Contest the case if referred to

conciliation/adjudication
STAGE-19
Page: 8 of 62
CHAPTER-V
PRELIMINARY ENQUIRY
5.1 As soon as a complaint is received, we should see whether it is worth dealing

within an elaborate manner by charge-sheeting the employee and conducting a
domestic enquiry or not. This is determined by the gravity of the misconduct
committed by the employee.
5.2 When an act of misconduct has been committed and the disciplinary authority
receives a complaint, he should conduct a preliminary enquiry either himself or get it
done by another Officer (Officer other than the one who has made the . complaint
or who is a witness to the incident). Preliminary enquiry is done with a view to
decide whether there is adequate material for proceeding with a domestic
enquiry. Domestic enquiry starts the moment a charge-sheet is issued and
preliminary enquiry ends with the issue of charge- sheet. In all cases,
preliminary enquiry is not essential. If the matter is obvious enough, the
domestic enquiry can start with the issue of charge- sheet.
5.3 The following are the differences between domestic enquiry and preliminary
enquiry.
(a) Preliminary enquiry is not an essential step while domestic enquiry is a must
for taking disciplinary action.
(b) Domestic enquiry aims at determining whether charges are established or

not while preliminary enquiry is conducted for finding out whether a prima-
facie case has been made out.
(c) Conclusions of preliminary enquiry lead to framing of charge-sheet while
the report of domestic enquiry forms the basis for awarding
punishment.
(d) Preliminary enquiry is not subject to any rules while conduct of
domestic enquiry is subject to principles of natural justice.
CHAPTER-VI
PRINCIPLES OF NATURAL JUSTICE
6.1 The procedure for taking disciplinary action against any delinquent employee
must be based on principles of "natural justice" - which again are in conformity with
the principles of a Welfare State.
6.2 To hold an enquiry in conformity with the principles of natural justice, the
following conditions are to be met:
(a) the employee proceeded against has been informed clearly of the
charges levelled against him;
(b) the witnesses are examined ordinarily in the presence of the employee in
respect of the charges;
Page: 9 of 62
(c) the employee is given a fair opportunity to cross- examine the witnesses;
(d) the employee is given a fair opportunity to examine his own witnesses,
including himself in his defense if he so wishes;
CHAPTER – VII
CHARGE SHEET
7.1 If on the basis of preliminary enquiry or otherwise, the disciplinary authority is satisfied
that a prima- facie case exists and decides to take disciplinary action against the
employee concerned, the first thing to be done is to issue a charge-sheet to delinquent
employee.
7.2 Charge-sheet is a memorandum of charges or allegations levelled against the employee

which are acts of misconduct as per the Standing Orders or the Conduct, Discipline and
Appeal Rules, as the case may be.
7.3 Check-List for preparation of Charge-Sheet:
While framing a Charge-sheet, the following items may be kept in mind so that
nothing relevant would be missing from the Charge-sheet:
a. Date of Charge-sheet
b. Correct Name and Employee No. of d e l i n q u e n t employee
c. Specify date of incident
d. Description of incident
e. Reproduce the language in verbatim if there are words of abuses, defamation or

threat
f. Give reference of relevant rules such as Standing Orders or Conduct, Discipline and
Appeal Rules, as the case may be
g. Specify w i t h i n how much tim e and to whom the r e p l y should be submitted.
h. Check the authority competent to issue the Charge-sheet (See Conduct, Discipline
and Appeal Rules or Delegation of Powers, as the case may be)
i. Decide whether the employee is to be kept under suspension or not.
j. Decide whom to send the copies of Charge-sheet.
7.4 Guidelines for preparing Charge-sheet:

Page: 10 of 62
(a) The Charge-sheet should be specific and must spell out a l l the relevant
particulars of the misconduct.
(b) As far as possible, it should be precisely mentioned in the Charge-sheets

to under which rule or clause, the charges constitute acts of misconduct so as
to enable the employee as to which rules are applicable to him in this
context.
(c) The Charge-sheet must be signed by the competent authority so as to

avoid facing a situation where the Charge-sheet is made invalid because it is
signed by incompetent authority. (Refer to schedule of Conduct, Discipline
and Appeal Rules Annexure 'D' or Delegation of Powers as the case may be).
(d) Avoid loose usage of words such as 'Habitual' and 'Willful' in the Charge-
sheet. Do not use such qualifying words unless the charges are really so.
(e) If the charge is of abusing or threatening, reproduce the exact words

used, in the Charge- sheet.
(f) Avoid using abbreviations such as "etc" and also phrases such as "such
other things".
(g) If the previous record of the employee is referred to, t h e n sufficient

particulars of the previous record should be given in the Charge-sheet.
7.5 Time for reply to Charge-sheet:

A reasonable period of time should be given to the employee to submit his reply
to the Charge-sheet. Time as stipulated in the Standing Orders or Conduct,
Discipline & Appeal Rules, as the case may be, but not less than 48 hours from
the receipt of the Charge-sheet by the employee should be allowed for
submission of his reply. If the Charge- sheeted employee requests for extension
of time, such request(s) may be considered on its own merits.
7.6 Who signs the Charge-sheet
Unless it is delegated otherwise, Disciplinary Authority is the Competent

Authority to sign Charge- sheet. (See Annexure 'D').
From the Annexure, it may be seen that for major penalties, the Disciplinary
Authorities are different from those for minor penalties. At the stage of issuing the
Charge-sheet it may always not be very clear whether the offence is such that a
major penalty may be imposed ultimately or the decision would be only in favour
of a minor penalty. Except for very simple cases where beyond doubt the offence
may lead to imposition of only a minor penalty, it will be desirable to have the
Charge-sheet issued under the signature of Disciplinary Authorities empowered
to impose major penalty.
7.7 Service of Charge-sheet
Serving the Charge-sheet on the delinquent employee plays a very important

role in disciplinary proceedings. Hence, all efforts should be made by the employer to
see that the Charge-sheet is served on the delinquent employee.
Page: 11 of 62
- The Charge-sheet may be handed over to the employee and his signature or
thumb-impression of his having received the same obtained on the office copy.
- In case he refused to accept the Charge-sheet, an endorsement to the effect

should be made on the office copy in the presence of at least two witnesses whose
signatures should be obtained.
- In case the concerned employee receives the Charge-sheet but refuses to sign
or give his thumb-impression on the office copy, an endorsement to the effect
should be made on the office copy and signatures of at least two witnesses may
be taken.
- If the employee concerned asks for the Charge- sheet being made out in the
language which he knows, the same should be done.
- If the employee either refuses to accept or give acknowledgement of the Charge-

sheet or is not present within the Organization due to suspension or any other
reason, the Charge-sheet should be sent to his last known and recorded address
(both local as well as permanent) by Registered Post with acknowledgement
due.
- If the employee concerned refuses to accept the registered letter carrying the
Charge-sheet and there is an endorsement by the Postal Authorities to that effect
on the envelope, the same may be treated as adequate service. The returned
postal envelope in that case should be retained, without opening, in record.
In case of absence or refusal of the employee to take the Charge-sheet or refusal

to give acknowledgement of its receipt, a copy of the same should also be
displayed on Notice Board. If all efforts to serve the Charge-sheet on the
employee fail, the Charge- sheet may be published in some local/regional
newspaper with a wide circulation.
7.8 While preparing a Charge-sheet, the guidelines suggested in the format of

Annexure 'E' may be followed.
Page: 12 of 62
CHAPTER - VIII
SUSPENSION
8.1 What is Suspension :
Suspension from duty means keeping an employee away from work-place

temporarily for reasons of discipline. Suspension does not mean removal from
service. If a person is suspended, he continues to be in service, but is in a stage, as
it were, of suspended animation.
8.2 When to Suspend:
The suspension of an employee from duty often arises under the following three
different types of situations:
(a) Suspension Pending Domestic Enquiry :
If an employee has committed such serious acts of misconduct such as

assault, sabotage etc. and his presence inside the work promises poses
threat to the safety of the men and material, he may be kept under
suspension immediately pending investigations. This is called Suspension
Pending Domestic Enquiry. At this stage this suspension cannot be called a
punishment. It is desirable to issue the order of suspension along with
Charge- sheet but if it is not possible, the Charge-sheet must follow within
7 days of issue of suspension order (See Annexure 'F-1').
(b) Suspension Pending Court's Order :
The disciplinary authority has a r i g h t to keep an employee under

suspension, if he is accused in a court of law of any criminal offence, until the
disposal of the trial. (See Annexure 'F-2' ).
(c) Suspension as Punishment :
Even though an employee is not suspended pending enquiry, if it is

decided to punish him by way of suspension for the acts of misconduct
committed by him, the disciplinary authority may do so after the
conclusion of enquiry in which case the suspended employee will not be
entitled to any payment for the period of suspension since it is a
punishment imposed on him. (See Annexure 'N').
8.3 Status of Suspended Employee:

(a) During the period of suspension, the suspended employee shall not
enter the work-premises without the permission of the disciplinary
authority or any other authority competent to do so.
(b) The suspended employee shall not leave the station without the
written permission of the competent authority.
Page: 13 of 62
(c) The employee suspended pending enquiry shall be paid subsistence

allowance as admissible to him under CDA Rules or Standing
Orders, as the case may be, which will increase/ decrease
depending upon the merits of the case if the period of suspension
gets prolonged.
(d) No leave shall be granted to a suspended employee during the

period of suspension.
(e) The suspended employee will not be paid subsistence allowance

if he is engaged in any other employment, business, profession
or vocation.
(f) If it is decided after the conclusion of enquiry not to remove the

suspended employee from service, he will be simply allotted the
job treating the period of suspension as on duty or leave as
decided by the disciplinary authority.
(g) If an employee suspended pending enquiry submits resignation, it

is normally not accepted unless it is in the company's interest.
8.4 Subsistence Allowance:
Subsistence allowance is the payment made to an employee who is kept

under suspension pending enquiry/ court's order only, as under:
Employees governed by C.D.A Rules Employee governed by Standing Orders

a. Subsistence Allowance is payable at the Subsistence Allowance is payable at the rate
rate of 50% of his basic pay. In addition of half his basic wage + Dearness Allowance for
Dearness Allowance as admissible on the period of his suspension.
such subsistence allowance and any
other Compensatory Allowance of which
he was in receipt on the date of
suspension, are also admissible.
(b) If the period of suspension exceeds six If the period of suspension exceeds
months: three months:
(i) Due to reasons not directly attributable Due to reasons attributable to the
to the employee, subsistence employer, subsistence allowance is
allowance is payable at the rate of payable at the rate of 3/4th of his
75% of his basic pay and allowances basic wages + Dearness
thereon. Allowance.
Page: 14 of 62
ii) Due to reasons directly attributable to Due to reasons attributable to the

the employee, subsistence allowance employee, subsistence allowance is
is payable at the rate of 25% of his payable at the rate of 1/4th of his
basic pay and allowances thereon. basic wages + Dearness Allowance.
(c) The payment of above subsistence allowance will be subject to a written

declaration by the employee concerned that he is not engaged in other
employment or business or profession or vocation as we l l as his observance of
the instructions/ advice contained in the order of suspension issued to him.
(d) If the suspended employee is found guilty of the misconduct alleged against him
or some other misconduct brought out in the course of the enquiry and
punishment is awarded, he shall not be entitled to any remuneration for the period
of suspension pending enquiry other than the subsistence allowance already paid
to him, if he is governed by the Standing Orders. In case of an employee
governed by the Conduct, Discipline& Appeal Rules, he shall be entitled to such
proportion of pay and allowances only as the competent authority may prescribe.
(e) If the suspended employee is found not guilty of the misconduct, he shall be paid
the difference between the subsistence allowance already paid and the
emoluments consisting of pay and allowances which he would have received if
he had not been suspended.
(f) For establishments located in West Bengal, the above provision will be subject to
the West Bengal Payment of Subsistence Allowance Act, 1969.
CHAPTER - IX
DOMESTIC ENQUIRY
9.1 If the explanation submitted by the delinquent employee in reply to the Charge-
sheet is not found satisfactory, the Disciplinary Authority may institute domestic
enquiry by appointing an Enquiry Officer (or Enquiry Committee consisting of
more than one person) and the Presenting Officer and inform the Charge-
sheeted workman about the same as shown in Annexure 'G' & 'H'. The Enquiry
Officer would send a Notice of Enquiry as shown in Annexure ‘I’ giving him
sufficient time to attend the enquiry.
9.2 Role of Participants in Domestic Enquiry:
The persons concerned with domestic enquiry and who participate in any
domestic enquiry are:
(a) Enquiry Officer: The Enquiry Officer is the officer appointed by the
disciplinary authority to conduct an enquiry into the allegations levelled /
against the Charge-sheeted employee. The Enquiry Officer's job is to
listen and record the statements of both the parties i.e., the accused
Page: 15 of 62
employee and the management representative; allow both the parties

to submit to him the relevant documents in support of their contentions;
allow both the parties to examine their witnesses as well as cross-
examine the other's witnesses; allow both the parties to submit arguments
and counter arguments in respect of the charges and evidence
adduced in the enquiry; and finally submit his enquiry' report to the
disciplinary authority.
(b) Presenting Officer: Presenting Officer is the officer appointed to present

the case of the management before the Enquiry Officer relating to the
charges levelled against the accused employee. The Presenting Officer
will produce in the enquiry, all the relevant documents relating to
charges levelled against the employee and also examine the witnesses of
the Company as well as cross-examine the witnesses of the Charge-
sheeted employee. In other words, he plays the role of the Prosecutor. In
cases where felt appropriate complainant may be also appointed as
Presenting Officer.
(c) Charge-sheeted Employee: It is necessary that the enquiry should be

held in the presence of the accused. If, however, the employee failed
to report for the enquiry at the appointed place, date & time, the
Enquiry Officer may proceed with the enquiry ex-parte provided the
Charge-sheet or the enquiry notice included a provision to that effect.
(d) Defence Assistance of the Accused Employee: If the accused employee

wishes another employee of his choice to assist him at the enquiry in
the conduct of his Defence, it should be allowed, if a request is made for
a non-employee union office-bearer, he may be allowed if there is a provision
to that effect under the Standing Orders or Conduct, Discipline and
Appeal Rules.
(e) Interpreter: The presence of an interpreter, from amongst the

employees, would be desirable in case the accused employee is not
familiar with the language in which the enquiry is conducted.
(f) Management Witnesses; These are the persons who appear in the
enquiry to give their statements in support of the charges levelled against the
Charge-sheeted employee.
(g) Charge-sheeted Employee's Witnesses: These are the persons who

appear in the enquiry to give their statements in defence of the Charge-
sheeted employee.
9.3 Who should be Enquiry Officer:

(a) If a person is the witness in the case, he should not be Enquiry Officer.
(b) Enquiry Officer should not be appointed by an Officer who is a witness in

the case.
(c) Enquiry Officer can be any officer of the Company. In exceptional cases if it
is felt desirable an outsider* can also be the Enquiry Officer in which case
approval of the GM should be taken. (*Subject to the provisions of Standing
Orders).
Page: 16 of 62
(d) A person to be Enquiry Officer must be a responsible Officer commanding

respect from the employee. In short, he should not be a judge in his own
case.
(e) A person to be Enquiry Officer should be open minded and unbiased.
9.4 Documents to be forwarded to Enquiry Officer:

The disciplinary authority shall forward to the Enquiry Officer
(a) A copy of the Charge-sheet;
(b) A copy of the reply if submitted by the Charge-sheeted employee;
(c) * List of witnesses, if available;
*(d) List of documents to be produced in enquiry, if available
(e) Copy of order appointing the Presenting Officer.
(*Not mandatory at this stage)
9.5 Procedure of Domestic Enquiry:
(a) At the commencement of the enquiry the charges should be read out
and explained to the charge-sheeted employee and he should be asked
whether he pleads guilty to the charges or not. If the employee admits his guilt
it will be open to the Enquiry officer to examine the employee himself
even in the first instance, so as to enable him to offer any explanation for
his conduct, or to place before the Enquiry Officer any circumstances which
may go to mitigate the gravity of the offense. If after the examination of
the employee, the Presenting officer chooses to examine any witness,
the employee must be given a reasonable opportunity to cross-examine
those witnesses and also to adduce any other evidence that he may
choose including his own further statement. If, on the other hand, the
employee denies the charge, the burden of proving the truth of the
charge and the allegations w i l l be on the management and the
witnesses for establishing the same should be examined first.
(b) At the conclusion of the statement given by each witness in support of

the charges, the same should be read over and explained to the charge-
sheeted employee in the language understood by him and he must be given
a chance to cross-examine the witness. An endorsement to this effect
should be made at the bottom of the statement. The Enquiry Officer may,
as well, put certain questions to the witness to elicit certain
details/clarification from him but the Enquiry Officer should not cross-
examine the witnesses by putting leading questions or making
suggestions. If the Enquiry Officer puts certain questions to the witnesses
after the cross-examination of the said witnesses by the employee is over,
the latter may again be given a chance to cross-examine on t h e basis
of th e supplementary statement given by the witness. Similar facility may be
as well be afforded to the Presenting Officer, after the Enquiry Officer asks
some questions to a defence witness.
(c) After the examination and cross-examination of all the witnesses in support
of the charge is completed, the charge-sheeted employee should be
asked to adduce his defence. He may offer himself to be examined as a
witness and also produce witnesses in his defence. The charge-sheeted
employee may, if he so likes, submit his defence statement in writing, which
should be accepted by the Enquiry Officer as p a r t of the proceedings.
Page: 17 of 62
The burden of bringing the defence witnesses before the Enquiry Officer
is on the charge-sheeted employee. But if the charge-sheeted employee
requests for time to adduce his defence such request should duly and
liberally be considered by the Enquiry Officer. If the employee refuses to
examine any witness the same should be recorded by the Enquiry
Officer. After the examination of the defence witness is over,
the employee should be asked whether he desires to make any further
statement. Any statement which he may make should be taken down and
questions may be put to him and asking him to clarify any particular point
or circumstance. It is advisable for the Enquiry Officer to put the following
question to the charge sheeted employee before concluding the enquiry-
"Have you anything further to state"?-and record his answer thereto.
9.6 Recording of the Proceedings
Proceedings of the enquiry must be recorded elaborately. The statement of the witness
and subsequent examination/cross-examination should be recorded. The statement should
be recorded in a narrative form. However, on crucial and vital points the actual question put
and answer given may, if necessary, be recorded. But as far as practicable question-
answer form of recording should be avoided.
9.7 Leading Questions:

Leading questions i.e. questions suggesting the desired answer and suggestions positive
or negative, should be disallowed except in cross-examination. Some examples of leading
questions are given below :
1 X is charge-sheeted for assaulting Y in the latter's office at 10.30 a.m on 1.1.1971. The
Presenting Officer puts the following question to the witness for the charge.
Q. Did not Mr. X enter the office of Y at 10.30 a.m. on 1.1.1971 and slap Y on his face ?
2. In another case X is charge-sheeted for theft of Company's property. The Presenting

Officer puts the following question to the witness for the charge.
Q "Was not X going out through the gate with a red packet concealed in his umbrella ?
9.8 All documents and records relied upon by the Presenting Officer and produced at the
enquiry for establishing the charge should be produced in the presence of the charge-
sheeted employee and he should be explained the contents thereof relevant for the
purpose.
9.9 The charge-sheeted employee and or his co- employee should be allowed to
inspect all such documents and records produced as evidence during the
enquiry and his signature obtained on the documents and records which will
show that he had inspected the same. Such documents and records should be
marked as exhibits for the charge. Similarly, documents and records produced
by the charge sheeted employee in his defence should also be marked as exhibits in
defence.
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9.10 If the charge-sheeted employee declines to cross-examine any witness

examined in support of the charge, the fact of his having declined to do so
should be recorded and the signature of the charge sheeted employee and his
co-employee obtained thereon. The statements at each page should be signed
by the witness, the Enquiry Officer the charge sheeted employee and the co-
employee. If the charge-sheeted employee does not know the language in
which the statement is recorded, the Enquiry Officer should read it over and
explain the statement in the language understood by him/them and, if necessary,
may take the help of an interpreter. The Enquiry Officer then should record at the
conclusion of the statement of each witness to the effect that the statement was
recorded in presence of the employee and was explained to the witness and the
employee in the language understood by them as the case may be and then ask the
witness to put his signature at the end and on each page and so also the employee
be asked to sign on each page and at the end. The co-employee, if any of the
(above referred) person refuses to sign as required, the same should be
recorded by the Enquiry Officer and attested by any witness present.
9.11 Ex-parte Enquiry:
When the enquiry is fixed at a particular time, place and date and the charge-
sheeted employee does not turn up and seeks a postponement on genuine
grounds, the same may be granted. If the charge-sheeted employee makes
further attempts for adjournment and the Enquiry Officer is convinced that it is being
done with a view to deliberately delay the proceedings, the Enquiry Officer may
proceed with the enquiry ex-parte. Every adjourned proceedings of the ex-parte
enquiry should be duly notified to the charge-sheeted employee. If he presents
himself and desires to participate he should be allowed to do so. In no case the
Enquiry Officer should proceed ex-parte on the first date of enquiry. One ex-
parte hearing does not preclude giving notice for subsequent hearings. Where an
ex-parte enquiry is held it should not be presumed that the misconduct as
mentioned in the Charge-sheet, stands proved. The Enquiry Officer still should
hold the enquiry and the Presenting Officer prove the charge against the
Charge- sheeted employee and adduce adequate evidence to that effect. If the
Presenting Officer fails to prove the charge, the Enquiry Officer should give his
findings, accordingly holding the delinquent not guilty.
9.12 Partly Heard Enquiry:
If an Enquiry Officer, after having heard and recorded the whole or any part of the
evidence in any enquiry, ceases to function as Enquiry Officer for any reason and a
new Officer is appointed as Enquiry Officer for conducting the enquiry, the new
enquiry officer may proceed with the enquiry from the stage left over by the
predecessor and act on the evidence already recorded by his predecessor.
9.13 Joint Enquiry:
Where two or more persons are charge sheeted in connection with the same
incident or transaction, the authority competent to take disciplinary action for all
of them may direct a joint enquiry to be held against them. If the authorities
competent to impose the penalty are different, an order for joint proceedings may be
made by the highest of such authorities.
9.14 De-Novo Enquiry:

Page: 19 of 62
If the Charge-sheeted employee makes a request for re-conducting the enquiry

or the Disciplinary Authority feels on the merits of the case that the enquiry has to
be re-opened and conducted again in the interests of justice, the enquiry may be
re-opened and conducted again as per the orders of the Disciplinary Authority. This
is called De-Novo-Enquiry.
9.15 Examination-in-Chief Cross-examination/Re-examination:
Examination of a witness by the party who calls him is called as examination-in-

chief. The witness here may give his statement by himself or reply to the questions put
by the party who has called him. The questions cannot be leading questions. The
examination-in-chief of a witness is followed by cross-examination, by the
opposite party. If after the cross examination, the party who has called the
witness desires to clarify points raised in cross-examination, he may put the
witness to further examination which is called re-examination. After such re-
examination, the witness should be allowed to be further cross examined.
9.16 Report of the Enquiry Officer:

After the conclusion of the recording of evidence, the Enquiry Officer should
prepare and submit his report. The Enquiry Officer should record clearly and
precisely his findings and indicate the reasons for arriving at such findings in
respect of each charge. The findings must be based on the evidence on record.
He should not import his personal knowledge or any material which is not on
record. The oral evidence and the documents and record marked as exhibits at
he enquiry should alone form the basis for arriving at the findings in respect of
each charge. The Enquiry Officer need not write a very long or elaborate report,
but he must discuss the evidence and state his reasons for accepting or rejecting
the same. Even in a case where the Enquiry Officer himself is the ultimate
disciplinary authority, he must state his reasons for finding the employee
concerned guilty or otherwise of the charges levelled against him.
9.17 The Enquiry Officer should clearly bear in mind that his task is to hold an
enquiry into the charges and to record, in respect of each charge, whether it is
established or not. He should not recommend any punishment to be imposed on the
charge-sheeted employee. Facts or documents which have been adduced or
produced as evidence before the committee in the presence of the charge-sheeted
employee only, should be taken into consideration while recording the findings
unless the proceedings are ex-parte.
i) After conclusion of the enquiry, a report shall be prepared by the Enquiry Officer and it
shall contain:
(a) the articles of charges and the statement of the allegations of misconduct or
misbehavior;
(b) the defence of the employee in respect of each article of charge;
(c) an assessment of the evidence in respect of each article of charge;
(d) the findings on each article of charge and the reasons therefor.
ii) The Enquiry Officer where he is not himself the disciplinary authority, shall
forward to the disciplinary authority the records of enquiry which shall include:
(a) the report prepared by it under clause (i) above;

Page: 20 of 62
(b) the written statement of defence submitted by the employee;
(c) the oral and documentary evidence produced in the course of the enquiry;
(d) the orders, if any, made by the disciplinary authority and the enquiry
authority in regard to the enquiry.
iii) The disciplinary authority shall consider the records of the enquiry, record his
conclusions on each charge and pass appropriate orders.
9.18 Supplying Copy of the Proceedings to the Employee:
In case during the proceedings of the enquiry, the Charge-sheeted employee asks for
copies of statement for the purpose of cross-examination he should be supplied with the
same provided that he is unable to read and understand the deposition.
9.19 Order by the Disciplinary Authority:
The disciplinary authority has to finally decide the matter. He may accept the findings of the
Enquiry Officer and decide the penalty or otherwise. While so deciding he has to take into
consideration the gravity of the misconduct and the past records of the Charge-sheeted
employee and any other extenuating and/or aggravating circumstances that may exist. If he
agrees with the findings, he should take a decision regarding the penalty to be imposed.
If, on the other hand, he does not agree with the findings he should record the reasons
for differing with the findings of the Enquiry Officer records his own findings of guilt, he should
afford another opportunity to the Charge-sheeted employee to show cause against the
findings of guilt and take into consideration the causes, if any, shown before awarding any
penalty. The quantum of penalty imposed on the Charge-sheeted employee should not be
disproportionate to the seriousness of the misconduct established, and should be one
which any other reasonable employer, under similar circumstances would have awarded.
9.20 Check List for Disciplinary Authority:
The disciplinary authority before passing final orders should check up if the following
aspects have been taken care of:
(a) Whether definite and specific charges were framed;
(b) Whether the Charge-sheet was properly served:
(c) Whether the Charge-sheeted employee was given sufficient time to submit
his explanation, as required under the rules. Whether the explanation, if any,
submitted was duly considered;
(d) Whether the person charged was allowed to cross examine the witness
produced in support of charges, to give evidence in person and to call
witness on his behalf;
(e) Whether the findings are based on evidence on record, and whether the
penalty is proportionate to the gravity of the offence established.
Page: 21 of 62
(f) The disciplinary authority should also look into the past records of the
employee an extenuating and aggravating circumstance, if any, while
deciding the penalty to be imposed.
(g) The disciplinary authority should also see if permission or approval is to be

taken from the appropriate authority under Industrial Disputes Act because
some dispute is pending with conciliation etc or the employee is a Protected
Workman.
(h) The disciplinary authority should also check-up if a final show-cause notice is
to be given to the charge- sheeted employee before passing the punishment
order.
9.21 Communication of Order to the Charge-sheeted Employee:
After the disciplinary authority decides to impose a major penalty it should be

communicated to the employee as early as possible in the specimen form as in
Annexures. The orders should be unambiguous and must related to the charge. It should
be signed by the authority competent to sign the order and in no case by any subordinate
officers as "for and on behalf of" the disciplinary authority.
9.22 Employee on Deputation from the Central Govt. or the State Government etc.:
Where an order of suspension is made or disciplinary proceedings is taken against an

employee, who is on deputation to the Company from the Central or a State Government,
or another public undertaking, or a local authority, the authority lending his services
(hereinafter referred to as the "lending authority") shall forthwith be informed of the
circumstances leading to the order of his suspension, or the commencement of the
disciplinary proceedings, as the case may be.
9.23 In the light of the findings in the disciplinary proceeding taken against the employee:
(a) If the disciplinary authority is of the opinion that any of the minor penalties should be
imposed on him, it may pass such orders on the case as it deems necessary after
consultation with the Lending Authority; provided that in the event of a difference of
opinion between the disciplinary authority and the Lending Authority, the services of
the employee shall be placed at the disposal of the Lending Authority.
(b) If the disciplinary authority is of the opinion that any of the major penalties should be
imposed on him, it should place his services at the disposal of the Lending Authority
and transmit to it the proceedings of the enquiry for such action as it deems
necessary.
9.23.1 If the employee submits an appeal against an order imposing a minor penalty on him
under sub-rule (a) it will be disposed of after consultation with the Lending Authority; provided that
if there is a difference of opinion between the Appellate Authority and the Lending Authority, the
services of the employee shall be placed at the disposal of the Lending Authority and the
proceedings of the case shall be transmitted to that authority for such action as it deems
necessary.
CHAPTER –X
Page: 22 of 62
PENALTIES
10. 1 On the basis of the conclusions arrived at in the domestic enquiry, if it is found that the
charges levelled against the employee are not proved, he may be exonerated and
a letter to that effect may be issued (See Annexure-J). If one of the charges or all the
charges are proved, then the appropriate penalty may be imposed on the employee
by referring to the penalties provided under the Rules.
10.2 Form of Penalties:
(i) Employees governed by Conduct, Discipline and Appeal Rules:

Minor Penalties:
(a) Censure;
(b) Withholding of Promotion;
(c) Withholding of increments of pay with or without cumulative

effect;
(d) Recovery from pay or such other amount as may be due to him, of
the whole or part of any pecuniary loss, caused to the Company by
negligence or breach of orders.
Major Penalties:
(a) Reduction to a lower grade or post or to a lower stage in a time

scale;
(b) Dismissal from service;
(c) Removal from service which shall not be a disqualification for

future employment.
(ii) Employees governed by Standing Orders:
(The following are as per Model Standing Orders which should be

replaced by list of penalties as mentioned in the respective Certified
Standing Orders of NTPC's Projects).
(a) Fine;
(b) Suspension without wages for a period not exceeding four days;
(c )Stoppage of annual increment;
(d) Reduction in rank;
(e) Dismissal from service.
10.3 Action not considered "Penalty":
The following shall not amount to a penalty:
i) Issue of warning;
Page: 23 of 62
ii) Withholding of increment of an employee on account of his work being found

unsatisfactory or failure to pass a prescribed test or examination;
iii) Stoppage of an employee at the efficiency bar/test in a time-scale on

the ground of his unfitness to cross the efficiency bar/test.
iv) Non-promotion, whether in an officiating capacity or otherwise, of an

employee to a higher post for which he may be eligible, but for which he
is found unsuitable;
v) Reversion to a lower class, grade or post of an employee officiating in a

higher class, grade or post on the ground that he is considered, after
trial, to be unsuitable for such higher class, grade or post, or on
administrative grounds unconnected with his conduct;
vi) Reversion to the previous class, grade or post of an employee,

appointed on probation or another class, grade or post, during or at the end
of the period of probation, in accordance with the terms of the appointment
or probation;
vii) Termination of service;
- Of an employee appointed on probation during or at the end of

the period of probation, in accordance w i t h the, terms of his
appointment
- Of an employee appointed in a temporary capacity otherwise

than under a contract or agreement, on the expiry of the period
for which he was appointed earlier in accordance with the
terms of his appointment;
- Of an employee appointed under a contract or agreement, in

accordance with the terms of such contract or agreement; and
- Of an employee on reduction of establishment.
10.4 Penalties and their Imposition:
The penalty proposed should normally be commensurate with the gravity of the
'misconduct'. Though it is the management's discretion to award a lesser penalty
than stipulated under the rules, major penalty for a minor misconduct cannot be
awarded. The management has the discretion to decide the appropriate penalty
for a particular misconduct, subject to the obvious qualification that the penalty
should not be unduly excessive. The penalty must be imposed for good a n d
sufficient reason.
10.5 Warning:
Warning may be oral or in writing. When it is in writing it forms a part of one's record of
service and reflects on the conduct and efficiency of the employee. It can also be
used in awarding severe punishment in future in case of habitual repetition of the
same offence.
Page: 24 of 62
Issue of warning does not affect wages of the employee nor does it have any
bearing on the status or future increment of the employee. It merely amounts to a
displeasure by the management that such an act of the employee is not looked in
with favour by the management and is just to inspire awe in the mind of the employee
to be a bit more vigilant, careful and responsible and make it clear to him that if
he persists in that action it is likely to bring him into trouble. Warning letter may
be issued on the lines of the draft suggested in Annexure-'K'.
10.6 Censure:
Censure is a minor penalty that can be imposed as a formal punishment. The

conditions for imposing this penalty are:
i) that the employee has been held guilty of some blame-worthy act or
omission;.
ii) that it is imposed for good and sufficient reason;
iii) that his explanation is received in writing and is found unsatisfactory, or his
explanation has not been received.
A Censure should be recorded in the service document of the employee. Letter

awarding the punishment of Censure may be issued in the proforma as in
Annexure-'L'.
10.7 Fine :
It may be defined as sum of money fixed as penalty for an act of misconduct. It is a
deduction made from the wages of an employee as a punishment. Payment of Wages
Act provides that the total amount of fine which may be imposed in anyone wage
period on an employee shall not exceed an amount equal to three paise in a
rupee of the wage payable to him in respect of that wage period.
No fine so imposed shall be recovered from an employee by installments or after

expiry of 60 days from the day on which it was imposed.
Every fine shall be deemed to have been imposed on the day of act or omission in
respect of which it was imposed.
Letter imposing the penalty of fine may be issued in the proforma as shown at
Annexure-'M'.
All fines and all realisations thereof shall be recorded in a register, and all such
realisations shall be applied only to such purposes beneficial to the persons
employed in the factory or establishment as are approved by the prescribed
authority.
10.8 Suspension:
Suspension may be ordered as a punishment. It is different from suspension

pending enquiry. Suspension as a penalty can be inflicted on an employee after
the completion of the formalities of the disciplinary proceedings. Suspension
letter may be issued on the lines of the draft suggested in Annexure-'N'.
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10.9 Withholding of Increments:
Employees in time-scale of pay get annual increment in normal course, subject to

passing of the efficiency bar or test, if any, prescribed. Withholding of increment
of an employee either on account of his work b e i n g found unsatisfactory or for
failure to pass the prescribed test/examination is different from withholding of
increment as a penalty. While the former is only an administrative action taken by
the management against an employee for his inefficiency, the latter is a result of
disciplinary action.
As a penalty, their increment can be withheld after following the procedure
prescribed. A letter to this effect may be issued on the lines of the draft
suggested in Annexure-O
10.10 Reduction to a Lower Grade or Post or Stage:
The expression reduction to a lower grade or post means a transfer from a higher
position to a lower position at a lower rate of salary.
Reduction in rank may be either by way of punishment or it may be on

administrative grounds. When an employee is reverted from a higher post in which he
does not hold a lien, it cannot be considered either a punishment or forfeiture of
emoluments.
While ordering the punishment of reduction to a lower grade or post the

disciplinary authority shall state the period for which it shall be effective and whether on
restoration the period of reduction shall operate to postpone his future increment; if
so, to what extent.
Every order passed by a disciplinary authority imposing the penalty of reduction

to a lower stage in a time-scale (Annexure-'P') should indicate:
i) the stage in the time scale (in terms of rupees) to which the employee is
reduced; and
ii) the date from which it will take effect.
It is a major penalty and the acts of misconduct for which reduction in rank/grade
may be awarded are almost the same as those for which the penalty of removal
or dismissal can be awarded.
10.11 Removal and Dismissal:
The Dictionary meaning of the word removal means 'to discharge,' 'to get rid of, 'to
dismiss'. The word dismissal means 'to let go', to relieve from duty. In ordinary
parlance both these words mean the termination of an employee's service.
However, there is a slight distinction between the two in the sense that the
removal from service does not disqualify an employee from re-employment in the
Company whereas dismissal from service does disqualify him from such re-
employment; and thus, dismissal is the severest of all the penalties. Removal or
dismissal is due to gross misconduct on the part of an employee and is resorted to
generally for:
Page: 26 of 62
a) Such conduct on the part of the employee as may be deemed to be

inconsistent or incompatible for discharge of his duties; and
b) Such immorality on his part as may bring the employer in disrepute.
No order of removal or dismissal from service shall be made by an authority lower

than the appointing authority of the employee concerned, notwithstanding the fact
that the appointing authority might have subsequently delegated the power of
appointment of employees of the category/rank to which the employee belongs to
such lower authority.
A removal or dismissal letter may be made on the lines of the draft suggested in
Annexure-'Q'.
Names of the dismissed employees shall be communicated to the different

units/offices in order to prevent their re-employment in the Company.
CHAPTER-XI
APPEAL AND REVIEW
11.1 An employee on whom any of the penalties is imposed shall have the right of appeal
to the authority notified in this behalf. The appeal shall be submitted within 30
days of the receipt of the order of the disciplinary authority (within 21days in case
of Model Standing Orders) and the Appellate Authority shall dispose of the
appeal within 30 days (3 months when Conduct, Discipline & Appeal Rules are
applicable) of the receipt of the appeal.
11.2 Provisions under Conduct, Discipline & Appeal Rules:
11.2.1 An employee governed by Conduct, Discipline & Appeal Rules may also prefer an
appeal against an order of suspension to the appellate authority as shown in
Annexure-'D'.
11.2.2 The appeal shall be addressed to the appellate authority and submitted to the
authority whose order is appealed against. The latter authority shall forward the
appeal together with its comments and the records of the case to the appellate
authority within 15 days. The appellate authority shall consider whether the
findings are justified or whether the penalty is excessive or inadequate and pass
appropriate orders within three months of the date of appeal. The appellate
authority may pass order confirming, enhancing, reducing or setting aside the
penalty or remitting the case to the authority which imposed the penalty or to any
other authority with such direction as it may deem fit in the circumstances of the case
11.2.3 Provided that if the enhanced penalty which the appellate authority proposes to
impose is a major penalty and an enquiry as provided under rules has not already been
held in the case, the appellate authority shall direct that such an enquiry be held in
accordance with the provisions of the rules and thereafter consider the record of
the enquiry and pass such orders as it may deem proper. If the appellate
Page: 27 of 62
authority decides to enhance the punishment but an enquiry has already been
held as provided in rules, the appellate authority shall give a show cause notice
to the employee as to why the enhanced penalty should not be imposed upon
him. The appellate authority shall pass final order after taking into account the
representation, if any, submitted by the employee.
11.3 Review:
11.3.1 For employees governed by the Standing Orders, an authority higher than the
appellate authority may review the case after appeal at any time either on its own
motion or on the application of the employee concerned.
11.3.2 For employees governed by Conduct, Discipline & Appeal Rules, the reviewing
authority may call for the record of the case within 6 months of the date of the final
order and after reviewing the case pass such orders thereon as it may deem fit.
P r o vi d e d t h a t if the reviewing authority proposes to impose any enhanced

penalty, in the nature of a major penalty, the reviewing authority shall deal with the
case in the same manner as indicated in the proviso to para 11.2.2.
LIST OF ANNEXURES
1. Annexure-'A’ Acts of Misconduct as per Model Standing Orders

Acts of Misconduct as per Conduct, Discipline &
2. Annexure-'B'
Appeal Rules
3. Annexure-'C' Report of Misconduct
Annexure of Conduct, Discipline & Appeal Rules
4. Annexure-'D' showing the Disciplinary Authorities / Appellate
Authorities
5. Annexure-'E' Charge-sheet
6. Annexure-'Fl’ Order of suspension pending enquiry
7. Annexure-'F2' Order of suspension pending Court's Order
8. Annexure-'G' Order appointing the Enquiry Officer/ Committee
9. Annexure-'H' Order appointing the Presenting Officer
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10. Annexure-'I' Notice of enquiry

11. Annexure-'J' Exoneration letter
12. Annexure-'K' Warning letter
13. Annexure-'L' Punishment Order - Censure
14. Annexure-'M' Punishment Order - Fine
15. Annexure-'N' Punishment Order - Suspension
Punishment Order - Withholding Stoppage of
16. Annexure-'O'
increment Punishment Order
17. Annexure-'P' Punishment Order - Reduction in rank/pay
18. Annexure-'Q' Punishment Order - Removal Dismissal
N.B.: The proforma given in these Annexures may be suitably modified, wherever
necessary, to suit the facts and circumstances of a particular case.
Page: 29 of 62
ANNEXURE 'A'
ACTS OF MISCONDUCT
(As Per Clause 14(3) of Model Standing Orders)
The following acts and omissions shall be treated as misconduct:
1. Willful insubordination or disobedience, whether alone or in combination with others,

to any lawful and reasonable order of a superior.
2. Theft, fraud or dishonesty in connection with the employer's business or property
3. Willful damage to or loss of employer's goods or property.
4. Taking or giving bribes or any illegal gratification.
5. Habitual absence without leave or absence without leave for more than 10 days.
6. Habitual late attendance.
7. Habitual breach of any law applicable to the establishment.
8. Riotous or disorderly behaviour during working hours at the establishment or any act
subversive of discipline.
9. Habitual negligence or neglect of work.
10. Frequent repetition of any act or omission for which a fine may be imposed to a
maximum of 2 per cent of the wages in a month.
11. Striking work or inciting others to strike work in contravention of the provision of any
law, or rule having the force of law.
N.B.: This list will be replaced by the list of misconduct contained in the Certified
Standing Orders of the Company's Project/Unit concerned.
ANNEXURE 'B'
ACTS OF MISCONDUCT
(As per Rule 5 of NTPC Conduct, Discipline & Appeal Rules)
Without prejudice to the generality of the term ‘misconduct’ the following acts of
omission and commission shall be treated as misconduct:
Page: 30 of 62
1) Theft, fraud or dishonesty in connection with the business or property of the

Company or of property of another person within the premises of the Company.
2) Taking or giving bribes or any illegal gratification.
3) Possession of pecuniary resources of property disproportionate to the known

sources of income by the employee or on his behalf by another person, which the
employee cannot satisfactorily account for.
4) Furnishing false information regarding name, age, father's name, qualifications, ability
or previous service or any other matter germane to the employment at the time of
employment or during the course of employment.
5) Acting in a manner prejudicial to the interests of the Company.
6) Willful insubordination or disobedience, whether or not in combination with others,

of any lawful and reasonable order of his superior.
7) Absence without leave or over-staying the sanctioned leave for more than four
consecutive days without sufficient grounds or proper or satisfactory explanation.
8) Habitual late or irregular attendance.
9) Neglect of work or negligence in the performance of duty including malingering or

slowing down of work.
10) Damage to any property of the Company.
11) Interference or tampering with any safety devices installed in or about the
premises of the Company.
12) Drunkenness or riotous or disorderly or indecent behavior in the premises of the

Company or outside such premises where such behaviour is related to or
connected with the employment.
13) Gambling within the premises of the establishment.
14) Smoking within the premises of the establishment where it is prohibited.
15) Collection without the permission of the competent authority of any money
within the premises of the Company except as sanctioned by any law of the
land for the time-being in force or rules of the Company.
16) Sleeping while on duty.
17) Commission of any act which amounts to a criminal offence involving moral
turpitude.
18) Absence from the employee's appointed place of work without permission or
sufficient cause.
Page: 31 of 62
19) Purchasing properties, machinery stores, etc. from or selling properties

machinery, stores etc. to the Company without express permission in writing from
the competent authority.
20) Commission of any act subversive of discipline or of good behaviour.
21) Abetment of or attempt at abetment of any act which amounts to misconduct.
NOTE: The above instances of misconduct are illustrative in nature and not exhaustive.
ANNEXURE 'C'
REPORT OF MISCONDUCT
To,
The Departmental Head/HR Department, ...............................
I wish to report as under:

1. Name & Employee No. of Delinquent Employee
2. Designation of the Delinquent Employee:
3. Time and Date of incident:
4. Place of occurrence :
5. Details of misconduct:
6. Name(s) & Signature of Witness(es):
7. Whether statements recorded and attached: Yes/No
Date : Signature of Reporting

Employee
(Complainant)
Name:
Designation:
Recommended of Departmental Head: (To be forwarded to the HR Officer)
Signature of Departmental Head:
Date :
N.B. : This report should be filled in duplicate, one copy of which w i ll be forwarded to the
HR Officer along with recommendations of Departmental Head. This copy will
ultimately be filed in the Personal File of the person concerned.
Page: 32 of 62
Page: 33 of 62
ANNEXURE-D
Schedule of Delegation of Powers in Respect of Disciplinary Matters Under NTPC

Conduct Discipline and Appeal Rules.(30),(8)
Authorities to Exercise
Subject Matter Extent of Powers Delegated
Powers
1 2 3
1. Authority competent to Full powers in respect of the employees Executives in the rank of
issue charge sheet in the grades of Rs.11500-26000 (W3) Asstt. Engineer and above or
and below under their control equivalent and Supervisor and
Supervisor Gr.l.
in the grades of Rs.14500-32000 (W6) of Senior Engineer or
and , below under their control. equivalent
Full powers in respect of the employees Executives not below the rank of
in the grades of Rs.20000-42500 (W Deputy Manager or equivalent.
11) 20000-42500 (S4) and below

in the grades of Rs.24900-50500 (E2A) the rank of Manager or

in the grades of Rs.29100-54500 (E3) the rank of Sr. Manager or

in the grades of Rs.32900-58000 the rank of Dy. General
(E4)and below under their control. Manager or equivalent.

62000 (E5)and below, under their
control.
Full powers in respect of the Executive Director/Functional

employees in the grades of Rs.43200- Director.
control.
62000-80000 (E9)(excluding
Page: 34 of 62
2. Authority competent Full powers in respect of the Head of Department not below
to appoint Inquiring employees in the grades of Rs.24900- the rank of Manager or
Authority 50500 (E2A) and below, under their equivalent,
control.

employees in the grades of Rs.29100- the rank of Sr. Manager or
54500 (E3) and below, under their equivalent
control.

employees in the grades of Rs.32900- the rank of Deputy General
58000 (E4) and below, under their Manager or equivalent.
control.

employees in the grades of Rs. 36600-
control
Page: 35 of 62

43200-66000 (E6)and below, under
their control.

62000-80000 (E9)(excluding
3. Authority competent to Full powers in respect of the Executive not below the rank of
pass order of employees in the grades of Dy. Manager or equivalent
suspension pending Rs.14500-32000(W6)and below,
enquiry/trial under their control.

employees in the grades of of Manager or equivalent
Rs.20000-42500(W 1 1)/
20000-42500 (S4) and below, under
their control.
Full powers in respect of the General Manager/Executive
employees in the grades of Director/Functional Director.
Rs.36600-62000 (E5)and below,

620000-80000 (E9)(excluding
4. Authority Competent Same as in Sl.No.1 Same as in Sl.No.1

to impose minor
penalties
5. Authority competent to
impose major penalties
:
a) Other than removal from Full powers in respect of the Executives not below the rank
service and dismissal employees in the grades of Rs.14500- of Manager or equivalent
32000 (W6)and below, under their
control.

employees in the grades of Rs.20000- of Sr. Manager or equivalent
425000 (Wll)/ 20000-425000 (S4) &
below, under their control.
Full powers in respect: of the General Manager

Page: 36 of 62

control.
Full powers in respect of the

58000 (E4)and below, under their Executive Director/ Functional
control. Director
73000 (E7) and below

employees in the grades of 62000-
80000 (E9) (excluding Functional
Directors) and below.
b) Removal from service Full powers in respect of the Appointing Authority

and dismissal employees in the grades of
Rs.51300-73000 (E7) and below,

62000-80000 (E9) (excluding
6. Appellate authority in the Full powers in respect of the Executive/Authority next higher to
matter of disciplinary employees under their control. the one which imposed the
cases (minor & major penalty.
penalties, other than
removal from service &
dismissal
7. Reviewing authority in Full powers in respect of the Executive/Authority next, higher to

the, matter of employees under their control. the Appellate Authority.
disciplinary cases
(minor& major penalties,
other than removal from
service & dismissal)
8. Appellate Authority in the Full powers in respect of the Authority next higher to the
matter of removal from employees under their control Appointing Authority
service/dismissal
Page: 37 of 62
9. Reviewing Authority in Full powers in respect of the Chairman & Managing

the matter of employees in the grades of Rs.20000- Director
removal from 42500(Wll) & of Rs.20000-42500 (S4)
service/dismissal and below.
Full powers in respect of all employees Board of Directors

in the grades of Rs. 62000-8000
(E9)(excluding Functional Directors)
and below.
B 1. For the purpose of items at Sl.Nos. 6, 7 and 8 the authority next higher to the
Chairman & Managing Director means the Company's Board of Directors.
2. Functional Directors mean all the full-time Directors on the Board appointed by the
President of India.
3. The grades/pay scales shown above are the existing scales of pay. On revision
the corresponding revised pay scales will replace the above pay scales.
4. In cases where CMD is the Disciplinary Authority the power of signing of the
documents/communications such as chargesheet, order appointing inquiring
authority, order of suspension pending enquiry/trial etc., shall be delegated to
authorities as under, subject to overall control and the final decision being with the
CMD in such disciplinary matters.(8),(9),(24)
The above is applicable in cases where CMD is the Appellate Authority or reviewing
authority.
Level of Employees against Competent Authority

whom action is proposed
a. Manager and Sr. Manager Project Head (GM/AGM)
b. DGM/AGM Regional ED/ED at C.C or

Director in charge in absence of ED.
c. GM D(HR)
d. ED CMD
Page: 38 of 62
ANNEXURE-D1
MODIFIED SCHEDULE OF DELEGATION OF POWERS IN RESPECT OF DISCIPLINARY

MATTERS UNDER NTPC CONDUCT, DISCIPLINE & APPEAL RULES FOR EMPLOYEES IN
THE GRADE OF RS. 20600-46500 & ABOVE (6), (28), (29)
Level of Disciplinary Authority Appellate Reviewing

Executives ……………………………………..................... Authority Authority
Minor Penalty Major Penalty Removal and

Dismissal,
Compulsory
retirement
1. Employees in General Manager General Appointing Executive/ Executive/
the grade of Manager Authority Authority Authority
Rs.24900- next higher next higher
50500(E2A) & to the one to t h e
below under which Appellate
the control. imposed the Authority.
penalty
2. Employees in General Manager Executive Appointing Do do

Rs. 29100-
54500 (E3) &
below under
their control.
3. Employees in General Manager ED / Functional Appointing do do

Rs. 32900-
58000(E4) &
below under
their control
4. Employees in Executive Director ED / Functional CMD do do

the grades of Director
Rs. 36600-
62000 (E5) &
below under
their control
Page: 39 of 62
5. Employees in Executive CMD do do do

the grades of Director/Functional
Rs. 43200- Director
66000(E6)&
below under
their control.

the Grades of Directors
Rs. 51300-
73000(E7) and
below

the grades of Directors
Rs. 51300-
73000 (E7A)
and below
8. Employees in CMD Board of Board of - -

the grade of Directors Directors
Rs. 62000-
80000 (E9)
(Excluding
Functional
Director) &
below
9. Group Cases Disciplinary Authority shall be as for the highest ranking officer.
-
Page: 40 of 62
ANNEXURE 'E'
CHARGE SHEET
Ref.No. : Date:
Name.........…
Employee No….
Designation…
Section...........
Department...
Whereas it has been reported that you have committed the following act(s) or omission which
constitute(s) misconduct in accordance with Standing Orders/Conduct, Discipline & Appeal Rules* :
i) ( Full narration of the accounts of misconduct
i) In detail with particular reference
ii) to date, time place etc.)
2. You are, therefore, charged with having committed the following act(s) of misconduct:
i) Mention only relevant portion from the clauses
ii) applicable to misconduct and refer to number and
iii) sub-clause of the Standing Order/CDA Rules against each of the charges).
3. You are required to submit to the undersigned a written explanation/statement of defence*

on or before.................................. showing cause as to why should you not be dismissed or
otherwise punished* for committing the above mentioned act(s) of misconduct.
4. Should you fail to submit your explanation/statement of defence* as directed it will be assumed
that you have no explanation to offer and the matter will be disposed of ex-parte.
5. Please acknowledge receipt of this Charge-sheet on the duplicate copy enclosed.
Signature of the Disciplinary Authority
Name:
Designation:
Copy to:
1.Concerned Shift in-charge- He is requested to hand over the charge-sheet to the
above named employee after obtaining his dated
signature/left hand thumb impression on the duplicate
copy enclosed & return the same to the undersigned for
record.
2. Concerned HR Officer
Page: 41 of 62
3. Concerned File
*Omit which is not applicable.

Page: 42 of 62
ANNEXURE F-1
ORDER OF SUSPENSION PENDING ENQUIRY
Ref.No. Date:
Name..................................................
Employee No......................................
Designation.......................................
Section...........................................…
Department........................................
Certain allegations amounting to serious misconduct under the Standing Orders/ Conduct,
Discipline & Appeal Rules* have been made against you. Formal charge-sheet is being issued
separately.
2. Since the allegations made against you are of a serious nature, you are hereby suspended with
immediate effect pending further proceedings and final orders in the matter.
3. During the period of your suspension, you shall not enter the Works Premises except with the
permission of the competent authority, nor should you leave the station without the written
permission of the undersigned.
4. You are required to surrender your identification card* to................. immediately.
5. During the period of your suspension, you will be entitled to draw Subsistence Allowance as
admissible under the rules.
6. Please acknowledge receipt of this order on the duplicate copy enclosed.
Name
Designation
Copy to:
1. Concerned Shift in-charge - He is requested to hand over the charge-sheet to the above
named employee after obtaining his dated signature/left
hand thumb impression on the duplicate copy enclosed
& return the same to the undersigned for record.
2. Finance & Accounts Section.
Page: 43 of 62
3. Security Officer.
5. Concerned File
*Omit which is not applicable

Page: 44 of 62
ANNEXURE F-2
ORDER OF SUSPENSION WHERE AN EMPLOYEE IS ACCUSED BY

A COURT OF LAW FOR A CRIMINAL OFFENCE
Ref.No.: Date:
Employee No...............................….
Designation......................................
Section..............................................
Department.............................……
Whereas it has been reported that action is being taken to prosecute you/you have been prosecuted
in a Court of Law for an offence/under Section(s)............... of the Indian Panel Code which is/are of
serious nature involving moral turpitude/ corruption.*
2. You are, therefore, placed under suspension with immediate effect until disposal of the Criminal
trial contemplated/pending against you in accordance with Rule....................of the Standing
Orders/Conduct, Discipline & Appeal Rules*
3 During the period of your suspension, you shall not enter the Works Premises except with
the permission of the competent authority, nor should you leave the station without the
written permission of the undersigned.
You are required to surrender your token/identification card* to................. immediately.
5. During the period of your suspension, you will be entitled to draw Subsistence Allowance as
admissible under the rules.
6. Please acknowledge receipt of this order on the duplicate copy enclosed.
Name
Designation
Copy to:
1. Concerned Shift in-charge - He is requested to hand over the charge-sheet to the above
named employee after obtaining his dated signature/left hand thumb impression on the duplicate
copy enclosed & return the same to the undersigned for record.
2. Finance & Accounts Section.
3. Security Officer.
5. Concerned File

Page: 45 of 62
ANNEXURE 'G'
ORDER APPOINTING THE ENQUIRY OFFICER/COMMITTEE
Ref.No.: Date:
OFFICE ORDER
Whereas certain allegations constituting misconduct have been made

against(name)......................................... designation....................... Section/Deptt................. on which basis
the Charge-sheet was issued to him vide letter No..................... dated............... and whereas the
above workman/employee* has denied the allegation(s) and the charge(s)/has partly admitted the
allegation(s) and the charge(s) necessitating further enquiry/his explain-nation is not otherwise considered
satisfactory/his explanation has not been received*
2. *2. The undersigned, therefore, appoints........................ as Enquiry Officer to enquire into the
allegations and submit findings to the undersigned within............... days for consideration.
*2 The undersigned, therefore, appoints an Enquiry Committee consisting of the following

members:
i).............................................., Chairman.
ii).............................................., Member.
iii)............................................., Convener.
to enquire into the allegations and submit findings to the undersigned with................. days for
consideration.
3. Shri........................ (name of delinquent employee) is directed to appear before the said Enquiry
Officer/Committee* and give his testimony and produce witnesses and/or evidence in support of his defence
before him/the Committee*
Name:
Designation:
Copy to:
1. Enquiry Officer/Members of the Enquiry Committee.
2. Delinquent employee.
Page: 46 of 62
3. Concerned HOD
5. Concerned File

Page: 47 of 62
ANNEXURE 'H'
ORDER APPOINTING THE PRESENTING OFFICER
Ref. No. Date:
OFFICE ORDER
Whereas charge-sheet No......................................dated...........................was issued

to………….... Shri....................................(name)......................designation.....................Section/
Deptt...............
2. Whereas an Enquiry Officer/Committee* was appointed/constituted to enquire into the

allegations against the above named employee vide No............................................ dated...........
3. The undersigned, therefore, appoints Shri...................................................... (name) ,

Designation.............................. Section/Deptt................................ as the Presenting Officer to
present the case and adduce evidence in support thereof, before the said Enquiry Officer
Committee on behalf of the undersigned.
Name:
Designation:
Copy to:
1. Shri........................(Presenting Officer).
2. Enquiry Officer/Members of the Enquiry Committee.
3. Delinquent employee.
4. Concerned HOD
5. Concerned File
Page: 48 of 62
ANNEXURE' I'
NOTICE OF ENQUIRY
REGISTERED A/D U.P.C.
Ref. No.: Date:
Name.................................................
Employee No......................................
Designation........................................
Section...............................................
Department.......................................
Sub: Enquiry Proceedings
In the matter of charge-sheet No............................................dated............................ issued to you, it

is hereby informed that the undersigned/the Enquiry Committee*constituted vide Office Order
No.................................................................... dated............................................will hold enquiry
in...............................................................................…………………………………………… (Place)
in the said matter on............................................................. (date) and
at.............................………………………………............... (time).
2. You are advised to appear at the above mentioned enquiry and produce all your witnesses and
evidence in support of your defence.
3. At the enquiry, the management evidence and witnesses will be examined first. You will be given
full opportunity to examine the evidence and cross-examine the management witnesses on which
the charges are based. You will then be given the opportunity to produce defence evidence and
witnesses. The Presenting Officer will have the right to examine defence evidence and cross-
examine defence witnesses.
4. In the enquiry, you may conduct your defence in person & take the assistance of a representative
as per the provisions of the Standing Orders/Conduct, Discipline & Appeal Rules* applicable to
you. Therefore, you may bring a representative to assist you in the enquiry, if you so desire.
5. You should nominate your representative before the enquiry proceeds and should attend along
with him if you wish to be so assisted at the enquiry. The evidence and witnesses you intend to
produce in the enquiry should also be kept available.
Page: 49 of 62
ANNEXURE' J'
NOTICE OF ENQUIRY
REGISTERED A/D U.P.C.
Ref. No.: Date:
Name.................................................
Employee No......................................
Designation........................................
Section...............................................
Department.......................................
Sub: Enquiry Proceedings
In the matter of charge-sheet No............................................dated............................ issued to you, it

is hereby informed that the undersigned/the Enquiry Committee*constituted vide Office Order
No.................................................................... dated............................................will hold enquiry
in...............................................................................…………………………………………… (Place)
in the said matter on............................................................. (date) and
at.............................………………………………............... (time).
2. You are advised to appear at the above mentioned enquiry and produce all your witnesses and
evidence in support of your defence.
3. At the enquiry, the management evidence and witnesses will be examined first. You will be given
full opportunity to examine the evidence and cross-examine the management witnesses on which
the charges are based. You will then be given the opportunity to produce defence evidence and
witnesses. The Presenting Officer will have the right to examine defence evidence and cross-
examine defence witnesses.
4. In the enquiry, you may conduct your defence in person & take the assistance of a representative
as per the provisions of the Standing Orders/Conduct, Discipline & Appeal Rules* applicable to
you. Therefore, you may bring a representative to assist you in the enquiry, if you so desire.
5. You should nominate your representative before the enquiry proceeds and should attend along
with him if you wish to be so assisted at the enquiry. The evidence and witnesses you intend to
produce in the enquiry should also be kept available.
EXONERATION LETTER
Page: 50 of 62
Ref.No: Date:
Name.............
Employee No….
Designation.…..
Section.........….
Department.….
1. Please refer to the letter of charge No...................... dated............. issued to you and the
subsequent enquiry into the allegations mentioned therein.
2. You are, hereby, exonerated of the charges levelled against you vide above mentioned letter
dated..............
*3. Your suspension order dated............... in the above case is hereby revoked; and you are advised
to report for your duties forthwith, but not later than.......................
*4. Subject to (3) above, the period of your suspension will be treated as on duty and you will be paid
the difference between the subsistence allowance already paid to you and the emoluments
consisting of pay and allowances which you would have received had you not been suspended.

Name:
Designation:
Copy to:
1. Concerned Controlling Officer He is requested to hand over this letter to the above named
employee after obtaining his dated signature/left hand thumb
impression on the duplicate copy enclosed & return the same to
the undersigned for record.
2. Security Officer
3. Finance & Accounts Section
5. Concerned File
*Omit if the employee was not placed under suspension.

Page: 51 of 62
ANNEXURE 'K'
WARNING LETTER
Ref.No: Date:
Name.............
Employee No…
Designation.…..
Section.........…
Department.….
As a result of the departmental enquiry held in your presence/ex-parte,* you are found guilty
jointly* and severally* of the charge(s) levelled against you .(If all the charges are not proved,
mentioned only those charges which are proved as per the charge sheet dated....................*).
In the circumstances, the undersigned would have been fully justified to take a serious view in the
matter and inflict upon you severe punishment. However, in consideration of the fact that your past
record is satisfactory/you have admitted your guilt and requested for pardon/with a view to offer you a
fair chance to improve your conduct*, I have decided to let you off with a written warning this time.
It is hoped that you will appreciate it and improve your conduct in future. However,you should note
that in future, if you are found guilty of this or similar misconducts the Management will not
hesitate to take a very serious-view, if justified by the facts and circumstances of the case.
Name:
Designation:
Copy to:
1. Concerned Controlling Officer - He is requested to hand over this letter to the above
Page: 52 of 62
3. Concerned File
''Omit which is not applicable.

Page: 53 of 62
ANNEXURE 'L'
PUNISHMENT ORDER-CENSURE
Ref.No: Date:
Name.............
Employee No…
Designation.…..
Section.........…
Department.….
As a result of the departmental enquiry held in your presence/ex-parte,* you are found guilty of
the charge(s) levelled against you (if all the charges are not proved, mentioned only those
charges which are proved as per the Charge-sheet dated...............).
In the circumstances, the undersigned would have been fully justified to take a serious view in
the matter and inflict upon you severe punishment. However, in consideration of the fact that
your past record is satisfactory/you have admitted your guilt and requested for pardon*/with a
view to offer you a fair chance to improve your conduct*, you are hereby Censured.
Name:
Designation:
Copy to
1. Concerned Controlling Officer He is requested to hand over this letter to the above
2. Concerned HOD
4. Concerned File

Page: 54 of 62
ANNEXURE'M'
PUNISHMENT ORDER-FINE
Ref.: Date:
Name.........................................
Employee No.............................
Designation................................
Section.......................................
Department................................
Further to the Charge-sheet No...........................dated......................issued to you and receipt of your

explanation dated............................an enquiry was held into the charge(s) levelled against you.
2. The undersigned finds from the proceedings of the enquiry that reasonable opportunity was
provided to you for conducting your defence at the enquiry by cross-examining management
witnesses and producing your defence.
3. The undersigned has carefully gone through the records of the enquiry, the connected papers,
documents and findings of the Enquiry Officer/Committee* and based on the findings at the
enquiry, it is found that the following charge(s) levelled against you has/have been sufficiently
proved/established*.
4. Not only your previous record is not good/unsatisfactory* and there are no extenuating
circumstances, your present acts of misconduct are serious and by themselves warrant severe
5. In the circumstances, it has been decided to punish you by way of imposition of a fine amounting
to Rs...........................which is required to be deposited by you at the cash counter of the
Finance & Accounts Department by............................./which will be recovered from your
salary/wages bill for the month of...........................20..........................*.
6. Signature of the Disciplinary Authority
Name:
Designation:
Copy to:
1. Concerned Controlling Officer - He is requested to hand over this letter to the above named

3. Concerned HOD
5. Concerned File
Page: 55 of 62
ANNEXURE ‘N’
PUNISHMENT ORDER-SUSPENSION
Ref.No:
Date:
Name.............
Employee No…
Designation.…..
Section.........…
Department.….
Further to the Charge-sheet No..............................dated.............issued to you and receipt of your

explanation dated.............an enquiry was held into the charge(s) levelled against you.
enquiry, it is found that the following charge(s) levelled against you has/ have been sufficiently
4*. Not only your previous record is not good/unsatisfactory* and there are no extenuating
5. In the circumstances, it has been decided to punish you by way of suspension from duty
for…….......day (s) w.e.f...........(date). Accordingly you will remain suspended from duty
from.............to...............(date). You are to report back for your duties on................(date).
6. Please note that you will not be entitled for any wages for the aforesaid period of your
suspension.
Name:
Designation:
Copy to
Page: 56 of 62
2 Concerned HOD.
3. Security Officer
5. Concerned File

Page: 57 of 62
ANNEXURE 'O'
PUNISHEMENT ORDER – STOPPING OF INCREMENT
Ref.No: Date:
Name.............
Employee No…
Designation.…..
Section.........…
Department.….

explanation dated.............an enquiry was held into .the charge(s) levelled against you.
4.* Not only your previous record is not good/unsatisfactory* and there are no extenuating
circumstances your present acts of misconduct are serious and by themselves warrant severe
5. In the circumstances, it has been decided to punish you by with-holding/stopping your

next.............annual increment(s) with/without* cumulative effect.
Name:
Designation:
Copy to:
4. Concerned File
Page: 58 of 62
ANNEXURE'P'
PUNISHMENT ORDER- REDUCTION IN PAY/RANK
Ref.No.: Date:
Name...........………
Employee No………
Designation.……….
Section.........……….
Department.………
explanation dated.............an enquiry was held into the charge(s) levelled against you.
4.* Not only your previous record is not good/unsatisfactory* and there are no extenuating
5* In the circumstances, it has been decided to reduce your pay from Rs………….to Rs……….in
the scale of Rs………(present scale of pay) with effect from………….
5.* In the circumstances, it has been decided to reduce you to the lower post
of.........................(lower designation) and you will draw a basic pay of Rs.............. in the scale of
Rs............................. (lower scale of Pay) with effect from................ for a period of............
(months/years). On the expiry of the aforesaid period, you will be restored to the position
of................. (present designation) in the scale of Rs................ (present scale of pay) and you
will draw a basic pay of Rs................ in the scale of Rs............... (present scale of pay)
5.* In the circumstances, it has been decided to reduce you to the post of..........................(lower
designation) in the scale of Rs.......................................(lower scale of pay) and you will draw a
basic pay of Rs............... in the scale of Rs.............................. (lower scale of pay) with effect
from..........................
6.* You are posted to...............................(Section)..................(Deptt.)
Signature of the Disciplinary Authority Name :
Name :
Designation:
Copy to
Page: 59 of 62
1: Concerned Controlling Officer He is requested to hand over this letter to the above named
2. Concerned HOD
5. Concerned File

Page: 60 of 62
ANNEXURE 'Q'
PUNISHMENT ORDER- REMOVAL/DISMISSAL
Ref.No:
Date:
Name.............
Employee No….
Designation.…..
Section.........….
Department.….
1. Further to the Charge-sheet No.............................. dated............. issued to you and receipt of

your explanation dated............. an enquiry was held into the charge(s) levelled against you.
2. I find from the proceedings of the enquiry that reasonable opportunity was provided to you for
conducting your defence at the enquiry by way of examination of the documents/ materials
produced by the prosecution side and/or cross-examination of prosecution witnesses and
production of your own documents/ materials and examination of your own witnesses including
yourself.
3. I have very carefully gone through the records of the enquiry, the connected papers, documents
and findings of the Enquiry Officer/Committee* and fully agree with the findings that on the
evidence at the enquiry, the following charge(s) levelled against you has/have been established
beyond doubt
4. On due consideration of the gravity of your misconduct, your previous record*, I find that the
charges levelled against you are of grave nature and warrant severe punishment. *Moreover,
there is not extenuating or aggravating circumstances.
5. In the circumstances, I hereby remove/dismiss you from the services of the Company with effect
from................immediate effect.
6. Since you are a workman concerned in an/the* industrial dispute pending before............. (name
of the authority), you are being paid wages for one month amounting to Rs............../ wages for
one month amounting to Rs............... is being remitted to you by money order* and
simultaneously an application is being made to the (name of the authority before which the
proceeding is pending) for approval of the action taken against you under Section 33(2)(b) of the
Industrial Disputes Act, 1947.
7. You should surrender the token/identification card*, medical card, bus pass and all other
properties of the Company issued to you/in your possession.
8. You are also required to vacate the Company's quarters/ accommodation, if any, in your
occupation/ possession by _______.
Page: 61 of 62
9. Final payment will be made to you subject to receipt of 'No Demand Certificate' from all a n d
adjustment of outstanding dues, if any.

Name :
Designation:
Copy to:
1. Concerned Controlling Officer - He is requested to hand over this letter to the above
hand thumb impression on the duplicate copy enclosed &
return the same to the undersigned for record.
2. Concerned HOD
3. Security Officer
4. Finance & Accounts Section, F & AD
6. Concerned File
N.B: This order is not to be made by an authority lower than the appointing authority of the employee
concerned, notwithstanding the fact that the appointing authority might have subsequently
delegated the power of appointment of employees of the category/rank to which the employee
belongs, to such lower authority.

Page: 62 of 62
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Working Hours Updated as on: 31.01.2012
Page: 1 of 2
WORKING HOURS
1.0 PROJECT SITES AND OFFICES
Normal working hours for the employees of the project sites and offices
will be 48 hours a week and 8 hours per day exclusive of lunch break.
Head of the Projects at their discretion may fix the working hours for
various offices and establishments. Accordingly, working hours as
above will be applicable uniformly to all categories of employees.
2.0 OFFICES IN METROPOLITAN CITIES AND REGIONAL HEADQUARTERS
Offices located at Corporate Centre, Regional Headquarters and at

metropolitan cities of Calcutta, Chennai and Bengaluru 6 shall observe
Five Days week. Accordingly, these offices will remain closed on all
Saturdays. The office timings will be from 9.00 AM to 5.30 PM with
lunch interval of half an hour from 1.00 to 1.30 PM
3.0 INSPECTION OFFICES
Office timings and off days to be followed by the Inspection offices

located at BHEL works will follow the same pattern as are being followed
in respective BHEL offices.
Authority
1. Corporate Personnel Circular No.11/77.78 dt.23.3.1978

2. Corporate Personnel Circular No. 01: Pers: 5(4) dt.21.11.84
3. Corporate Personnel Circular No. 151/84 dt.30.11.1984
4. Corporate Personnel IOM NO. 01:Pers:5(4) dt.3.1.1985
5. Circular No. 01:Pers: dt.2.8.1985
6. CC IOM No. 01: HR-Policy: 5(4)/724 dt.26.03.2010
Working Hours Updated as on: 31.01.2012
Page: 2 of 2
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Transfer policy Updated as on: 31.01.2012
Page: 1 of 8
TRANSFER POLICY
1.0 OBJECTIVES:
i) To cater to the changing needs of the organisation

ii) To ensure optimum utilization of manpower & their skills
iii) To accomplish specific tasks/objectives with the available resources
iv) Towards developmental needs of the employees.
v) To meet the individual employee needs matching it with organizational
requirements.
2.1 The transfer of employees from one location to another becomes necessary to meet
the organizational needs as well as employee developmental and personal needs. The
various considerations could, broadly, be classified as under :-
i) To meet organizational requirements, as envisaged in the manpower plan. To

optimize appropriate placement. To meet exigencies of Company's work. To
meet the needs at a particular location requiring specialized
knowledge/experience.
ii) Administrative grounds and/or effective deployment of manpower.
iii) Towards career development of employees through job-rotation.
iv) To take care of pressing personal problems of employees, to the extent

feasible and subject to Organization requirements.
2.2 The transfer of employees will invariably be made against requirement as per the
sanctioned manpower strength. Criticality of manpower for both the donor and the
recipient department/project/office shall also be kept in view.
2.3 Employees will, generally, be considered for transfer after they have spent a minimum
of 3 years period at one location, except in case of company's exigencies. However,
employees (other than specialists/ where special skills are required) with long stay at
one location, say for 10 years or more, will be considered for transfer on priority.
Page: 2 of 8
2.4 In each plant/office it will be desirable to have a healthy mix of executives from home
State and other States in the ratio of 50:50, i.e. 50% executives from the same Region
where the plant/office is situated and 50% from other Regions. (Regions here will be as
classified by the company as laid down in its organizational structure).
2.5 On regularization after training Executive Trainees will be generally posted to plants as
per requirement. The executives with the background of ET may be considered for job
rotation/transfer to different locations after a period of 3 years.
2.6 Supervisors being promoted from the grades of S3/S4 to E1 will be generally
transferred to a different location. Similarly, Workmen being promoted/laterally
appointed from the grade of workman to executive may be transferred within the
Region, as far as possible, in order of duration of posting/stay in the existing place of
posting.
2.7 Employees whose meritorious performance has been recognised by grant of a National
Award as listed by NTPC for incentive may be considered for a posting of their choice,
subject to requirement/vacancy.
2.8 To the extent possible, efforts may be made to ensure that husband and wife, if both
are working in NTPC or one of them is in any other Government service/PSU, may be
accommodated at the same location, subject to requirement.
2.9 An employee who has 3 years of service remaining for superannuating may be
considered for posting of his own choice subject to vacancy.
2.10 Request Transfers2
2.10.1 Applications for request transfers will invariably be forwarded by the concerned Head of
the Unit/ BUH and Head of function at CC. While forwarding such requests, they can
record their observations.
2.10.2 The transfer request has to be forwarded through proper channel. On receipt at
Corporate level for inter Regional transfers an acknowledgement will be issued to the
Page: 3 of 8
individual concerned as well as the Head of the Unit. The same process shall be
followed for request transfers within the region.
2.10.3 A Committee at Corporate level would examine all transfer requests that have been
received. The committee would consist of two Regional EDs, 1 Corporate ED from a
function and ED (HR) who would also be the member convener. The Regional EDs
and the Corporate ED would be members of this committee on a rotation basis for two
years. Similarly, at the Regional Hqrs a committee consisting of 2 BUH (Project /
Station Heads) and head of HR at the Region who would also be the member convener
will be formed with the approval of RED. The BUH on this committee will be on a
rotation basis for 2 years.
2.10.4 The committee on transfers would meet once in a quarter to take up all cases on
request transfers on individual merit. The grounds of request to be considered by the
committee, in order of priority, would be as under:
i. Medical: self or dependents.

ii. Employment of spouse
iii. Marriage of children
iv. Education of children
v. Aged parents who need to be looked after
2.10.5 Mutual request transfers would also be considered by the committee on the merits of
each case.
2.10.6 If an executive has put in uninterrupted service in NTPC of 15 years, (12 years for Hydro
and mining executives) then he may exercise an option for posting at a location of his
choice normally for a period upto 5 years. Such a choice can be availed only once during
the entire service. This choice will be over and above the request made on
compassionate grounds as mentioned at clause 2.10.4. Posting will be done keeping in
view the following conditions:
a) The total request / choice transfers under 2.10.6 above shall not exceed 2.5% of
executives in that particular function and location during that year.
Page: 4 of 8
b) At least 30% of executives in that function (from where the executive is being considered
for transfer) are experienced hands i.e. more than 7 years experience in that function
2.11 In order to provide professional exposure to executives, in Corporate functions/ Regional

Offices & Projects/ Stations, upto maximum of 2.5% of total executive strength of the
function may be considered for transfer in a year. While doing so, it must be ensured that
equal number of executives are transferred out from such functions on similar
assignment. However, in no case, the total manpower will exceed the sanctioned
strength.
2.12 The transfers shall, generally, be done during the month of February/March or along
with orders of promotion, except under such circumstances where company's
exigencies may so warrant.
2.13 The management will take appropriate disciplinary action against an employee who
brings in outside influence, either orally or in writing, in respect of his transfer, in
violation of Rule 17 of NTPC Conduct, Discipline and Appeal Rules. Apart from any
punishment under CDA rules, an adverse entry will be made in his performance
appraisal reports for two consecutive years and will be communicated to the employee
also.
2.14 The management, however, reserves the right to make transfers on administrative
grounds.
3.0 Competent Authority
3.1 The Competent Authority for transfers will be as under:
3.1.1 Within Project from one department to another in related areas
Level Competent Authority

Upto E4 Concerned GM
Upto E5 Concerned Regional EDs
Utto E7 D(HR)
Page: 5 of 8
Full powers CMD
3.1.2 For inter Project transfers (within Region)

Upto E5 Concerned Regional ED
Upto E7 D(HR)
Full powers CMD
In respect of transfers done with the approval of Regional ED, the concerned HR Department
shall ensure to keep the Corporate HR Division informed.
3.1.3 For inter Regional transfers

Upto E4 ED (HR)
Upto E7 D(HR)
Full powers CMD
3.1.4 From Corporate Centre to Projects/Stations (and vice-versa)

Upto E4 ED(HR)
Upto E7 D(HR)
Full powers CMD
3.1.5 From line functions to staff functions like HR, F&A, Safety, EDP etc. within the project

Upto E4 ED(HR)
Upto E7 D(HR)
Full Powers CMD
3.1.6 Within Corporate Centre from one Department to another

Page: 6 of 8

Upto E4 GM (HR) in consultation with concerned ED/GM
Upto E5 ED (HR) in consultation with concerned ED/GM
Upto E7 D (HR)
Full Powers CMD
4.0 The following procedure will be observed while deciding transfers
i) The transfer of Head of Project/Station will be effected in consultation with all

the concerned Functional Directors.
ii) Transfers of DGMs/AGMs (where DGM/AGM) is not Head of the Project/unit)

will be effected in consultation with the Concerned ED/Functional Director.
iii) Transfer of Head of Department within the Project/Station shall not be done by
the Head of the Project/Regional ED, unless approved by D(HR) (upto E7
level) and CMD (E7A & above).
iv) Inter functional/department shifting of personnel at E6 and above within a

Project/Station shall be done with approval of D(HR).
v) No structural change in the approved manpower module should be carried out

by the Project Heads/EDs excepting with the approval of D(HR).
vi) In situations involving administrative exigencies where consultations as above

(Clause 4.0 (i & ii)) with Concerned Functional Director/ED is not possible, the
Competent Authority may order such transfer after recording reasons for not
consulting the Functional Director/ED.
4.1 All employees in respect of whom orders of transfer are issued will be released
promptly by the Project/controlling officer. However, in case it is not done the executive
will automatically stand released on completion of 2 months from the date of issue of
the transfer order. The concerned executive will draw wages only from the new place of
posting after expiry of two months from the date of issue of transfer order.
Page: 7 of 8
5.0 The powers to review, modify/amend the provisions of the above scheme shall vest
with the Chairman & Managing Director.
Authority:
1. CORPORATE PERSONNEL CIRCULAR NO. 395/98 Date: Sept.25, 1998/Oct. 12,

1998
2. CORPORATE HR IOM NO. 01: HR-Policy: 7(41)/736 Dated 30.08.2010
Page: 8 of 8
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Pay Scales Updated as on: 31.01.2012
Page: 1 of 4
PAY SCALES
PAY-SCALES OF EXECUTIVES (effective from 1.1.2007)
GRADE PAY-SCALE (Rs.)

E1 20600 - 46500
E2 24900 - 50500
E2A 24900 - 50500
E3 29100 – 54500
E4 32900 – 58000
E5 36600 – 62000
E6 43200 – 66000
E7-E8 51300 – 73000
E9 62000 - 80000
PAY SCALES OF NON-EXECUTIVES (effective from 1.1.2007)
GRADE PAY-SCALE (Rs)

W0 8700 – 20000
W1 10500 - 23000
W2 11000 – 24500
W3 11500 – 26000
W4 12500 – 27500
W5 13500 – 29500
W6 14500 – 32000
W7 15500 – 34500
W8 / S1 16000 – 35500
W9 / S2 17000 – 37000
W10 / S3 18500 – 40000
W11 / S4 20000 – 42500
WSG/SSG 20500 - 44500
• The Grade of W11 has come into operation w.e.f. 7.4.1989.

• SG (Selection Grade) has come into force with effect from 25.1.2001.
Page: 2 of 4
RATE OF INCREMENT
3% of Basic Pay for all employees.
STIPEND RATES FOR TRAINEES RECRUITED UNDER COMPANY’S TRAINING

SCHEMES
Engineering Executive Trainees/Finance & HR Executive Trainees:
Executive Trainees (ETs) are placed in the Pay Scale of E2 Viz Rs. 24900 - 50500. In addition
to Basic pay they are entitled to other allowances such as DA, FCA related to the said basic
pay as admissible to the executives of the Company as per rules in force from time to time.
HRA will be admissible to them only if the Company does not provide free hostel (bachelor)
accommodation at their respective places of posting for training. ETs shall also be entitled for
Transport Allowance, Washing Allowance and Canteen Allowance/ Meal Vouchers during
training period. ETs shall not be entitled to other perquisites/allowances forming part of the
cafeteria during initial training period. However, on regularization, they shall be allowed to
exercise their option under “Cafeteria approach” by the end of the month following the month in
which they are regularized.
Diploma/Artisan Trainees
Diploma Trainees (DTs): Rs. 15,500/- per month.
Artisan Trainees (ATs): Rs. 6,900/- per month.
AUTHORITY:
1. Corp. Personnel Circular No. 118/83 dated 19.9.83

4A. Corp. Personnel Circular No. 270/91 dated 10.7.91
4B. Corp. Personnel Circular No. 271/91 dated 10.7.91
7. Corp. Personnel IOM No. 01:Pers:28(5)/214 dated 22.10.91
Page: 3 of 4
8. Corp. Personnel Circular No. 330/95 dtd 30.5.95

14. Corp. HR Circular No. 473/2001 dated 7.8.2001
15. Corporate HR Circular No. 662/2009 dated 16.09.2009
17. Corporate HR Circular No. 682/2010 Dated 07.07.2010
20. CC IOM No. 01: HR:Rectt:2010 Dated 15.09.2010
21. CC IOM No. 01: HR:Rectt:2011 Dated 14.11.2011
Page: 4 of 4
RECORD OF REVISIONS

No. Date
Revisions
Pratibha Singh Chandramauli S J D S Rao

M(HR) SM(HR) AGM(HR)
Pay Fixation Rules Updated as on: 31.01.2012
Page: 1 of 16

PAY FIXATION RULES
1.0 SHORT TITLE
These rules may be called “NTPC Pay fixation Rules’ and shall come into force with effect from
the date as may be notified in this regard.
2.0 These rules shall be applicable to all employees appointed to posts in the regular establishment
of the Company including:
i. Probationers;
ii. Lien Holders;
iii. Deputationists on Foreign Service terms; and
iv. Temporary employees appointed for special period,
but shall not be applicable to:
i. Apprentices engaged under the Apprentices Act, 1961;

ii. Muster roll, Daily rated, Casual, Badli or Substitute employees;
iii. Apprentices/Trainees engaged under Company's own Training Schemes save and
except to the extent specifically mentioned in these rules; and
iv. Those appointed on consolidated salary
3.0 FIXATION OF PAY ON INITIAL APPOINTMENT T
3.1 i. The pay on initial appointment, other than an on appointment on deputation (foreign service)
terms shall be fixed keeping in view all the relevant aspects including existing emoluments,
performance in the interview, abundance/scarcity in a discipline vis-à-vis the requirements of the
Company etc. of suitable human resource. Initial pay maybe fixed at any stage of the pay scale at
the discretion of the appointing authority or an authority empowered in this regard by the
appointing authority. This will be subject to guidelines as may be issued from time to time.
ii. Employees who have joined from other PSUs / central / State Governments and whose pay is revised in
their earlier organization shall be entitled to normal pay-protection, as per rules. 11,14 & 15
These rules have come into effect from 1.10.82.

Page: 2 of 16

3.1.1 Personal Adjustment:
A candidate, drawing higher amount of dearness allowance in his previous organisation

compared to that admissible to him in NTPC, will be allowed, in addition to basic pay and
dearness allowance, a separate component to be termed as "Personal Adjustment" as indicated
in the offer of appointment.
The amount of Personal Adjustment to be allowed in such cases will be the difference between
the sum of Dearness Allowance (including ADA & Ad-hoc DA) and interim Relief, if any drawn in
the previous organization and the dearness allowance and ad-hoc/ interim relief admissible in
NTPC, less an amount equal to one increment in the NTPC scale of pay in which the individual
concerned is appointed.
The Personal Adjustment, as above, will not count for any other benefit or allowance and would
be adjusted in the following manner: -
a. In case of employees belonging to workman & supervisory categories, the Personal

Adjustment will be adjusted at the time of prospective revision of pay scales and allowances; and
In case of employees belonging to workman & supervisory categories, the Personal
Adjustment will be adjusted at the time of prospective revision of pay scales and allowances; and
b. In case of employees belonging to executive category, the personal adjustment will be

adjusted against any ad-hoc increase in the rate of DA allowed to public sector executives; and
the balance amount, if any, adjusted at the time of prospective revision of pay scales and
allowances.
Subject to this, the actual basic pay to be allowed will be the one as may be fixed keeping in view
the factors, as mentioned in rule 3.1 above.
3.1.2 In respect of an employee of Central Government retaining lien on his previous post in the parent
department, the basic pay shall be restricted as provided in Central Government Rules. In
addition to dearness allowance as admissible in NTPC, from time to time, he will also be allowed
the Personal Adjustment (to be arrived at in the manner as mentioned in rule 3.1.1) if any,
indicated in his offer of appointment. Subsequent revision(s) of pay and dearness allowance in
his parent organisation shall not be taken into consideration. The Personal Adjustment so allowed
will be treated in the same manner as mentioned at rule 3.1.1 before.
3.1.3 In respect of an employee of Central Government on deputation, opting for Company's scale of
pay, the excess, if any, of basic pay plus dearness allowance as admissible to him in his parent
organisation over that in NTPC on protection basis (to be arrived at in the manner as mentioned
in rule 3.1.1.) shall be allowed as "Personal Adjustment". The personal Adjustment to be so
allowed will be determined with reference to his date of joining on deputation. Subsequent
revision(s) of dearness allowance in his parent organisation shall not be taken into consideration.
The Personal Adjustment so allowed will be treated in the same manner as mentioned at rule
3.1.1 before.

Page: 3 of 16

3.1.4 The pay of a re-employed pensioner of the Central Government on his initial re-employment shall
be fixed as per the Central Government Rules prevalent from time to time. The working formulae
based on the existing Central Government Rules are given at Annexure I for reference. If the
appointment is not the first re-employment after retirement, the pay of the re- employed pensioner
will be fixed by the appointing authority or an authority empowered in this regard by the
appointing authority, on the basis of the principle enunciated at rule 3.1 above subject to the
condition that the actual pay to be drawn by him shall be the pay so fixed minus the pension and
pensionary equivalent of other retirement benefits, as under the Central Government Rules.
3.1.5 In case of a departmental candidate appointed through selection against open advertisement or
internal circular, the pay will be fixed at the minimum of the scale of pay of the post to which he is
appointed or according to the principle as followed in fixation of pay on promotion, whichever is
more favourable to him. However, in exceptional cases the appointing authority or an authority
empowered in this regard by the appointing authority may allow pay higher than that admissible
according to above fixation on specific recommendation to that effect for reasons to be recorded
in writing by the Selection Board/Committee.
4.0 Fixation of Pay of Deputationists
4.1 The pay of an employee from Central Government on deputation to the Company shall be fixed in
accordance with the deputation (foreign service) rules of the Central Government, as modified
from time to time. An extract from the existing Central Government Rules together with
explanatory notes are given in Annexure II .
4.2 The pay of an employee on deputation to the Company, from an organisation other than Central
Government will be governed by terms and conditions of his deputation as mutually agreed upon
between the Company and the lending organisation. For this purpose, standard terms of
deputation will be worked out in consultation with Corporate Finance and approval of Chairman
and Managing Director obtained. Cases requiring departure from such standard terms will be
dealt with on their merit in consultation with Corporate Finance with the approval of Chairman and
Managing Director.
5.0 Fixation of Pay of deputationists on absorption
5.1 Subject to the provision in rule 5.1.1. below, the pay of an employee who had opted for his parent office
pay scale, while on deputation shall at the time of his absorption, be fixed as per the following formula:
i. Basic pay in parent office (Rs)
pay scale as on the date of absorption
ii. Add Dearness Pay, if any, as on the date of absorption (Rs)
iii. Add increase in emoluments so as
to allow a net benefit in basic pay
and D.A of upto 20% of Basic Pay not

Page: 4 of 16

exceeding Rs. 250/- (Subject to guidelines
issued from time to time) (Rs)
_________
X
________
The basic pay will be fixed at X if it coincides with a stage in the NTPC scale of pay and at next
higher stage, if it does not so coincide.
5.2 Provided, however, that where an employee (deputationist) is promoted in his parent department/
superseded for promotion in his parent office merely because of his being on foreign service, the
parent office basic pay as mentioned at 5.1(i) above to be reckoned for the above purpose will be
the presumptive pay to which he would have been entitled to in his parent office on the effective
date of absorption had he not been on foreign service to the Company.
5.2.1 The guidelines relating to increase in emoluments to be allowed as mentioned at 5.1(iii) above
will be determined with the approval of the appointing authority or the authority authorised by him
in this behalf from time to time, taking into account the nature of post/cadre, availability of human
resource from open market, the pay, allowances and other payments admissible to him in his
parent organisation as well as in NTPC etc.
5.2.2 In case the dearness allowance actually drawn by the employee is more than that admissible to
him in the Company on the effective date of absorption, the difference in basic pay plus dearness
allowance (which would have been drawn by him in his parent department as on the date of
absorption) and NTPC basic pay plus dearness allowance (to be arrived at in the manner as
mentioned in rule 3.1.1) to be treated as "personal Adjustment" will also be payable to him in
addition to the NTPC dearness allowance. The Personal Adjustment so allowed will be treated in
the same manner as mentioned in rule 3.1.1
5.3 The pay of an employee who had opted for the Company's pay scale, while on deputation, shall
at the time of his absorption, be fixed at the same stage of pay as was being drawn by him
immediately prior to absorption, if being absorbed in the same scale of pay in which he was
working before his absorption. In case he is being absorbed in a scale higher than that in which
he was working just before his absorption, his pay on absorption in the higher scale will be fixed
according to the principle as followed in fixation of pay on promotion.
5.4 Provided, however, that where the pay of an employee (deputationist) had been restricted while on
deputation owing to operation of certain rules of his p a r e n t department, the pay drawn for the
above purpose would be the presumptive pay which he would have drawn but for such restriction.
6.0 Fixation of Pay of lien holders on absorption

Page: 5 of 16

The pay of an employee who retains lien on the services of the parent department shall at the time
of his absorption, be fixed at the same stage of pay which he would have drawn in terms of his
offer of appointment had he not retained such lien.
7.0 Fixation of Pay on promotion
7.1 When an employee is promoted to the next higher post/scale of pay, his basic pay in the grade to
which he is promoted shall be fixed at a stage next above the pay notionally arrived at
by increasing his pay in the lower scale of pay by one increment and rounding off the resultant to
the next multiple of Rs 10/-. 11,14 & 15 Provided, however, that if at any point of time during first year
of promotion the pay benefit arising out of promotion becomes less than one increment due to
entitlement of increment in the pre-promotion scale of pay had he continued in the same scale,
the pay will be stepped up by one increment with effect from the date on which the employee was
due for his increment in the pre-promotion scale of pay.
7.1.1 If the date of annual increment in the pre-promotion scale of an employee happens to coincide
with his date of promotion, his pay in the pre-promotion pay scale, to be reckoned for the purpose
of pay fixation referred to in rule 7.1 above, will be the pay which would have been his pay after
drawal of increment, provided the increment was otherwise due to him under the rules.
7.1.2 If an employee is drawing pay at the maximum or higher than the maximum of the pre-promotion
scale, his pay will also be fixed in the manner indicated above by adding one notional increment
on the maximum of the pre-promotion scale of pay.7
7.2 Provision regarding departmental trainees
7.2.1 A departmental trainee i.e. serving employee of the Company subsequently selected as Trainee
Apprentice under the Company's own Training Scheme will be allowed the same stipend as
admissible to other trainees of his category. Provided, however, that where the stipend is less
than the sum total of his pay and dearness allowance which he would have drawn but for his
training apprenticeship, the same will be protected.
7.2.2 The pay of a departmental trainee, on successful completion of his training, will be fixed at the
minimum of the pay scale of the post in which he is regularised. However, with effect from 1.1.2007,
Executive Trainees (ETs) including departmental ETs shall be allowed one increment on
regularization. If the pay so fixed becomes during the first year of his appointment after training
apprenticeship, lower than the pay which he would have drawn but for his such appointment, the pay
will be stepped up by one increment with effect from the date on which the employee was due for his
increment in the previous scale of pay.
7.3 Treatment of personal pay, special pays, special allowance etc. on promotion.
7.3.1 Subject to the provision contained in rule 7.3.2 special pay/special allowance, granted in lieu of a
higher scale, shall be reckoned as basic pay for the purpose of fixation of pay on promotion to a
higher scale.

Page: 6 of 16

7.3.2 The following types of personal pay, special pay and special allowance shall not be taken into
account for the purpose of pay fixation on promotion:
i. Personal pay, special pay and special allowance granted for arduous nature of duties or for
services in a particular locality;
ii. special pay/special allowance for shouldering additional duties/responsibilities;
iii. deputation duty allowance or special pay/ allowance drawn in lieu thereof by an employee
while on deputation from NTPC to any other organisation; and
iv. Non-practicing pay or allowance.
7.3.3 However, if additional duties/response abilities are continued to be shouldered even after
promotion, the special pay/allowance granted for such duties/responsibilities may continue to be
payable unless otherwise decided by the appointing authority.
8.0 Fixation of Pay on reduction to lower post/scale of pay
In case of reduction to a lower post/scale of pay as a measure of penalty, transfer to a lower

post/scale of pay on written request of the employee, re-employment in a lower post/scale of pay
as a measure of rehabilitation on account of being declared medically unfit for holding/discharging
the duties of the previous post or otherwise, the pay of an employee will be fixed in the lower
scale of pay in such a manner that pay drawn in the previous post is protected subject to the
condition that it would not exceed the maximum of the pay scale of the lower post. If there is no
appropriate stage in the lower scale of pay, the pay will be fixed at next lower stage and the
difference will be paid as personal pay, not to be absorbed in future increments. In case there is a
drop in dearness allowance the same will be protected by granting Personal Adjustment which
will be absorbed in future increases of dearness allowance. The Personal Adjustment so allowed
will be treated in the same manner as mentioned in rule 3.1.1
9.0 Drawal of increment
9.1 The following will count for increment:
i. Service rendered in a post in equivalent or higher grade;

ii. All kinds of leave other than Extra Ordinary Leave save and except to the extent indicated below:
EOL on account of illness or for prosecution of higher scientific and technical/professional studies
duly supported by a medical certificate from an authorised medical officer of the Company in case
of illness and by a certificate, from the Head of Division that the higher scientific and
technical/professional studies are in the interest of the Company's work in case of leave for
prosecution of such higher studies;
iii. joining time in continuation of duty;
iv. joining time in continuation of leave if the last day of the leave immediately before the
commencement of joining time counts for increment in the post; and
v. foreign service.
9.2 The following shall not count for increment.
i. EOL on account of illness or for prosecution of higher scientific and technical/professional studies
not supported by appropriate certificates as mentioned at 9.1(ii) above;

Page: 7 of 16

ii. Period of suspension unless ordered otherwise by the disciplinary/appellate/reviewing authority;

iii. Period of overstayal of sanctioned leave unless regularised by grant of leave; and
iv. Period of overstayal of joining time unless regularised by grant of leave.
9.3 The first increment in a scale of pay shall be drawn from the first date of the quarter (referred to
as standard dates hereinafter) falling in the next calendar year as detailed below:
Employee appointed Standard Dates
Or promoted between
1. 1st January & 31st March 1st January
2. 1st April & 30th June 1st April
3. 1st July & 30th Sept. 1st Jul
4. 1st Oct. & 31st Dec 1st October
Provided that where the appointment/promotion is subject to probation for a specified period, the
increment shall be granted only after satisfactory completion of probation, but from the dates as
applicable and as indicated above.
However, in cases of employee separated (other than resignation cases) before completion of
probation period on promotion, annual increment on the due date of increment before separation
may be released after pre-closure of probation.18
Provided further that where completion of probation period is held up due to want of satisfactory
reports about character and antecedents and/or medical examination reports, an employee may
be granted annual increment at the discretion of the management if the delay in getting
medical/character and antecedents reports is not directly attributable to the employee concerned.
9.3.1 In case of extension of the period of probation, no increment shall be granted till probation is
satisfactorily completed. In such cases the employee concerned shall be granted his first
increment from the first date of the quarter in which he satisfactorily completes his probation; and
thereafter, he shall draw his second and subsequent increment on completion of one year's
service from drawal of the last increment on the standard date.
9.3.2 In respect of a departmental trainee who is allowed protection of basic pay and dearness
allowance in terms of rule 7.2.1, annual increment(s) occurring during the period of training will be
regulated in a manner as if he continues to hold his previous post.
9.3.3 EOL taken on account of reasons other than illness or prosecution of higher scientific and
technical/professional studies will also count for increment provided it is for less than 3 (three)

Page: 8 of 16

months. In cases, however, where the extra-ordinary leave under this category is 3 (three)
months or more but less than 6 (six) months during incremental year to which the increment
pertains, the date of increment will be shifted from 1st January to 1st April, 1st April to 1st July,
1st July to 1st October and 1st October to 1st January as the case may be. The same principle
will be followed for the period of EOL in excess of six months, nine months or one year and so on.
9.3.4 In case of stoppage/withholding of increment as a measure of penalty, for a specified period, no

increment will accrue during such period, on the expiry of the specified period, the employee will
draw the pay which would have been drawn by him had no such penalty been imposed unless
the punishment order states that the penalty will have a cumulative effect. If the punishment order
states that it will have cumulative effect, then on the expiry of the period of penalty, the employee
shall not be allowed the increment which he would have drawn but for the penalty. In other words,
he will be allowed the increment at the rate next to the pay drawn by him, after the expiry of the
period of penalty.
9.3.5 In case of reduction to a lower stage in a time scale as a measure of penalty, the next increment
of an employee in the scale of pay will be drawn on his usual increment date in the time scale. In
other words, the pay of the employee will be raised by one increment from the stage to which his
pay had been reduced due to imposition of penalty on his usual increment date in the time scale.
9.3.6 In case of reduction to a lower post/scale of pay for an unspecified period as a measure of
penalty, the increment of an employee in the lower post/scale of pay shall be drawn on the date
on which his increment would have fallen due had no such penalty been imposed on him.
9.3.7 In case of reduction to a lower post/scale of pay for a specified period as a measure of penalty,
the increment of an employee in the lower post/scale of pay shall be drawn on the date on which
his increment would have fallen due had no such penalty been imposed on him. On restoration to
the original post/scale of pay, the pay of the employee shall be fixed at the same stage to which
he would have been entitled to but for imposition of the penalty unless otherwise stated by the
disciplinary authority. In the latter event, the pay of the employee shall, on restoration, be fixed
treating the period of reduction as not counting for increments subject to the condition that his pay
will be fixed in such a manner that the pay drawn in the lower post/ scale of pay is protected. If
there is no appropriate stage in the scale of pay to which he is restored, the pay will be fixed at
next higher stage. The first increment subsequent to such restoration in either case will be
governed by the usual rules of preponement.
9.3.8 If an order of penalty of stoppage/withholding of increments or reduction to a lower stage in a time

scale or reduction to a lower post/scale of pay is modified by the competent/ appellate/ reviewing
authority on appeal or review, the period from the effective date of imposition of such penalty by
the disciplinary authority to the date on which the order of penalty is modified will count for the
purpose of increment in the post/scale of pay which he was holding immediately before imposition
of the penalty or in other post which he would have held but for the order of penalty, to the extent
the modified order permits of such counting.
9.3.9 If an order of penalty of stoppage/ withholding of increments or reduction to a lower stage in a

time scale or reduction to a lower post/scale of pay is set aside by the competent/appellate/
reviewing authority on appeal or review, service rendered by an employee at the stage the

Page: 9 of 16

increment was stopped/withheld or in the lower stage in the time scale or in the lower post/scale
of pay from the effective date of imposition of such penalty to the date on which the order of
penalty is set aside will count for increment in the post/scale of pay which he was holding
immediately prior to imposition of the penalty provided that he would have continued to hold that
post/scale of pay but for the order of penalty.
9.4 Notwithstanding anything contained hereinbefore, the first increment in case of lien
holders/deputationists, in whose case the pay fixation on absorption is done on the basis of pay
drawn in parent office pay scale immediately before the date of absorption in Company's pay
scale subsequent to the date of absorption, shall be drawn from the relevant standard dates
falling in the next calendar year, with reference to their respective date of drawal of increment in
the parent office pay scale immediately prior to their effective date of absorption.
9.5 The second and subsequent increments in a scale of pay shall be drawn on completion of one
year's service from drawal of last increment from either of the four standard dates as mentioned
earlier.
9.6 Annual increments wherever applicable will be drawn as a matter of course by the concerned
Finance and Accounts Department unless it is withheld by specific order in writing of the
competent authority. In the case of probationers, the first increment shall be granted only on a
specific order/ communication from the concerned HR Department in accordance with rule 9.3.
10.0 Removal of anomalies in pay fixation
10.1 If an employee promoted to a post draws a lower rate of pay in that post in relation to another employee
junior to him in the lower grade and promoted subsequently to the same higher post, the pay of the senior
employee in the higher post will be stepped upto a figure equal to the pay fixed for the junior employee in
that higher post. This will be done with effect from the date of promotion of junior employee and shall be
subject to following conditions:
i. the anomaly has arisen directly as a result of the application of normal pay fixation rules;
ii. the scales of pay of the corresponding lower and the higher posts of both the senior and junior
employees are identical.
iii. both the junior and the senior employees should belong to the same cadre and line of
promotion and the posts in which they have been promoted are identical and in the same
line of promotion;
iv. the employee whose pay is to be stepped up is senior both in the higher as well as the
lower post/scale of pay; and
v. the benefit of stepping up can be allowed to the senior employee only if he was not
drawing or would not have drawn less pay in the lower post than his junior. For this
purpose, comparison of pay has to be made first in the lower post when an anomaly
arises in the higher post. A notional figure for the senior employee is to be arrived at in
the lower post and then compared with his juniors in the lower grade just before the
promotion.
Provided that provisions contained in these rules shall not be invoked if in the lower post the
junior employee drew a higher rate of pay than this senior.
10.2 If an employee promoted to a post draws a lower rate of pay in that post in relation to the pay he
would have drawn in the lower post but for his promotion, his pay will be stepped up by one

Page: 10 of 16

increment in the higher post/ scale of pay. This will be done with effect from due date of his
increment in the lower post/ scale of pay.
10.3 In cases where the pay is stepped up under the above rules or under the provisions contained
elsewhere under these rules, the next annual increment subsequent to the date on which pay is
so stepped up shall be drawn only from the relevant standard date falling in the next calendar
year and not from the original due date of increment.
10.4 In respect of an employee going into certain apprenticeship or training by a positive selection with
a view to being considered for a higher post or otherwise, his notional progress in the original
post and scale has to be proforma protected viz-a-viz his juniors who have not been so selected.
This is to be done till the period the senior so selected is appointed in a different post pursuant to
such apprenticeship or training. In case of his reversion to the original post, he shall be restored
to his original position.
11.0 General
11.1 Fixation of pay except on promotion shall be the responsibility of the concerned HR Department.
However, in cases of pay fixation on absorption of a deputationist/lien holder and appointment of
re-employed pensioner, the concerned HR Department will fix the pay in consultation with
concerned Finance Department. Fixation of pay on promotion shall be done by the concerned
Finance Department. In case of doubt the matter will be dealt with, in consultation with Corporate
HR and Corporate Finance.
11.2 The Chairman & Managing Director may relax any of these rules to mitigate the hardship caused
to any employee in exceptional cases.
11.3 The power to administer these rules shall vest in the Chairman and Managing Director. In case
of any doubt in regard to interpretation of any provision of these rules and also in respect of cases
not covered by these rules, the matter will be referred to Chairman and Managing Director whose
decision shall be final and binding.
Authority:
1. Corporate HR Circular No. 105/83 Dt. 8.2.1983

2. Corporate HR Circular No.135/84 Dt. 10.7.1984
4. Corporate HR Circular No. 01:Pers:7(21) Dt. 4.5.1989
6. Corporate IOM No. 01:HR:ER/C/445 Dt. 11.3.2002
7. Corporate IOM No.01:HR:ER/C/449 Dt. 18.3.2002
9. DPE OM No. 2(70)/08-DPE(WC)-GL-XVI/08 Dt. 26.11.2008
10. DPE OM No. 10(2)/09-DPE(WC)-GL-XV/09 Dt. 8.6.2009
12. Corporate IOM No.01:HR:Wages:17 Dt. 19.11.2009
13. DOPT OM No. 6/8/2009-Estt. (Pay II) Dt. 17.6.2010

Page: 11 of 16

14. Corporate HR Circular No.682/2010 Dt. 7.7.2010

16. DOPT OM No. 372/21/2009-AVD-III Dt. 12.10.2010
17. DPE OM No. 2(27)/10-DPE(WC)GL-XXIV/2010 Dt. 3.12.2010
18. Corporate IOM No.01: HR: Wages: 32/751 Dt. 28.4.2011

Page: 12 of 16

ANNEXURE-I
MANNER OF FIXATION OF PAY OF RE-EMPLOYED PENSIONER OF THE CENTRAL

GOVERNMENT ON HIS INITIAL RE-EMPLOYMENT
(a) Re-employed pensioners shall be allowed to draw pay only in the prescribed scales of pay for the
posts in which they are re-employed. No protection of scales of pay of the post held by them prior
to retirement shall be given.
(b)
i) In all cases where the pension is fully ignored, the initial pay on re-employment shall be fixed at
the minimum of the scale of pay of the re-employed post.
ii) In cases where the entire pension and pensionary benefits are not ignored for pay fixation, the
initial pay on re-employment shall be fixed at the same stage as the last pay drawn before
retirement. If there is no such stage in the re-employed post, the pay shall be fixed at the stage
below that pay. If the maximum of the pay scale in which a pensioner is re-employed is less than
the last pay drawn by him before retirement, his initial pay shall be fixed at the maximum of the
scale of pay of the re-employed post. Similarly, if the minimum of the scale of pay in which a
pensioner is re-employed is more than the last pay drawn by him before retirement his initial pay
shall be fixed at the minimum of the scale of pay of the re-employed post. However, in all these
cases, the non ignorable part of the pension and equivalent of retirement benefits shall be
reduced from the pay so fixed.
(c) The re-employed pensioner will in addition to pay as fixed under para (b) above shall be
permitted to draw separately any pension sanctioned to him and to retain any other form of
retirement benefit.
(d) In cases of persons retiring before attaining the age of 55 years and who are re-employed, pension
(including pension equivalent of gratuity and other forms of retirement benefits) shall be ignored for
initial pay fixation to the following extent:
i) in case of ex-servicemen who held posts below commissioned officer rank in the Defence
Forces and in the case of civilians who held posts below Group A posts at the time of their
retirement, the entire pension and pension equivalent of retirement benefits shall be ignored.
ii) in the case of service officers belonging to the Defence Forces and Civilian pensioners who
held Group A posts at the time of their retirement, the first Rs. 500/- of the pension and pension
equivalent of retirement benefits shall be ignored. However, the pension equivalent of gratuity
may not be deducted from the pay fixed on re-employment.
(e) If the date of re-employment in NTPC is 31.12.96 or before, pay in the 1997 revised pay-scales will be
fixed as per the relevant revision circulars, with reference to the pay-fixation as formula applicable to
Executives/ Supervisors/ Workmen on rolls of the company as on 31.12.96. The pre-revised pay of the re-
employed pensioners for this purpose shall be the pay before deduction of Pension/ Pension equivalent
gratuity or other retirement benefits.5 & 6

Page: 13 of 16

(f) If the date of re-employment in NTPC is on or after 1.1.97, pay-fixation shall be done directly in the
1997 pay-scales as per existing provisions contained in para 3.1.4 of Pay-fixation Rules.5 & 6
(g) In addition to the pay so fixed, the re-employed pensioner would continue to draw the retirement
benefits he was permitted to draw in the pre-revised scales. However, any amount which was being
deducted from his pay in the pre-revised scale in view of orders issued by the Government of India from
time to time, shall continue to be deducted from the revised pay and the balance will be allowed as actual
pay provided actual pay plus pension does not exceed Rs 21,000/- pm in the 1997 pay-scales at any
time. The re-employed pensioner will also not be entitled for dearness relief on the pension.12 & 13
NOTE: The working formulae as above will serve only as a guide. The detailed Central Government
Rules as contained in Fundamental Rules may, however, be referred to for further guidance.

Page: 14 of 16

ANNEXURE-II
FIXATION OF PAY OF DEPUTATIONISTS FROM CENTRAL GOVERNMENT
1. Government employees on deputation/Foreign Service, will continue to draw the salary as per their
entitlement in the parent department. Only those, who come on permanent absorption basis, will get the
CPSE scales, perks and benefits.9,10 & 13
2. However, Government employees already on deputation with the CPSEs as on 26.11.2008 will
continue to avail of the option already available and exercised by them till the end of their deputation
tenure. However, the extension, if any given after 26.11.2008 will not qualify for this dispensation.9, 10 & 13
3. Further, CVOs and other officers on deputation to the Vigilance departments of CPSEs may be allowed
the option of electing to draw either the pay of the post in the scale of pay of the CPSE concerned or pay
in the parent cadre plus deputation (duty) allowance thereon plus personal pay, if any.16 & 17
3.1 The option once exercised shall be final. However, the employee may revise the option under the
following circumstances which will be effective from the date of occurrence of the same. 13
(i) When he/she receives proforma promotion or is appointed to non-functional Selection Grade or up-
gradation of scale in the parent cadre.
(ii) When he/she is reverted to a lower grade in the parent cadre.
(iii) When the scale of pay of the parent post on the basis of which his emoluments are regulated during
deputation / foreign service or of the ex-cadre post held by the employee on deputation / foreign service is
revised either prospectively or from a retrospective date.
(iv) Based on the revised / same option of the employee, in the event of proforma promotion /
appointment to non-functional Selection Grade / revision / upgradation of scales of pay in the parent
cadre, his / her pay will be re-fixed with reference to the revised entitlement of pay in the parent cadre.
However, if the initial option was for the pay scale of the deputation post and no change in option already
exercised is envisaged, the pay already drawn in deputation post will be protected if the pay re-fixed is
less.
3.2 If the pay of an employee in his cadre post undergoes downward revision, the pay in the ex-cadre
post is also liable to be re-fixed on the basis of revised pay and in accordance with the revised option or
existing option if the employee does not revise his option.13
4. In case of CVOs and other officers on deputation to the Vigilance departments of CPSEs opting
NTPC scale of pay : Pay may be fixed by adding one increment to the pay in the parent cadre post in the
scale of his regular parent post (and if he / she was drawing pay at the maximum of the scale, by the
increment last drawn) and equating the pay so raised plus dearness allowance (and additional or ad-hoc
dearness allowance, Interim Relief etc., if any) with emoluments comprising of pay plus DA, ADA, Interim
Relief etc., if any, admissible, in the borrowing organization and the pay may be fixed at the stage in the
pay-scale of the ex-cadre post at which total emoluments admissible in the ex-cadre post as above equal
the emoluments drawn in the cadre.

Page: 15 of 16

5. For those continuing to draw the salary as per their entitlement in the parent department/opting
for parent office scale of pay : The deputation (Duty) allowance
(a) In case of deputation within the same station, the allowance will be paid at the rate of 5% of basic pay
subject to a maximum of Rs. 2000/- p.m; and
(b) In other cases, Deputation (Duty) Allowance will be payable at the rate of 10% of the employee’s basic
pay subject to a maximum of Rs 4000/- p.m.
(c) The deputation (duty) allowance as above shall further be restricted as under:-
Basic Pay, from time to time, plus Deputation (Duty) Allowance shall not exceed the maximum of
the pay band PB-4 (Rs 67000) plus the grade pay of the post held on deputation in case the
Grade Pay of the post held on deputation is upto Rs 10000. In case the post held on deputation is
in the HAG or HAG + pay scales, the basic pay, from time to time, plus Deputation(Duty)
Allowance should not exceed Rs 79000/- and Rs 80,000/- respectively.
Note : Basic Pay in the revised pay structure means the pay drawn in the prescribed pay band plus the
applicable grade pay but does not include any other type of pay like special pay allowance etc. 13
The rates of deputation (duty) allowance as above shall take effect from 1.9.2008. 13
_________________________________________________________________________________________________
NOTE: The provisions contained in Annexure II are the summary of Central Government Rules regarding
fixation of pay of deputationists during the period of deputation. These may be considered only as
a guide. Detailed rules and regulations on the subject, are contained in Appendix 31 of Civil
Service Regulations Vol. II (Chaudhri's Compilation) as amended from time to time.

Page: 16 of 16

RECORD OF REVISIONS

No. Date
Revisions


NTPC Limited Section: 0203
Dearness Allowance Updated as on: 31.01.2012
Page: 1 of 3
DEARNESS ALLOWANCE
The Dearness Allowance (DA) in the revised pay scales as on 1.1.2007

shall be zero. With effect from 1.4.2007, the DA payable would be governed
as per the following provisions:
(a) Dearness Allowance shall be revised on 1st April, 1st July, 1st
October and 1st January of each year based on the percentage
increase in the quarterly average of the AICPI for the quarters
ending February, May, August and November respectively over
AICPI 126.33 (Basis 2001=100)
(b) There shall be 100% neutralization of DA for all employees.

Based on the revised DA scheme, the payment of Dearness
Allowance with effect from 1.1.2007 shall be as per Annexure ‘A’.
Page: 2 of 3
Annexure-A
REVISED RATES OF DEARNESS ALLOWANCE: (w.e.f 1.1.2007)
Effective Date Rate of DA

(% of Basic Pay)
01.01.2007 0
01.04.2007 0.8
01.07.2007 1.3
01.10.2007 4.2
01.01.2008 5.8
01.04.2008 6.3
01.07.2008 9.2
01.10.2008 12.9
01.01.2009 16.6
01.04.2009 16.9
01.07.2009 18.5
01.10.2009 25.3
01.01.2010 30.9
01.04.2010 34.8
01.07.2010 35.1
01.10.2010 39.8
01.01.2011 43.0
01.04.2011 47.2
01.07.2011 47.2
01.10.2011 52.0
01.01.2012 56.7
Page: 3 of 3
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Non-Practicing allowance for Medical Updated as on: 31.01.2012
Executives Page: 1 of 2
NON - PRACTICING ALLOWANCE FOR MEDICAL EXECUTIVES
Non Practicing Allowance (NPA) for company doctors shall be paid at the rate of 25% of
basic pay with effect from 26.11.2008. NPA shall not be considered for any other
purpose.
Authority:
2. Corp. Personnel IOM no. 01:Pers:28(4)/225 dtd 7.7.1992
Non-Practicing allowance for Medical Updated as on: 31.01.2012
Executives Page: 2 of 2
RECORD OF REVISIONS

No. Date
Revisions

Locational Allowances Updated as on: 31.01.2012
Page: 1 of 2

LOCATIONAL ALLOWANCES
North East Allowance
North East Allowance at the rate of 12.5% of basic pay shall be paid to employees posted at
NTPC Projects located in the North-East with effect from 26.11.2008.
Coal Mining Site Allowance
Coal Mining Site Allowance at the rate of 15% of basic pay shall be paid to employees posted at
coal mining sites with effect from 26.11.2008.

Locational Allowances Updated as on: 31.01.2012
Page: 2 of 2

RECORD OF REVISIONS

No. Date
Revisions


House Rent Allowance Rules Updated as on: 31.01.2012
Page: 1 of 11
HOUSE RENT ALLOWANCE RULES 1
1.0 SCOPE
1.1 House Rent Allowance is payable to the eligible employees who are not pro-
vided with the residential accommodation by the Company at the places where
the Company has its Projects/Units/Offices etc.
2.0 APPLICABILITY
2.1 For the purpose of House Rent Allowance, the employees eligible are those
borne on the regular establishment of the Company including probationers, lien
holders, deputationists (unless otherwise specified in their terms of deputation)
and persons appointed on contract basis (unless otherwise specified in the
terms of their contract) but excluding apprentices/trainees whether engaged
under Company's own training scheme or under the Apprentices Act, 1961
(save to the extent specifically mentioned in these Rules) and muster roll, daily
rated, casual, badli or substitute employees.
3.0 DEFINITIONS:
In these rules, unless the context otherwise requires:
3.1 "Company" means N T P C Limited including the offices/projects/units under its

management.
3.2 "Places" means X, Y & Z Class cities notifïed by the Government of India for the
purpose of payment of HRA to the Central Govt. employees, from time to time
and other unclassified localities.
3.3 "Family" means employee's spouse, legitimate children and step children
(including legally adopted children) and parents (parents-in-law in case of female
employees).
3.3.1 Only one spouse is included in the term "Family".
3.3.2 Step children include the children of the spouse from a previous marriage, where
the same was dissolved due to legal divorce or death of the other party to such
marriage.
3.3.3 Where both husband and wife are employed in the Company, the dependent
parents of either of the spouses may be treated, at their option, as parents for the
purpose of these rules.
Page: 2 of 11
3.4 In case of a re-employed pensioner, pension and pension equivalent or

retirement benefïts will also be considered as pay provided and to the extent
the same has been taken into consideration for fïxation of his basic pay. In
such a case, if the sum of his pay -plus pension exceeds the pay of the post, if it
is on a fixed rate of pay or the maximum pay of the post, if it is on a time scale
of pay, such excess shall be ignored.
3.5 "Rent" means the charges paid by a Company employee as consideration for
unfurnished accommodation occupied by him if he is a tenant: and the gross
rental value of the house as assessed for municipal purpose or otherwise,
including municipal and other taxes, except service taxes levied separately,
and described as such that are legally payable by the occupier.
3.5.1 In case an employee resides in a hostel or a boarding house or resides and

boards as a paying guest, rent will be the amount equal to 40% of the lodging
and boarding charges or 80% of the lodging charges if boarding is not availed of,
as the case may be.
4.0 TERMS & CONDITIONS
4. l An employee shall be eligible to the grant of HRA only if hè has not been
provided accommodation by the Company at his place of posting.
Accommodation for this purpose means family accommodation including any
accommodation provided by the Company free or at subsidised/stipulated rates in
the Guest House/Transit Camp/Hostel/Company Quarter etc.
4.1.1 Provided, however, an employee who has been allowed to retain his family (i.e.
employee's spouse and dependent children only) at any station of choice in India,
other than project sites under the provisions of Special Facility of House Rent
Allowance as notified by the management from time to time, shall be eligible to
the grant of HRA for such station at the rate applicable for the place concerned.
4.1.2 Provided,further, where an employee on transfer has been permitted to retain

accommodation provided by the company at his previous place of posting on
payment of normal rent or penal rent, he shall be entitled to HRA at his new place
of posting provided that hè has not been provided any free accommodation or
accommodation at subsidised rates (including Guest House/Field Hos tel) at the new
place of posting and subject to the guidelines, if any, issued in this regard.
4.2 Trainees recruited under company's own Training Scheme and placed in- the
regular pay scales of the Company during their training period shall also be eligible
for grant of HRA provided the company fails to arrange, for them, free bachelor
(hostel) accommodation at the places where they undergo long term training.
4.3 An employee shall not be eligible to the grant of House Rent Allowance, if:
(a) he refuses to take possession of the accommodation being provided by the
Company. For this purpose, an employee to whom the accommodation
(other than single room hostel accommodation) is provided by the Company
irrespective of the fact whether accommodation so provided is as per his
entitlement or not, and hè refuses to take possession of the same, shall be
deemed to have been provided accommodation for the purpose of these
rules and therefore, he shall not be eligible to the grant of HRA from the
Page: 3 of 11
date following the last date stipulated in the allotment letter for occupying
the Company's accommodation;
(b) he resides in the accommodation provided by the Company to another

employee;
(c) he resides in the accommodation provided to his parents/children by the

Government or any other Public Sector Undertaking/Quasi Government
Body/Autonomous Body etc;
(d) his spouse has been provided accommodation at the same station by
the Government or any other organisation (Public Sector
Undertaing/Quasi Government Bodies/Autonomous Body etc.)
irrespective ofthe fact whether hè resides in the accommodation so
provided or separately in another accommodation;
(e) he continues to occupy the accommodation provided by the Company

save to the extent otherwise specified in these rules; and
(f) any Company employee residing in Governrnent / Autonomous and Serni

Government Organisation run hostels (which charge subsidized rent
only).
5.0 RATES
5.1 House Rent Allowance will be admissible as per the rates notified by the
Management from time to time, for different places (The current rates of HRA for
different classes of cities are reproduced at Annexure-I)
5.2 House Rent Allownce is admissible to the employees at the rates as above, to all
employees without requiring them to produce rent reciepts.
NOTE: The latest list of cities where HRA is admissible is reproduced at

Annexure-II. However, payment of HRA shall be governed in
accordance with the classification of cities, as notified by Government
of India from time to time.
6.0 OTHER CONDITIONS
An employee who satisfies the terms and conditions laid down in these Rules shall
be entitled to the grant of HRA at the prescribed rates, subject to the following
conditions:
6.1 Where both husband and wife are employed in the company and residing in
the same rented unfurnished accommodation HRA shall be admissible to either
or both of them in accordance with any of the following provisions:
6.1.1 Both husband and wife may draw House Rent Allowance individually at the
prescribed rates as per their entitlements subject to fulfillment of other
conditions for drawl of the allowance.
Page: 4 of 11
6.2 Where the spouse of an employee is working in another organisation and is

claiming HRA from her/his organisation, the entitllment of HRA to the
employee shall be governed in accordance with the provisions stipulated at
Rule 6.1, as if the employee's spouse is also working in the Company.
6.3 Where an employee is sharing accommodation with his parents/son/daughter/

another employee of the Company who is claiming HRA for that
accommodation, on production of Rent Receipt/municipal valuation of the
accommodation, from any organisation including the Company, he shall be
entitled to claim HRA.
6.4 Where an employee is sharing Government accommodation allotted to a central

Government employee, not related to him, he shall be entitled to claim HRA at
the applicable rates.
6.5 Where an employee is residing in Company's/Government accommodation on

payment of penal/market rent hè shall be entitled to claim HRA at the applicable
rate considering the penal/market rent as rent paid for that accommodation.
6.5.1 Where an employee is residing as a paying guest in hostel or boarding house on

payment of rent, hè shall be entitled to claim HRA at the applicable rate considering
the rent as rent paid under sub-rule 3.5.1 for that accommodation.
7.0 HRA FOR ACCOMMODATION OWNED BY THE EMPLOYEE OR HIS/HER

FAMILY
7.1 An employee who is residing in an accommodation owned by him or any of

his members or Hindu Undivided Family (HUF) in which hè is a co-partner, shall
also entitled to claim HRA as per the terms and conditions mentioned at
Rule 6.0 except, that for the purpose of production and verification of Rent
Receipt, wherever applicable, the rental value of the house/portion of the
house actually occupied by him shall be determined by a Committee
constituted for this purpose by General Manager (HR) for employees
posted at Corporate Centre (including those borne on its rolls) and
concerned Head of Project/Unit in case of employees posted at
Projects/Units/Regional Headquarters(including those borne on their
respective rolls). Based on the rental value so assessed by the Committee
the HRA entitlement of the employee shall be computed considering the
said value as ren.t paid by the employees.
8.0 HRA IN DIFFERENT SITUATIONS :
8.1 HRA shall also be admissible to an employee subsequent to the happening of any of the
events specified below for period mentioned against each, at the rates applicable to the
respective place of posting immediately before the happening of any of the said events,
subject to the condition that the employee retains his family at that place. However, in
case of joining time and training within India exceeding 6 months the admissibility of HRA
shall be governed by the provisions of the relevant rules:
Page: 5 of 11
Event Permissible Period
1. Leave of any kind excluding Full period of leave.

EOL If an employee does not join duty after availing
him self of such leave and resigns he shall not be
eligible for HRA for the entire period of leave.
2. EOL on medical ground Upto a maximum of 120 days.

If an employee does not join duty after availing
himself of such leave and resigns he shall not be
eligible for HRA for the entire period of leave.
3. Joining Time Full period of joining time as admissible under the

relevant rules.
4. Transfer to a place outside Upto a period of 2 months from the date of

Headquarters release, provided the employee has not been
provided accommodation by the Co. at his new
place of posting subject to provision 4.1.2. The
limit of 2 months may, however, be extended
upto the period not beyond the end of academic
session by an authority not below the level of
General Manager if the employee has been
transferred in the midst of an academie session
and shifting of family is likely to adversely affect the
education of his children.
5. Suspension Full period of suspension subject to production of a

certificate to the effect that he continues to incur
expenditure for his residential accommodation
during the period of suspension.
6. Training
a) Within India Full Period of Training
b) Outside India Full Period of Training
9.0 PROCEDURE
9.1 Employees claiming HRA shall be required to furnish a declaration to the

concerned HR Department in the prescribed proforma, as applicable, at the time
of joining the place of posting and thereafter at the beginning of every Financial
year. The prescribed performa are enclosed at Annexure-III
10.0 GENERAL
Page: 6 of 11
10.1 Relaxation of any other kind not provided hereinbefore may be permitted only
by the Chairman and Managing director. (In case of any doubt regarding the
interpretation/implementation of the above rules and also in respect of
cases/matters not covered herein the same shall be referred to Corporate HR
Division for decision/clarifïcation).
AUTHORITY:
1. Corp. Personnel lOM no. 01:Pers:7(5) dt. 28.4.1987
2. Corp. Personnel Circular No. 213/88 dt. 8.8.1988
4. Corp. Personnel IOM No. 01:Pers:7(5) dt. 17.10.90
5. Corp. Personnel IOM No. 01:Pers:7(5) dt. 18.2.1991
7. Corp. Personnel Circular NO. 271/91 dt. 10.7.1991
8. Corp. Personnel IOM No. 01:Pers:7(5)/237 dt. 17.8.1993
11. Corp. Personnel Circular No. 349/96 dt.30.12.1996.
12. Corp. Personnel Circular No. 454/2000 dt.29.12.2000.
13. Corp. Personnel Circular No. 457/2001dt.2.3.2001.
14. Corp. Personnel Circular No. 464/2001, dt.19.4.2001
ANNEXURE- I
CLASSIFICATION OF CITIES/TOWNS DECLARED BY CENTRAL GOVT FOR GRANT OF HRA
Revised Classification of Cities/Towns Rates of HRA

(% of basic pay)
X (previously classified as A1) 30%
Y(previously classified as A, B1 & B2) 20%
Z (previously classified as C and unclassified) 10%
Page: 7 of 11
ANNEXURE-II
LIST OF CITIES / TOWNS WHERE HOUSE RENT ALLOWANACE IS ADMISIBLE TO

CENTRAL GOVERNMENT EMPLOYEES
S. STATES CITIES CLASSIFIED CITIES CLASSIFIED AS "Y"

No. AS "X"
1. Andhra Pradesh Hyderabad (UA) Vijayawada (UA), Warangal (UA),
Visakhapatnam (UA), Guntur
2. Assam Guwahati (UA)
3. Bihar Patna (UA)
4. Chandigarh Chandigarh
5. Chhattisgarh Durg-Bhilai Nagar (UA), Raipur (UA)
6. Delhi Delhi (UA)
7. Gujarat Ahmedabad (UA), Rajkot (UA), Jamnagar
(UA), Bhavnagar (UA), Vadodara (UA), Surat
(UA)
8. Haryana Faridabad*
9. Jammu & Kashmir Srinagar (UA), Jammu (UA)
10. Jharkhand Jamshedpur (UA), Ranchi(UA) Dhanbad(UA)
11. Karnataka Bengaluru (UA) Belgaum (UA), Hubli-Dharwad, Mangalore
(UA), Mysore(UA)
12. Kerala Kozhikode (UA), Kochi (UA),
Thiruvanathapuram(UA)
13. Madhya Pradesh Gwalior (UA), Indore (UA), Bhopal (UA),
Jabalpur (UA)
14. Maharashtra Greater Mumbai (UA) Amravati, Nagpur (UA), Aurangabad (UA),
Nashik (UA)
15. Orissa Cuttack (UA), Bhubaneswar (UA)
16. Punjab Amritsar (UA), Jalandhar (UA), Ludhiana
17. Pondicherry Pondicherry (UA)
18. Rajasthan Bikaner, Jaipur, Jodhpur (UA), Kota (UA)
19. Tamil Nadu Chennai (UA) Salem (UA), Tiruppur(UA), Coimbatore (UA),
Tiruchairappalli (UA), Madurai (UA)
20. Uttarakhand Dehradun (UA)
21. Uttar Pradesh Moradabad, Meerut (UA), Ghaziabad*,
Aligarh, Agra (UA),Bareilly (UA), Lucknow
(UA), Kanpur (UA), Allahabad (UA),
Gorakhpur, Varanasi (UA)
22. West Bengal Kolkata (UA) Asansol (UA)
* Only for the purpose of extending HRA on the basis of dependency
NOTE:
The remaining cities / towns in various States / UTs which are not covered by
classification as "X” or "Y" are classified as "Z" for the purpose of HRA.
Page: 8 of 11
ANNEXURE-III
Declaration For House Rent Allowance

(To be submitted in duplicate)
1) I certify that my family is neither in possession of any accommodation

(including field hostel/guest house) nor, sharing the accommodation,
provided by the company or by any state/central Govt./autonomous
body/public undertaking or semi Govt. organization like municipality, port
trust etc. to any of my family members.
2) I certify that I have not refused the company accommodation allotted to me.
3) I certify that I am contributing towards rent for the place of my stay at
(Address of the premises)
OR
I certify that I/my family am/is staying in a house (other than rented house)
the rental value of which is ascertainable and the house is situated at
(Address of the premises)
4) I certify that I am not sharing accommodation provided to another Govt.

servant/company employee on rent-free basis by any state/central
Govt./autonomous body/PSU or semi government organisation like
municipality, port trust etc.
5) I undertake to inform any change in the status of any of the declaration
mentioned above immediately and also undertake to submit the declaration
every year on 1st April.
This declaration shall be deemed to have made as on ________

(Note:- Please strike out the portion which is not applicable)
Date: Signature:........................................
Name:..............................................
Employee No....................................
Designation:................................…..
Place of posting………………….
Note: HR-EB (For forwarding to F&A for payment)

FIN. Estt.
Page: 9 of 11
Special Facility of payment of House Rent Allowance for retention of Family at any station of
choice of India other than Project sites.
1.0 The special facility of House Rent Allowance for retention of family at any station of
choice in India other than Project sites, has been extended upto 31.03.19953 to
employees posted at:
i) Projects/Stations of NTPC (other than BTPS) including Gas based Power

Projects; and
ii) Such Establishment/Offices located at a distance of more than 8 Kms.

from the nearest town/city^2.
2.0 The above facilities shall be admissible only to employees in the regular
establishment who are not allotted suitable permanent family accommodation at
company's townships and each case pertaining to the special facility will be
approved by the Executive Director of the Region under which the project/station
falls.
3.0 Employees availing of the above special facility will be provided rent-free shared
bachelor accommodation only at the project sites.
4.0 The above special facility shall be withdrawn on allotment of family accommodation
except in case where the Executive Director of the concerned Region is satisfied that
for reasons of education of children, it is not possible for an employee to shift his
family to the project site on allotment of family accommodation immediately or for a
specified period (but in no case beyond the duration of the special facility). The
relaxation will, however, be permitted only in respect of school-going children of the
employees for whom appro-priate class/standard is not available in the schools in
the project at the time of allotment of family accommodation or who are to be
retained in their old schools away from the project to avoid a shift during academic
session. Similar exceptions on any other pressing and genuine grounds may be
permitted only with the approval from the Corporate Centre, when such
relaxations are allowed by the concerned Executive Director, the concerned
employee shall forego the allotment of family accommodation made at that time at
the project site and his claim for such accommodation at any later date when hè
ceases to draw the above mentioned House Rent Allowance will be dealt with on the
basis of his usual seniority, not-withstanding anything to the contrary in the Rules for
Allotment of Residential Accommodation.
Clarifications:
(i) If family accommodation at the company's township has been provided to an

employee, the special facility of House Rent Allowance shall not be admissible
even though the allotted family accommodation to not of the entitled type.
(ii) Unmarried employees are not eligible for payment of House Rent Allowance for
retention of their parents, brothers, sisters, etc. at any station of choice in India,
Page: 10 of 11
even though they might be compelled to keep them away due to non-
availability/non-allotment of family accommodation to them at the projects.
AUTHORITY:
3. Corporate Personnel IOM No.:01:Pers:7(18)/233 dt.8.2.1993
Page: 11 of 11
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Rules relating to Company Leased Updated as on: 31.01.2012
Residential Accommodation for Executives Page: 1 of 10
RULES RELATING TO COMPANY LEASED RESIDENTIAL

ACCOMMODATION FOR EXECUTIVES
1.0 OBJECTIVE
To provide Subsidised Residential accommodation to employees in

executive category in cities where the company does not have its own
residential township.
2.0 SCOPE AND COVERAGE
The scheme covers all executives including executives on deputation in

NTPC taken against posts in executive grades.18
3.0 RENTAL LIMITS10,11,12,,13,14,19
3.1 Subject to the provisions in rule 3.3 the monthly rental ceiling for residential
accommodation to be taken on lease by the company for various classes of
cities shall be as follows (w.e.f. 26.11.2008):
Grade Cities – Delhi(UA), All Indian State All Other Cities

Greater Mumbai(UA), Capital Cities/ Towns classified as Y as per
Chennai(UA), GOI list
Bengaluru(UA),
Kolkata(UA),
Hyderabad(UA)
E1 20930 16280 11630
E2 21560 16780 11990
E2A 22730 17680 12630
E3 24530 19080 13630
E4 26100 20300 14500
E5 27900 21700 15500
E6 29700 23100 16500
E7 30760 23910 17090
E7A 31820 24740 17680
E8 32850 25550 18250
E9 36000 28000 20000
3.1.1 If both husband and wife are employees of the Company and are posted at the
same station, company lease accommodation will be admissible only to one of
them.
However, in case of an executive whose spouse is also working in the company

and if both of them are posted at same city, the monthly rental ceiling in such
cases will be equal to entitlement of leased accommodation of spouse in higher
scale and a % of the basic pay of the other spouse (40% in A1 class cities/ 35%
in other A class cities/ 25% in B & C class cities) subject to the condition that
Licence fee/ Standard Rent will be payable by each of them. 18
License Fee/ Standard Rent
The License fee/ Standard Rent for residential leased accommodation shall be
as under:
Level 18 License fee/ Std. Rent (Rs./PM)

E1-E2A 1780
E3-E4 2180
E5-E9 2750
3.3 Residential accommodation with monthly rental beyond the rental ceiling as
provided in rule 3.0 can, as per the option of the concerned employees, be
arranged at the sole discretion of the management subject to a maximum of 150%
of the entitlement provided the employee himself bears the amount in excess of
the ceiling, over and above Licence fee/Standard Rent which has to be borne by
him.
4.0 OTHER FINANCIAL ASSISTANCE
4.1 If accommodation is arranged through a broker, the Company will reimburse

brokerage charges directly to the broker equal to an amount not exceeding 50% of
the rental ceiling as provided in rule 3.0 or 50% of the actual rent whichever is lower.
However, in cities where the normal practice of payment of brokerage charges
(payable by the lessee i.e. the company) is higher than the above rate, the
Corporate HR Department will issue, in consultation with Corporate Finance
Department, guidelines for reimbursement of such higher amount as deemed
necessary from time to time. Normally the brokerage charges will be reimbursed by
the Company only once at the same place of posting. However, if the employee has
to vacate the house on expiry of the lease period or extended lease period or within
two months before such expiry and another residential accommodation has to be
taken on lease for him by the Company, the foregoing condition will not apply. In
other cases calling for relaxation of this condition, approval of the competent
authority will be necessary.
Note: In terms of DPE OM dated 20/05/2009 regarding discontinuation of

reimbursement of expenditure towards repair and maintenace of Company
Leased Residential Accommodation, it has been decided to discontinue the

same. Accordingly the reimbursement of expenditure incurred on repair and
maintenance of Company Leased Residential Accommodation shall be adjusted
in case of residential lease of executives or their near relatives with effect from
26.11.2008. In all other cases it will be discontinued with effect from 16.09.2009.19
5.0 GENERAL CONDITIONS
5.1 The lease deed will be in the format as enclosed at Annexure-A.

Conditions incorporated in the said format deed which will be deemed to
form a part of these rules, may be relaxed in exceptional cases by the
competent authority wherever it is felt that strict compliance may create
hardship to the concerned employee.
5.1.1 During the currency of a lease deed, no revision of rent would be permitted
except where the order provides some additional facilities or
accommodation.
5.2 The Company leased accommodation is basically intended for the use of the
employee, his/her spouse and dependent children. In addition to these,
dependent parents could also be accommodated in the company leased
accommodation. Accordingly the employee shall furnish to the concerned HR
services department the details of the family members who will be using the
accommodation at the time of the commencement of the lease or at any
subsequent time when there is a significant change in the composition of the
family members using the accommodation.
5.3 The management would have the right to inspect the premises to ensure the
appropriate use of such accommodations and may terminate the lease without
any notice to the concerned employee if it is satisfied that the accommodation in
question has been put to unauthorized or inappropriate use, apart from the
employee himself being liable for disciplinary action.
5.4 The leased accommodation allotted to an employee may be allowed to be

retained by him subsequent to the happening of any of the events specified below
for the period mentioned against each on payment of usual/normal rent provided
that the accommodation is required for bonafide use of the employee or members
of his family.
S.N. Event Permissible period for retention

of accommodation
1. Retirement 4 months5,6
2. Death 4 months5,6
3. Transfer to a place outside 2 months

headquarters
4. On being deputed by company Full period of the training
for training
5. Any kind of leave which qualifies Full period of leave
for payment of house rent
allowance in full
6. Study leave (including EOL) 6 months inclusive of various kind of
if any, leave which may be due to
the employee at the time of
proceeding on study leave.
7. Leave on medical grounds 6 months inclusive of various kinds
(including EOL) of leave which may be due to the
employee at the time of proceeding
on medical leave.
8. Reversion of a deputationist to his i)Two months (if served NTPC for a
parent department minimum period of one year)
ii)One month (if served NTPC for a
period of less than one year)
9. Resignation One month
Provided, however, where an employee is transferred to a place outside station in the

midst of an academic session, the period of two months as mentioned at (3) above may
be extended not beyond the end of academic session by the competent authority in
exceptional cases if the shifting of his family is likely to adversely affect the education of
his children.
5.5 In case there is over payment of rent to the landlord for reasons directly attributable to an
employee, hè will be liable to make good the loss to the company for such over payment.
6.0 SPECIAL CONDITIONS
The accommodation owned by an employee or his/her near relation(s) may also be taken
on lease by the Company for the residential use of the employee subject to the following
special conditions.
6.1 For the purpose of this rule, the near relations of an employee will mean his/her spouse,
children, step children, legally adopted children and parents.18
6.2 If the house belongs to a near relation, such a house or a portion thereof may be taken
on lease by the Company for the residential use of the employee provided the
management is fully satisfied before execution of the lease deed that the total
accommodation to be leased is a distinctly demarcated dwelling unit not amenable to
unauthorized or mixed use by reason of the remaining house being in occupation of
near relations. 18
6.3 The assessment of rental value of the house or a portion of the house which is intended
to be leased will be carried out by a Committee consisting of representatives of HR-
services, Finance and Civil Construction as may be constituted from time to time for this
purpose by the competent authority. 18
The recommendation will be put up for approval of the competent authority. Where the
assessment of the rental value of a house or any portion thereof, belonging to one of the
members of the Committee or his near relations, has to be carried out, another member
will be temporarily nominated by competent authority for this purpose in his place.
6.4 In such cases of lease, no brökerage charge would be admissible.
7.0 COMPETENT AUTHORITY
For the purpose of these rules, the competent authority would be as follows :
For employees posted at Corporate Centre Director (HR)

a including those borne on its rolls
For employees posted at Regional Regional ED
b Headquarters including those borne on their
respective rolls
For employees posted at Projects/Stations BUH
c including those borne on their respective rolls
8.0 GENERAL:
8.1 Relaxation of any other kind not provided herein before may be permitted only
by the Chairman and Managing Director.
8.2 In case of any doubt or dispute regarding the interpretation/implementation of the

above rules and also in respect of cases/matters not covered herein, the same
should be referred to Corporate HR Department for decision/clarification.
8.3 The management reserves the right to modify, cancel, add or amend any of the
above rules at any time without giving any notice or assigning any reason there
for.
AUTHORITY:
1. Corporate Personnel Circular no. 99/82 dt 24.07.1982

2. Corporate Personnel IOM no. 01:Pers:7(5) dt. 19.8.1983
3. Corporate Personnel Circular no. 150/84 dt. 22.11.1984
7. Corporate Personnel IOM no. 01:Pers:7(5) dt. 1.5.1987
8. Corporate Personnel IOM No. 01:Pers:7(5) dt. 16.8.88
10. Corporate Personnel IOM no. 01:Pers:7(5)/212 dt. 15.10.1991
11. Corporate Personnel IOM No. 01:Pers:7(5)/238 dtd 23.8.93
12. Corporate Personnel IOM NO. 01:Pers:7(5)/241 dtd 13.9.93
14 Corporate Personnel IOM NO. 01:Pers:7(5)/262 dtd 4.4.95
15. Corporate Personnel Circular No. 340/95 dtd 8.12.95
16. Corporate Personnel IOM NO. 01:Pers:7(5)/330 dtd 14.6.98
18. Corporate HR IOM No. 01: HR-Policy: Simplification: 523 dated 08.04.2004
19. Corporate HR IOM No. 01: HR-Policy:7(5)/711 dated 16.09.2009
ANNEXURE-A
LEASE DEED
THIS DEED OF LEASE made on this............... day of ................ Two thousand .......................
between Shri/Smt.................. residing at ............................... and owner of the premises at
........................... (hereinafter called "the Lessor" with respect to the latter premises which
expression shall wherever the context permits, be deemed to include his/her heirs, successors,
legal representatives and assigns) of the one part and N T P C Ltd. (a Government of India
Undertaking) a company incor-porated under the Companies Act, 1956 having its registered
office at NTPC Bhawan, Scope Complex, 7, Institutional Area, Lodhi Road, New Delhi-110003
through its .................... (hereinafter called "the Lessee" which expression shall wherever the
context permits be deemed to include their successors and assigns) of the other part, witnesses
at follows :
In consideration of the rent hereinafter reserved and all the covenants and conditions
hereinafter contained to be observed and performed on the part of the Lessee, the lessor does
hereby grants, transfer, demise by way of lease the premises consisting of......................... situated
at ........................... of which the Lessor is entitled in Law to execute this Deed, together with
the appurtenant land/space, the rights to make use of entrances, passage, stair cases,
landings and other easements belonging and pertaining to the said premises unto and to the
use of the Lessee for a period of ............ @ ......... commencing from.........………by paying unto
the Lessor during the said period a rent of Rs. ........... (Rupees ................) per mont'h,
mclusive of hire charges of the fittings, equipments and fixtures in the premises* (as per
Schedule attached to this Deed)* and subject to the following conditions :
I. The Lessee hereby covenants with the Lessor as follow :
i) That the Lessee shall pay to the Lessor the said monthly rent by cheque on or
before the 15th day of each English calendar month.
ii) that the Lessee shall use the demised premises for the residential use of any of
its officers who shall pay the charges for consumption of electricity and water
direct to the lessor or the concerned authorities, as per bills received by him.
iii) That the Lessee shall permit the Lessor his/her authorised representatives to
enter upon the demised premises at all reasonable times for the purpose either
for inspection or repair of the demised premises, as and when necessary.
* Delete wherever the schedule is not attached

@ The period shall not be less than two/three years

£ On a non judicial stamp paper of appropriate value.
iv) That subject to the Lessor's covenants, the Lessee shall keep the interior of the
demised premises in good order and condition (reasonable wear and tear and
damages by fires, earthquake, flood, tempest, lightning, violence of any army or
of a mob or other irresistible or inevitable force or accident excepted) and attend
to minor repairs such as fuses, leakages of water, taps etc.
v) That the Lessee shall not erect on the demised premises any permanent
structure without the written consent of the Lessor, provided that the Lessee
may without the Lessor's consent erect temporary partitions at its own cost.
vi) That the Lessee shall not sublet, assign or otherwise part with possession of the
demised premises without the consent of the Lessor.
vii) That the Lessee shall be entitled to terminate the lease at any time during the
initial or renewed term of the lease upon serving one month’s previous notice in
writing of its intention so to do.
viii) that the Lessee shall deliver the demised premises to the Lessor on the
expiration or earlier determination of the lease together with Lessor's fittings
and fixtures, if any, in such condition as is consistent with the covenants and
conditions herein contained.
II The Lessor hereby covenants with the Lessee as follows.
i) That the Lessor shall pay all taxes, rates, license fees, ground rent and
charges of whatever character assessed, levied, charged and imposed by or
payable to any lawful authority in respect of the demised premises and if the
Lessor fails or neglects to pay the same, the Lessee may such payment and
deduct the same with interest at the rate of 12% per annum from the rent or
otherwise recover it from the Lessor.
ii) that the Lessor shall effect all major repairs such as leakages in electricity,
sanitary fittings, water pipes or cracks etc. at his/her own cost immediately
upon such defects are notified to him/her by the Lessee and if the Lessor fails
or neglects to make such repairs the Lessee may cause the same done and
deduct the expenses of such repairs with interest at the rate of 12% per
annum from the rent or otherwise recover if from the Lessor.
iii) That the Lessor shall arrange the white wash, distemper, paints, polish the
demised premises before occupation by the Lessee and thereafter once in two
years during the lease period or extended lease period, at his/her cost.
iv) That the Lessee shall peacefully and quietly hold and enjoy the demised
premises during the lease period (s) without any interrüption or disturbance by
the Lessor or any person rightfully claiming under or in trust for him/her.
v) That the Lessor represents and warrants that he/she is fully entitled to execute
this lease deed and that he/she will hold the Lessee free and harm-less of any
demands, claims, actions or proceedings by others in respect of quiet
possession of the demised premises.
III It is hereby mutually agreed as follows:
i) That the Lessee shall be entitled to renew the lease for a further period of....
year/.... months on the same mutually agreed terms and conditions for which the
Lessee shall give to the Lessor a notice in writing not less than one month before
the expiration of the term hereby granted and the Lessor shall grant fresh lease
for a further period of ...... year/......... months from the date of expiration of the
term hereby granted.
ii) the Lessor, his/her authorised agents shall acknowledge and give valid and duly
stamped receipt for each and every payment made by the Lessee, and such
receipt shall be conclusive proof of such payment.
IN WITNESS WHEREOF the parties hereto have executed these presents

at............. on the day, month and year first above written in the presence of :
WITNESSES
1. Lessor
2. Lessee
3. For and on behalf of NTPC Ltd.

RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Cafeteria Approach Updated as on: 31.01.2012
Page: 1 of 4
CAFETERIA APPROACH
1.0 The Cafeteria Approach for perks and allowances was adopted as part of the
salary & wage revision with effect from 26.11.2008 allowing employees to
choose from a given basket of perquisite allowances subject to the conditions
that cafeteria shall be limited to 47% of revised basic pay. Keeping the overall
ceiling limit of 47% of basic pay on the cafeteria the following shall form part of
the cafeteria:
Executives:
S. Perks & Allowances Cafeteria (Upto)
No. (% of basic pay)
1 Canteen Allowance / Meal 7.5%
Vouchers
2. Child Education and Child I (Tuition Fee) – 5%
Hostel Subsidy Allowance (Hostel Subsidy) – 5%
Child II(Tuition Fee) – 5%
(Hostel Subsidy) - 5%
3. Professional Updation Allowance 10%
4. Conveyance/Transport Allowance 5%
5. Washing Allowance 5%
6. Reimbursement of expenditure on 5%
vehicle repair & maintenance
7. Domestic Help Allowance 10%
8. Electricity Reimbursement 10%
9. Newspaper / Professional 5%
Literature Reimbursement
10. Driver Allowance 10%
11. House Upkeep Allowance 5%
12. Self Development and Personality 15%
Page: 2 of 4
Enhancement Allowance
13. Club Membership 10%
14. Gardener Allowance 10%
15. LTC 20%
16. Other Allowances 10%
Non- Executives:
S. Perks & Allowances Cafeteria (Upto)
No. (% of basic pay)
1. Canteen Allowance / Meal 7.5%
Vouchers
2. Child Education and Child I (Tuition Fee) – 5%
Hostel Subsidy Allowance (Hostel Subsidy) – 5%
Child II(Tuition Fee) – 5%
(Hostel Subsidy) - 5%
3. Conveyance/Transport Allowance 5%
4. Washing Allowance 5%
5. Reimbursement of expenditure on 5%
vehicle repair & maintenance
6. Energy Conservation Allowance 10%
7. Electricity Reimbursement 10%
8. Newspaper / Professional 5%
Literature Reimbursement
9. Internet Allowance 5%
10. House Upkeep Allowance 5%
11. Self Development and Personality 15%
Enhancement Allowance
12. Furnishing Allowance 10%
13. Gas/Fuel Allowance 10%
14. LTC 15%
15. Computer Allowance 10%
Page: 3 of 4
16. Patient Care Allowance 10%

17. Driver Allowance (for W8 &
above)
18. Other Allowances 10%
1.1 Employees shall be allowed to avail the various items under the cafeteria as
per the quantum of percentage required by them within the maximum ceilings
as placed at the table above.
2.0 If an employee selects the option of meal vouchers under cafeteria the amount
payable shall be at the rate of Rs.50 per working day at the respective NTPC
unit subject to a maximum of Rs.1550 p.m. The balance amount as per the
percentage opted under cafeteria for meal vouchers shall be paid as canteen
allowance. In case of absence of an employee on account of unauthorized
leave, leave without pay, study leave, EOL, maternity leave and child care
leave, the payment under the account of meal voucher shall not be payable.
Page: 4 of 4
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Travelling Allowance Rules Updated as on: 31.01.2012
Page: 1 of 42
TRAVELLING ALLOWANCE RULES
1.0 SHORT TITLE
These rules shall be called "NTPC Travelling Allowance Rules" and shall come
into force with effect from the date as may be notified in this regard.
2.0 APPLICABILITY
These rules shall be applicable to all employees of the Company including:
i) Lien holders
ii) Deputationists on foreign service terms, unless their terms of deputation

provide otherwise:
iii) Apprentices/Trainees engaged under Company's own training schemes:
but shall not be applicable to :
i) Apprentices engaged under the Apprentices Act, 1961 and
ii) Muster roll, daily rated, casual, badli or substitute employees

save and except to the extent specifically mentioned in these
rules.
2.1 These rules shall also be applicable to:
i) Persons appointed on contract unless otherwise specified in the terms

of their contracts :
ii) Candidates called for appearing at test/interview conducted by the

Company; and
iii) any other person or class of persons to whom these rules are so ex-
tended by specific order(s) of the Chairman and Managing Director.
CHAPTER-I
3.0 SCOPE
The provisions of this Chapter shall be applicable to journeys performed by the

employees to places beyond a radius of 30 Kms. from the Headquarters or
outside municipal limits of the Headquarters, whichever is more for purposes
specified hereinafter.
Page: 2 of 42
N.B. These rules have come into effect from 9.7.1981.
4.0 DEFINITIONS
4.1 "Company"/"Corporation" means the N T P C Limited including the projects/units

under its management.
4.2 "Controlling Officer" means the officer empowered to approve and or counter-sign the
travelling allowance claim (including advance) in respect of employees working under
him, in accordance with the powers delegated from time to time for specified purposes
under these rules.
4.3 "Day" means a calendar day beginning and ending at midnight. This is for general
reckoning only.
4.4 "Family" means an employee’s spouse residing with the employee and legitimate
children (including step children and legally adopted children) residing with and wholly
dependent upon him. In case of transfer, the term family would also include parents,
unmarried sisters and minor (i.e. below 21 years of age) brothers provided that the
concerned member is residing with and wholly dependent upon the employee.
4.4.1 However, till such time the company's special facility of housing/ company leased
residential accommodation/house rent allowance for retention of family at a place
other than the place of posting of the employees is in existence, the condition of
'residing with the employees will not be essential for such employees as are
allowed to retain their family under the provisions of such special facility.
4.4.2 Only one wife is included in the term "family" for the purpose of these rules.
4.4.3 Legitimate children do not include adopted children except those legally adopted.
4.4.4 Step children include the children of the spouse from a previous marriage,
where the same was dissolved due to legal divorce or death of the other party to
such marriage.
4.4.5 The criterion for judging the dependency or otherwise of a family member of an
employee will be the monthly income of the concerned family member. He/she will
be deemed to be dependent upon the employee if his/her income from all sources
is not more than Rs. 3000/- p.m. In case of parents, the income of both father and
mother jointly will be taken into account for this purpose.
4.4.6 Where both husband and wife are employed in the Company, the dependent parents
of either of the spouses may be treated, at their option, as parents for the purpose of
these rules.
Page: 3 of 42
4.5 "Headquarters" means the normal place of duty of an employee. In case of an

employee deputed for training in India or abroad, the Headquarters will mean the
place of duty from where he proceeded on training, unless the same is changed in
respect of an employee sent on long-term training or assignment by a specific order
of the Head of Division.
4.5.1 In respect of an apprentice/a trainee, the Headquarters shall mean the place of
training at which he is posted for undergoing long duration (more than 30 days)
apprenticeship/training.
4.6 "Head of Division" means the concerned Functional Director/General Manager or any
other Executive to whom the power is delegated by Chairman & Managing Directer
for the purpose of these rules.
4.7 "Management" Means the Board of Directors and if authorised by the Board, the
chairman and Managing Director of the Company for the purpose of these rules.
4.8 "Official Tour" means absence on duty of an employee form his Headquarters.
4.9 "Pay" means basic pay together with personal pay, special pay, deputation (duty)
allowance, dearness pay and officiating pay, if any
4.9.1 In case of a re-employed pensioner, pension and pension equivalent of retirement

benefits will also be considered as pay provided and to the extent the same has been
taken into consideration for fixation of his basic pay. In such a case, if the sum of his
pay plus pension exceeds the pay of the post, if it is on a fixed rate of pay or the
maximum pay of the post, if it is on a time scale of pay, such excess shall be ignored
4.9.2 For muster roll, daily rated, casual, badli or substitute employees, pay means the
amount arrived at by multiplying their daily rate of wages by 26(twenty six) or 30
(thirty), as the case may be, depending upon the manner of calculation of their daily
wage-rates.
4.10 "Principal Cities" means Calcutta, Delhi, Bombay, Madras, Hyderabad and other
cities categorised as 'A' and 'B-1' for the purpose of City Compensatory Allowance as
per Government of India's notification from time to time.
4.11 "Shortest Route" means the route which is shortest in terms of distance.
4.11.1 The route by which the destination can be reached most speedily by rail/air as per
entitlement, even if longer, will be deemed to be the shortest route for the purpose of
these rules. In respect of a road journey, it means the route which is shortest in
point of time by entitled mode of travel.
4.11.2 Keeping in view the locations of various destinations, availability of various
means of transport and other relevant factors, the Chairman and Managing
Director may declare from time to time specific routes, which through not
shortest, will be deemed to be shortest routes for the purposes of all or any of the
journeys mentioned in these rules.
4.12 "Transfer" means the movement of an employee from one Headquarters station
at which he is posted to another station to which his former Headquarters have
been changed or where he is ordered to take up the post.
Page: 4 of 42
4.12.1 Notwithstanding the above definition or transfer, the movements of an

apprentice/a trainee, engaged under the Company's own training scheme, during
the period of training as well as that for joining his duties at the place of posting in
consequence of final appraisal and placement etc. shall not be treated as
transfer.
5.0 An employee on official tour will be entitled to Travelling Allowance which is
intended to cover expenditure incurred in Entitlement within India connection with
journeys performed for the Company's work, as provided hereinafter.
5.1 Reimbursement of journey fares:
5.1.1 The reimbursement of fares for journeys performed between the Headquarters
station and tour station by the employees of various pay scales/pay range by
different means of transport shall be as per the following entitlement, subject to
actual.
5.1.2 Nature of Entitlement:
S.N. Pay Scale / Pay Range (Rs.) Entitled mode & class of travel
Rail Air Road
1 2 3 4 5
a Employees
1. Those in the pay Scales of I Class/ ACC Admissible* Actual taxi fare
36600-62000 (E5) & above I Class
2. Those in the pay scales of I Class/ II Class Admissible** Actual taxi fare
32900 - 58000 (E4) & 29100 AC Sleeper limited to Rs.
- 54500 (E3) 6.10/km 52
3. Those in the pay scales of I Class/ II Class Admissible** Fare of a single

24900 - 50500 (E2A) AC Sleeper seat in taxi where
availed limited to
Rs. 2.30/ km 52or
actual bus fare.
4. Those in the grade of E1 & I Class/2nd Class Not admissible Fare of a single
E2, all supervisors and AC Sleeper seat in taxi limited
workmen drawing pay not to Rs. 1.10 / km 52
less than Rs. 14720/- (2007 or actual bus fare
Page: 5 of 42
pay structure) if appointed

prior to 1.1.97 /W7 & above If
appointed on or after 1.1.97
5. Workmen drawing pay less 2nd class / 3 Tier Not admissible Actual bus fare
than Rs. 14720/- (2007 pay AC wherever
structure) if appointed prior to available
1.1.97/ (W1-W6) if appointed
on or after 1.1.97
6. Those in W0 grade 2nd class Not admissible Actual bus fare
Trainees:
Fare of a single
7. Executive Trainee I Class/ II Class Not admissible seat in taxi,
AC Sleeper where availed
limited to Rs.
1.10/km 52 or
actual bus fare
8. Diploma Trainee and Artisan II Class Not admissible Actual bus fare
trainee.
Daily rated/muster roll etc.

employees
9. All pay ranges II Class Not admissible Actual bus fare
* Executives in the rank of General Manager and above only may travel by Executive
Class.
** Executives in the grades E2A-E4 may travel by air, while they are on business tours
only in Economy class by Apex fares.For all other purposes including training they
shall be allowed to travel by their normal entitlement of I class/II class AC by train.
5.1.3. For places which are not connected by rail but which are connected with the railway
system by steamer, if the steamer service is not owned by the railways or for
journeys otherwise by sea, there reimbursement of fares for such portion of the
journey as is undertaken by steamer or otherwise by sea, in respect of employees
of various pay scales/pay ranges shall be as per the following scales:
Page: 6 of 42
S.N. Pay Scale/Pay Range (Rs.) Entitled class of travel
1 2 3
a Employees:
1. Those in the pay scales of E5 and Highest class

above
2. Those in the pay scales of E4, E3 or Higher class, if there are only two
E2A Classes on the vesselMiddle second
class, if there aremore than two
classes.
3. Those in the pay scale of E1, all Lower class, if there are two classes
supervisors and workmen drawing pay only on the vessel Middle or second
not less than Rs. 14720/- class, if there are three classes.
Third class, if there are four classes.
4. Those workmen drawing pay below Lowest Class

Rs. 14720/-
Trainees:
5. Executives trainee 'Lower class, if there are two classes

only on the vessel, Middle or second
class, if there are three classes.
6. Supervisor/Diploma Trainee and artisan Lowest Class
Daily rated/Muster roll etc. Employees
7. All pay ranges Lowest Class
5.1.4 Where journeys are performed by road between places connected by rail, the
reimbursement as per sub-rule 5.1.2 will be restricted to rail fare as per
entitlement, subject to actuals.
5.1.5 For journeys performed by road between places not connected by rail and where
road travel is customary the reimbursement will be allowed in full as admissibIe
under column(5) of sub-rule 5.1.2.
Page: 7 of 42
5.1.6 Notwithstanding, the provision contained in sub-rules 5.1.4, keeping in view the
locations of various destinations, availability of various means of transport and
other relevant factors, the Chairman and Managing Director may notify places/
station connected by rail, in respect of which reimbursement of actual fare may be
permitted as per road journey under column (5) of sub-rule 5.1.2 in full for all or
specified categories of employees.
Note.1. Employees drawing pay below Rs. 14720/- per month (in case of workmen) and
all supervisors may travel by road between Ramagundam and Hyderabad and
claim reimbursement of actual fare restricted to that for travel by Express Bus
(Other than Deluxe).
Note.2. Employees may travel by road between Korba Project/Township and Champa
railway Station for which reimbursement of actual fare may be allowed per Road
journey under Col. 5 of Sub rule 5.1.2 subject to adequate proof of the amount of
expenditure incurred vide sub-rule 14.2.
With a view to affecting economy in expenditure on account of reimbursement of the

above journey, it is desirable that the employee entitled to reimbursement of actual
taxi fare, with or without ceiling travel in groups and share taxi whenever feasible
and to the extent possible.
Note.3. Employees entitled to travel on duty by full taxi may travel by road between Varanasi
/Mirzapur and the Project locations at Singrauli / Rihad / Vindyanchal, of which
reimbursement of actuall fare may be allowed as for road journey under control
Col.5 of sub-rule 5.1.2 of TA rules (i.e. entilted mode & class of travel by road ),
subject to adequate proof of the amount of expenditure incurred vide Sub Rule 14.2
of TA Rules. This however, will be subject to ceiling rates for taxi fare between
Varanasi / Mirzapur and Singrauli / Rihand / Vindyanchal as notified by RED(N)
individually for each routes from time to time i.e. for routeviz. Varanasi-Singrauli,
Mirzapur - Rihand and Mirzapur - Vindyanchal, Mirzapur - Singrauli, Mirzapur -
Rihand and Mirzapur - Vindyanchal.
It is however, emphasized that when the employees entitled to reimbursement of

actual Taxi fare, travel on this route, they should travel in groups and share the taxi,
to the extent possible.
Note. 4. Keeping in view the location of Korba availability of various means of transport and
other relevants factors, the employees entitled to travel on duty by full taxi may
travel by road between Raipur and Jamnipali for which reimbursement of actual fare
may be allowed as for road journey under Col. 5 of Sub-rule 5.1.2 of TA Rules (i.e.
entitled mode & class of travel by Road), subject to adequate proof of the amount of
expenditure incurred vide Sub Rule 14.2 of TA Rules. This however, will be
subjected to ceiling rates for taxi fare between Raipur and Jamnipali as notified by
RED(W) from time to time.
It is however, emphasized that when the employees entitled to reimbursement of

actual taxi fare, travel on this route, they should travel in groups and share the taxi,
to the extent possible.
Page: 8 of 42
5.1.7 When journey is performed by an employees in his own car, reimbursement will
be allowed at the rate of Rs. 6.10/km for travel by car if entitled for Monthly
Reimbursement of Conveyance Expenditure of car. In respect of
employees in the grades of E1-E2A, prior approval of General Manager is
required. Reimbursement will be allowed at Rs.2.30 per km for travel by scooter
/ motor cycle. The above shall be subject to restriction as contained in sub-rule
5.1.4 unless there is any Contrary notification under Sub-Rule 5.1.6.
5.1.8 The reimbursement of fare will normally be admissible by the shortest route on
through ticket basis. In exceptional cases, the concerned Head of Division may
relax this provision in really deserving cases purely on merits but not as general
rules.
5.1.9 Charges for sleeper accommodation, super fast train surcharge reservation,
telegram charges by railways for booking of ticket as well as telegram charges
levied by airlines for reserving accommodation and with the approval of the Head
of Department, charges for cancellation of tickets for journeys not undertaken due
to official reasons will also be reimbursable. In addition, agency charges paid to
travel agents for booking of tickets subject to the monetary limit as may be
prescribed from time to time by the Chairman & Managing Director for each
journeys are also reimbursable on production of vouchers.
Note: The current monetary limit for reimbursement of agency charges paid by the
employees to travel agents for booking of rail tickets shall be Rs. 10/- per ticket
for each journey. Reimbursement may be allowed on production of
vouchers/receipts only. Reimbursement of agency charges for booking of Air tickets
is not permissibIe.
5.1.10 In exceptional cases cancellation charges may be reimbursed, at the discretion of

the Controlling Officer where the journey is not undertaken by an employee due
to natural calamities or any mishap in his family.
5.1.11 Non-availability of reservation by train is not an acceptable reason for not

performing the journey connected with official work. Also, in case of non-
availability of accommodation in the entitled class and/or modes, and employee
should travel in a lower class by a lower mode.
5.2 Reimbursement of conveyance charges:
An employee will also be entitled to reimbursement of actual conveyance charges

for journeys between railway station/bus stand/airport and residence/place of stay
either at Headquarters or tour stations and other official journeys performed by
road at tour stations/through means of conveyance other than Company's
transport. The reimbursement shall be regulated in accordance with the following
sub-clauses.
5.2.1 For journeys to and from railway station/bus stand/airport, at Headquarters and
tour stations, the reimbursement will be as per the scale laid down in the table
under sub-rule 17.2.2 of Chapter II of these rules. Notwithstanding the above
provision the employees in the pay scales of (E2A) to (W8)/(S1) and Executive
Trainees may be reimbursed actual taxi charges, wherever three wheelers do not
Page: 9 of 42
ply.
5.2.2 For journeys performed by road at tour stations, the reimbursement will be
regulated as per the scale laid down in the table under Sub-rule 17.2.2, subject
to provisions of sub-rules 17.2.3, 17.2.4 and 17.2.5 of Chapter II. The
reimbursement will be limited to a maximum of Rs. 900/- 52 at any one station at
any one time for a continuous halt not exceeding seven days. The limit of Rs. 900/-
can be relaxed in exceptional cases by the concerned Head of Division upto Rs.
1200/- for halts exceeding seven days, the limit may be raised proportionately.
These limits are for journeys other than those covered in sub-rule 5.2.1.
5.2.3 It is clarified that in case of journeys between places situated in the urban
agglomeration of 'A' Class Cities such as Greater Bombay, Greater Calcutta and like
situations, journeys between places connected by rail should be undertaken by
rail only and if the journeys are performed by road between such places, the
reimbursement will be restricted to rail fare as per entitlement. However, self
Controlling Officers may undertake the journeys between such places by road in
exceptional circumstances at their discretion and the reimbursement will be
allowed accordingly.
5.2.4 Employees proceeding on official tour for work in the suburbs of 'A' class cities or
contiguous industrial complex should normally stay in such places where the
official work proper is to be done. In case they choose to stay in the 'A' class city
proper, the journeys between the place of stay and the suburbs/contiguous
industrial complex if connected by rail should be undertaken by rail, and in case
the journey is performed by road between such places, the reimbursement will be
restricted to rail fare as per entitlement. However, self Controlling Officers may
undertake the journey between such places by road in exceptional circumstances
at their discretion and the reimbursement will be allowed accordingly.
5.2.5 In respect of the top officials of the Company irrespective of their entitlement to
staff car facility for official duties at their headquarters stations as per their terms of
appointment or otherwise, the restrictions laid down in sub-rules 5.2.2, 5.2.3 & 5.2.4
will not apply and they will be reimbursed the actual cost of conveyance charges
incurred by them at tour stations, if not provided with staff car facility at such stations.
5.2.6 No conveyance charge for purchase, cancellation or exchange of railway ticket either
at headquarter or tour stations will be reimbursed.
5.3 Daily Allowance
5.3. l An employee on official tour will be entitled daily allowance intended to cover
expenses incurred for food and incidentals in the course of travelling and for boarding
and lodging at places other than headquarters, as provided hereinafter.
5.3.2 Daily allowance will be admissible as the following rates:

Page: 10 of 42
S. Category/ Accommodation charges subject to Allowance for food & Composite Daily
N. Pay Scale maximum of (Rs/ day) incidentals (Rs /day) allowance
(Rs /day)
Delhi, Other Ordinary P O P O

Mumbai, Principal Cities
Bangalore, cities
Hyderabad,
Kolkata,
Chennai
1 2 3 4 5 6 7 8 9
Employee
s
E9 14000 11000 8800 370 80% of 470 80% of
E7-E8 9800 7700 6160 320 Col No. 410 Col
E5-E6 5600 4400 3520 260 6 370 No. 8
E3-E4 4200 3300 2640 220 320
E1-E2A 3150 2475 1980 180 260
W8/S1 & 1680 1320 1055 130 210
above
W4-W7 1260 990 790 120 210
W3 & 630 495 395 110 160
below
Trainees
Executive 1260 990 790 130 210
Trainee
Diploma 630 495 395 100 120
Trainee/
Artisan
Trainee
Note: 1. P Means Principal Cities
2. O Means Ordinary Cities
5.3.3 Actual accommodation charges limited to the amounts as shown in column(2) as in

sub- rules 5.3.2 for stay in any hotel, company's guest house or any other guest house
will be reimbursed subject to production of receipts. The limits of accommodation
charges may be relaxed in exceptional cases on merits with the approval of the
Chairman & Managing Director.
Note: When the family members of an employee accompany him while hè is on

tour, and the accommodation is hired for lodging of the employee as well as his family
members, the actual accommodation charges may be reimbursed to him in full, without
making any proportionate reduction, subject to the ceiling limits in force from time to
time. However, it would be obligatory on the part of the employee concerned to submit
the hotel bill (s) clearly indicating the name(s) of the person(s) who have shared the
accommodation with him. Family members for the above purpose would mean an
employee's spouse residing with him and legitimate children (including step children
and legally adopted children) residing with and wholly dependent upon him.
Page: 11 of 42
5.3.4 The ceiling rates of accommodation charges indicated in sub-rule 5.3.2 are exclusive of
service and other similar charges/taxes related to accommodation charges. Such
charges where levied and paid will also be reimbursable to the extent of an amount
which would have been payable on the maximum amount of entitled accommodation
charges laid down in column (3),(4) or (5) as the case may be, subject to actuals.
5.3.5 For food and other incidental expenses, and employee will be paid as per column (6)
and column (7) in case of stay at principal cities and other places respectively.
5.3.6 An employee who does not produce receipt of accommodation charge will be paid
composite daily allowance at the rates indicated in column (8) and column (9) for stay
at principal cities and other places respectively.
Provided that an employee who stays in a public sector undertaking’s guest house
shall be entitled to boarding expenses as laid down in column (6) or (7) of sub-rules
5.3.2, as the case may be, in addition to accommodation charges as per actuals
subject to the limits indicated in column (3), (4) or (5) of sub-rule ibid, as applicable.
5.3.7 An employee, who having proceeded on official tour, returns to his Headquarters
within a period of 24 hours from the time of his departure from his place of
work/residence, will be entitled to daily allowance, at the rate applicable to the place of
visit, on the following scales. :
Period of Absence Admissible Allowance

(hours)
Less than 12 Half
12-24 Full
Provided that where the accommodation booking is for a full day, accommodation
charges in full will be admissible. Notwithstanding what has been mentioned above, in
case the absence from Headquarters involves overnight halt, full Daily Allowance shall
be admissible at the rate applicable to the place of visit
5.3.8 In case an employee proceeds on official tour and the period of absence from
Headquarters is for more than 24 hours from the time of his departure from his
place of work/residence, he shall be entitled to daily allowance for his day of
departure, from headquarters, day of arrival at the headquarters and for each day
in between as detailed hereunder:
i) DA for day of departure full DA if time of departure is 12.00 noon or

before and half DA if time of departure is after 12.00 noon, at the rate
applicable to the -place where the employee spent the fïrst night (24.00
mid-night hours).
ii) DA for day of arrival - full DA if time of arrival is 12.00 noon or there after
and half DA if time of arrival is before 12.00 noon at the rate applicable to
the place where the employee spent the preceding night (24.00 mid night
hours.)
Page: 12 of 42
iii) DA for intervéning period - one full DA for each night (24.00 midnight)
spent on tour beginning from second night till the last night of the tour
period, the rate of DA for each such night being the rate applicable to the
place (Principal City or ordinary place) where the (24.00 mid-night) was
spent. This procedure is to be adopted for the limited purpose of calculation
of DA payable, either composite DA or allowance for food and incidentals, in
case of stay in a Guest House, Hotel etc. The accommodation charges for
stay in Guest House, hotel etc. during the period of tour shall be
reimbursable in full subject to the daily limits as laid down from time to time.
The accommodation charges in full will be admissible even for part of a
day, where the accommodation booking is for a full day. For the above
purposes, any night (24.00 mid-night hours) spent on journey shall be
deemed to have been spent at an ordinary place.
5.3.9 The allowance will be admissible for the period of from Headquarters starting from
the time of departure place of work or residence, as the case may be and at the
time of arrival at residence/work place.
5.3.10 For prolonged halts, full daily allowance may be drawn for a period of 30 days
and for a further period of 60 days, half daily allowance will be admissible. These
limits relate to stay at any one station only. The concerned Head of Division may
relax these conditions in special circumstances for an additional period upto 90
days with half daily allowance as in column (7) or (9) or sub-rules 5.3.2 as the case
may be, irrespective of place of stay. Notwithstanding the above provision, actual
accommodation charges as per sub-rule 5.3.3 will be reimbursed, when composite
daily allowance is not claimed.
5.3.11 Wherever calculation for daily allowance admissible for journey period are required
to be necessarily made, the same is to be regulated on the basis of actual
journey time involved starting from the time of departure from place of work or
residence, as the case may be and ending at the time of arrival at
residence/work place after suitable rounding off in case of period less than 24
hours as under:-
Period of Absence (Hours) Admissible Allowance
Less than 12 Half
12 less than 24 Full
Notwithstanding what has been mentioned above, the daily allowance admissible
for the journey period under Sub-Rules 5.3.15 and 10.1.4(a) (iii) shall be
calculated by subtracting the number of days for which daily allowance is
admissible for halts on tour (i.e.24.00 mid-nights spent on such halts) from the
total number of days for which the daily allowance is payable in respect of the
entire tour duration.
5.3.12 If an employee is provided with both boarding and lodging free of cost, he will be
entitled to draw l/4th of the DA as in column (8) or (9) of the sub-rule 5.3.2 as the
Page: 13 of 42
case may be. If only lodging is provided free of charge, he will be paid allowance
as per column (6) or (7) of sub-rule 5.3.2, as the case may be. If only boarding is
provided free of cost, he will be paid l/4th of the amount on column (6) or (7) in
addition to charges for accommodation as per column (3), (4) or (5) as the case
may be, subject to actuals.
5.3.13 The daily allowance will be admissible for journey periods, all halts on tour and
holidays occurring during the period of halt subject to the provision in sub-rule
5.3.15 but the same will not be admissible for the period of leave of any kind
availed while on tour. If an employee breaks journey enroute due to personal
reasons, he shall not be paid the daily allowance for such period of halt.
5.3.14 Employees are expected to stay in the Company's Guest House and Guest
Houses of other public sector undertakings and of the Government. The
accommodation charges as provided in sub rule 5.3.2 for staying in hotels will be
admissible only when the employees fail to get accommodation in the Guest
House of the Company.
5.3.15 An employee who is in receipt of House Rent Allowance or is provided with

Company's leased accommodation, for keeping his family at a station other than
his headquarters, will be entitled when on tour to such station other than his
headquarters, will be entitled when on tour to such station to draw only l/4th of
the daily allowance as in column (8) or (9) of sub-rule 5.3.2. as applicable in
addition to the allowance admissible for the period spent on journeys between
headquarters station and tour station.
5.3.16 As provided in sub-rule 4.5.1 the places at which long duration. (more than 30
days) training arrangements are made for the trainees, shall be deemed to be
their headquarters. Accordingly no TA/DA etc. shall be admissible to the trainees
for their stay at such places. However, when the trainees are required to be sent
from their Headquarters for short durations to other places for work visits, practical
demonstration etc. as part and parcel of their training, they will be entitled to
TA/DA etc. as per rules. For this purpose any period of stay upto 30 days at a
particular outstation shall be treated as "short duration" visits. In case the stay
exceeds 30 days at any one outstation, the Headquarters of the trainees would be
deemed to have been changed from previous place to the new place of training.
5.3.17 When the trainees move from one Headquarters to another, the TA/DA etc. for the
journey period will be admissible to them; and they will be entitled to bare journey
time only, but no preparation time.
5.3.18 When the trainees are recalled from out-stations to Delhi at the fag end of their
training for final appraisal and placement etc., and if the period of stay at Delhi
during the period of training is not more than 30 days, the same will be treated as
on tour and accordingly TA/DA etc. will be admissible to them.
5.3.19 Consequent upon the decision regarding final placement, if some of the trainees
are posted at Corporate Centre or Badarpur division, the period of stay up to the
date of issue of the placement order will still be treated as on tour and accordingly
TA/DA etc. will be payable.
Page: 14 of 42
5.3.20 Consequent upon the decision regarding final placement, such of the trainees as
are posted to the project sites/places away from Delhi will be entitled to TA/DA etc.
for journey period; and they will be entitled to bare journey time only, but no
preparation time.
5.3.21 If a trainee is sent on official tour other than training, TA/DA etc. shall be
admissible to him as per his entitlement. Recourse to this provision can be taken
only in very exceptional cases with specific approval of concerned Head of
Division.
5.4 Miscellaneous charges incidental to official tour:
5.4.1 The following tour incidental expenses if actually incurred will also be reimbursed
on production of receipts:
i) The excess baggage charges for carrying official records;
ii) The expenses on account of official telephone calls if specifically

sanctioned by the Controlling officer'
iii) Any other expenses, not covered hereinbefore, incidental to and

incurred during the course of tour, at the discretion of the concerned
Head of Division.
5.5 In exceptional cases, on merits, the concerned Head of Division may permit
employees to travel by a class/mode higher than their entitlement.
5.6 The rate of reimbursement for road journey as indicated in sub-rules 5.1.2 and
5.1.7 and the Daily Allowance rates as indicated in sub-rule 5.3.2 may be
reviewed once in two years by the Chairman and Managing Director, who shall
have the powers to increase/decrease the rates subject to the maximum
variation of 20% of the prevailing rates on one such occasion, keeping in view
the increase/decrease in prices of petroleum products, boarding and lodging
charges and other relevant factors.
6.0 ENTITLEMENT OUTSIDE INDIA
6.1 The entitlement of travelling Allowance, Daily Allowance etc. in connection with
official tours outside India will be regulated in accordance with the provisions
contained hereinafter except for the portion of the journey including halts if any
within India upto the point of embarkation/disembarkation in India, which will be
regulated in accordance with the provisions as under:
6.2 Travelling Allowance.
6.2.1 Chairman & Managing Director will be entitled for first class by air and
Functional Directors/Executive Directors may travel in club class. Other
employees will be entitled to economy class air fare only.
6.2.2 Statutory levies as paid in connection with tour will also be reimbursable.
Page: 15 of 42
6.2.3 The payment of travelling Allowance for official tours abroad will be subject to the
instructions/quidelines of the Government of India as adopted by the Board from
time to time.
6.3 Daily Allowance and other Travelling Entitlements:
6.3.1 The payment of Daily Allowance for tour abroad will be made on the basis of actual time
spent outside India including journey time by shortest route.
6.3.2 The Daily Allowance and other traveling entitlements in respects of the employees
deputed abroad will be as per the scale of release of foreign exchange prescribed by the
Reserve Bank of India from time to time for employees of public sector undertaking.
Based on RBI norms, internal guidelines will be issued with the approval of Chairman &
Managing Director from time to time.
6.3.3 Where the stay abroad is extended for official reasons with the approval of an authority
competent to approve the foreign tour beyond the period for which foreign exchange was
release, the employee will be paid additional Daily Allowance in foreign exchange for
such extended period of halt provided it is released on time by the Reserve Bank of India,
failing which the company will pay an equivalent amount in Indian Currency.
6.3.4 Where the duration of stay abroad is curtailed/reduced, the employee shall refund the
Daily Allowance in foreign exchange for the number of days so curtailed/reduced.
6.4 Miscellaneous
6.4.1 In respect of employees provided with free lodging and boarding facilities abroad, the out-
of-pocket expenses will be regulated as per the scales prescribed by Reserve Bank of
India from time to time.
6.4.2 Foreign Exchange which is normally released at the air port at the time of embarkation
will not be treated as part of traveling expenses reimbursable by the Company.
6.5 RELASE OF FOREIGN EXCHANGE ON BUSINESS TRAVEL ABROAD
6.5.1 The revised approved rates for business visits upto a duration of 30 days are as follows:
SL.NO LEVEL RATES (US $ PER DAY)
i) Above ED level 500
ii) For GMs & ED 350
iii) For AGMs & below 300
For period exceeding 30 days, 75% of the above rates shall be applicable.
Page: 16 of 42
6.5.2 The period of deputation for release of DA will be restricted to actual duration of the
approved visit (excluding journey time but including intervening holidays).
However stopovers etc. in case of visits to more than one country during the foreign
deputation shall be duly considered based on the information available/ furnished while
obtaining approval of the Competent Authority.
6.6 RELEASE OF EXCHANGE FOR DEPUTATION FOR INTERNATIONAL

CONFERENCES / SEMINARS / WORKSHOPS
The release of DA for attending international conferences / seminars / workshops is to

be regulated on the same rates as indicated at para 6.5.1 above.
6.7 RELEASE OF FOREIGN EXCHANGE FOR SPECIALISED TRANING / STUDY TOURS
6.7.1 Release of foreign exchange shall be regulated as under: -
SL.NO. PERIOD RATE (US$ PER DAY)
i) For 1st 15 days 300
ii) For next 15 days 250
iii) For balance period of training 200

duration subject to RBI
approval
6.8 RELEASE OF FOREIGN EXCHANGE DURING BUSINESS TOURS / TRAINING /

WHERE BOARDING / LODGING IS FULLY BORNE BY THE SPONSOR / AGENCY /
ABROAD
6.8.1 Incidentals @ US $ 50 per day for a maximum period of 45 days in case of Business
visits Conferences / Seminars, for a maximum period of 30 days in case of specialized
Training / Study tour.
6.9 RELEASE OF FOREIGN EXCHNAGE WHEN EITHER LODGING OR BOARDING IS

BORNE BY THE SPONSOR / AGENCY ABROAD
6.9.1 DA Rates for visits when lodging is borne by Foreign Sponsor
60% of the consolidated entitlement depending upon the nature of visit, viz., Business
Conferences / Seminars / Specialised Training / Study tour.
6.9.2 DA Rates for visits when Boarding is borne by Foreign Sponsor

Page: 17 of 42
The consolidated DA rate as applicable depending upon the nature of visit, to be

reduced by the amount of DA for food as notified by Government of India. Ministry of
External Affairs for various Countries from time to time.
6.10 The permitted period for various deputation shall be governed as per the ceilings
prescribed by RBI guidelines issued from time to time.
6.11 RELEASE OF FOREIGN EXCHANGE FOR VISIT TO NEPAL
6.11.1 The DA rates for visit to Nepal on assignment other than consultancy assignments shall be
as follows w.e.f. 01.09.1995 :-
LEVEL DA PER TRANSPORT HOTEL

DAY
CMD & US $ 50 Actual As per

DIRECTORS entitlement in
India
ED & GMs US $ 40 Actual -do-
BELOW GM US $ 30 Limited to US -do-

$ 10 per day
6.11.2 All payments shall be released in Indian rupees.
6.12 PROCEDURE FOE RENDERING OF ACCOUNT ON RETURN FROM TOUR

ABROAD
6.12.1 The employees will get DA in terms of para 6.5.1 and para 6.7.1 above.
6.12.2 The component of daily allowance (for food) would be in a accordance with the
Ministry of External Affairs Order issued from time to time, for various countries.
6.12.3 Expenses on hotel accommodation incurred by the employee abroad, will have to be
supported by bill receipt. However, in case the employee does not submit a hotel
receipt, he may be allowed 20% of the admissible rate of consolidated DA on the basis
of certificate submitted by the employee.
6.12.4 The account of the expenses like local conveyance , communication and other
contingent expenditure will be rendered and settled on the basis of expenditure
incurred by the employee based on certification by the employee concerned subject to
following limits :-
a) Local Conveyance Not to exceed 35% of the consolidated TA

Page: 18 of 42
/ DA as per entitlement.
b) Communication Not to exceed 10% of the consolidated TA

expenditure / DA as per entitlement.
(Telephone, Fax, etc.)
c) Other contingent Not to exceed 10% of the consolidated TA

expenditure / DA as per entitlement.
6.12.5 On return the employee concerned would submit a consolidated TA bill accounting for
various expenses including daily allowance as admissible. Any surplus after calculation
of expenditure incurred would be refunded to Company.
6.13 The Officer visiting abroad on consultancy assignment shall be governed by specific
rates as separately approved for each Project Contract by the Competent Authority.
6.14 All cases of foreign deputation including those to Nepal shall be approved by CMD,
who is the Competent Authority in this regard.
6.15 The release of foreign exchange shall be made by Corporate Finance in all cases of
foreign deputation after approval of competent Authority. The travel formalities shall be
made by Corporate HR-Services Group.
7.0 ENTITLEMENT DURING LEAVE
7.1 Under exceptional circumstances, leave (irrespective of its nature) can be

allowed to an employee on tour either before, after or during the tour by the
Controliing Officer. However, no Daily Allowance or other charges will be
admissible during such periods of leave. Where an employee makes a de-tour for
his own convenience and with the prior approval of the Head of Department,
the entitlement of TA/DA etc. may be determined in each case on merits by the
concerned Head of Department subject to the condition that the same in no
case shall exceed the amount that would have been admissible had the
journey been performed by shortest route between the tour station and
headquarters, limited to actuals.
8.0 ENTITLEMENT ON TRANSFER
8.1 In case of transfer of an employee in the company's interest, the entitlement

shall be regulated as per the provisions contained hereinafter.
8.2 A transfer at the request of an employee will not be treated as a transfer in

company's interest unless the authority sanctioning the transfer, for special
reasons which should be recorded, otherwise directs.
8.3 Journey Fare:
8.3.1 An employee and members of his family will be entitled to travel by the same mode
Page: 19 of 42
and class of travel as on tour with reference to his payscale/payrange at the new
station of posting and will be entitled to single fare for self and each member of his
family as chargeable under the rule of the concerned carrier.
8.3.2 The fare will normally be admissible from the old station of posting to the new
station of posting. However, if the family of an employee travels to a station other
than his new place. of posting, or travels from a station other than his old station
of posting, the fare to be allowed for such journey performed by the family shall be
the amount admissible for the distance between the new place of posting and the old
station of posting or the actual fare paid, whichever is less.
8.3.3 An employee's family member who follows him within six months from the date of his
transfer or precédés him by not more than one month will be deemed to have
accompannied him.
8.3.4 If the family of an employee does not accompany and the; employee under-takes a
journey prior/subsequent to his transfer for shifting his family, the employee
will have the option to claim TA for self either for the journey undertaken at the
time of actual transfer or journey undertaken at the time of shifting his family,
subject to the condition that the prior/subsequent journey is performed within one
month or six months respectively of the transfer.
Provided that in case of transfer of an employee, the limitation that the family
has to follow him within 6 months at from the date of transfer, will not apply in
case of an employee who has been allowed retention of family beyond 6
months at any place by the competent authority under company leased
residential accommodation Rules, Rules relating to allotment of residential
accommodation or the Scheme of special facility of payment of HRA.
8.3.5 The above time limits of 1 month/6 months, as applicable, may be extended by the
concerned Head of Division, in consultation with concerned Personnel Department, in
individual cases attendant with special circumstances; such as, due to reasons of
education of children or illness of family members.
8.3.6 Subject to the above, the provisions as contained in rule 5.1 will apply mutatis
mutandis to such journeys.
8.4 Conveyance Charges.
8.4.1 For journeys between Airport/Railway Station/Bus Stand and residence at the
previous headquarters as well as at the new headquarter, the conveyance charges
will be reimbursed in accordance with the provision contained in rule 5.2 of these
rules.
8.5 Daily Allowance
8.5.1 For journey period, an employee will be entitled to Daily Allowance for self and
each adult member of his family at full rate and for each member between the
age group of 3 years and less than 12 years at half rate as incidentals in
accordance with sub-rule 5.3.118 subject to a minimum of one Daily Allowance
for each child in the age group of 3 to less than 12 years.
Page: 20 of 42
Provided, however, if an employee performs, journey in his own car/scooter or

motorcycle, D/A will be paid as admissible for journey by rail for the shortest
route and duration.
8.6 Baggage Allowance:
8.6.1 An employee will also be entitled to reimbursement of actual expenses of the

following kind subject to the limits/as specified herein:-
i) Cost of transportation of his baggage by goods train upto maximum of the

following:
Pay Scale Entitlement
Those in the pay-scales of E4 & Full eight-wheeler wagon/ two

above containers, wherever available. If
transported by road, actual hire charges
for truck or twice the amount as
admissible for Goods Trains, whichever
is less.
Those in the pay-scales of E2 & Full eight-wheeler wagon/ two

above containers, wherever available. If
transported by road, actual hire charges
for truck or the amount as admissible
for Goods Trains, whichever is less.
Those in the pay-scales of Full eight-wheeler wagon/ two

S3/W9 to E1 containers, wherever available. If
transported by road, limited to cost of
transportation of 6000 kgs by Goods
train.
Those in the pay-scales of W4 to 4000 kgs

W8/S2
Those in the pay-scales of W3 & 2000 kgs

below
Page: 21 of 42
ii) Cost of transportation of the conveyance (one motor car or two-wheeler) by

passenger train provided the same is necessary for the performance of
duties. However, there is no objection to an employee transporting his
conveyance on its own power, but the reimbursement will be limited only to
the amount admissibIe had it been transported by passenger train.
iii) Mileage Allowance @ Rs.1.50 51 per quintal per km subject to a minimum

of Rs. 150/- each way for carriage of personal effects (on the basis of actual
weight) from residence to railway station and vice-versa.
iv) Octroi duty, entry taxes, terminal taxes and insurance charges on house-
hold effects and conveyance etc. subject to production of receipts.
8.6.2 An employees who is not entitled to reimbursement of hire charges by truck,

may carry his personal effects by passenger train/road instead of goods train
between the points connected by rail, but the reimbursement will be restricted
to the amount admissible had he taken the maximum permissible baggage by
goods train, subject to actuals.
8.6.3 An employee, who is otherwise entitled to reimbursement of cost of

transportation of his conveyance by passenger train, may transport his
conveyance by road, Goods/Passenger train at his option but the
reimbursement will be restricted to the amount admissible had he taken the
conveyance by passenger train, subject to actuals.
8.6.4 There is no objection to an employee who is not entitled to reimbursement of

cost of transportation of conveyance for transporting his conveyance and
claiming reimbursement of the expenditure involved if the same is within the
baggage allowance limit as stipulated in sub-rule 8.6.1 (i).
8.7 Transfer Grant:
8.7.1 An employee will be entitled to transfer grant equal to one month of his
wage/salary (Basic Pay+ Dearness Allowance) subject to a maximum of Rs.
15,000/- 51 on fulfillment of the following conditions:
i) The transfer is for a period of not less than one year;
ii) The transfer involves change of station of posting and residence;
iii) The transfer involves actual breaking and setting up of establishment;
iv) Company's accommodation in possession of the employee at the old

station of his posting is vacated; and
v) The employee is neither in receipt of HRA nor has been provided

Company's leased accommodation, for keeping his family at a station
other than the new place of posting.
8.8 Package Charges
8.8.1 An employee will be entitled to package charges for meeting expenses incurred
on packing of personal effects as under:
Page: 22 of 42
Category/Grade of Employee Amount (Rs.) 51
a) All non-executive employees 3000/-

b) Executives in the grades of 5250/-
E1 to E5
c) Executives in the grade of 7500/-
E6 and above
NOTE: For Claiming reimbursement of package charges the employees concerned

should certify that they have incurred an expenditure of not less than the
entitlement towards packing of personal effects
8.9 Transfer Pay Advance:
8.9. l An employee on transfer for a period of not less than one year may be allowed in
addition to the advance towards TA,DA etc., and interest free advance not
exceeding two month's pay which will be recovered in twelve equal monthly
installments. The recovery will start from the month following the month of
joining the post at the new headquarters or the month following the month in
which advance is paid, whichever is earlier.
8.10 Joining Time;
8.10.1 An employee on transfer will be allowed joining time comprising of preparation

time and journey time, at the following rates:
(a) Preparation time of 7 (seven) days including Sundays and Holidays and
(b) Journey time of one day for each 800 kms. or part there of in case of rail
journey/one day for each 300 kms or part there of in case of road journey
where travel by rail is not customary/actual time in case of air journey,
subject to a minimum of one day in either case, in case of posting within
India. For posting abroad, actual journey time by the commonly used
shortest route will be admissible. Besides any enforced stay /halt will also
be admissible at the discretion of the Head of Department. Provided,
However, travel by road not exceeding 30 kms to and from the railway.
8.10.2 Joining time is to be calculated by the shortest route. In exceptional cases, it

may be relaxed by the concerned Head of division depending upon the merits
of each case upto a maximum period of two days.
8.10.3 If an employee receives the transfer order while availing leave at a place other
than his headquarters, he will be entitled to joining time as admissible for
transfer from his headquarters, unless the authority sanctioning the transfer, for
special reasons which should be recorded, allows joining time, as admissible,
for transfer from his leave station.
8.10.4 Where due to exigencies of Company's work, an employee cannot be granted

joining time in full, he may be allowed to carry forward the unavailed portion of
the same. This period should be treated as special casual leave and must be
Page: 23 of 42
availed within the same calendar year or six months of joining at the new
station, whichever later.
8.10.5 Notwithstanding anything mentioned above, employees will not be entitled to any
preparation time in the following cases:
i) Local transfers whether these are intra-unit or inter-unit.
ii) If the transfer is at the request of an employee; and
iii) Temporary transfer for period not exceeding three months.
In these cases, employees will be entitled to bare journey time under these rules.
8.10.6 If an employee over-stays the joining time admissible to him under these rules, the
period of overstay will be treated as extra ordinary leave. However, the concerned
General Manager may grant him leave of the kind due in such case on the merits of
individual cases.
8.10.7 An employee or transfer, during the period of joining time, will be entitled to pay and
allowances which he would have received had he continued in his old post or pay and
allowances which he will receive on assuming charge of the new post, whichever is
more. This is irrespective of the fact whether he joins a new post either at the same or
a new station on relinquishing charge of his old post.
8.11 Transfer at the request of an employee:
8.11.1 In case of transfer of an employee at his own request, benefits admissible on transfer
will be journey fare, conveyance charges, Daily Allowance, Transfer Pay Advance
and journey time. Provided that if the employee has put in at least three years of
service at his existing place of posting he shall also be entitled to package charges,
baggage allowance, transfer grant and preparation time in addition to the above
transfer benefits18
8.11.2 An employee who has been transferred to another place of posting at his own request
and has availed the facilities as in rule 8.0 of the TA Rules, leaves the services of the
Company within 6 months of joining at the new place of posting, shall be liable to
refund the entire amount paid to him under these rules.
8.12 If both husband and wife, employed in the company and working at the same
headquarters, are transferred within six months to the same new headquarters, only
one of them shall be entitled to the benefits of baggage allowance, transfer grant and
transfer pay advance. If the transfer of one of the spouses takes place after six
months of the other the entitlements on transfer will be regulated in accordance with
rule 8. l or 8.10 depending upon whether the transfer is at the instance of the
company or at the employee's own request.
8.13 Where a transfer initially made for a period of one year or more is subsequently
reduced to a period of less than one year, the transfer benefits allowed under the
foregoing provisions will not be changed to the disadvantage of the employee. In such
a case when the employee is transferred again either to his old headquarters or a
new headquarters his entitlement to transfer benefits will be regulated in accordance
with the foregoing provisions subject to the condition that no Transfer pay advance
Page: 24 of 42
shall be admissible to him.
8.14 Where the transfer of an employee initially made for period of less than one year is
subsequently extended to a period of one year or more he will be entitled to
transfer grant, but no transfer pay advances, in addition to the transfer benefits, if
not already availed of by him.
NOTE:Transfer Traveling Allowance in case of transfer between Delhi & NCRTPP
Transfer Travelling Allowance in case of transfer of an employee between Delhi

and NCRTPP is to be allowed to him only if there is actual change of residence
and breaking and setting up of his establishment from his old place of residence to
the new place of posting, provided he was not residing at his new place of posting
itself prior to his such transfer, as detailed hereinafter:
i) In case the new place of residence of the employee is beyond a radius of

30kms from his old place of residence - full TTA
ii) In case it is within a radius of 30 kms from his old place of residence- TTA
except transfer grant.
9.0 ENTITLEMENT ON FRESH APPOINTMENT
9.1 Subject to the provisions contained in rule 9.2 below, a person selected for
appointment in the services of Company including the appointment on deputation
terms will be entitled for self and members of his family to the following benefits with
reference to the grade and pay offered in the Company for his joining duties on fresh
appointment:
Category Of Entitlement for

Candidates Journey Fare Conveyance Daily Baggage
Joining Duty Charges Allowance Allowance
Candidates Admissible as in Admissible as Admissible Admissible as in

residing in rule 5.1 subject to in rule 5.2 as in sub rule rule 8.6 except
India condition that 5.3.11 8.6.1(ii) subject to a
reimbursement of maximum of full
air fare will be four wheeler wagon
allowed to those or two containers,
joining in the pay wherever available.
scales of E7 and
above.
Candidates Air fare by Not Not Not Admissible

residing economy/ tourist Admissible Admissible
outside India class upto the
port of
disembarkation in
India and Journey
fare from the port
to the place of
Page: 25 of 42
duty for self and

members of the
family as in rule
5.1 subject to the
condition
mentioned above.
9.2 An employee who has availed the facility as in rule 9.1 (i) or 9.1(ii) leaves the
services of the Company within one or three year respectively of his joining NTPC,
shall be liable to refund the entire amount paid to him under these rules.
9.3 The entitlement to Travelling Allowance and Joining Time in respect of a new
appointee, who is required to report at Corporate Centre for briefing etc. or is
temporarily posted for a period of less than six months at Corporate Centre,
before he is finally posted to any of the projects/units/offices of the Company at
an out-station will be regulated as hereunder :-
9.3.1 Travelling Allowance:
a) If family already brought to Journey Fare, Conveyance

New Delhi / Delhi Charges. Daily Allowance and
Baggage Allowance as in rule 9.1
from the last duty station,
residence to New Delhi/Delhi and
from the latter to the place of
regular posting
b) If family still at the last Journey Fare, Conveyance
station or at some other Charges, Daily Allowance and
place where HRA or Baggage Allowance in rule 9.1
retention of family is being from such place to the place of
drawn by him. regular posting.
9.3.2 Joining Time:
Only bare journey time from New Delhi to the place of regular posting shall be
allowed. In case the employee has to undertake subsequent journey for the
purpose of shifting his family from New Delhi/Delhi to a project on allotment of
family accommodation, he will be allowed actual travel time plus two days
preparation time inclusive of Sunday and Holidays.
9.4 A new appointee, who is required to report at Corporate Centre for briefing etc.
or is temporarily posted for a period of six months or more at Corporate Centre,
before he is finally posted to any projects/units/offices of the Company at an out-
Page: 26 of 42
station, will be entitled to normal Transfer Travelling Allowance benefits including

joining time.
9.5 Unless otherwise mentioned in the terms of deputation, a person selected for
appointment on deputation in the services of the Company will be entitled for self
and members of his family to the benefits in accordance with rule 9.1 for his
joining duties in the Company. On reversion to his parent department, he will be
entitled to similar benefits with reference to his rank and pay at the time of
reversion.
9.6 The entitlement of Travelling Allowance and Joining Time in respect of a

deputationists who is required to report at Corporate Centre for briefing etc. or is
temporarily posted for a period of less than six months at Corporate Centre,
before he is finally posted to any of the projects/units/offices of the company at
an out-station, will be regulated as mentioned in rule 9.3 with the exception that
he shall be allowed only one joining time as if he had joined directly from the last
duty station while in parent department to the place of regular posting in the
Company via New Delhi, Delhi.
9.7 The entitlement of Transfer Travelling Allowance benefits including joining time in
respect of a deputationists, who is required to report at Corporate Centre for
briefing etc. or is temporarily posted for a period of a s i x months or more at
Corporate Centre before he is finally posted to any of the projects/units/offices of
the company at an outstation, will be regulated as mentioned in rule 9.4.
9.8 If the family of a new appointee/deputationist do not accompany and he has to

undertake a subsequent journey for shifting his family, he will have the option to
claim TA for self either for the first journey or subsequent journey undertaken
subject to the condition that the subsequent journey is performed within six
months of his joining. Provided that aforesaid limitation of Six months will not apply
in case of a new appointee/deputationist who is compelled to keep his family away
from the place of posting because of non-availability of family accommodation at
such place or due to his temporary posting at Corporate Centre for a few months
before he is finally posted to one of the projects/units/offices of the Company,
where it is specifically so mentioned in the offer of appointment/deputation.
9.8.1 The above time limit of six months may be extended by the concerned Head of
division, in consultation with concerned HR Department, in individual cases
attendant with special circumstances, such as due to reasons of education of
children or illness of family members.
10.0 ENTITLEMENT ON LONG DURATION ASSIGNMENTS

*
10.1 In case of long duration assignment, the entitlement of the employees deputed to
outstations in connection with Company's work will be regulated in terms of the
following provisions.
10.1.1 In case of duration upto 90 (ninety) days the entitlement will be as on official tour vide
rule 5.0.
Page: 27 of 42
10.1.2 In case of duration extending beyond 90 (ninety) days and upto 180 (one
hundred and eighty) days and if the movement is treated as on tour in terms of sub-
rule 5.3.1, the entitlement will be regulated as such subject to the condition that
the daily allowance will be paid at half the rate of the amount admissible under
column (7) or (9), as the case may be of sub-rule 5.3.2 irrespective of the place of
stay.
Notwithstanding the above provision, actual accommodation charges limited to the

amount as per column (5) of sub-rule ibid will be reimbursed, when composite daily
allowance is not claimed.
10.1.3 In case of duration beyond 180 (one hundred and eighty) days, the Headquarters of
the employee will be deemed to have been changed from his old station/place of
work to the new station/place of work and no daily allowance shall be admissible at
the outstation. However, he will have the option either (a) to retain his
establishment at the old station/place of work or (b) to transfer his establishment to
the new station/place of work.
10.1.4 Depending upon the option exercised by the employee he will be entitled to the
following :
a) In case of option under (a) above :
i) House rent Allowance and Field/Special Compensatory Allowance

as would have been admissibIe to him at his old station/place of
work. In case an employee was provided with leased
accommodation or accommodation at Company's township, the
facility will continue to be extended to him for the duration of his
posting at the outstation;
ii) Reasonably furnished bachelor accommodation free of rent at the

outstation; and
iii) For tour(s) undertaken to the old station/place or work, the Daily
Allowance admissible will be at the rate of 1/4th of the amount as
in Column (8) or (9) of sub-rule 5.3.2 as applicable in addition to
that for the period spent on journeys.
b) In case of option under (b) above :
i) Benefits as per entitlement on transfer as admissible under rule

8.0,
ii) House Rent Allowance or Leased Accommodation as applicable

and Field/Special Compensatory Allowance as admissible from
time to time at the new station/place of work; and
iii) House Rent Allowance, Field Compensatory Allowance/Special

Compensatory Allowance, if any, and Leased accommodation at
the Company's township provided at the old station/place of work
shall cease to be admissible from the date of effect of option
Page: 28 of 42
exercised.
10.1.5 In case where the assignment initially made for a period of more than 180 (one
hundred and eighty) days is subsequently reduced to a period of 180 (one hundred
and eighty) days or less, an employee shall not be entitled to any TA/DA etc. for such
reduced period of stay, but at the same time the transfer benefits originally allowed, if
any, to him will not be changed to his disadvantage. If an assignment made initially
for a period not exceeding 180 (one hundred and eighty) days is later extended
beyond this period, the daily allowance already drawn upto the date of issue of
orders extending the assignment will not be adjusted from the transfer benefits claim.
11.0 ENTITLEMENT ON RETIREMENT/DEATH

11.1 A retiring employee will be entitled to the benefits [except Transfer Pay Advance
under rule 8.9 and cost of transportation of his conveyance under sub-rule 8.6.1 (ii)]
as admissible to a serving employee of his status/pay range on transfer under rule 8.0
for himself and members of his family for proceeding to home town or any place in
India where he intends to settle after retirement.
Provided, however, the cost of transportation of his conveyance will also be

reimbursed if the maintenance of the same was in Company's interest prior to his
retirement.'
11.2 In case of death of an employee while in service, his family will be entitled to the
same benefits mutatis mutandis as stated in rule 11.1.
11.3 The amount with regard to the above benefits is, however, required to be drawn within
six months from the date of retirement/death, as the case may be, of an employee.
12.0 ADMISSIBILITY OF TRAVELLING ALLOWANCE FOR OTHER JOURNEYS:
12.1 The admissibility of Journey Fare, Conveyance charges and Daily Allowance for
journeys performed by the employees for the following purposes shall be
.regulated as under :
SI. Purpose of Admissibility of Remarks

No. Journey ..........................................................................................
Journey Fare Conveyance Daily
(Refer rule Charges Allowance
5.1) (Refer rule (Refer rule
5.2) 5.3)
1 2 3 4 5 6
i) To appear in Admissible Admissible Admissible
interview/
departmental
examination or
selection test
conducted by the
company.
Page: 29 of 42
ii) To participate in Admissible Admissible Admissible

sports / cultural
events
representing the
Company.
iiï) To attend training Admissible Admissible Admissible
programme,
seminar or
conference for
which the
employee is
sponsored by the
Company.
iv) To receive National Admissible Admissible Admissible

Awards or Awards
by the company.
v) For obligatory Admissible Admissible Admissible
medical
examination.
vi) To appear in court Admissible Admissible Admissible Subject to note
or departmental below
enquiry as jury,
assessor or
witness, only for
Company's work or
where Company's
interest is involved.
vii) Recall from leave Admissible Admissible Admissible -
before expiry of
leave.
viii) To proceed on tour Admissible Admissible Admissible Subject to note
from leave station below.
ix) For medical Admissible Between Not do-
treatment of railway station Admissible
employee or his / bus stand /
family members airport and
who are entitled to residence at
free medical headquarters
facilities as well as at
outstation
including
journey to
consulting
Room /
hospital
and back
once
only.
x) To attend training Admissible Between Not do

programme, railway Admissible
Page: 30 of 42
seminar or station / bus

conference for stand / air -
which the port and
employee is not residence at
sponsored by the headquarters
Company. as well as
outstation.
xi) Outside
candidates
Called for interview
:
a) For the posts in Admissible Not Not From the place of
the scale of (E8) as for Admissible Admissible posting / residence in
and above company India to the airport /
employees at rail head nearest to
SI.nos. 1 of the place of interview.
sub-rules
5.1.2 and
5.1.3.
b) For the posts in the Admissible do do In case of Candidates
scale of (E2A) to as for residing abroad, the
(E7A) Company fare will be admissible
employee at from the port of
Sl.Nos. 3 for disembarkation in
(E4) and Sl. India,
nos. 4 for
(E3) and
(E2A) of sub-
rule 5.1.2 and
Sl.No. 2 of
sub–rule
5.1.3.2
c) For the posts below Admissible do do do-

the scale (E2A) & as for
Company Trainees Company
employees at
SI. Nos. 6 of
sub-rule
5.1.2 and SI.
No. 4 of sub-
rule 5.1.3.2
xii) SC/ST candidates do- do -do- -do-
called for written
examination tests
for the post of
Company Trainees
.
NOTE: Remarks on Itmes on Sl. No. (vi)

Page: 31 of 42
(a) Amount, if any, received from the court for attendance or boarding and
lodging etc. is required to be refunded to the company.
(b) If departmental or vigilance enquiry is held at an outstation at the request

of an employee, no travelling allowance shall be admissible to him.
(c) Payment of TA/DA for attending courts as accused.
i) Where prosecution of an employee arises out of acts committed or

purported to be committed in the bonafide execution of duties and
the employee is consequently required to appear in the court as an
accused, reimbursement of Journey fare & daily allowance at
composite rate, as admissible under the extant TA rules, may be
allowed to him for the Journey Performed between his place of
posting & the place where court proceedings are being held.
ii) The decision to grant TA/DA, as above, will depend on the facts of
each Case. The power to grant TA/DA, in such cases, will be as
below :
For Employees posted in Powers to be exercised

by
Regional HQ RED
Project/Station GM of Project/Station
Corporate Centre GM of the Deptt covered
NOTE: Remarks on Items at Sl. No. (vii & viii)
a) Subject to specific approval of the concerned Head of Division.
b) From the place of leave station within India. In case of leave station being outside
India, the travelling allowance will be admissible from the railhead/port of
disembarkation within India nearest to the country visited.
NOTE: Remarks on items at Sl. No. (ix)

Page: 32 of 42
a) Only on the advice of Company's Authorised Medical officer.
b) In addition, TA for one escort will also be admissible if so recommended by

Company's authorised Medical Officer.
TA as per entitlement shall be admissible for two escorts in case dependent

infants/children (under 12 years. of age) of the employees concerned are referred
to outside hospital by company's Medical Officer for medical treatment, subject to
specific recommendations of the company's Medical officer to the effect that
considering the age, ailment etc. of the child concerned, presence of two escorts is
essential14.
NOTE: Remarks on Items at Sl. No. (x)
At the discretion of the concerned Head of Division provided the employee's

participation is considered useful to the Company by him.
12.1.1 TA / DA to retired employees

Reimbursement of expenditure towards TA/DA to retired employees for attending legal
proceedings against him which have arisen due to bona-fide execution of Company’s work
during his service period and who have been honorably acquitted on merits by the Court of
law:
Such retired employees may be reimbursed Travelling Expenses and Composite Daily
Allowance towards attending the legal proceedings against him, at the rate / entitlement
equivalent to that of serving employee in the grade/post in which the charged/accused
employee has superannuated. Such retired employees will have to furnish the documentary
proof of travel alongwith the claim to Corporate Centre through proper channel, after having
acquitted honorably on merits by the Courts.
13.0 ADVANCE
13.1 An employee proceeding on official tours and other journeys as stated in rule 12.0 may be
granted an advance to meet the expenses towards travelling allowance as per his entitlement to
the tune of 100% of the anticipated fares for journey (s) and 90% of anticipated amount towards
daily allowance and conveyance charges for a duration not exceeding 30 days at one time. The
request for advance should be made on the prescribed form, duly counter-signed by the
Controlling Officer.
13.2 An employee proceeding on transfer may be granted an advance to meet the expenses on
transfer to the extent of 100% of the anticipated fares for journey of the employee and his family
members. The request for transfer grant and transfer pay advance should be made on the
prescribed form, duly countersigned by the Controlling Officer.
13.3 In case of advances covered under rules 13.1 and 13.2, the advance towards
journey fare, conveyance charges and daily allowance may be drawn within a
period not exceeding 30 (thirty) and 60 (sixty) days respectively before the
proposed date of journey but shall have to be refunded forthwith if the
Page: 33 of 42
employee is not able to produce documentary evidence to show that the

amount of advance has been utilized for the purchase of tickets within 15 days of
the drawal of the advance. For advances covered under rule 13.2, the
advance towards Transfer Grant, Transfer.Pay Advance and Baggage
Allowance may be drawn within a period not exceeding 10 (ten) days before
the proposed date of journey.
13.4 An account advance under this rule shall be rendered by the employee
immediately after the completion of the journey and in no case later than 30
(thirty) days from the date of completion of return journey, wherever applicable.
13.5 An employee shall not be granted an advance towards travelling allowance

under these rules, if hè has failed to render the account of advance (s) earlier
drawn by him except with the approval of Head of Division in each case.
13.6 In case of failure to produce the documentary evidence/account advance as

required under rule 13.3/13.4, the advance sanctioned shall be recovered from
the employee's salary and/or otherwise.
14.0 CLAIM
14.1 Claims for reimbursement, of travelling allowance in all cases will be entertained
only on completion of the return journey, wherever applicable.
14.2 Claims for reimbursement of journey fare (other than llnd class rail fare) and
baggage allowance, wherever applicable, must be supported with adequate
proof of the amount of expenditure incurred such as ticket number/money
receipt/ticket folder (in case of air journey).
14.3 All claims for journeys undertaken under these rules should be preferred in the
prescribed proforma within the time limit of 30 (thirty) days as prescribed in rule
13.4, duly countersigned by the Controlling Officer. ,
14.4 Claims for reimbursement of travelling allowance not preferred with in three
months from the date of completion of return journey, wherever applicable, will
not be entertained normally except with the special approval of Head of Division,
when hè is satisfied that non-submission of the claim on the part of an employee
was due to reasons beyond his control. No claim submitted after the expiry of the
period of six months from the date of completion of return journey, wherever
applicable, will be entertained and the same shall stand forfeited.
Page: 34 of 42
CHAPTER-II
15.0 SCOPE
15.1 The provisions of this chapter shall apply to local journeys performed by the
employees in connection with the company's work as provided hereinafter but shall
not apply to local journeys performed by company's trainees in connection with
their training at their headquarter.
i) In case an employee is deputed to undergo training, within a radius of 30

kms/municipal limits of nis headquarters, for a period of more than 30
days on a continuous basis and is normally not expected to return to his
place of duty every day after attending the training, the head quarters of
the employee concerned shall be deemed to have been shifted to the
place where he is required to undergo training; and accordingly, he shall
not be entitled to reimbursement of local travelling expenditure for local
journeys performed by him between his residence and the place of
training.
ii) For local journeys performed by an employee, in connection with Company's

work, within his project area/normal place of duty such as from|his office
to temporary/permanent township etc., by his own conveyance,
reimbursement of local travelling expenditure shall be admissible as per
his entitlement; as laid down at Rule 17.0 ibid.
Where an employee is in receipt of monthly reimbursement of conveyance

expenditure, the reimbursement of local travelling expenditure shall be
admissible provided the local distance covered for official journeys is in
excess of 200kms. in that month; as already laid down under the Scheme
of Monthly Reimbursement of Conveyance Expendinture, presently in
vogue.
16.0 DEFINITIONS:
In this chapter, unless the context otherwise requires :
16.1 "Local Journey" means any journey performed by an employee in connection with
Company's work within a radius of 30 kms from the headquarters or within
municipal limits of the headquarters, whichever is more.
16.2 "Local Travelling Expenditure" means the expenses incurred by an employee

on local journeys and includes conveyance charges and expenditure on lunch,
snacks, tea etc.
16.3 the other terms used in this chapter will have the same meaning as assigned to
them under rule 4.0 of chapter-1.
17.0 ENTITLEMENT
17.1 An employee will be entitled to the reimbursement of local travelling expenditure

Page: 35 of 42
as per scales laid down below :
17.2 Conveyance Charges:
17.2.1 The reimbursement of conveyance charges for journeys performed by the

employees of various pay scales/pay ranges by different means of transport shall
be by the shortest route and as per the following entitlement, subject to actuals.
17.2.2 Nature of Entitlement:
SI. No. Pay Scale/Pay Range (Rs.) Entitled mode & class of travel
Rail Road
1. 2. 3. 4.
(a) Employees:
1. Those in the pay scales of (E6) I Class / ACCI Class Actual taxi fare
and above
2. Those in the pay scales of (E5) I Class / ACCI Class Actual taxi fare
and above
3. Those in the pay scales of (E4) and I Class / II Class AC Actual taxi fare
(E3) Sleeper
4. Those in the pay scales of E2A & I Class / II Class AC Actual charges by
below (Executives), all Sleeper three wheeler or fare of
supervisors and workmen drawing a single seat in taxi,
pay not less than Rs. 14720/- if where availed, limited
appointed prior to 1.1.97 / W7 & to Rs. 2.20/km. in the
above if appointed on/after 1.1.97 latter case
5. Workmen drawing pay Less than II Class / AC-III Tier Actual bus fare. Where
Rs. 14720/- If appointed prior to no bus plies, where
1.1.97 and W1-W6 if appointed available actual
on/after 1.1.97 charges by other
means like tonga,
rickshaw etc. restricted
to Rs. 2.20/km.
(b) Trainees:
6. Executive Trainee I Class / II Class AC Actual charges by
Sleeper three wheeler or fare
of a single seat in taxi,
where availed, limited
to Rs. 2.20/km in the
latter case.
7. Supervisor/Diploma Trainee and II Class Actual bus fare. Where
artisan no bus plies, Trainee.
actual charges by other
means like tonga,
rickshaw etc. restricted
to Rs. 2.20/km
(c) Daily rated/muster roll
Page: 36 of 42
etc. employee.
8. All pay ranges II Class do
Note: The following dispensation shall be provided to workmen employees who are on rolls of
Company prior to 1.1.97:
For workmen appointed prior to 1.1.97 and Actual charges by 3 wheeler or fare of a
drawing Basic pay not less than Rs. single seat in taxi, where availed, limited to
14720/- (2007 Wage structure) as on date. Rs. 1.80 / km in the latter case
For other workmen but in the grade of W0- Actual bus fare. Where no bus plies, actual
W7 and for other means restricted to Rs. 1.80 / km
workmen appointed on / after 1.1.97 and in
the grade of W0-W7.
17.2.3 For journeys to places within municipal limits of the headquarters, an employees may
choose either of the mode of travel namely rail or road depending upon his convenience;
but for journeys to places outside such municipal limits, which are connected by rail, the
same should be undertaken by rail only and if the journeys are performed by road
between such places, the reimbursement will be restricted to rail fare as per entitlement,
even though the place of visit falls within a radius of 30 kms. from the headquarters.
However, self controlling officers may undertake the journey between such places by
road in exceptional circumstances at their discretion and the reimbursement will be
allowed accordingly.
17.2.4 Charges for waiting/halting of taxi/three wheeler, where unavoidable, will also be
reimbursable at the discretion of concerned head of department.
17.2.5 When journey is performed by an employee in his own car, reimbursement will be
allowed @ Rs. 6.10/km for travel by car, if entitled for Monthly Reimbursement of
Conveyance Expenditure for car. In respect of employees in the grades of E1-
E2A, prior approval of General Manager is required. Reimbursement will be
allowed at the rate of Rs. 2.30 per km for travel by scooter/motor cycle. The above
shall be restrictions as contained in sub-rule 17.2.3. Provided, however an employee
who is in receipt of monthly reimbursement of conveyance expenditure or any other
assistance/reimbursement under the rule of company, will be entitled for
reimbursement of conveyance charges only when the distance covered in such official
journeys is in excess of the prescribed mileage over a specified period, as per the rates
indicated above.
17.2.6 When the journey, performed within municipal limits, commences from and or
terminates at the residence of an employee, he will be reimbursed actual conveyance
charges or the charges which would have been payable from the office/place of work
to the place visited, under sub-rule 17.2.2, whichever is lower. In case of journeys to
outside municipal limits, actual conveyance charges as admissible under sub-rule
17.2.2 will be reimbursed.
Page: 37 of 42
Provided, however, if an employee is deputed to a place other than the office/ place of
work on a holiday, and the journey commences from and ends at the residence of the
employee, he will be allowed conveyance charges from his residence to the place
where deputed and back as admissible under sub-rule 17.2.2.
17.2.7 If an employee is required to attend to his duties on any holiday, he would be

reimbursed, with the approval of the concerned Head of Department, conveyance
charges from his residence to the office/place of work and back as admissible under
sub-rule 17.2.2 provided he is not in receipt of assistance/compensation of any nature
whatsoever for working on such holidays and/or coming to and going back from the
office/place of work.
17.2.8 If an employee is detained for official work beyond 9 p.m he would be reimbursed, with
the approval of the concerned Head of Department, conveyance charges from the
office/place of work to residence as admissible under sub-rule 17.2.2 provided he is not
in receipt of assistance/compensation of any nature whatsoever for working beyond
normal duty hours and/or coming to and going back from the office/place of work.
An employee would not become ineligible for reimbursement of conveyance charges

as per the aforesaid provisions merely on account of receipt of transport subsidy.
17.2.9 The concerned Head of Department may permit travel by a mode higher than the
entitlement of an employee as specified in sub-rule 17.2.2 in the following exceptional
cases :
i) In case of journeys commencing from the office/place of work:- outward

journey only, when an employee is required to perform the same on an
urgent basis :
ii) In case where an employee is directed to perform the official work on

urgent basis on his way from residence to office/place of work, for the
portion of the journey from the place of visit to office/place of work; and
iii) When the journeys are performed during odd hours and the public
transport/entitled mode of transport is not available during such hours.
l 7.2.10 The concerned Head of Division shall have the powers to permit an
employee to travel by a mode higher than his entitlement in other special
circumstances on merits of individual cases.
17.3 Reimbursement of expenditure on lunch, snacks, tea etc.
17.3.1 An employee who performs local journey in connection with the Company's work
to places beyond a radius of 8 kms. from his office/place of work will be entitled to
reimbursement of expenditure on account of lunch, snacks, tea, etc. at the rates
specified hereunder, provided such absence is for more than 5 hours on a day.
S.No. Pay Scale/ Pay Range(Rs.) Rate of Reimbursement

(Rs.)
1. All Employees including Trainees and Daily 20
Rated/ Muster Roll Employees 52
Page: 38 of 42
17.3.2 An employee who performs local journey shall return to the Headquarters on the
same day immediately after the work is over. However, in exceptional cases if the
employee is required to stay overnight, due to lack of availability of' transport or the
nature of work being such that it could not be completed on the same day, he will
be paid daily allowance in accordance with the relevant provisions contained in
rule 5.3, subject to the approval of the concerned Head of Division.
17.4 The rate of reimbursement for road journey as indicated in sub-rule 17.2.2 and
17.2.5 on account of lunch, snacks and tea etc. as indicated in sub-rule 17.3.1
may be reviewed once in two years by the Chairman & Managing Directer, who
shall have the powers to increase/decrease the rates subject to the maximum
variation of 20% of the prevailing rates on' one such occasion, keeping in view the
increase/decrease in prices of petroleum products, eatables and other relevant
factors.
17.5 Advance:
17.5.1 No advance shall be admissible to meet the likely expenditure in connection with
the local journeys.
17.6 Claim:
17.6.1 For all the journeys performed in a week, a single claim for reimbursement should
be preferred.
17.6.2 Every claim should be preferred in the prescribed proforma, duly counter-signed
by the Controlling Officer, within a period not exceeding two months from the date
of completion of the journey (s), beyond which it will not be entertained normally.
However, the concerned Head of Division may relax the time limit for a further
period of one month at his discretion in deserving cases. No claim shall be
entertained after expiry of the period of three months from the date of completion
of the journey (s) and the same shall stand forfeited.
Page: 39 of 42
CHAPTER-III
18.0 SCOPE
18. 1 The extent of application of the provisions contained in chapters I and II in relation
to muster-roll, daily rated, casual, badli or substitute employees shall be as
follows :
18.1.1 Muster-roll, daily rated, casual, badli or substitute employees shall not be sent
on official tours covered under rule 5.0, except under special and unavoidable
circumstances and with the approval of concerned Head of Division in each
individual cases.
18.1.2 When the employees referred to in rule 18.1 are sent on tour as above, the
provisions contained in rules 5.0 and 7.0 will apply mutatis mutandis.
18.1.3 If an employee covered in rule 18.1 is selected for appointment/deployed to a post at

another unit of the Corporation at outstation, he will be entitled to journey fare,
conveyance charges, daily allowance and bare journey time for joining his post at
the new station in accordance with the provisions contained in rule 8.0 No.
baggage allowance, transfer grant, transfer pay advance and preparation time
shall be admissibIe to him.
18.1.4 The provisions of rule 12.1 (ii), 13.0, 14.0 of Chapter I and entire chapter II shall
also be applicable to employees covered under rule 18.1.
18.1.5 The Chairman and Managing director will have the powers to extend the
application of other provisions of these rules to the employees covered in rule 18.1.
Page: 40 of 42
CHAPTER-IV
19.0 GENERAL
19.1 Unless otherwise specified, relaxations of any nature as provided under these rules
can be approved by the next higher authority only, in respect of self Controlling
Officers.
19.2 All claims for travelling allowance/local travelling expenditure under these rules are
to be preferred with respect to the material facts as regards pay/and existing at the
time when the journeys were undertaken.
19.3 In no circumstances, arrears payment/recovery will be made/effected due to

increase/decrease in pay for any reason whatsoever subsequent to the
submission of claims. .
19.4 The Chairman & Managing Director shall be empowered to make changes in
procedure and amendments to these rules or any relaxation which is of a minor
nature.
19.5 In case of any doubt in regard to interpretation of any of the provisions of these
rules, the matter will be referred to the chairman & Managing Director whose
decision shall be fmal.
AUTHORITY:
1. Corporate Personnel Circular No. 78/81 dt. 9.7.81

9. Corporate Personnel IOM NO. 01:Pers:7(4) dt. 27.3.85
13. Corporate Personnel IOM No.01:Pers:7(4)dt. 17.5.88
15. Corporate Personnel IOM No. 01: Pers:7(4) dt. 6.1.89
Page: 41 of 42
21. Corporate Personnel IOM No. 01:Pers:7(4)/191 dt. 18.2.91

24. Corporate Personnel IOM No. 01:Pers:7(4)/214A dt 20.11.91
30. Corporate Personnel IOM No. 01:Pers:7(4)//171 dt. 29.6.90
31. Corporate Circular No. 3/92 dt. 23.11.92
43. Corporate Personnel Circular dt. 1.1.2001-10-25
47. Corporate HR Circular No. 484/2002 dt. 28.03.2002
56. Corporate HR Circular No. 02//2007 dated 01.03.2007
63. Corporate HR IOM No. 01: HR: Wages:26A/750 dated 25.04.2011
Page: 42 of 42
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Compensation for Working on Overtime to Updated as on: 31.01.2012
the employees in Workman category at Page: 1 of 6
Projects/ Stations where one or more units
have been commissioned
COMPENSATION FOR WORKING ON OVERTIME TO THE EMPLOYEES IN

WORKMAN CATEGORY AT PROJECTS/
STATIONS WHERE ONE OR MORE UNITS HAVE BEEN COMMISSIONED
The Compensation for working on overtime to the workmen of Projects/Station

where one or more units have been commissioned will be regulated in the
following manner:
1.0 The general principle of Over Time Allowance (OTA) payment to be followed
shall be in accordance with the provisions as laid down in section 59 of the
Factories Act and will be subject to the daily, weekly and quarterly ceilings of
overtime hours as provided under Chapter VI of the Act read with the appropriate
rules framed there under. (Relevant extracts are given in Annexure-I)
1.1 The elements to be taken into account for "wages" Calculation purpose
shall be Basic Pay, Personal Pay and Dearness Allowance. The
ordinary rate of wages per hour will be equal to the amount arrived at by
dividing the monthly wages by 208.
1.2 For working on a weekly Holiday (Off day), closed holiday and National Holiday
the compensation to be allowed would be as under:-
S.No. For Overtime Work on Rate of Compensation
1. Weekly holiday (off day) for 8 hours work Either substituted holiday or OTA at twice
the ordinary rate of wages for 8 hours
2. Closed/National Holiday for 8 hours work OTA at twice the ordinary rate of wages
for 8 hours
3. Weekly Holiday which coincides with OTA at twice the ordinary rate of wages
closed/ National Holiday for 8 hours work. for 8 hours plus one day Compensatory
off
N.B. There Rules have come into effect from 1.2.1984
1.3 If a workman performs overtime work on a Weekly Holiday (Off day)/closed Holiday/National
Holiday for a part of day's work (8 hours) he shall be allowed overtime allowance only for hours
so worked at twice the ordinary rate of wages.
When a driver is sent on official tour to out-station for driving the vehicle, he shall
be allowed TA/DA etc. as per Travelling Allowance Rules of the Company and he
will not be eligible for any overtime allowance in addition, if he is required to work
overtime. There is however, no objection to pay overtime allowance for the period
of overtime work when such overtime work is done by the driver concerned in
connection with travel which qualifies to be treated as 'local journey' in terms of
rule 16.1 of TA rules. In addition, he may also be allowed reimbursement of
expenditure on lunch, snacks, tea etc. In terms of rule 17.3.1 where applicable.
However, in case of overtime work performed while on local journey, which

attracts the provisions for rule 17.3.2 of TA rules, no overtime allowance shall be
payable and the driver concerned shall be eligible for TA/DA etc. only as mentioned
therein.
1.4 If, Weekly Holiday being day other than Sunday, coincides with either Closed holiday
or a National Holiday and the workman does not work on such a days, one day's
Compensatory Off will be allowed.
1.5 The time limit for availing the substituted holiday and Compensatory Off will be in
accordance with Section 52 and Section 53 respectively of the Act. Prior permission
and sanction of leave shall be necessary for availing of the Compensatory Off,
wherever admissible, and the same cannot be availed of on medical grounds.
2.0 The ceilings of overtime hours of work stipulated in para 1.0 above are to be
adhered to scrupulously. In order to ensure that the overtime hours of work are
within the limits stipulated, a Quarterly Report should be maintained in the format
as in Annexure II and submitted to the General Manager of the respective Project
with a copy to Corporate HR. These Reports should be for each Quarter as
defined under note 2 of Annexure and should be sent as to reach Corporate HR
by 20th of the month following every quarter.
AUTHORITY
1. Circular No. 1/84 dt. 10.4.1984
2. Corporate Personnel IOM No. 01:Pers: 7(3) dt. 23.5.84
3. Corporate Personnel IOM No. 01:Pers: 7(3) dt. 28.8.85
4. Circular No. 2/88 dt. 12.8.88
Days Illustration Illustration Illustration Illustration

I II III IV
(1) + (2) (1) + (2) (1) + (2) (1) + (2)
Sunday (off day) - - - -

Monday 8+1 8+1 8+0 8+0
Tuesday 8+1 8+0 8+1 8+0
Wednesday 8+1 8+0 8+0 8+2
Thursday 8+1 8+1 NIL NIL
Friday 8+1 8+0 8+0 8+1
Saturday 8+1 8+0 8+1 8+0
48+ 6 48+ 2 40 + 2 40+3
No. of Hours for 6 2 NIL 1

which OTA is to (No. Of hours of (Although the No.
be paid work in the week of' hours of' work
being less than in the week is less
48 & not more than 48, the no. of
than 9 hours on hours of work on
any single day) Wednesday is
more than Nine.)
N.B. Figures before the + sign are the no. of normal hours worked and figures after the
+ sign are the no. of overtime hours worked.
ANNEXURE-I
I. Section 59: Extra wages for Overtime-(l) Where a worker works in a factory for
more than nine hours in any day or for more than forty eight hours in any week
he shall, in respect of overtime work, be entitled to wages at the rate of twice
his ordinary rate of wages.
II. Daily, Weekly and Quarterly ceilings of hours of work/Overtime hours as

provided in Chapter VI of Factories Act:
SI.No Ceilings of hours of work inclusive Remarks

of overtime hours
Under ordinary Under exceptional
(Sec.64) situations situations
(Sec.65)
1. Daily 10 12 Subject to Note

1 below
2. Weekly 60 60
3. Quarterly 50 75 Subject to Note

1 below
NOTE1: The daily restrictions would not apply in case of workers engaged on urgent repairs
and in case of a shift worker who is required to work the whole or part of a subsequent
shift in the absence of a worker who has failed to report for duty and is engaged in any
work which for technical reasons must be carried on continuously in accordance with
the rules of the appropriate State Government.
NOTE2: The quarterly maximum indicated above is the ceiling of not overtime hours and is
exclusive of normal hours or work. "Quarter" means a period of three consecutive
months beginning on the Ist of January, the Ist April, the Ist of July or the Ist
October.
III. Some illustrations for calculation of Overtime hours of work: Some illustrations to
facilitate calculation and payment of Overtime Allowance in different situations are
as follows:
ANNEXURE-II
Quarterly Report Department-wise and Section-wise

regarding deployment of Workmen on Overtime
Name of the Unit: For the Quarter ending on :
Deptt/Section Average No. of Workmen Number of Remarks

During the quarter Workmen engaged
on Overtime
Total Engaged Not Upto More *More *More Please give

on over- engaged 25 than than than reasons for
time o hours 25 but 50 but 60 but exceeding
n over- upto upto upto 50/60 hours
time 50 60 75 on Overtime
hours hours hours
1. 2. 3. 4. 5. 6. 7. 8. 9.
RECORD OF REVISIONS

No. Date
Revisions

Miscellaneous Allowances Updated as on: 31.01.2012
Page: 1 of 6
MISCELLANEOUS ALLOWANCES
1.0 CASH HANDLING ALLOWANCE1
1.1 Eligibility - Staff discharging duties of Cashier but drawing pay in the scales of pay lower
than the prescribed pay scale for Cashier.
1.2 Rate
1.2.1 Amount of average Rate of Allowance

monthly cash handled (Rs./per month)
(Rs.)
Upto 75,000 50
75001 to 2,00,000 75
2,00,001 to 5,00,000 100
5,00,001 & above 125
1.2.2 The rate of Cash Handling Allowance to be granted shall depend upon the average
amount of monthly cash disbursed but excluding payments made by Cheques.
1.2.3 For this purpose, the Head of the Finance & Accounts Department (GM - Finance in case
of CC) of the concerned Project/Unit/Estt. shall certify, on the basis of the previous financial
years average, the amount of average monthly cash disbursed and sanction the rate of
Cash handling allowance, as applicable to the employees concerned.
1.2.4 In case, however, it is not possible to assess the amount of cash disbursed based on
figures of previous Financial year e.g in respect of newly formed Projects/Units etc. Cash
handling Allowance may be granted on the basis of the estimated amount of monthly cash
disbursement.
1.2.5 The rate of Cash handling Allowance sanctioned to the employees concerned, may be
reviewed at the commencement.
1.3 General
1.3.1 The above allowance will be admissible only so long as the employee concerned
continues to discharge the duties of a Cashier and will cease to be payable on his
promotion/appointment to the appropriate pay scale for cashier.
1.3.2 The allowance shall not count as pay for any purpose.
Page: 2 of 6
2.0 SPECIAL ALLOWANCE TO SECRETARIAL PERSONNEL ATTACHED TO

SENIOR OFFICIALS2
2.1 Eligibility: Secretarial personnel attached with CMD, Functional Directors,

Executive Directors and project General Managers, provided they are not actually
in the specified category/scale of pay. The prescribed categories of secretarial
personnel to be attached with the aforesaid executives are as mentioned below:
Officer with whom Prescribed categories of PS

attached
CMD 1 Sr. Executive Secretary in E3 scale of pay
1 Executive Secretary in E1/E2
Functional Directors 1 Executive Secretary in E2
1 Executive Secretary in E1
Executive Directors 1 Executive secretary in E1/E2
1 Private Secretary in S3
Project General Manager 1 Executive Secretary in E1/E2
1 Private secretary in S3
2.2 Rate- Rs. 150/-per month4B.
2.3 Terms & Condition13
i The allowance will be admissible only to Executive Secretaries/Private

Secretaries/Personnel Assistants & Steno's & above attached to
CMD,Functional Directors, Executive Directors and General Managers
(In-charge) of the Projet/Units.
ii. The allowance will be admissible only in case the incumbent chosen for
the job is in a scale of pay lower than the prescribed scale of pay.
iii The allowance will also be admissible to secratarial personnel who are
in the category of Steno & above13.
iv. The allowance will not be admissible for looking after the work during
temporary absence of the Executive Secretaries/Private Secretaries,
Personnel Assistants as the case may be.
v. The allowance will be admissible only so long as the employee

concerned continues to be in a scale of pay lower than the prescribed
scale of pay and will cease to be payable on his promotion/appointment
to the prescribed-pay scale or else on being transferred from the post
on which the allowance is admissible; and
Page: 3 of 6
vi. The Special Allowance will be considered as Special pay for all purpose
except for pay fixation on promotion to the specified scale of pay in
which case it will be considered as Special pay only if the incumbent
has drawn it for a minimum of 36 months. When once the Special Pay
has been taken into account while fixing the pay on promotion, this will
not be made admissible again as a distinct element to any individual3.
Note 4 A In case there is a drop in emoluments Consequent upon treatment of

spl. allowance as pay for the purpose of pay fixation on promotion, pay
fixation will be done on the following basis :
(a) While fixing the pay on promotion, the pay to be considered in

the pre-promoted grade should be without adding the spl.
allowance of Rs. 150/-PM.
(b) After pay has been fïxed in the promoted scale as per the
norms of pay fixation rules, Rs.150/- should then be added to
the basic pay to arrive at.
(c) If, as a result of (b) above, an appropriate stage is available in

the promoted scale, then the basic pay should be fixed at that
stage, otherwise the same should be fixed on the next higher
stage.
Protection of the Special Allowance of Rs. 150/- per month is to be

allowed in case of transfer from one office / department to another,
provided the incumbent has drawn the said allowance for a minimum
period of 36 months continuous and the same will be considered for
pay fixation on promotion to the next higher scale of pay of the
employee concerned.
vii. Notwithstanding para (iii) above, an employee who might already be in

receipt of the allowance though not in the category of Personal
Assistant at least, would continue to get the same as personal protec-
tion to him subject to fulfillment of all other conditions referred above.
3.0 COMPENSATION FOR WORKING DURING NIGHT HOURS 21
It has been decided to introduce scheme of compensation for working during night hours
for those employees who are rostered in shift duty. The payment per night shift shall be
paid as under w.e.f. 26.11.2008.
Grade Amount payable Night Shift Duty worked

(Rs/Night)
E5 and above 420
Page: 4 of 6
E3-E4 335
E1-E2A 255
SG 195
S1-S4 150
W8-W11 150
W1-W7 90
4.0 KIT ALLOWANCE 8
4.1 Eligibility:- Employees deputed abroad for training under various plans and
bilateral agreements.
4.2 Rate-Rs.1500/-
4.3 Terms And Conditions - The non-refundable kit allowance as above is

paid towards preparatory, pre-depature expenditure, subject to fulfillment
of the following conditions:
i. The continuous duration of the training abroad should be
of more than 30 days; and,
ii. The employee concerned has not received such an
allowance in the last 3 years.
The allowance shall be paid in Indian currency only.
5.0 CONSULTANCY ALLOWANCES
5.1 NTPC has been engaged in providing Consultancy services to organization in

Private/Government sector through its Consultancy Wing located at Corporate
Center.
5.2 The nature of assignment are challenging and sometimes may be of short
duration. In such assignments, it becomes difficult to place manpower for short
duration after destabilising the official and their families from their original place
of posting.
5.3 In order to rationalise the payment to manpower posted at Consultancy sites, it

has been decided to allow the following dispensation:
5. 3.1 The NTPC manpower posted at Consultancy sites of the clients may be paid an
allowance equal to 35% of their basic pay to overcome hardships on account of
Page: 5 of 6
postings, at a different location and 30% of their basic pay on account of

Consultancy site posting in same location subject to the condition that they will
not be entitled to FCA/special allowance and any other incentive except Ex-
Gratia.
5.3.2 House Rent Recovery at such Consultancy project sites is so be the same as
House Rent Recovery at NTPC Projects/ Station including HRR for leased
accommodation.
AUTHORITY:

1a. Corporate personnel Circular No.266/90 dt.25.9.1990
2. Corporate Personnel IOM No.01:Pers:28(4)dt.21.7.1983
3. Corporate Personnel IOM No.:28(4)dt. 10.11.1984
4. Corporate Personnel IOM No.01:Pers:28(4)dt.9.12.1988
4a. Corporate Personnel IOM No.01:Pers:28(4)dt. 15.11.1989
4b. Corporate Personnel Circular No.277/91 dt. 18.9.1991
5. Corporate personnel Circular No. 118/83 dt. 19.9.1983
5a. Corporate Personnel IOM No.01:Pers:28(4)/182dt.7.11.1990
5b. Corporate Personnel IOM No.01:Pers:28(4)/194dt.8.3.1991
6. Corporate personnel Circular No. 117/83 / 118/93dt. 19.9.1983
7. Corporate personnel Circular No.234/89 dt. 18.8.1989
8. Corporate personnel Circular No.136/84 dt.1.8.1984
9. Corporate personnel Circular No. 1/89 dt.2.3.1989
13. Corporate Personnel IOM No. 01/Pers/28(4)/327, dt. 8.5.97
14. Corporate Personnel IOM No. 01/Pers/28(4)/370, dt.10.2.2000.
15. Circular No.6/89dt.14.12.1989
16. Corporate personnel Circular No.330/95 dt.30.5.95
17. Corporate personnel IOM No.:01:Pers:28(4)/232dt.22.1.1993
18. Corporate personnel IOM No. 01/Pers/28(4)/370 dt.10.2.2000
19. CPC No. 445/2000 dt. 6.7.2000
CPC No. 459/2001 dt 2.3.2001
21. Corporate HR IOM No.01:HR-Policy:28(4)/733 dated 30.08.2010
Page: 6 of 6
RECORD OF REVISIONS

No. Date
Revisions

Negative Pay Advance Updated as on: 31.01.2012
Page: 1 of 2

Negative Pay Advance
Prioritization of Deductions from the Salary and Regulation of Negative Pay Advance
1.0 For ensuring timely recoveries of various advances / loans drawn by employees from
the Company, it has been decided that the following procedure may be adopted in
respect of Prioritization of Deductions from the Salary and Regulation of Negative
Pay Advance.
2.0 Prioritization of Deductions from the Salary in respect of advance/loans:
2.1 All statutory deductions viz. Employee’s contribution to PF, Recovery on

account of PF loan and Deduction for Income tax will be made first.
2.2 Recovery for Pension, HRR, Recovery for Electricity/water will be made next.
2.3 Recoveries on account of personal loans/advances like HBA, HBA insurance,

Conveyance advance, PC Loan etc., Advances for LTC, TA, Multipurpose,
Festival, Staff advance etc. and loan from external agencies like VPF, HBA,
LIC premium, Co-operative society loan etc. will be made next and the loans
from other external agencies like HBA from other financial institutions, PF loan,
VPF and Employees’ Co-op. Society will be discontinued.
3.0 Regulation of Negative Pay Advance:
3.1 The negative pay advance of every month will be deemed to have been
converted into an interest bearing advance @ 3% above the bank lending
interest rate. Intimation will be sent to the employee through HOD concerned
for refund of the negative pay advance within 15 days. If the employee
deposites the negative pay advance before within 15 days od issue of salary
slip, the above interest will not be charged.
3.2 In case, negative pay advance is due to reasons beyond employee’s control
like sickness or absence on EOL or similar reasons and he is not earning his
normal salary, the permission for exemption from the provisions of negative
pay advance may be considered on individual requests on merits of each case
by the concerned Head of division / GM.
3.0 Levy of penal interest, if any, in excess of the above mentioned rates, as provided
under respective rules will remain uncharged.
AUTHORITY:

Negative Pay Advance Updated as on: 31.01.2012
Page: 2 of 2

RECORD OF REVISIONS

No. Date
Revisions


NTPC Leave Rules Updated as on: 31.01.2012
Page: 1 of 27
NTPC LEAVE RULES1
1.0 SHORT TITLE:

These Rules shall be called 'NTPC Leave Rules'.
2.0 COMMENCEMENT:
These Rules will be effective from 1st July, 1978.
3.0 SCOPE OF APPLICATION:
These Rules shall apply to:
i) All regular employees of the Company;
ii) Probationers;
iii) Temporary employees;
iv) Trainees/Apprentices, other than Apprentices under the Apprentices Act,

1961;
v) Employees engaged on contract but shall not apply to employees on

deputation / foreign service to the Corporation.
4.0 DEFINITIONS:
In these Rules, unless there is anything repugnant in the subject or context:
(a) "The Corporation" - means NTPC Limited.
(b) "Board" - means the Board of Directors of the Corporation.
(c) "Management" - means the Board of Directors of the Corporation, the

Chairman and Managing Director or any other Officer of the Corporation
authorized to act on their behalf.
(d) "Competent Authority" - with reference to the exercise of any powers under
these Rules means the Officer or authority to whom such powers are
delegated either in general or in particular.
(e) "Employee" - means a person appointed to any position in the Corporation

and will include a probationer.
(f) "Regular employee" - means an employee who has been engaged

against a vacancy on the regular establishment of the Corporation and
Page: 2 of 27
has been declared in writing to have satisfactorily completed probation

period in one or the other post.
Note 2: Wherever probation has not been closed pending receipt of police verification report
from district Authorities/ Intelligence Bureau or previous employers, the
employee will be allowed the benefit of leave encashment, sick leave, commuted
leave, special disability leave and maternity leave {in case of female married
employees) on completion of one year's service, subject to the condition that the
employee is otherwise eligible for closing of probation and a written undertaking
to the effect that in case verification reports received subsequently are found to
be adverse, the employee shall refund the entire amount of leave encashment
and apply for another kind of leave as admissible if commuted leave/maternity
leave etc. has been sanctioned earlier on completion of one year's satisfactory
service.
(g) "Probationer"- means an employee who is provisionally employed with a view

to being considered for appointment on the regular establishment of the
Corporation.
(h) "Temporary employee" - means an employee who has been engaged on a

temporary basis for a specified period or for work which is of an
essentially temporary nature likely to be completed with a stipulated
period.
(i) "Apprentice/Trainees" - is a learner who is paid a stipend during the

period of his apprenticeship training.
Note : The terms and conditions of employment and the period of training of all
apprentices/trainees will be governed by the apprenticeship contract and/or any
special rules or orders framed by the Corporation from time to time.
(j) "Foreign Service" - when an employee of some other organization is

deputed for service in the Corporation at its request he is said to be on
"foreign service."
(k) "Notice" - means a notice in writing required to be given or affixed on the

Notice Board for the purpose of these Rules
(l) "Notice Board" - means the Notice Board specially maintained in a

conspicuous place at or near the main entrance or entrances of the
establishment for the purpose of displaying notices.
(m) "Registered Medical Practitioner" and "Attending Medical officer" means

any person registered as such under any Law for the time being in force
and includes any practitioner in the fields of Allopathy, Homeopathy,
Ayurveda and Unani System of Medicines. However, the certificates given
Page: 3 of 27
by Registered medical Practitioner shall not hold good at places where

Company has its own hospitals and employee falls sick there.
(n) "Authorised Medical Officer" - means a doctor Authorised by Company to

treat its employees, and would include all doctors empanelled by
Company.
(o) "Government Hospital" - means any hospital established by any authority

under the control of Central or State Government, municipal authorities,
autonomous body, public sector undertakings or a hospital recognised by
Company as such.
(p) "Executive" - means an employee who is employed mainly in a managerial

and administrative capacity.
(q) "Supervisor" - means an employee who is employed in a supervisory

capacity, draws wages exceeding five hundred rupees per mensem or
exercises, either by nature of his duties or by reason of power vested in
him, functions mainly of a managerial nature.
(r) "Workmen" - means an employee other than a Supervisor or an Executive

Management will publish a list a posts categories as
Executives/Supervisors.
(s) "Uniform Dates" - in these Rules would mean 1st April and 1st
October 32 of every year.
5.0 EXHIBITION OF LEAVE RULES:

A copy of these Leave Rules shall be displayed on the Notice Board.
6.0 AMENDMENTS TO AND INTERPRETATION OF THE LEAVE RULES:
6.1 These Leave Rules may be amended or modified from time to time by the
Corporation and the same shall take effect in accordance with the orders
issued by the Corporation.
6.2 All amendments or modifications made to these Leave Rules and any notices,
orders or instructions issued there under shall be circulated from time to time and
displayed on the Notice Board.
6.3 If any doubts arise relating to the correct interpretation of these Leave Rules, the
decision of the Management thereon shall be final and binding.
7.0 ENTITLEMENT:
7.1 Entitlements to leave in respect of Casual Leave, Earned Leave, Half-pay Leave,
Sick Leave for various categories of employees will be as shown in Annexure-1
7.2 Entitlement in respect of other kinds of leave, such as extraordinary leave,

maternity leave and special disability leave etc. for various categories of
Page: 4 of 27
employees shall, however, be as given in these Rules.
8.0 CASUAL LEAVE:
8.1 Casual Leave is intended to cover casual absence of the employees for personal
reasons.
8.2 Casual Leave can be granted for half day also. If half day's leave is taken, the lunch
interval will be taken as the dividing line.
8.3 The employees joining the service of the Corporation during the first quarter of the
calender year shall be entitled for full quantum of casual leave. In all other cases
casual leave entitlement would be calculated on prorata basis.
8.4 Unavailed casual leave would lapse at the end of each calendar year.
8.5 Sundays and holidays will not be debited to the casual leave account. Sundays and
holidays can be prefixed/suffixed to casual leave.
8.6 Trainees and Apprentices shall get an additional pro- rata credit of casual leave
on their absorption as Executives/Supervisors.
8.7 In case of retirement / superannuation and resignation, casual leave entitlement

shall be proportionate to the period of service in the calendar year.
9.0 SPECIAL CASUAL LEAVE :
Special Casual Leave falls outside the normal leave and can be granted to meet
special situations but not for domestic or personal reasons as in the case of
casual leave. Cases in which Special Casual Leave can be granted are
mentioned below:
9.1 Periods spent in camp by employees permitted to join the Territorial Army, not
exceeding 14 days which can be combined with other leave, wherever necessary.
9.2 Special Casual Leave not exceeding 30 days in a calendar year may be granted:
a) to employees selected to represent the Company in tournaments recognised by
the State/National Association for the game concerned;
b) to employees selected to represent the District or the State or All India in a recognised
tournament;
c) to employees selected to participate in training/coaching camps by State

Association;
d) to employees required to act as Umpires or commentators in tournaments of

National/International importance;
e) to employees who wish to attend in their individual capacity meetings/ training

Page: 5 of 27
courses organised by professional institutes of which they are members.
f) to employees of NTPC selected to participate in local tournament on behalf of

NTPC."
g) to employees of NTPC participating in Mountaineering and Trekking arranged by

recognised clubs/associations."
While sanctioning SCL under (f) & (g) above, within the limits specified, the
periods of absence for attending pre-selection trials/camps connected with
sporting events of National/International importance will be included."
If the period exceeds 30 days in any calendar year, the employees can be
permitted by competent authority to combine special casual leave with earned leave as
a special case, but not with casual leave.
9.3 Employees participating in inter-unit or inter-departmental tournament can also

be granted special casual leave not exceeding 10 days at a time which can also
be permitted by competent authority to be combined with earned leave.
9.4 Employees who donate blood on working days may be granted special casual leave
for that day.
9.5 Employees who undergo sterilization operation under the family welfare scheme may
be granted special casual leave not exceeding six working days in case of male
employees and 14 days in respect of female employees.
Employees who are ex-servicemen when called by Ministry of Defence to

participate in the Republic Day Parade can be granted special casual leave for the
period of their stay in Delhi and minimum period spent on Journey to and from Delhi
by direct route.
9.7 Special casual leave can be granted to an employee if he is called as witness ' by
the courts, towards the days of absence, i.e. attendance day and minimum
traveling time by shortest route. This leave will only be allowed to the employees
when they are called as witnesses in cases where the Government is a party or
Government calls the incumbent for evidence even when the - Corporation has
nothing to do in these cases, provided however, that the employee himself is not
a party being prosecuted or defended. Where the Corporation is a party and the
employee is called for evidence by the Corporation, the said period will be treated
as on duty and employee would be paId the usual TA/DA.
9.8 For an employee who is not permitted to avail of full joining time in Company's
interest when transferred from one station to another, specific executive orders will
be issued in this respect by Management.
9.9 To regularise the absence on account of natural calamities and civil/political

disturbances and infectious diseases. Each case will be considered on merits by
competent authority.
9.10 Special Casual leave of not more than 10 days in a calendar year shall be granted to
Page: 6 of 27
differently-abled employees (i.e. who have been recruited under the category of
physically challenged) for participating in conference/seminars/training/workshop on
disability & development related programmes organized at National and State level
agencies to be specified by the Ministry of Social Justice and Empowerment. 36
9.10.1 The period of absence in excess of 10 days is to be treated as regular leave of the
kind due and admissible. Special Casual leave for this purpose will be allowed to be
combined with regular leave as a special case. 36
10.0 EARNED LEAVE:
10.1 Earned leave means leave earned in respect of periods of services with the
Corporation and granted on full pay or stipend in case of trainees/Apprentices other
than Act Apprentices.
10.2 Every employee's earned leave account will be credited in advance each year. This
will be done in two installments namely 50% of the entitlement on 1st April and 1st
October every year. The leave at credit of the employee at the close of the
previous half year will be carried forward subject to the condition that the total
credit at the beginning of each half year does not exceed the limit of accumulation
as allowed under these rules.
10.2.1 W.e.f. 1.7.93 in case of employees having at their credit Earned Leave of 285 days
or less as on 1st April /1st October of a year, Earned Leave of 15 days, or
proportionately less in respect of retiring persons or those leaving services during
the next half year, may continue to be credited to their leave account in advance as
at present.
10.2.2 In case where the Earned Leave at credit as on 1st April/1st October is 300 days
or less but more than 285 days credit of Earned Leave for 15 days may be kept
separately and first exhausted against any Earned Leave which the employee may
take during the ensuing half year and the balance, if any, credited to the Earned
Leave Account, at the close of the half year subject to the ceiling of 300 days. If
the earned leave taken during the half year is more than 15 days, the amount in
excess of 15 days will, however, have to be debited to the leave account (Annexure-
III).
10.3 In respect of an employee who joins the service of the Company at any time
between the uniform dates i.e. 1st April and 1st October, earned leave account
will be credited on pro-rata basis for every completed month of service till the
close of the half year in which he is appointed. The period of earned leave so
calculated will be rounded off to the next higher figure. From the next half year
onwards, the employee will be governed by the Rules as above
10.4 Intervening Sundays and holidays falling within the spell of earned leave will be
counted as earned leave.
11.0 SPECIAL ADDITIONAL LEAVE FOR EXECUTIVES AT NTPC PROJECTS /

STATIONS
Page: 7 of 27
11.1. Executives posted at NTPC Projects / stations shall be allowed 10(ten) days of
Special Additional Leave (SAL) per annum with effect from 01.09.2009.
11.1.1 SAL shall also be granted to Inspection Offices attached to BHEL and all sites of
Consultancy Wing where six days a week pattern of working is followed.38
11.2 This Special Additional Leave shall be encashable.
11.3 The Special Additional Leave should be availed/encashed within a relevant

financial year after which it shall lapse. This leave shall not be carried forward
due to any reason whatsoever.
11.4 The Special Additional Leave shall be on monthly pro-rata basis for the period of
service rendered at project/station.
12.0 HALF-PAY LEAVE:

12.1 Half-pay leave, means leave on half-pay earned in respect of service with the
Company and can be granted to an employee for any reasons including on
medical grounds. The half-pay for this purpose shall be treated as half of the
basic pay. All other allowances would be paid in full. Half pay leaves is not
admissible to Trainees/Apprentices and employees on contract.
12.2 Every employee's half-pay leave account will be credited in advance as in the case
of earned leave.
12.3 In respect of those who join service at any time between the two uniform dates
i.e. 1st April and 1st October 32, half pay leave account will be credited in the
same manner as in the case of earned leave
12.4 Encashment of HPL/SL:
Encashment of HPL/SL upto a maximum of 240 days (HPL/120 days sick leave
standing at the credit of the employees is allowed in the following events:
i) Separation from the Company on attaining the age of superannuation.
ii) Death while in service.
iii) Cessation of service, other than on ground of disciplinary action, after

attaining the age of 50 years provided that the concerned employee has
completed a minimum of 10 years continuous service in Central/ State
Government/PSU out of which a minimum of 5 years is in NTPC and
iv) On completion of the tenure of Board level appointees.
Other conditions governing encashment of Half Pay Leave/Sick Leave, as
above shall be the same as applicable for encashment of EL subject,
however, to the conditions that for the purpose of computing encashment
of HPL, only half of the basic pay shall be taken into account.
Page: 8 of 27
13.0 COMMUTED LEAVE:
13.1 Half-pay leave can be commuted into full pay leave on medical grounds subject
to production of Medical Certificate from a Registered Medical practitioner. The
total commuted leave admissible in the entire service of the employee shall not
exceed 240 days.
13.2 Total amount of earned leave and commuted leave taken in conjunction shall not
exceed 180 days at a time.
13.3 Commuted leave will be allowed to regular employees only. It will not be
admissible to Trainees/Apprentices, Probationers, temporary employees and
employees engaged on contract.
13.4 Wherever probation has not been closed pending receipt of police verification report
from district Authorities/ Intelligence Bureau or previous employers, the employee
will be allowed the benefit of leave encashment, sick leave, commuted leave,
special disability leave and maternity leave (in case of female married
service.
When commuted leave is granted, the half-pay leave account of the employee will
be debited with twice the period of such commuted leave.
14.0 SICK LEAVE:
14.1 Sick leave will be admissible to Trainees/Apprentices at the rate of 10 days per
year on full pay. It will not be admissible to Executives, Supervisors and workmen.
14.2 Sick leave account will be credited in advance with five days on 1st January and
the balance five days on 1st July every year. The leave at credit of the
employee at the close of the previous half year will be carried forward subject to
the accumulation limit of 30 days.
14.3 In respect of those who join the service of the Corporation at any time between
the two uniform dates sick leave account will be credited at the rate of 5/6 days
for each complete month of service till the close of the half year in which he is
appointed. The period of leave so calculated will be rounded off to the next
higher figure, if the fraction is not less than half. From the next half year
onwards, five days of sick leave will be credited in advance.
14.4 The sick leave at the credit of a Trainee/Apprentice who is absorbed as an

Executive/Supervisor/Workman on the date of absorption will be doubled and
credited as half-pay leave to his account.
Page: 9 of 27
15.0 SPECIAL DISABILITY LEAVE:
Employees who are disabled and become temporarily unfit to work on account
of injuries due to accidents arising out of and in the course of employment will
be allowed Special Disability Leave with full wages/salary, subject to the
existing conditions. However, where the benefits under the Group Personal
Accident Insurance Scheme are availed, the benefit of Special Disability Leave
will not be admissible & vice-versa.
(The detailed rules as amended vide CPC No. 125/84 dated 15-2-1984 & CPC
No. 236/89 dated 20-9-1989 appears as a separate scheme)
16.0 EXTRA-ORDINARY LEAVE:
1 6 .1 Extra-ordinary leave means leave sanctioned under special circumstances

without any pay and allowances to the following extent when no other kind of
leave is due, or when the employees specifically applies for extra-ordinary
leave :
i) Up to three months on any one occasion other than on grounds of

illness.
ii) Up to six months on any one occasion on Medical Certificate for dis-
eases other than T.B., Leprosy and Cancer.
iii) Up to eighteen months on any one occasion in case of treatment for

T.B., Leprosy and Cancer.
16.2 Entitlement of extra-ordinary leave in respect of Trainees/Apprentices (other than

Act Apprentices) and employees engaged on contract shall not exceed 20 days
on any one occasion
16.3 The Chairman and Managing Director may sanction extra-ordinary leave in
excess of the above mentioned limits by three months in exceptional cases.
16.4 In no case the total extra-ordinary leave admissible to an employee during the
entire service period shall exceed five yeas.
16.5 EL, HPL/SL credited to the leave account of the employees who remain on
EOL/unauthorized absence is to be reduced on pro-rata basis for the period of
EOL/unauthorized absence; subject to the condition that no such adjustment will
be made when the period of such types of leaves in a given half year is upto a
period of 30 days.
17.0 LEAVE NOT DUE:
Deleted
Page: 10 of 27
18.0 MATERNITY LEAVE:
This may be granted to regular married female employees (excluding

Apprentices/Trainees), in accordance with the following rules:
Wherever probation has not been closed pending receipt of police verification
report from district Authorities/ Intelligence Bureau or previous employers, the
leave, special disability leave and maternity leave (in case of female married
service.
1 8 .1 The Leave may be granted on full pay for a period which may extend up to 180
days 37 from the date of its commencement on production of medical certificate
from the Attending Medical Officer provided that Maternity leave shall not
commence from a date earlier than 45 days from the expected date of delivery.
the grant of leave is further subject to the condition that prior permission is
obtained by the employee and all other prescribed condition are fulfilled.
In view of the provisions of Section 5(2) of the Maternity Benefit Act, 1961,
Maternity Leave may be granted to a female employee who has actually worked
in the Company for a period of not less than 80 (Eighty) days in the twelve
months, immediately preceding the date of her expected delivery. In other
words, a female employee with less than one year's service may be granted
Maternity Leave provided she has actually worked for a minimum period of 80
days before her expected delivery date; and in case of a female employee with
one year's service for more in the Company, Maternity Leave may be granted
provided she has actually worked for 80 days in the 12 months immediately
preceding expected delivery date4.
For the purpose of calculating the number of days actually worked, the number of
days on which an employees has physically worked only are to be • taken into
account. In other words the days on which she might have been on leave and
holidays ((including Sundays), of whatever nature, are to be treated as days not
actually worked. However the days, if any, on which she might have been laid off
during the period under consideration are to be deemed as days actually worked
by her.
18.219 It may be combined with leave of any other kind, but only if a Medical certificate
from the Medical Officer supports the request for such leave.
18.3 Maternity leave will also be allowed in case of miscarriage/abortion. The total
period of maternity leave on account of miscarriage/abortion will be restricted to
45 days in the entire career of a female employee. Request for such leave must
be supported by a medical certificate.
In calculating the number of days of maternity leave on account of

Page: 11 of 27
miscarriage/abortion such leave granted and availed of by a female employee in

the past shall not be taken into account. In cases requiring longer duration of
rest, leave of the kind due and admissible (EL, HPL etc) can be availed in
conjunction with maternity leave as above.
18.4 In respect of matters, not specified above, the provisions of Maternity Benefit Act,
1961, shall apply.
19.0 CHILD CARE LEAVE FOR WOMEN EMPLOYEES
19.1 Objective:
To facilitate women employees to take care of their new-born/small children.
19.2 Coverage : Women employees on the regular rolls of the Corporation excluding
trainees.
19.3 Quantum of Child Care Leave
19.3.1 Women employees may be granted Child Care Leave (CCL) in continuation of
Maternity Leave or otherwise upto a period of 2 years without pay during the
entire career in this company.
19.3.2 The CCL will be in addition to the Maternity Leave but after adjusting the entire
quantum of ‘Earned Leave’. It may be granted for the care of two children upto 3
years of age in spells of 6 months or more.
19.4 Entitlement during leave:
19.4.1 The women employee would be entitled to the following during this period of
CCL:
(a) Drawal of medical benefits in respect of her dependents and herself.
(b) She will be granted permission to continue occupying the existing
accommodation on payment of usual rent / License Fee. Employee drawing
HRA will continue to draw HRA during the period of leave.
(c) The concerned woman employee shall be entitled to continuity of service for CPF
and Gratuity and if the employee chooses to contribute to her PF account during
the child care leave, the company will make matching contribution as per rules
framed from time to time.
19.4.2 During the period of Child Care Leave, the employee will not be allowed to take
up any remunerative/honorary service elsewhere.
19.4.3 The employee shall also have an option to make payment of the monthly
installments towards recovery of HBA, Conveyance Advance, Furniture Advance,
Multi Purpose Advance, House Rent etc. while availing CCL.
19.4.4 During the Child Care Leave period, the employee shall not be considered for
promotion. However the period will count for eligibility for promotion.
19.5 General:
Page: 12 of 27
19.5.1 The Competent Authority for sanctioning of this leave shall be respective General
Manager.
19.5.2 All other terms and conditions of NTPC Leave Rules shall remain unchanged.
19.5.3 CMD/ D(HR) shall be authorized to make amendments / modifications in any of

the provisions in the Scheme from time to time.
20.0 NTPC SPECIAL CHILD CARE LEAVE ON ADOPTION OF A CHILD.
20.1 Objective
To facilitate employees with less than two surviving children to take care of their
legally adopted child upto one year of age.
20.2 Coverage
All employees on the regular rolls of the Corporation excluding trainees.
20.3 Quantum of Leave
20.3.1 Female employees shall be granted the Special Child Care Leave on adoption of
a child for a period of 135 days from the date of valid legal adoption.
20.3.2 Male employees shall be granted the Special Child Care Leave on adoption of a
child for a period of 15 days to be availed within a period of 135 days from the
date of valid legal adoption.
20.4 Other terms and condition:
20.4.1 The Special Child Care Leave on adoption of a child may be granted on full pay.
20.4.2 Special Child Care Leave may be combined with leave of any other kind.
20.4.3 In continuation of ‘Special Child Care Leave’ the adoptive mothers may also be
granted, if applied for, leave of the kind due and admissible (including Leave not
due and Commuted leave not exceeding 60(sixty) days without production of
Medical certificate) for a period upto one year reduced by the age of the adopted
child on the date of legal adoption without taking into account the period of
Special Child Care Leave, subject to the following conditions:
This facility shall not be admissible to an adoptive mother already having two
surviving children at the time of adoption.
The maximum period of one year leave of the kind due & admissible (including
leave not due and commuted leave upto 60 days without production of Medical
certificate) will be reduced by the age of the child on the date of adoption without
taking into account Special Child Care Leave as in following illustrations:
Page: 13 of 27
If the age of the adopted child is less than one month on the date of adoption,
leave upto one year may be allowed.
If the age of child is six months and above but less than seven months, leave
upto 6 months may be allowed.
If the age of the child is 9 months and above but less than two months, leave
upto 3 months may be allowed.
Special Child Care Leave shall not be debited against the leave account.
20.5 General
20.5.1 The adoption of the child should be through a proper legal process and the
employee should submit a copy of the adoption deed with the Company.
20.5.2 The Sanctioning Authority for this leave shall be the same as that for Maternity /
Paternity Leave under NTPC Leave Rules.
21.0 QUARANTINE LEAVE:
21.1 Quarantine leave is leave of absence from duty necessitated as a consequence of

the presence of certain infectious diseases in the family or household of the
employees. Such leave may be granted by the leave sanctioning authority on
the certificate of the Registered Medical Practitioner for a period not exceeding
21 days, or in exceptional circumstances, 30 days. Any leave necessary in
excess of this period shall be treated as leave of the type that may be available
to the credit of the employees. Quarantine leave can also be granted in
continuation of any other kind of leave other than casual leave. An employee on
quarantine leave will not be treated as absent from duty and his pay will not be
affected.
21.2 Cholera, Small-pox, Plague, Diphtheria, Typhus fever and Cerebro-spinal

meningitis may be treated as infectious diseases for which quarantine leave can
be granted.
21.3 Quarantine leave can be granted to an employee at a place other than his
Headquarters, also provided that he had gone there on duty or authorized leave
with permission of competent authority.
22.0 REFUSED LEAVE:
When an employee has applied for earned leave in time and is refused leave in
the interest of Corporation work, he will be allowed to accumulate the leave to
the same extent provided that the total earned leave at his credit does not
exceed 300 days at any time.
23.0 TERMINAL LEAVE:
Earned Leave to the extent due and admissible may be granted to any employee
at the discretion of the sanctioning authority on termination of his service on
Page: 14 of 27
medical grounds certified by Authorised Medical Attendant or in the case of

Executives and Supervisors on account of retrenchment on abolition of posts. In the
latter case it will run concurrently with the notice period required to be given under
the contract of appointment, if any. Such leave may be granted even when it has
been applied for an refused in Company's interest.
24.0 COMPENSATORY OFF:
24.1 Workmen
Workmen if required to work on weekly holidays or closed holiday may be granted

compensatory off. Compensatory off will not be accumulated subject to the
provision of law in force, workmen will be entitled to avail of company
Compensatory off/holiday admissible to them at their choice after making prior

application and obtaining sanction for the same5.
24.1.1 If a worker works on his weekly off/ rest day which is not a National Holiday
(although it may be paid closed holiday), he will be allowed one days
compensatory off in lieu of this extra one day/ shift work.
24.1.2 If a worker works on a weekly off / rest day which is also a National Holiday, he
will be allowed two days single wage (Basic plus DA).
24.1.3 The compensatory off as regulated in terms of (a) and (b) above can be allowed
to be accumulated during a calendar year after which this will be lapsed.
24.1.4 if extra duty as mentioned above is regulated in terms of these provisions, no

other payment (such as overtime) will be admissible.
24.2 Supervisors
Subject to the provision of law in force, supervisors will be entitled to avail of

compensatory-off/holiday admissible to them at their choice after making prior
application and obtaining sanction for the same6.
24.3 Executives
i) Compensatory off will be admissible to executives upto and including the

level of Senior Manager (E- 6) who are posted at projects (where one or
more units have been commissioned) and those posted at a substation
which is commissioned and where O&M is going on and who are :
a) doing shift duties in power stations/sub-stations, and
b) required to work on staggered weekly off.
ii) These executives may be allowed one day compensatory off if they work
in an extra shift in addition to their normal shift duty.
Page: 15 of 27
iii) If the weekly holiday, being a day other than a Sunday in case of such
executives doing shift duties in power Stations/substations coincides with
either a closed holiday and the executive does not work on such a day, one
day compensatory off will be allowed to him.
iv) The compensatory off may be availed of in the same calendar month,
immediately following the month in which it was granted. For availing of
compensatory off, prior permission and sanction shall be necessary and the
same cannot be availed of on medical grounds.
24.4 Compensatory off, as granted above, can be combined with all types of leaves viz
Casual Leave, Earned Leave, Half pay leave etc.
Note : The provision under Rule 21.0 may be read with the Rules and are subject to the
provision relating to payment of Overtime Allowance/extra compensation payable, if
any, to the employees concerned.
25.0 SETTING OFF OF LEAVE TOWARDS NOTICE PERIOD :
Where an employee resigns his post of his own volition and is required to give
notice under terms and conditions of his appointment or deposit pay and
allowances for the specified period in lieu thereof, the employee may be
permitted, at the discretion of the Company to set off the earned leave at his credit on
the date of leaving service towards the notice period.
26.0 TRANSFER OF LEAVE:

26.1 Earned Leave" transferred from other Public Undertakings / Government
Department / Semi-Government / Autonomous Body by virtue of service put in by the
employee in the organisation shall be kept as a separate credit to be availed by
him provided a lump sum equivalent of leave salary is paid to this Corporation by
the organisation concerned.
26.2 In case any employee of the Corporation joins another public Sector
Undertaking/Semi-Government/Govt. Organisation or Autonomous Body, earned
leave at his credit along with the amount of leave salary may be transferred at the
discretion of this Corporation if acceptable to the new employer.
26.3 Accumulated Sick Leave/Half Pay leave, standing to the credit of the
employees at the time of transfer to or from another Public Sector Enterprise, may
be transferred provided such transfer has taken place with the consent of the
Management of both the enterprises or under the order of Government/Public
Enterprises Selection Board. The procedure for transfer shall be the same as that of
EL. This will be effective from1.1.198813.
27.0 LEAVE SALARY:

An employee on earned leave shall be entitled to leave salary on full pay. Full pay for
Page: 16 of 27
purposes of these rules shall be the pay drawn immediately prior to proceeding on
leave. Regular employees proceeding on earned leave for more than 30 days
will be entitled to draw leave salary advance limited to one month.
27.1 The amount of maternity benefit i.e. leave salary for the period preceding the date of
expected delivery of an eligible woman employee shall be payable in advance to her
on written request alongwith documentary proof as regards her pregnancy, and
the amount due for the subsequent period shall be immediately payable to her
on a written request alongwith documentary proof of her having delivered a child.
However, where Maternity Leave due is taken in conjunction with any other kind of
leave (either preceding or succeeding the Maternity Leave due), payment of leave
salary shall be restricted only for the period of Maternity Leave due as per rules, in
addition to leave salary due for Earned Leave, if any8
28.0 Unauthorised Absence.
28.1 “Unauthorised Absence” means absence by an employee from his/her duty or

place of work without authority either without sanction of any leave or after
expiry of sanctioned of any leave or after expiry of sanction leave, if any.
28.2 An employee who remains unauthorized absent from duty or place of work
either without sanction of any leave or after expiry of sanctioned leave, if any
and does not the report for duty for any reason whatsoever within 90(ninety)
consecutive days from the date of his /her Unauthorised absence, shall
automatically lose lien on his/her post and he/she shall be deemed to have
voluntarily abandoned and left the service of the Corporation, without notice.
Provided, however, if the employee subsequently substantiates and accounts

for his /her Unauthorised absence from duty within 90(ninety) consecutive
days from the date of the termination order to the entire satisfaction of the
Management may regularize his/her period of Unauthorised absence on such
terms and conditions as it may deem fit and proper.
29.0 COMBINATION AND CONVERSION OF LEAVE:
Subject to the other relevant provisions, any kind of leave other than casual
leave may be granted in combination with or in continuation of any other kind of
leave.
However, compensatory off will be allowed to be combined with all types of leave
viz, casual leave, earned leave, half pay leave etc14.
30.0 GENERAL CONDITIONS FOR GRANT OF LEAVE:
30.1 It shall be the endeavour of the Management to grant all reasonable requests for
leave which should be submitted well in time. However, leave cannot be claimed
as a matter of right. The Sanctioning Authority, may at its discretion revise, curtail or
revoke leave at any time according to the exigencies of service.
Page: 17 of 27
30.2 In case where an employee on leave is recalled to duty in the interest of the
Corporation's work, single railway fare of the entitled class will be paid from the
station of leave to station of duty. The leave in such cases shall end on the day the
return journey commences.
30.3 There will be no restriction as regards the number of times in a year an

employee can avail of the earned leave2'5'6.
30.4 The limit as to how many employees may be granted leave at one time in each
section/division/department shall be fixed or decided by the competent authority
from time to time.
30.5 An employee returning from leave shall ordinarily report back to the post where
from he/she proceeded on leave, unless otherwise intimated by the competent
authority.
30.6 All applications for leave for three days or less shall be made at least 24 hours before
the time from which leave is required. Applications for leave for more than three
days shall be made atleast 7 days before the date from the day the leave is required,
except in special cases.
30.7 Request for extension of leave in all cases may be considered only if the same has
been received from an employee giving reason for such extension. Sufficiently in
advance of the expiry of the leave granted to him. Extension of leave so
requested by an employee shall not be considered as sanctioned unless a
communication to that effect is received by that employee from the Competent
Authority.
30.8 If the request for extension of leave is on grounds of illness of the employee, it shall
be accompanied by a Medical Certificate from a Registered Medical Practitioner.
30.9 The sanctioning authority on receiving the application for extension of leave may
at its discretion, grant the extension asked for, or grant it for a lesser period or
refuse the extension. Decision so arrived at, shall be communicated to the
employee as soon as possible.
30.10 Where the extension of leave has been granted once, on the grounds of illness,
second or subsequent requests for further extension on grounds of illness shall be
accompanied by a certificate from a medical officer of Government Hospital.
30.11 Where an employee has been sanctioned leave or an extension of leave on

medical grounds the employee will be required to produce FITNESS
CERTIFICATE from the Attending Medical Officer at the time of resuming duty.
31.0 OTHER EMPLOYMENT DURING THE LEAVE:

An employee on leave shall not take up any service or accept any employment.
32.0 RETURN TO DUTY:

No employee on leave shall return to duty before the expiry of the period of
leave granted to him except with the permission of the authority competent to
Page: 18 of 27
grant leave.
33.0 ENCASHMENT OF EARNED LEAVE:

33.1 Encashment of earned leave will be allowed to all regular employees, temporary
employees appointed on regular pay scales and Trainees/ Apprentices (other than
Act Apprentices). Employees under suspension will not be eligible for
encashment of earned leave. Any other kind of leave is not encashable.
33.1.1 Wherever probation has not been closed pending receipt of police verification
report from district Authorities/ Intelligence Bureau or previous employers, the
leave, special disability leave and maternity leave (in case of female married
employees) on completion of one year's service, subject to the condition that
the employee is otherwise eligible for closing of probation and a written
undertaking to the effect that in case verification reports received subsequently
are found to be adverse, the employee shall refund the entire amount of leave
encashment and apply for another kind of leave as admissible if commuted
leave/maternity leave etc. has been sanctioned earlier on completion of one year's
satisfactory service.
33.2 Encashment will be allowed two times 37 in a Financial 32 year. Earned leave
account will be maintained in two sections (a) Encashable (b) non-encashable.
Encashable portion of earned leave can also be availed of as leave and it is not
necessary that it must be encashed. 75% of the total earned leave to the
employee's credit is to be treated as encashable, remaining 25% as non-
encashable (except on separation of the employee where entire leave subject
to notified ceiling will be encashable) 32
33.3 In case of Deputationists from Government Department who are permanently

absorbed in the Corporation. 75% of earned leave at their credit on the date of
absorption rounded off to the nearest number will be transferred to the
Encashable portion of the earned leave account. Likewise, in case of persons
whose earned leave is transferred to the Corporation, 75% of the leave so
transferred will be treated as encashable. This will be in addition to the leave of
the two types accrued in the Corporation after absorption for which separate
account will be maintained. However, this will not exceed the ceiling of
accumulation of earned leave under NTPC Rules.
33.4 The rate of earning of encashable leave will be limited to 14 days for
workmen/departmental trainees & apprentices and 22 days for Executives &
Supervisors for each calender year (irrespective of entitlement of total leave
under the leave rules) and the balance, if any, of the earned leave creditable
for the year, will be transferred to the non-encashable portion of the earned
leave. It will be credited to the relevant portion of the leave account as and when
credit is given for total earned leave for each half year. Total of the two kinds of
leave to the credit of an employee at any time will not exceed the limits
prescribed in the respective leave rules.
34.0 PROCEDURE AND AMOUNT OF ENCASHMENT:

Page: 19 of 27
i) Leave as due on 31st March or 30th September of the preceding half

year or balance of leave after adjusting leave taken during the year up
to date of encashment, whichever is less can be encashed.
ii) Deleted 35
iii) For the period of leave encashed, an amount equal to the total of the
following elements of emoluments admissible on the date of
application will be payable on the basis of 30 days a month.
a) Basic pay, including special pay and personal pay.
b) Dearness Allowance.
c) Interim relief, if any.
iv) Encashment shall be allowed in full including unencashable portion at the time of
retirement or termination of employment except by disciplinary proceedings or
retrenchment or death of an employee. In case of death, the encashment shall be
allowed to heirs of the employee, as nominated by him for the purpose of CPF. In
the case of workmen who resign their appointment the total amount of earned
leave at their credit worked out as on the date of resignation shall also be allowed to
be encashed.
v) Employees who are given further extension of service beyond the age of
superannuating can also carry forward the encashable as well as non-enchashable
portion of earned leave to the extended period of service.
35.0 DEDUCTIONS:
No deduction other than a income tax and over payments, if any, will be made from the
amount of leave encashment payable to a serving employee. In cases of retirement/
retrenchment/ resignation or death. Company's dues should be recovered from the amount
of encashment.
AUTHORITY:
1. Corporate Personnel Circular No. 18/78 dt. 12-9-1978

3. Corporate Personnel IOM No. 01:Pers: 12(69) dt. 29-12-1980
4. Corporate Personnel IOM No.01:Pers:7(2) dt.20-7-1982
8. Corporate Personnel IOM No.01:Pers:7(2) dt. 13-5-1985
9. Corporate personnel IOM No.01:Pers:7(2) dt. 16-1-1986
10. Corporate personnel IOM No.01:Pers:7(2) dt.29-4-1987
and dt. 06-11-1987
11. Corporate Personnel IOM No. 01:Pers 4(29.1) dt. 7.4.1988
12. Corporate Personnel Circular No.209/88 dt. 14-6-1988
Page: 20 of 27
13. Corporate Personnel IOM No.01:Pers:7(2) dt. 15-6-1988

14. Corporate Personnel IOM No.01:Pers:7(2) dt.3-10-1988
15 Corporate Personnel Circular No.234/89 dt. 18-8-1989
16. Corporate Personnel Circular No.267/90 dt.29-10-1990
17. Corporate Personnel IOM No. 01:Pers:7(2)/192 dt. 18-2-1991
18. Corporate Personnel IOM No. 01:Pers:7(2)/201 dt. 13-5-1991
23. Corporate Personnel IOM No. 01:Pers:2(1.14)dtd.l9.9.86.
25. Corporate Personnel IOM No. 01/Pers/ 7 (2)/011 dtd.7.10.83
28. Corporate HR Circular No. 483 /2002 Dated 06.03.2002
29. Corporate HR IOM NO. 01/HR-Policy/7(2)/443 Dated 06/03/2002
30 Corporate HR IOM NO. 01/HR-Policy/7(2)/512 Dated 16/12/2003
31 Corporate HR IOM NO. 01/HR-Policy/7(2)/517 Dated 26/02/2004
32 Corporate HR IOM NO. 01/HR-Policy/simplification/523 Dated 08/04/2004
35 Corporate HR Circular No. 619 /2007 Dated 09.08.2007
38 Corporate HR IOM No. 01: HR-Policy:7(2)/723 Dated 26.03.2010
Page: 21 of 27
ANNEXURE-I
ENTITLEMENTS OF VARIOUS KINDS OF LEAVE
Type of Executives/ Accumulation Trainees/ Apprentices Accumulati

Leave Supervisors (other than Act on
Apprentices)
Casual 12 days in a Nil 7 days in a Nil
calendar calendar year
year
Earned 30 days per 300 days 20 days per year 160 days
Leave year
Half 20 days per No ceiling Nil NA
Pay year
Leave
Sick Nil - 10 days on full 30 days
Leave pay per year
WORKMEN15 20:
Type of Leave Length of service No. of Leave Accumulation

Per Year
Casual Upto 10 years 10 Nil
More than 10 years 12 Nil

Earned 30 300 days
20 No ceiling
Half Pay
Note: 1. The length of service for the purpose of computation of EL & CL

entitlements shall be the service rendered in NTPC only15.
2 In respect of a workman whose earned leave and/or casual leave

entitlement during a particular half year changes due to change in slabs
in the number of completed year of service, the leave for each of the
relevant broken periods shall be worked out by rounding upward fraction
of 0.5 and above. Encashable earned leave will be worked out at 75% of
that Leave for a given 6 monthly period18.
3.
Leave facility in respect of departmental Candidates selected as
Executive Trainees against open competition: Entitlement of leave in
respect of departmental candidates joining as Executive trainees would
be the same as applicable to other Executive Trainees. Departmental
candidates may have leave to their credit prior to joining as executive
Page: 22 of 27
trainees. In normal course they should not be allowed to avail such leave
during the training period.23
Page: 23 of 27
ANNEXURE-II
Change of option from Central Govt. to
NTPC Leave Rules 17
At the time of taking over of Badarpur Thermal Power Station (BTPS) by NTPC, the
erstwhile employees of BTPS in the Supervisory and Workman categories were allowed an
option in the matter of EL and CL to choose either for being governed by Central
Government Leave Rules or NTPC Leave Rules as part of offer of absorption issued to them
and based on which they got absorbed in the services of the Company.
(i) Such employees in Supervisory and Workman categories who had earlier opted for
Central Government Leave Rules may be given option to switch over to NTPC Leave
Rules.
(ii) The switch over option for NTPC Leave Rules shall be in toto i.e. for Earned Leave and
Casual Leave and their attendant Rules and regulations.
(iii) The entitlement of EL/CL under NTPC Leave Rules shall come into effect from
prospective date i.e. one of the standard dates for crediting the leave (1st January/lst
July), immediately following the date on which the option is exercised.
(iv) EL already at the credit of the concerned employee (i.e. as earned under the
Central Government Rules) would be kept and maintained as a separate account. It
may be availed by the concerned employee but no encashment will be permitted thereof
except in case of resignation/ retirement etc.
(v) The total EL balance (i.e. EL balance kept and maintained as a separate account and
EL admissible as per NTPC Rules) at the credit of the concerned employee shall in
no case exceed 240 days - the maximum accumulation limit under NTPC Rules.
(vi) Option now exercised shall be treated as final and it would not be allowed to
change in future.17
Page: 25 of 27
ANNEXURE-III
Example of a few situations:-
Example 1
EL credit as on 31.12 2010: 225 days
Advance credit on 1.1.2011: 15 days
Total= 240 days
No leave availed during first half of 2011
EL credit as on 30.6.2011: 240 days
Advance credit on 1.7.2011: 15 days
(to be kept separately where

EL credit is between 226-240)
Situation 1: Employee avails 15 days EL during Half year 1.7.2011 to

31.12.2011
This will be adjusted against advance credit kept separately
EL credit as on 31.12.2011 240 days
ii) Situation 2: Employee avails 10 days EL during half year 1.7.2011 to

31.12.2011
The 10 days will be adjusted against the advance credit kept separately.
EL credit as on 31.12.2011 240 days (5 days lapse)
iii) Situation 3: Employee avails 20 days EL during the half year 1.7.2011 to
31.12.2011.
15 days will be adjusted against the advance credit kept separately and 5 days
will be debited to the leave account of the employee

Page: 26 of 27
Example 2
Advance credit on 1.7.2011 15 days (to be kept separately).
i) Situation: Employee avails 15 days EL during half year 1.7.2011 to 31.12.2011.
Fully adjusted against advance credit of 15 days kept separately.
EL balance on 31.12.2011 230 days
ii) Situation 2: Employee avails 10 days EL during year 1.7.2011 to 31.12.2011.
This will be adjusted against advance credit of 15 days and the balance 5 days
will be credited to the employee
iii) Situation 3: Employee avails 20 days EL during 1.7.2011 to 31.12.2011
15 days adjusted against advance credit kept separately and 5 days debited to
the EL account of the employee

Page: 27 of 27
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Special Disability Leave Rules Updated as on: 31.01.2012
Page: 1 of 8
SPECIAL DISABILITY LEAVE RULES1
1.0 SHORT TITLE:
These Rules will be called NTPC Special Disability Leave Rules.
2.0 COVERAGE:
The Rules shall cover and be applicable to all the regular employees of the
Company including probationers drawing pay in regular pay scales.
3.0 ENTITLEMENT:
3.1
Employees who are disabled and become temporarily unfit to work on account of
injuries due to accidents arising out of and in the course of employment shall be
allowed Special Disability Leave with full wages/salary2 provided that such disability
leave shall not be granted in respect of injury, not resulting in death, caused by an
accident which is directly attributable to :
i) the employee having been at the time thereof under the influence of drink
or drugs, or
ii) the willful disobedience of the employee to an order expressly given, or
to a rule expressly framed, for the purpose of securing the safety of ' the
employees; or
iii) the willful removal or disregard by the employee of any safety guard or
other device which he knew to have been provided for the purpose of
securing the safety of employees.
However, where the benefits under the group Personal Accident

Insurance Scheme are availed, the benefit of Special Disability Leave
will not be admissible and vice versa2.
3.2 For this purpose, wages/salary shall consist of the following:
a) Basic Pay, Special Pay and Personal Pay, if any;
b) Dearness Allowance;
c) House Rent Allowance, Special Compensatory Allowance and

Deputation Allowance, if any.
Page: 2 of 8
N.B. : These Rules have come into force w.e.f. 12.8.1983.
All the above payments would be regulated in a manner as if the employee was
not out of duty because of the injury due to accident and accordingly usual
increment/ variable DA etc. would be taken into account while calculating
wages/salary in terms of the above provisions.
3.3 In so far as employees covered by the Workmen's Compensation Act, 1923 are
concerned, the wage/salary payment mentioned herein before is in lieu of half
monthly compensation admissible to them under the Act.
4.0 PROCEDURE:
Special Disability Leave will be granted on the basis of recommendations of a

Committee consisting of the following representatives:
a) Concerned HOD or his authorised nominee;
b) Medical Officer authorised for this purpose;
c) Representative from the HR Deptt.; and
d) Safety Officer (if in position)
The Committee as mentioned above shall prepare a report in the format as given
in Form-I and make its recommendations both for prevention of recurrence of
accident and also for grant of Special Disability Leave. The employee will submit
his application in the format as given at Form-II. The authority to sanction the
leave will vest with the concerned Head of the O&M/Head of the Project
construction and Erection and in case of Finance, Materials & HR Deptt.
Employee, the concerned HOD. Orders will be issued by the HR Department.
5.O APPELLATE AUTHORITY:
In case of any grievance in the matter of Special Disability Leave, an appeal can
be made by the concerned employee to the General Manager, whose decision
will be final and binding.
6.0 GENERAL:
In order to mitigate the hardship of the incumbents, payment of wages/salary for

the period of disablement would be released provisionally and the necessary
adjustment made later on after disposal of the leave applications.
AUTHORITY:
Page: 3 of 8
1. Corporate Personnel Circular No. 125/84 Dated 15.2.1984.

2. Corporate Personnel Circular No. 236/89 Dated 20.9.1989
Page: 4 of 8
FORM-I
N T P C LIMITED
(To be filled up in duplicate)
PART-A
Report of Injury sustained by an employee

(To be filled up immediately after the accident by the Reporting Officer*)
Name : Employee No.:
Designation : Department:
Date & Time of Accident
Details of Accident
Cause of the Accident
Date:
Signature of the Supervisor/Officer
--------------------------------------------------------------------------------------------------------------------------------------------------------
RECOMMENDATION:
(a) To prevent recurrence of the accident:
(b) For Special Disability leave: ,
HOD/his Nominee Medical Officer Safety Officer HR Officer
--------------------------------------------------------------------------------------------------------------------------------------------------
Date Signature of the

Sanctioning
Authority
*By the concerned Supervisor, if the Officer is not there.
PART A To be brought to the doctor to receive medical assistance/treatment. In

emergency cases where it is not possible to get Part-A filled up immediately, this
should be sent latest by next working day to the doctor
Page: 5 of 8
Page: 6 of 8
FORM-II
The Head of O&M/Project Construction & Erection/Finance/Material /HR Unit/Project
(Through HR Department)
Sub: Request for grant of Special Disability Leave
Dear Sir,
I had met with an injury while on duty on

(Date____________________________________________________while working in
____________________________(Department)__________________I request that I be
granted Special Disability Leave for (No. of Days)____________
_________________from________ to________. I shall not claim half-monthly compensation
for the above disablement period under the Workmen's Compensation Act, 1923. (This is
applicable only for those covered under the Act).
(Signature)
Name:
Emp. No.:
Designation:
Department:
Date
Recommendation of the Committee enclosed. The individual may be sanctioned Special

Disability Leave from_______to_______.
Date: HR Officer
Sanctioned Special Disability Leave from_______to______.
Head of O&M/Project Construction &

Erection/Finance/Materials/HR
Page: 7 of 8
Date:
Page: 8 of 8
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Holidays Updated as on: 31.01.2012
Page: 1 of 3
HOLIDAYS
1.0 HOLIDAYS :
1.1 All Offices under NTPC will observe 08 closed holidays including the 3
National holidays and 06 Restricted Holidays.4 As regards Closed
Holidays excluding the 3 National Holidays, General Managers/ Heads of
the Projects/Stations in consultation with the employees will have the
discretion to adjust the festival holidays, keeping in view the local
customs. To enable increased choice, list of restricted holidays may be
appropriately modified by each project/station.
1.2 At Projects or Offices which observe 7 working days in a week, there will
be staggered holidays for individual employees.
1.3 Five-day week shall be observed in the offices at Corporate Centre,

Regional Headquarters and at metropolitan cities of Kolkata, Chennai
and Bangalore7. Accordingly, these offices will remain closed on
Saturday. The office timing will, however, continue as at present i.e. from
9 AM to 5.30 PM with lunch interval of half an hour from 1.00 to 1.30 PM.
1.4
The list of restricted holidays shall also include Birthdays of self, spouse
and children, wedding anniversary/wedding or engagement day i.r.o.
bachelor employees. 6
2.0 DECLARATION OF CLOSED HOLIDAY2:
In case a National Holiday happens to coincide with the weekly rest day
(s) i.e. Sunday (for establishments following 48 hours a week) and Saturday
and/ or Sunday (for establishments following 5 days week) another closed
holiday will be declared by the respective projects/units/establishments of the
company so that the actual number of holidays in the calendar year are
not less than eight.
3.0 SANCTION OF RH: 5
Entitlement of RH to an employee is to be linked to the period of service of

the employee in a calendar year and shall be regulated as under:
• The employees joining the service of the Corporation during the first
quarter of the calendar year shall be entitled for full quantum of RH.
In all other cases RH entitlement would be calculated on pro-rata
basis. In case of decimal, the entitlement will be rounded to next
Page: 2 of 3
integer if decimal is 0.5 or higher. Or else RH will be restricted to

the lower integer.
• In case of retirement/superannuation, the RH entitlement shall be

proportionate to the period of service in the calendar year.
• There shall not be any adjustment if an employee is separated in

the middle of year on account of death/medical separation/
compulsory retirement/VRS/resignation even if employee has
availed more number of RH than what is due.
4.0 ADVANCE PLANNING OF RH: 5
To ensure that employees are able to avail the quantum of RH to which

they are entitled and facilitate smooth functioning of office, it is suggested
that all employees may plan their RH in the beginning of the year and/or
well in advance, with the approval of their controlling officer. Variation from
the planned schedule of RH of employees may be allowed after discussion
with controlling officer.
5.0 CLOSURE OF OFFICES ON DEATH OF HIGH DIGNITARIES3:
In case of death of high dignitaries, NTPC's offices, Projects, Stations and

other Establishments will be closed only if the Industrial Establishments of
the Central Government are declared to be closed.
AUTHORITY:
1. Corporate Personnel Circular No. 11/77-78 dt. 23.3.1978.
3. Corporate Reference No.01: Pers: dated 2.8.1985
4. Corporate HR IOM No. 01: HR:ER/C/472 Dated 29/10/2002
5. Corporate HR IOM No. 01: HR-Policy:7(2)/483 Dated 20/03/2003
6. Corporate HR IOM NO. 01: HR-Policy:7(2)/511 Dated 16.12.2003
7. Corporate HR IOM NO. 01: HR-Policy:5(4)/724 Dated 26.03.2010
Page: 3 of 3
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Medical Attendance & Treatment Rules Updated as on: 31.01.2012
Page: 1 of 45
MEDICAL ATTENDANCE & TREATMENT RULES
1.0 SCOPE:
The NTPC Medical Attendance rules apply to:
1.1 All regular employees, Trainees and apprentices (other than Act apprentices) and
their families, CISF personnel and also employees of schools financially assisted by
the company. Deputationists from Government Departments and other organisations
are entitled to such additional medical attendance and treatment as is provided in
their parent departments and is specified in the terms and conditions of their
deputation. Act Apprentices and casual employees (not their families) are entitled
only to emergency treatment for injuries sustained during and in the course of their
duty or training, as the case may be.
1 .2 Temporary/Work charged/daily-rated employees with over one year of service, will

be given free indoor and outdoor treatment in the Company's Hospitals for
themselves and their families.
2.0 DEFINITIONS:
2.1 "Authorised Medical Attendant" means the doctor appointed by the Company who is
its own employee or one who is authorized under these rules to attend on the
employees of the Company. Until such time as an AMA is appointed or where there is
no provision for such an appointment in a place where company's Unit/Establishment
may be located, the controlling officer of the employee concerned will exercise the
powers of the AMA.
2.2 "Government Hospital" includes a Military Hospital, a Hospital maintained by a local

authority and any other Hospital with which Central/State Governments has an
arrangement for treatment of Government servants.
Note: Hospitals run by Railway administration and other Public Sector Undertakings
may also be covered under the definition of "Government Hospital". Thus, medical
expenses incurred in connection with treatment taken at Railway Hospitals and
Hospitals run by other Public Sector companies can be reimbursed to the employees
under NTPC medical attendance Rules.
2.3 "Employee" means whole-time employee of NTPC including deputationists and

trainees and apprentices other than Act apprentices and casual employees on daily
rates.
2.4 Definition of "Family" for Medical Attendance :
The facility of Medical Attendance & Treatment shall be restricted only for self,
spouse (only one), two surviving children below 25 years in the case of
unmarried sons and upto 30 years in the case unmarried dependant daughters
and parents subject to family members being dependent on the employee. The
restriction regarding numbers of children shall not apply in respect of employees
Page: 2 of 45
who are availing the facility of Medical Attendance & Treatment for existing
numbers of children. However, the restriction of age shall apply to the existing
children. Further, the restriction of age for dependent children will not be
applicable for physically handicapped or mentally retarded children dependent on
the employee.
For considering a physically handicapped/ mentally retarded child as dependent,

beyond the age of 25/30 years, the following criteria are to be adopted:
• The income of such child, from all sources, to be less than Rs. 3000/-
per month as in the case of other dependents.
• The employee has to provide a medical certificate from a Government
hospital stating that the child is suffering from Total Permanent
Disablement or is Mentally Disabled.
The Parents will be considered wholly dependent on an employee only if the monthly
income of the parents or the combined income of both parents (if both are alive) does
not exceed Rs.3000/- per month. Parents wholly dependent on the employee shall
be covered under the definition of family irrespective of the pension they are drawing.
Female employees shall have the option to declare their parents-in-law as family
members, in lieu of their parents. The condition of dependant, as existing presently for
the parents shall remain unchanged. Option exercised by a female employee in this
may be changed only once during the entire period of services with the company.
Note :
(A) The condition of residence of wholly dependant parents may be relaxed

temporarily in respect of such bachelor employees who have been allotted
bachelor accommodation (and not family accommodation) in the company's
township; provided that the parents of the bachelor employee concerned are
wholly dependent on them but have to reside at a place other than the place of
posting of such employees.
This relaxation is applicable only till such time family accommodation is

allotted to the concerned employees and shall stand withdrawn as soon as a
family accommodation is allotted to them in company's township.
(B) If the dependant parents of an employee reside with' the rest of his/ her family
member at a place other than the place of posting for whatever reason, the
condition regarding residence by the parents with the employees shall be waived.
In order to bring correct appreciation and clarity for implementation of the

provisions uniformly a few illustrations are given below:
Example 1:
Employee is staying alone at his place of position and the remaining family
members namely spouse, children, dependent parents, minor brothers and
unmarried sisters are staying elsewhere:
The provision will be applicable.

Page: 3 of 45
Example 2:
Employee is staying alone at his place of posting; children are staying at a

different place for the sake of studies; the remaining family members viz.
spouse, dependent parents, unmarried sisters and minor brothers are staying at
a third place:
The provision will be applicable.
Example 3:
Employee, spouse and children are staying at employee’s place of posting and
employee’s dependent parents, minor brothers and unmarried sisters are
staying elsewhere:
The provision will not be applicable.
Example 4:
Employee and spouse are staying at employee’s place of posting and

employee’s children, dependent parents, minor brothers and unmarried sisters
are staying elsewhere:
The provision will not be applicable.
2.5 "Medical Attendance" means attendance in hospital or at the residence of the employee
including such pathological, bacteriological, radiological or other methods of examination for
the purpose of diagnosis as are available at the company's Hospitals or failing that in any
Government hospital/laboratory/ any private hospital/laboratory and are considered
necessary by the AMA and such consultation with a specialist or other Medical
Officer/Sr. Medical Officer-in-charge certificates to be necessary to such extent and in
such manner ,within India as the specialist or Medical Officer, may in consultation
with CMO, ACMO-in-Charge determine.
2.6 "Pay" For purpose of these rules will be the amount drawn monthly by an employee as
pay which has been sanctioned for the post held by him. It will also include special pay,
personal pay .In the case of trainees and apprentices, pay would mean the actual stipend
drawn.
2.7 "Patient" means one NTPC employee or a member of his family to whom these rules
apply and such others as are provided for in these rules and who require medical
attention.
2.8 "Treatment" means the use of all medical and surgical facilities essential for the recovery or
for prevention of deterioration in the condition of the patient.
Note:In the case of female employee and families of male employees, treatment
includes confinement at the hospital of the Company or at a Government hospital/Maternity
Center as well as pre-natal and post-natal treatment or in any private hospital.
3.0 TREATMENT AT PLACES WHERE FULL-FLEDGED COMPANY

DISPENSARIES / HOSPITAL EXIST:
Page: 4 of 45
All employees and their families are entitled to free medical attendance and treatment
in NTPC dispensary/hospital. In the case of severe illness, Company's ambulance van
can be utilized at the discretion of AMA for bringing the patient to the
dispensary/hospital. Patients will not ordinarily be treated at their residence except in
the case of acute disease or when the AMA considers movement of the patient injurious
to his recovery. Patients requiring hospitalization will be admitted to the Company's
hospital and will be entitled to the following facilities at Company's expenses:
(a) Use of all medical and surgical facilities available at the hospital:
(b) the employment of such pathological, bacteriological, radiological or other methods

as are considered necessary by the AMA.
(c) Supply of such medicines, vaccines, sera or other therapeutic substances as are
ordinarily available in the hospital, Cost of medicines etc. prescribed by the AMA
but not available at the hospital will be reimbursed ;
(d) such consultations with a specialist as the AMA may consider necessary;
(e) Such accommodation and such nursing as are ordinarily provided at the hospital to
the patients.
3.1 Diet charges will be recovered from the employees in the case of indoor treatment of the
employees and their families. Rates for the cost of diet to be charged will be published
from time to time by the Company/Head of the unit.
Note : (1) The minimum period for which diet charges recoverable is half-a-day.
(2) In the case of non-residents of township where attendance for a employee

is certified as essential, they are allowed to avail of the kitchen facilities
(taking the diet from the supply of hospital kitchen) with the recovery of
diet charges.
4.0 THE TREATMENT AT PLACES WHERE FULL-FLEDGED COMPANY

DISPENSARIES/HOSPITALS DO NOT EXIST.
4.1 Out Patient Treatment:
4 . 1 . 1 Employees may receive medical attendance and treatment from private registered
Medical Practitioners of their choice and actual fees charged by the Doctors will be
reimbursed subject to the following limits :
TYPE OF CONSULTATION CHARGES

DOCTOR
For the Clinics For Domiciliary Visits
Page: 5 of 45
MBBS Rs. 80/- (each Rs. 150/- (each visit /

consultation) subject to a consultation) subject to a
maximum of 4 maximum of 4 visits /
consultations for the same consultations for the same
ailment. ailment.
Specialists Rs. 200/- (each Rs. 300/- (each visit /

(M.S./M.D) consultation) subject to a consultation) subject to a
maximum of 4 maximum of 4 visits /
consultations for the same consultations for the same
ailment) ailment
Note : (a) For visits between 10.00 PM and 6.00 AM, the charges will be 1.5 times
the normal charges.
(b) A certificate will also be required to the effect that the domiciliary visit
was essential in the interest of the health of the patient.
(c) For out-patient treatment obtained in notified hospitals, the consultation

charges as charged by notified hospital concerned shall be reimbursed.
4.1.2 Any employee can directly consult the specialist, if required.
4.2. Indoor Treatment

4.2.1 For Delhi based employees:
4.2.1.1 In cases requiring hospitalization, the patient can be admitted to the following
hospitals on the advice of the authorised medical Attendant:
i. Any Government Hospital
ii. Railway Hospital
iii. Public Sector Undertaking Hospital
iv. Local Authority Hospital
v. A.I.I.M.S.
vi. Any notified hospital by Company.
The list of notified hospitals is enclosed at Annexure-I
4.2.1.2 Actual charges in respect of medicines/ laboratory tests and investigations/ operation
charges etc. will be reimbursed. Charges for the diet/personal expenses will, however,
be borne by the employee. Diet charges are admissible in case of General Ward
only.
4.2.1.3 Treatment can be obtained from any other private hospital nursing home also,
provided the company's AMO is immediately informed about each such case by the
employee and the same is approved in writing. In case where treatment is obtained
from any other private Hospital/nursing home, the entitlement for accommodation,
major operation and diagnostic tests etc. will be limited to those of Holy Family
Hospital, Sir Ganga Ram Hospital or All India Institute of Medical Sciences (AIIMS),
Page: 6 of 45
whichever is higher subject to actual.
4.2.1.4 Accommodation charges in notified hospital and others will be regulated as per the
scales laid down. (Annexure - II)
4.2.1.5 If treatment is taken in a non-notified hospital, reimbursement of actual

accommodation charges may be made limited to following rates:
Grade Rate / day (Rs.)
Executives Non-Executives
- W1-W4 170
- W5-W6 315
E1-E2 W7 & above, all Supervisors 525
E2A-E4 NA 840
E5-E7A NA 980
E8 & above NA 1120
4.2.2 For employees posted at places other than Delhi:

4.2.2.1 Hospital will he notified by the Executive Director of concerned Region at various
places viz. places where Regional HQs/Offices, etc. are located based on
requirements. On such notification, reimbursement of expenditure shall be
regulated as under:-
(i) For places where hospitals are notified
If treatment taken in a notified hospital:
Reimbursement of actual accommodation charges limited to the

entitlement (linked to pay scales) of employees as notified.
(ii) For places where hospitals are not notified
Reimbursement of actual accommodation charges limited to specified

percentages of rates admissible for Delhi based employees in non-notified
hospitals i.e. as at SI.No. 4.2.1.5 above, as follows:
CLASSIFICATION OF CITIES PERCENTAGE

A Class 100%
B1 & B2 Class 80%
Unclassified 60%
Classification of cities will be the same as followed for payment of CCA.
4.2.2.2 Reimbursement of claims for non-notified hospitals preferred by the

employees for undergoing diagnostic tests/investigations which are not
specified in the Schedule of charges of Holy family Hospital will be
regulated in accordance with the rates specified by Sir Ganga Ram
Hospital, All India Institute of Medical Sciences (AIIMS). The
reimbursement of charges in these cases shall be limited to the specified
percentages, as stipulated at para 4.2.2.1 above, depending upon the
Page: 7 of 45
category of places where the tests/investigation are performed. If the

diagnostic test/ investigation are not covered in the Schedule of charges of
Holy Family Hospital or Sir Ganga Ram Hospital or the AIIMS rate list,
reimbursement for the same may be regulated in accordance with the
advice/recommendations of the AM
4.2.2.3 Ordinarily, an employee should receive treatment for self/his dependents at the place
where he is posted for the time being and accordingly, the reimbursement of medical
claims is to be regulated with reference to the ceiling rates applicable to his place of
posting. However, if an employee/his dependents are compelled to receive treatment
at a place other than his place of posting in certain exceptional circumstances, the
reimbursement of medical claims of the employee is to be regulated with reference to
the ceiling rates applicable to the actual place of treatment and not with reference to
the ceiling rates applicable to the place of posting.
4.2.3 Homeopathy & Ayurvedic Treatment
Employees/their dependant family members will be entitled for reimbursement of

charges for treatment undertaken under Homeopathy & Ayurvedic Systems of
Medicine as under:
(a) Consultation Charges:

Consultation charges (if Rs. 50/- (each consultation) subject
medicines prescribed by doctor). to maximum of 4 consultations for
the same ailment
Actual consultation charges to be reimbursed, if the treatment is taken in a

notified Hospital.
(b) Medicines : When medicines are supplied by the Doctor, no separate consultation
charges would be paid, the reimbursement will be restricted to the amount
calculated @ Rs.20/- per day for the period of treatment which will not exceed
30 days in any case. In cases where Medicines are prescribed by the Doctor,
the same will be reimbursed only if the medicines are admissible under the
Central Govt. list of admissible medicines.
For reimbursement under the Indian system of medicine i.e. Ayurveda &
Homoeopathy, the qualification of the Ayurvedic & Homoeopathic doctors from
whom treatment may be taken shall be 'A registered medical practitioner holding
degree /diploma in Ayurveda / Homoeopathy from a university / statutory board /
council / Faculty of Indian Medicine & Homoeopathy'.
4.3 Injection Fee/ Dressing Charges etc.
The doctors will be paid administering charges and the medicines will be procured from
the chemists by the employees themselves. However, in emergent cases, injections can be
supplied by the doctor himself from the clinic and in that case the same will be
reimbursed.
Page: 8 of 45
Injection Fee Rs. 20/-

Dressing Rs. 50/-
Stitches Rs. 30/- (for first 10 stitches)
(per stitch) Rs. 80/- (above 10 stitches)
4.4 Guidelines applicable for deciding entitlement of accommodation in empanelled

hospitals are as under:-
W1 & above Semi Paying Ward / Semi Private / 3

Bedded Room
W7 & above and all Supervisors Semi Paying Ward / Semi Private (Single
Cabin) / 3 bedded Room / ‘B’ Class Room
E1 & above Private Room / ‘B’ Class Room / 3 Bedded

Room / 2 Bedded Room (AC) / Non AC
Room
E2A & above Private AC Room / ‘B’ Class Room / 1 Bed

Room (AC) / (AC) room (Second highest)
E5 & above Private Deluxe Room / Deluxe Room /

Private AC Room (Highest) / 1 Bed Room
(AC) / AC room (other than Deluxe)
4.4.1 The aforementioned guidelines however cannot be treated as a

standard of fixed for deciding the entitlement of various category
of employees. This is because the entitlements have to be based
on the types of accommodation available in the respective
hospital. The entitlements therefore differ from hospital to
hospital. These guidelines may be used as a basic for working
the entitlements in various empanelled hospital.
5.0 ADMISSIBILITY OF CERTAIN SPECIALIST TREATMENT
5.1 Dental Treatment:
5 . 1 . 1 Dental treatment can be obtained from any Dental surgeon and the actual fees charged
by the Dental surgeon shall be reimbursed subject to the following limits :-
Type of Dentists OPD Consultation Charges
a) Dental surgeons having Post Graduate Rs. 150/- for each consultation subject
qualification in Dental Surgery to a maximum of 4 consultations for
the same ailment.
b) Dental surgeons other than a) above i.e. Rs. 80/- for each consultation subject
Page: 9 of 45
BDS to a maximum of 4 consultations for

the same ailment.
5.1.2 Dental Treatment Charges
Notified / Government Hospitals: Other than cosmetic treatment, actual charges to be

reimbursed.
Non-Notified Hospitals: As per Annexure-III.
5.1.3 Consultation charges as also the actual treatment charges for the items listed in
Annexure III shall be reimbursed, if treatment is taken in a notified hospital.
5.1.4 Charges for supply of denture cleaning / polishing of teeth, filling of teeth with gold,
orthodential treatment on account of cosmetics, will not, however be admissible. In other
cases, however for orthodential treatment, reimbursement will be made at the merits of
each case subject to approval of DGM on the advice of AMO.
5.2 Ophthalmic Treatment
5.2.1 Employees and members of their family can have their eye sight tested for glasses once in
every three years and the fees incurred for this purpose will be reimbursed. The condition
of three years can, however, be relaxed on the advice of the AMO. A register would be
maintained to ensure that the employees do not get eye testing facilities on more than one
occasion in period of three years.
5.2.2 The above concession does not include provision of spectacles at the cost of the company.
5.3 Treatment for immunizing and prophylactic purposes
Reimbursement of charges incurred on treatment of the employees and their

families for immunizing and prophylactic purposes in a Government/recognized
hospitals will be permitted only in the case of communicable diseases viz. (a)
Cholera (2) Typhoid group of fevers (TAB) (3) Plague (4) Diphtheria (5)
whooping cough (6) Tetanus (7) Polio and (8) Hepatitis.
5.3.1 An amount of Rs 4,500/- per patient shall be reimbursed for swine flu testing on
prescription of authorized Medical Attendant as per rules in respect of
employees and their dependant family members.
5.4 Vaccinations/Inoculations etc
The cost of vaccinations, inoculations and injections taken by the employee, his
family and servants for prophylactic and immunizing purposes to secure health
certificates under international travel regulations before commencement of such
travel will be reimbursed by the Company provided the journey is undertaken at the
Page: 10 of 45
cost of the company.
5.5 Treatment of Diabetes & Mental diseases shall be regulated as per normal rules
applicable
5.5.1 Reimbursement towards Glucostrips/ Glucosticks shall be allowed to employees limited

to an annual ceiling of Rs. 1200/-. There shall be no reimbursement of the cost of
Glucometer
5.6 Implantation of Pace Maker
Charges incurred towards implantation of pacemaker shall be reimbursed

according to the rates charged by AIIMS.
5.7 Removal of Kidney stones by Lithography
Reimbursement of medical expenses incurred by the employees towards removal

of Kidney stones by Lithotripsy is allowed limited to the rates charged by the All
India Institute of medical Sciences (AIIMS) New Delhi. Charges towards
accommodation, investigations, medicines etc. shall be over and above the rates
specified above and shall be limited to the entitlement of the employee concerned.
Presently, the rates charged by AIIMS towards removal of Kidney stones by

Lithotripsy is Rs.7,000/- (Rupees seven thousand only).
5.8 Intra Ocular Lens
Expenditure incurred towards Intra Ocular Lens (IOL) may be reimbursed to the
employees upto a maximum of Rs. 3,000/- per lens subject to actual. In case the
operation is carried out at Notified/Govt. hospital and if Notified/ Govt. hospital
includes cost of lens in its bill, the actual amount may be reimbursed.
5.9 Reimbursement of Low Vision Aids/Hearing Aid to Visually Challenged/Hearing

Impaired Employees
5.9.1 Low Vision Aids (for visually challenged employees):

Reimbursement towards low vision aids, dark glasses etc. subject to a maximum of Rs
1000/- every year
5.9.2 Hearing Aid (for hearing impaired employees)

Hearing Aid: Behind the ear model for each ear restricted to Rs 10,000 or actual cost
whichever is lower. It may be replaced every 4 years subject to certificates of condemnation by
ENT specialist.
5.9.3 All requests for reimbursement of cost of hearing aid shall be routed through the CMO of
respective project/stations, on recommendation of the ENT specialist of Govt./recognized
hospital and on the basis of audiogram of the employee concerned. Similarly all requests for
reimbursement of cost of low vision aids shall also be routed through the CMO of respective
projects/stations, on recommendation of the Eye specialist of Govt/recognized hospital.
Page: 11 of 45
5.9.4 There shall be no reimbursement towards the cost of cell/ battery for the hearing aid.
6.0 REIMBURSEMENT OF MEDICINES ETC.
6.1 Cost of medicines which are required and recommended by AMA (Company's Doctor,
Doctor of a Government hospital or a registered private medical Practitioner as the case may
be) will be reimbursed on submission of claim as herein after prescribed. Medicines can
be obtained from any chemist/druggist on the prescribed prescription by the Doctors,
wherever convenient, medicines should be procured from Institutions like the Super
Bazaar situated at various places, specially in the case of chronic patients.
6.2 No medicine will be supplied by the Doctors from their clinics to the patients. However, in
emergent cases, where administering of any medicine is essential in the interest of
ailment by the patient, the same can be supplied by the Doctors.
6.3 Cost of such medicines listed as inadmissible by the Ministry of Health and so notified by
them from time to time shall not be reimbursed except with the specific approval of the
AMO. The cost of the following medicines is not reimbursable:
(a) Medicines which are of food value,
(b) Medicines in the nature of toiletries and
(c) Medicines which are of prophylactic nature except to the extent specifically provided
for in these rules.
Note : (a) Where cheaper substitutes of equal therapeutic value are available, the less
expensive one should be used as far as possible.
(b) The list of medicines not reimbursable is available in the Accounts
Department.
6.4 Normally the medicines may not be prescribed for more than seven/fifteen days at a time
for Allopathic / Ayurvedic treatment. In cases, where the medicines have to be supplied for
more than seven/fifteen days, the reasons are to be recorded.
6.5 The cost of supply items such as Urobag, ringer Lactate, venfloan No. 18, BT Test, TV
Trip test, disposable syringe etc. prescribed by the attending doctor/physician may be
reimbursed in consultation with the company's AMO/ AMA who should certify that the
supply items/accessories recommended for reimbursement are essential for treatment
and recovery of the patient.
6.6 Specialised treatments like Open Heart Surgery, Kidney transplant, Neuro-surgical
operations, Tympanic implantations, etc. hospitals providing such specialized treatment
shall be notified by corp. centre and reimbursement allowed as per rates charged by
these hospitals.
7.0 PURCHASE OF ARTIFICIAL LIMBS/ APPLIANCES
7.1 Expenses incurred by the employees towards purchase/replacement/repair/ adjustment of

Page: 12 of 45
artificial limbs/appliances for self and/or dependent family members may be reimbursed for
such items as specified at Annexure-IV.
7.2 The reimbursement, as above, shall be made to the concerned employee on the
recommendations of and consultation with the AMA.
7.3 Reimbursement towards expenses incurred on purchase of artificial limbs/ appliances

will be regulated the employee is under going treatment as under.
ARTIFICIAL LIMBS & Notified Govt. hospitals: actual charges to be

APPLIANCES reimbursed.
Non-Notified hospitals- reimbursement subject to rate-

list of Artificial Limbs Manufacturing Corporation of India(
A Govt. of India Enterprise) published from time to time.
Items to be governed as per notification (CC:IOM No. 01:
Pers:7(6) dated 12.04.89). Annexure IV
8.0 PROCEDURE FOR REIMBURSEMENT OF MEDICAL EXPENSES
8.1 All payments of medical expenses should be made by the employee in the first instance.
Claims for refund of medical expenses should subsequently be submitted in the prescribed
claim form duly supported by the prescription, bills, cash receipts and cash memos.
8.2 The Medical claims should be preferred by the employee concerned through ESS.
8.2.1 The number of claims to be preferred by an employee should not exceed 2 in a calendar
month.
8.3 The claims, on receipt should be checked with reference to the rules and counter-signed by
the controlling officer of the employee before being forwarded to the Accounts
Department for final check and payment. Necessary forms shall be prescribed by the
General Manager/Project Administrator/Head of the Unit.
8.4 Claims for refund of medical expenses should be submitted within three months of the
day of completion of the treatment. Provided that time barred claims may be admitted
beyond three months, but within one year from the date of completion of the
treatment provided that the controlling officer is satisfied in each case that the delay in
submission of claims is for reasons beyond the control of employees.
9.0 MEDICAL TREATMENT IN RESPECT OF EMPLOYEES/THEIR FAMILIES IN SPECIAL

CIRCUMSTANCES
Page: 13 of 45
9.1 In respect of employees sent abroad for training/short term assignments, medical facilities
appropriate to the status of the employees will be provided subject to the clearance by
the RBI/Government for foreign exchange.
9.2 The families of employees who are deputed/posted by the company abroad for training
or any other purposes will continue to be entitled for free medical attendance and
treatment at the cost of the Company in terms of these rules if they do not accompany
the employee abroad, irrespective of the place they may be residing at in India.
9.3 Similar concessions in respect of the family of an employee transferred to another

station of the Company in India will be admissible for a period of three months only from
the date of transfer if the employee is unable to take his family to the new station for
reasons such as want of suitable accommodation, children's education, wife's
confinement etc.
9.4 The concession will be admissible for family of the employee normally residing with the
employee when any member falls ill on proceeding to an outstation. Such
reimbursement of medical expenses incurred at outstation will be allowed if the
employee goes on regular and sanctioned leave to outstation and falls sick there.
10.0 TRAVELLING ALLOWANCE
Employees and their families will be entitled to payment of travelling allowance in terms of
TA rules of the Company when directed by the AMA for medical attendance or
treatment to another M.O/Specialist or hospital outside the station at which the
employee is posted but within the District. TA for one attendant/escort will also be
allowed if it is certified by the AMA that it is unsafe for the patient to travel unattended.
In case of reference made to M.O./specialist or hospital outside the District, specific
prior sanction of the General Manager/Project Administrator/Head of the Unit should be
obtained by the CMO-in-charge before referring the cases to Medical Officers/Specialists
and hospitals/sanitorium situated outside the district such as may be often necessary in
the case of special diseases e.g. T.B., Polio, Cancer, Mental Diseases etc. Failing this the
TA claims and claims for reimbursement of medical expenses will not be accepted.
Note :T.A. as per entitlement shall be admissible for two escorts in case dependent
infants/children (under 12 years of age) of the employees concerned are
referred to outside hospital by Company's Medical Officer for medical
treatment, subject to considering the age, ailment etc. of the child concerned.
Presence of two escorts is essential.
In respect of treatment taken in notified hospitals of other region while employees and
their dependent family members are on tour/leave, the consultation charges as charged
by notified hospital is to be reimbursed, if the hospital is empanelled by any region of
NTPC. The pathological/ radiological charges etc. shall also be reimbursed, as per actual
if the treatment has been taken in a notified hospital. If the employee has not taken or has
not been able to take due reference from the concerned project/region for in-
patient/hospitalization treatment at empanelled hospitals of other regions, he/she shall
have to take the admission slip from the concerned authorized signatory of the place/
region which has empanelled the hospital. The office concerned will pay the bill to the
hospital and will debit the same to the project/station concerned.
Page: 14 of 45
10.1 System of Referral to empanelled hospitals
10.1.1 CMOs of the Projects shall be allowed to refer employees to empanelled

hospitals within the State where project/office is situated as specified below:
Project Employees may be referred to

hospitals in the State of:
Singrauli, Rihand, Tanda, Unchahar, Uttar Pradesh

Auraiya, Vindhyachal
Kahalgaon, Barh Bihar
North Karanpura Jharkhand
Korba, Sipat Chattisgarh
Farakka West Bengal
TSTPS, TTPS Orissa
Ramagundam, Simhadri Andhra Pradesh
Kayamkulam Kerala
Anta Rajasthan
Kawas, Jhanor Gandhar Gujarat
Badarpur, Dadri, Faridabad Delhi
Koldam Himachal Pradesh & Chandigarh
Tapovan Vishnugarh, Lata Tapovan, Uttaranchal
Lohari Nagpala
10.1.2 Facility of referral to nearest Metro with the recommendation of CMO and
approval of Head of Project will also be available as provided as under:
In cases where treatment is required which is not available or where it is

medically expedient to have further expert care, patient shall be referred to
nearest Metro as given under:
- All NR Projects, NCR Projects, Hydro Projects based in Northern Part of
India, Vindhyachal: Delhi
- All ER Projects, Hydro Projects in the North East, Korba & Sipat: Kolkata
- All WR Projects except Korba, Vindhyachal, & Sipat : Mumbai
- All SR Projects: Hyderabad
10.1.3 Projects may refer employees to avail medical facility from any other Metros
other than suggested above with the approval of CMO (CC) on recommendation
of the Head of Project through Regional ED.
10.1.4 The procedure to be followed in respect of referrals to the empanelled hospitals
(a) For employees posted at Regional HQ / Corporate Centre:

Page: 15 of 45
i) The employee will take the admission slip for in-patient /

hospitalization case from the authorised signatory.
ii) The authorised signatory will issue the admission slip in five
copies (two for hospital, one for Finance, one for individual and
one office copy) as per the entitlement of the employee
concerned.
(b) For employees posted at locations other than the Regional HQ /

Corporate Centre:
i) The employees seeking treatment in the empanelled hospital

shall have to bring referral letter from the concerned Project /
Regional HQ / Corporate Centre. However, in case of emergency
if the employee is on tour / leave, the admission slip may be
issued.
ii) The duly authorised signatory will issue the admission slips after
identifying the employee concerned / his designation. On
verification of the documents, admission slips shall be issued in
six copies- two for hospital, one for Finance , one for GM / CMO
of the project, one for individual and one Office copy.
iii) While getting discharged from the hospital, the employee and / or
patient will have to countersign and verify the bill at the hospital
with regard to the number of days to stay, treatment of the
disease and pathological tests etc.
iv) On receipt of the bill by F&A of respective location, the bill will be
passed after checking admissibility and the debit note will be
raised to the project concerned.
(c) General:
v) A register shall be maintained centrally in HR Dept. of Regional

HQ / CC for issuance of the authorization slip, indicating the
name of the employee, employee no., designation, Project /
station / Office, name of the department, entitlement and
disease.
vi) The admission slips shall be duly numbered and may be
distributed among the authorized signatories (say from 1 to 10 to
authorized signatory ‘X’ and from 11 to 20 to authorized
signatory ‘Y’ etc.). After issuance of admission slip, the
authorized signatory will deposit the office copy of the admission
slip to HR Dept. at the earliest to update the register.
10.1.5 As per the extant rules, two nos. of escorts may be allowed in case of serious
illness of children below 12 years of age. It has been noted that two escorts are
being allowed on a regular basis even in cases of patient above 12 years of age.
In view of this it has been decided that two escorts may be allowed only in case
of children below 12 years of age and that too only in exceptional cases. Under
no circumstances two escorts in case of patient above 12 years of age should be
Page: 16 of 45
allowed.
10.1.6 The RED of the region shall review the referral cases during their Regional
Management Committee Meetings A monthly Report may be sent to Corporate
Medical cell by Regional HQ indicating number of referral cases within/outside
the region for each project, reason for referring the case outside the region, no. of
cases of two escorts as per prescribed Performa in Annexure VI.
Corporate Medical Cell shall monitor the receipt of such monthly report and
submit the consolidated report to D(HR).
11.0 GRANT OF ADVANCE FOR MEDICAL ATTENDANCE AND TREATMENT T
11.1 To enable the employees initially to meet the expenditure on their own medical
attendance and treatment or that of their families, the powers to grant medical
advance including diagnostic tests costing Rs. 5000/- and above within India, shall
be as follows:-
Extent of Medical Advance Sanctioning Authority
(A) Corporate Centre

(a) Upto Rs.20,000/- DGM
(b) Upto Rs.30,000/- General Manager
(c) Full Powers including self ED/Functional Director/Director (HR)
(B) Regions/Project/Generating Stations
(a) Upto Rs.10,000/- DGM/ Sr. Mgr.

(b) Upto Rs.20,000/-including self General Manager/ Head of Project
(c) Full Powers including self Executive Director
Adjustments of claims for the advance will be settled as per rules and entitlement of the
employee.
11.2 The actual amount of advance to be granted shall be decided keeping in view the
recommendations of AMA as regards the nature of the disease, likely duration of
hospitalization and anticipated expenditure thereon vis-à-vis the amount
reimbursable for illness/hospitalization as per the entitlement of the employees
concerned.
11.3 The advance would be admissible to the employees borne on the regular
establishment of the company including trainees recruited under the Company's own
training schemes.
11.4 The amount of advance granted be adjusted against the medical reimbursement claims
submitted by the employee for reimbursement of the expenditure, as admissible,
and the balance, if any, will be recovered from the pay/other dues of the employee
concerned. In case of failure to present the reimbursement claim/adjustment bill within
the period of three months from the date of discharge from hospital, the entire
Page: 17 of 45
amount of advance will be recovered in one installment.
11.5 An employee desirous of availing the facility of medical advance shall apply in
prescribed form. However, in case an employee's condition is such that he is unable
to make the application personally and receive the payment, another employee of the
company may present the application for advance on his behalf, depending upon
the facts and circumstances of the case and at the discretion of the Management.
The advance will be booked in the name of the applicant (employee concerned or
some other employee on his behalf, as the case may be and it shall be the
responsibility of the applicant to arrange for adjustment of the advance within the
stipulated period.
12.0 REIMBURSEMENT OF MEDICAL EXPENSES INCURRED IN EMERGENCIES
Refund of medical expenses upto Rs.500/- in each case may be allowed by the
General Manager/Project Administrator/ Head of the Unit in relaxation of these rules.
13.0 MEDICAL TREATMENT TO NON ENTITLED PERSONS/OUTSIDERS AT

DISPENSARIES/HOSPITAL OF THE COMPANY
13.1 Outsider means .any person who is not an employee of the company or a member of the
employee's family as defined in these rules. This term will include relatives and
servants of the employees, contractors, and their workman working in the premises of
the company, employees of the banks, police, post office, schools, cooperative
stores, clubs etc. For treatment of the above categories of outsiders, the following
rules shall apply :-
(a) Initial and subsequent consultations;
(b) Cost of medicines, prescribed, if dispensed from NTPC's hospitals/ dispensaries

including dressing;
(c) Cost of out-patient treatment/injections;
(d) Laboratory and radiological investigations;
(e) Cost of prophylactic treatment;
(f) Cost of all treatment rendered in hospital for inpatient, besides bed charges
and diet charges, wherever provided.
The cost to be recovered shall include the cost of drugs, dressings, blood transfusion
fluids and so on. The existing charges to be recovered from non-entitled
persons/outsiders for various treatments are indicated at Annexure-VI.
1 3 .3 Wherever the charges prescribed are at per day rate, while the recovery at full
prescribed rate for every 24 hours is to be made, the charges for a fraction of a day
(24 hours) are to be calculated on the following basis:
Page: 18 of 45
Period Rate
Upto 12 hours Half the prescribed rate
More than 12 hours but upto 24 hours Full prescribed rate
13.4 It may be pertinent to note here that the annexure generally prescribes the rates of
recovery to be effected for consultations, tests, and investigations, bed charges etc.
Therefore apart from recovery of these charges, recovery on account of cost of
medicines dispensed from NTPC's hospitals/dispensaries including dressings are
also to be recovered at market prices.
13.5 The land oustees and their family as defined in CPC 53/80 dt. 19.06.1980 shall be
provided out door and Indoor treatments in Project Hospitals. All treatment including
operation, Hospitalization, Investigation etc, shall be provided on a nominal charge of
20% of the rates applicable for Non-entitled patients.
14.0 MEDICAL TREATMENT TO TEMPORARY/ WORK CHARGED/ DAILY RATED

EMPLOYEES
14.1 Medical identity card to temporary/work charged/daily rated employees with more
than one years' service will be issued by the HR / Medical Department indicating their
rate of pay and identity token number in lieu of staff number for the purpose of
maintaining records in the hospital.
14.2 The temporary/work charged/daily-rated employees will apply to the HR Department

in the prescribed form for identity cards for treatment of their families, including
dependent parents. The applications received through the departmental officers, will
be checked for correctness of service particulars and identity cards issued directly to
the employees.
1 4 .3 As and when they are discharged from service, their identity token along with the
Medical attendance card will be collected by the concerned officers and sent to the
HR Department. The controlling Officers will inform the Chief Medical Officer
immediately after their discharge under intimation to the HR Department.
14.4 With regard to the diet charges, the daily rate will be converted as monthly salary by
multiplying it by 26. The diet charges notified for regular employees in different pay
slabs will be made applicable to this category also after ascertaining the monthly salary
of the temporary employee, as indicated above.
14.5 Medical treatment to CISF / KV personnel.
Treatment in respect of CISF and Kendriya Vidyalaya Staff.-
14.5.1 CISF Personnel and staff of Kendriya Vidyalayas may be allowed to avail of
all the medical facilities as are available in the project hospital. However,
references outside for treatment may be registered to nearby Govt.
Page: 19 of 45
Hospitals or to such other hospitals in which Central Govt. employees are

otherwise entitled to take treatment. However, cost of medicine which have
been prescribed by the Company Doctor and purchased from the market
due to non – availability of the same in the hospital pharmacy, may however
be reimbursed.
14.5.2 Further CISF personnel and their dependent family members on tour, leave
/ not residing either in NTPC Township or in nearby areas will be entitled to
avail of OPD facilities and hospital facilities either in Government Hospitals
or nearby Hospitals, at par with NTPC employees, i.e. reimbursement will
be done at the percentage of Holy Family Hospital rates, as per rules.
14.5.3 Project/stations where there is no in-house hospital facility, CISF / KV

personnel may be allowed to avail OPD facilities in a notified hospital for the
project / station. The inpatient / hospitalization for CISF / KV personnel may
be referred only to the nearby Government hospital or hospitals under
CGHS Scheme where the Central Govt. employees are allowed to take
treatment.
15 0 RULES FOR AMBULANCE SERVICE AT THE HOSPITAL
15.1 Ambulance service will be provided free of charge to cases eligible for free treatment
requiring admission as in-patients only.
15.2 Dangerously or seriously ill cases will be given priority for providing ambulance
facilities. Employees are requested to indicate, wherever feasible, the nature of the
illness and its seriousness when requests for ambulance are made. Requests for
ambulance will be complied with subject to availability and/or prior bookings and
seriousness of cases.
15.3 The ambulance will be used only over motorable roads. The use of the ambulance will be
normally limited to a radius of 20 kilometers from the Company's hospital.
15.4 In case of patients eligible for free treatment other than those requiring admission as in
patients, ambulance service be provided free of charge if in the opinion of the
attending doctor, it is necessary to transport the patient by an ambulance on medical
grounds, such as inability to walk on account of fracture in the leg or blindness or
very old age or mental illness etc.
15.5 If, after arrival at the hospital, the doctor finds that the use of the ambulance was not
warranted on any of the grounds mentioned in paras 1 5 . 1 and 15.4 above, the
ambulance charges will be recovered from the employee.
15.6 Ambulance service will not be made available for dropping patients at their homes or
at other places after out-patient treatment. They will be required to make their own
arrangements for returning from the hospital. However, in exceptional cases, non-
ambulance patients will be permitted the use of the ambulance under instructions
from the Chief Medical Officer or the Medical Superintendent or one of the Medical
Officers, in the absence of any one of them. This discretion will be used by the
Page: 20 of 45
attending doctor.
15.7 Ambulance service will be provided free of charge to drop the discharged in-patients at
their residence within a distance of 20 kilometers, if in the opinion of the doctor of not less
than the rank of Medical Officer, the ambulance service is necessary in that case. If the
residence is beyond these limits but within 30 Kilometers, Chief Medical Officer's
permission will be required.
15.8 Requests for ambulance to bring paying cases (ERNE cases) who are residing within the
township will be complied with subject to availability of the ambulance. In other cases, the
employees will have to make their own arrangements. The only exception will be
cases arising out of accidents for which the Chief Medical Officer's approval will be
required. After arrival at the Hospital, if it is found that incorrect or misleading
information has been furnished in addition to recovering the ambulance charge,
disciplinary action may also be taken against the employee.
15.9 Use of ambulance for medico-legal cases connected with employees or their
dependent eligible for free treatment will be charged for except when in the
opinion of the attending doctor it is necessary to transport the patient by
ambulance on medical grounds.
15.10 In case of accidents while on duty, ambulance will be provided free of charge.
15.11 The user of the ambulance will ensure that :
(a) for incoming cases the Doctor or the Nurse of the Maternity Ward or the
Casualty certifies the use of the ambulance as free or paid; and
(b) for outgoing cases an ambulance slip issued by the doctor treating the
cases should be obtained and presented to the casualty nurse.
15.12 When a patient eligible for free treatment is referred to the Government hospital,
ambulance will be provided only if a doctor of not less than the rank of a medical
Officer certifies that it is not safe for the patient to travel by any other transport.
15.13 All cases brought by ambulance should present themselves at the casualty room
and not at the out-patient department (except in cases of confinement where the
patient will be taken directly to the Maternity Ward) and then directed to the
Medical Officer in the out-patient department after registering their names in the
ambulance register. Likewise, all patients to be dropped should present
themselves at the casualty room with the necessary authorization of the Medical
Officer for registration before getting into the ambulance. In all paying cases, the
Casualty Nurse or the Receptionists/Nurse will record "TO PAY" in the
ambulance register and in the ambulance trip sheet.
15.14 The charges for ambulance trip will be as fixed by the Management from time to
time.
15.15 The ambulance will not be used for transporting dead bodies.
15.16 Any matter regarding the use of the ambulance not covered by these rules will
Page: 21 of 45
be referred to the General Manager.
15.17 Ambulance Rates for non-entitled category of patients:
In extreme situations, if the services of Ambulance has been provided to non-

titled patients, Rs. 6.00 (Rupees Six only) per kilometer may be charged
15.18 Charges from Land outsees: In line with decision in case of land-outsees of
charging 20% of rate to be charged from non-titled patients in Company hospital,
for availing the services of Ambulance. Land- outees may be charged at the rate
of Rs. 1.65 per K.M for a distance Upto 50 K.M and Rs. 2.50 per K.M for
distances beyond 50 kms.
16.0 MEDICAL CERTIFICATES AND PRIVATE PRACTICE
The Company's Medical Officers will not issue any certificate other than what they are
required to do under the Company Rules or in the Company's interest. The only
exception will be that they may issue certificates for life Insurance policies and
accept payment for them subject to the relevant rules, but this should not
interfere with their work under the company.
The rate of charges for other cases may be fixed by the company from time to
time, and will be available with the CMO. In the proceeding paragraphs wherever
a doctor is permitted to retain a part of the fees, specific mention about it has to
be made. In all other cases, the fees will be entirely credited to the Company.
17.0 COMPULSORY MEDICAL CHECK UP OF EMPLOYEES
17.1 Considering the employee stress, its medical hazard and as a preventive health
measures, all employees above 40 years of age are required to undergo medical
check up at companies cost. This check up is required to be done once in a year
for all employees above 40 years age and once in two years in cases of
employees within the age group of 40-45 years.
17.2 The medical check-up should include Type-1/Type-2
(A) Type-1 examination : History and full general physical examination routine
Urine & Stool examination, eye examination- Ophthalmology assessment X-ray
chest (P.A view), Resting Electro Cardiogram, Hematology ( HB-TLC-DLC-ESR
& Blood group), Bio-chemistry (Blood sugar, Fasting, PP Cholesterol,
Triglycerides, Uric Acid, Urea, Creatinine &Gamma G.T)
(B) Type 2 Examination: Stress ECG (Tread Mill Test), in addition to the test at
(A) above. Type 2 examination is required to be done only once in 2 years.
However in cases of employees having cardiac problems they may be referred
for type 2 examination every year.
(C) For Ladies: Gynae check-up with Pap Smear, in addition to the above tests.
Page: 22 of 45
In case there is suggestion of any abnormality, the employee shall be subjected

to further detailed investigation and treatment as considered necessary.
17.3 In case of Employees posted at Project/Stations, where Company hospitals/

dispensaries exist, medical check-up will be done by these hospitals/dispensaries,
and the Health card of the concerned executive maintained and monitored by the
CMO/In charge of the Hospitals/Dispensaries.
17.3 For the employee posted at Project/stations, Regional Offices, Inspection offices etc,
where full-fledged company hospitals/dispensaries do not exist, the Unit/
Establishment may tie up arrangements with a hospital of repute, having
complete facilities for thorough medical check-up. The monetary ceilings with regard
to medical check-up to be conducted at these Hospitals should not exceed the
rates of Batra Hospital for the items of Type 1 examination and the rate of Escort
Hospital for Type 2 examination. The responsibility of maintaining and monitoring
the health status of the employees concerned shall be with the respective HR
Department in this case.
The current rates of Batra Hospital and Escorts Hospital for the above
examinations are given as under:-
Hospital Type of Examination Rate (Rs) (Rates

inclusive of free pick –
up & breakfast)
Escorts Type II 1850 for males

2100 for females
Batra Type I 850 for males & females.
17.5 For the employees posted at corporate Centre, the medical check up, as above,
will be done in Batra Hospital, New Delhi; Moolchand Hospital, New Delhi;
National Heart Institute, New Delhi or at Escort Heart Institute & Research Centre,
New Delhi and any other hospital notified by the Competent Authority. The health
card of the employee of NTPC-SCOPE-Corporate centre will be maintained by
CMO, Scope and of the employees of EOC-Noida by CMO - Noida.
18.0 CHECKLIST FOR MEDICAL REFUND/CLAIM:
Before forwarding the medical bills to the Accounts Departments, it should be

seen that:
(a) The claim is submitted within three months from the date of completion of
treatment.
(b) The bill is signed by the employee and countersigned by an Officer in the
Page: 23 of 45
grade of E4 level and above.
(c) The declaration in the application is signed by the employee and in case
the claim is in respect of dependent parents, the following certificate is added.
"Certified that the parents are wholly dependent upon me and actually residing with
me".
(d) The certificate is signed by the Private Medical Practitioner with his qualification and
Registration Number.
(e) The receipt given by the Doctor is stamped wherever the amount exceeds Rs.500/-
(f) Essentiality certificate given by the Company's Medical Attendant accompanies in the case
of employees who take treatment in the Company's hospital in the Township.
(g) In case treatment is undertaken in Government Hospital allocation sheet, minimum facility
certificate and form 'B' to accompany.
(h) The certificate granted by the Doctor contains name of disease and period of treatment,
date of consultation and dates of administration of injection and the nature of injection
such as intravenous or intramuscular as also the name of patient to whom essentiality
certificate is issued.
(i) If professional charges for administration of injections are claimed, medicines being
supplied from Doctor's dispensary, the name quantity and cost of the medicines are also
furnished in the Essentiality Certificate. If the injection medicine is supplied free of cost, the
same is specifically certified as such by the Private Medical Practitioner.
(j) The claim for cost of medicines is supported by cash bills from the shops.
(k) Details of laboratory tests and X-rays are furnished alongwith the receipts duly
countersigned by the Doctor for admitting the corresponding rates in Government Hospitals.
(l) In the case of employees living in the Township if the treatment is undergone in other
than Company's hospital, the employee should be on regular and sanctioned leave.
(m) Claims are not admitted when treatment for fertility/venereal diseases is undergone with
the private registered medical practitioner.
19.0 INTERPRETATION
19.1 In case of any doubt or dispute regarding the interpretation/application of these rules,
decision of CMD shall be final.
Page: 24 of 45
ANNEXURE–I
NAMES & ADDRESSES OF EMPANELLED HOSPITALS

FOR DELHI BASED EMPLOYEES
S No. Name of Hospital Address Telephone / Fax No.

1 Batra Hospital & Medical 1, Tuglakabad Institutional Area, 011-29958747 /
Research Centre Mehrauli Badarpur Road, New 29957485 – 86 - 87 / 011-
Delhi -110062 26058181 / 29956255 (F)
2 Holy Family Hospital Okhla Road, New Delhi - 110025 011-26332800 to

26332809 / 26845900 to
26845909 / 011-
26913225 (F)
3 Escorts Heart Institute & Research Okhla Road, New Delhi -110025 011-47135000 / 011-
Centre (Cardio vascular & Heart 26825013 (F)
treatment)
4 RG Stone Urology & Laparoscopy F-12, East of Kailash, New Delhi 011-40721000 / 011–
Hospital -110065 26218743 (F)
5 Sitaram Bhartia Institute of B-16, Qutab Institutional Area, 011-42111111 / 011-
Science & Research (Dexa bone New Delhi - 110016 26533027 (F)
densitometry included)
6 Orthonova Hospital C-5/29, Safdarjung Dev Area, 011-41756940-41 /
Opp. Main IIT Gate, New Delhi - 011–41756949 (F)
110016
7 VIMHANS (for Neuro-sciences No.1, Institutional Area, 011-29849010-20 /
only-Neurology, Neuro-surgery, Nehru Nagar, New Delhi - 011-29849028 (F) / Toll
Spine surgery & Psychiatry) 110065 Free-1800-11-3444
8 Deepak Memorial Hospital 5, Institutional Area, Vikas Marg 011-22155555 /

Extension-II, Delhi - 110092 22154444 / 22373380 /
011-22379260 (F)
9 Dharamshila Hospital & Research Dharamshila Marg, 011-22617771-75 /
Centre (for Cancer / Multi- Vasundhara Enclave, Delhi - 43066666 / 011-
speciality treatment) 110096 22617770 (F)
10 Tirath Ram Shah Charitable 2A, RBL Isher Das Sawney Marg, 011-23972087 /
Hospital Rajpur Road, Delhi -110054 23972425 / 23972487 /
011-23853952 (F)
11 Sunder Lal Jain Charitable Ashok Vihar, Phase-III, Delhi - 011-47030900 / 011-
Hospital 110052 47030910 (F)
12 Delhi Heart & Lungs Institute 3, MM-II, Panchkuian road, New 011- 42999999 /
Delhi - 110055 23538351 / 011-
23514489 (F)
13 Sir Ganga Ram Hospital Sir Ganga Ram Hospital Marg, 011- 257511111 /
Rajinder Nagar, New Delhi - 25861468 / 24735205
110060 011 – 35861002 (F)
Page: 25 of 45
14 Jaipur Golden Hospital (Dental 2, Institutional Area, Sector-3, 011-27525984 - 86 /

treatment excluded) Rohini, New Delhi -110085 011-27518121 (F)
15 Rajiv Gandhi Cancer Institute and Sector-V, Rohini, Delhi - 110085 011-27051011-1015 /
Research Centre (for 011–27051037 (F)
Cancer/multi-speciality treatment)
16 Noida Medicare Centre 16-C, Block-E, Sector-30, Noida 0120-4665555 / 2453801-
8 / 0120-2456586 (F)
17 Kailash Hospital & Heart Institute H-33, Sector-27, Noida - 201301 0120-4535455 / 4555444
/ 0120-4552323 (F)
18 Dipakshi Nursing & Maternity C-53a, Sector-33, Opp. NTPC 0120-2505328 / 2505329
Home Pvt. Ltd. Housing Complex, Noida / 0120- 2505099 (F)
19 Metro & Heart Institute X-1, Sector-12, Noida -201301 0120-2533491 / 4366666
/ 2444466 /
0120–2533467 (F)
20 Prakash Hospital D-12, 12A, 12B, Sector-33, 0120-2505555 / 2505666
Noida-201301 / 2504050 /
0120–2505757 (F)
21 Satya Medical Cente A-98/A, Sector-34, Noida- 0120- 2507020 / 2507021
201301 / 0120-2506013 (F)
22 Escorts Hospital & Research Neelam Bata Chowk, N.I.T, 0129-2416096 / 2416097
Centre Faridabad / 0129-4009973 (F)
23 Max Super Specialty Hospital 1, Press Enclave Road, Saket, 011-66115050 /

New Delhi - 110017 26517000 / 011-
66115061 (F)
24 Fortis Hospital B-22, Sector-62, Noida 0120-2400222 /
2403222 / Emergency
No. 0120- 2400444
25 Apollo Hospital E-2, Sector-26, Noida- 201301 0120- 4012000 /
2445353 / 0120-2445355
(F)
26 Max Devki Devi Heart & Vascular 2, Press Enclave Road, Saket, 011-26515050 / 011 –
Institute (for Heart related New Delhi -110 017 26510050 (F)
ailments)
27 RLKC Hospital Metro Heart Naraina Road, Pandav Nagar, 011-25891014 -16 / 011–
Institute New Delhi -110 008 25891033 (F)
28 Pushpawati Singhania Research Press Enclave Marg, Sheikh 011–29252516 / 3061700
Institute (for Renal & Gastro- Sarai, Phase-II, New Delhi - / 900 / 999 /
enterology treatment) 110017 011–29250548 (F)
Page: 26 of 45
29 Paras Hospital C-1, Sushant Lok, Phase-I, 0124-4585555 / 0124-

Gurgaon - 122002 4585572 (F) /
Emergency No. 0124-
4585666
30 Ayushman Hospital Sector-XII, Ashirwad Chowk, 011-42811114 -18 /
Dwarka, Delhi -110 075 011-45537001 (F)
31 Kailash Hospital 23, KP-1, Greater Noida - 201305 0120–2321111 / 2322222

/ 0120-2322227 (F)
32 Moolchand Hospital (Dental Lajpat Nagar-III, New Delhi - 011-42000000 / 011-

treatment excluded) 110024 42000300 (F)
33 Max Hospital (Dental treatment HB Twin Towers, Near TV Tower, 011-27351844 / 011-
excluded) Pitampura, New Delhi - 110034 27357229 (F)
34 Balaji Medical & Diagnostic 108A, Indraprastha Extension, 011-43033333 / 011-
Research Centre (Dental Opp. Sanchar apartments, 22235563 (F)
treatment excluded) Patparganj, Delhi - 110 092
35 Indraprastha Apollo Hospital (for Sarita Vihar, Delhi - Mathura 011-26925858 /
Oncology treatment) Road, New Delhi - 110 076 26925801 / 011-
26823629 (F)
36 B L Kapur Memorial Hospital Pusa Road, New Delhi -110005 011-30403040 /
25752885 / 011 –
30653016 (F)
37 Flt. Lft. Rajan Dhall B-1, Aruna Asaf Ali Marg, 011-42776222 / 011-
Hospital (Dental treatment Vasant Kunj, New Delhi 42776221 (F) /
excluded) Emergency No. 011-
42776444
38 ICARE Charitable Eye Hospital E3A, Sector- 26, Noida -201301 0120-2477600 / 30 /
(for Preventive and curative eye 2535782 / 2536612 /
treatment) 0120–2556389 (F)
39 QRG Central Hospital & 69, Sector- 20A, Near Neelam 0129–4090300 - 329 /
Research Centre Flyover, Ajronda Chowk, Mathura 0129–4090310 (F)
Road, Faridabad - 121001
40 Gujarmal Modi Hospital & Mandir Marg, Saket, New Delhi - 011-40699999 /
Research Centre for Medical 110 017 26852112-116 / 011 –
Sciences 26963801 (F)
41 Pushpanjali Crosslay Hospital W3, Sector-1, Vaishali, 0120-4188000 / 4173000/

(Dental treatment excluded) Ghaziabad 9810324736 / 0120-
4173010 (F)
42 Asian Institute of Medical Badkal Flyover Road, Sector- 0129-4253000 /

Sciences (Dental treatment 21A, Faribabad 9650099025 /
excluded) 9289233052 / 0129-
4143716 (F)
Page: 27 of 45
43 Artemis Health Institute (Dental Sector- 51, Gurgaon 0124-6767999 /

treatment excluded) 9891914141 / 0124-
6767701 (F)
44 Medanta The Medicity (Dental Sector – 38, Gurgaon – 122001 0124-4141414 (Ext –
treatment excluded) 1114)/ 9560398907/
0124-4834111 (F)
45 Shanti Gopal Hospital (Dental Plot No.NH-1, Ahinsa Khand – II, 0120-4777000 (Ext-
treatment excluded) Indirapuram, Ghaziabad (UP) 7766)/ 9818372555/
8826372555/
9899363999
46 St Stephen’s Hospital (Dental Tis Hazari, Delhi – 110401
treatment excluded)
HOSPITALS NOTIFIED BY REGIONAL HEADQUARTERS

WESTERN REGION
01 Tata Memorial Dr. Ernest Borges Marg, Parel, 022-24177000
Mumbai - 400012
02 Jaslok Hospital 15, Dr. G Deshmukh Marg, 022-66573333
Mumbai - 400026
03 Dr. L H Hiranandani Hospital Hillside Avenue, Hiranandani 022-25763333
Gardens, Powai, Mumbai -
400076
04 Holy Spirit Hospital Mahakali Road, Andheri (East), 022-28248500
Mumbai - 400093
05 Jupiter Hospital Eastern Express Highway, Thane 022-21725555
(West) - 400601
06 Chirayu Health &Medicare (P) 6, Malipura, Bhopal – 462001 0755-2737402 / 2737403
Ltd. / 2531122 / 2531133
07 Sterling Hospital Opp. Inox Race Course Circle 0265-2354455
(West), Vadodra -390007
08 Bhailal Amin General Hospital Gorwa Road, Vadodra-390003 0265-2280300
09 BAPS Pramukh Swami Hospital Shri Pramukh Swami Maharaj 0261-2871000
Marg, Adajan, Surat - 395009
10 Shri Mahavir Heart Institute Shree Mahavir Health Campus, 0261-2471770
Athwagate, Ring Road, Surat -
395 001
11 Desai Eye Hospital Nilanjam Apartment, First Floor, 0261-277888
Opposite Navyug College,
Rander Road,
Surat - 395 009
12 Orange City Hospital 19, Pande Layout, Khamla Rd., 0712-2238431
Sawarkar Square, Nagpur-
440015
13 CIIMS Hospital 88/2, Bajaj Nagar, Nagpur- 0712-2236441
440010
14 Wockhardt Hospital 1643, North Ambazari Road, 0712-6624773
Page: 28 of 45
Nagpur-440033
15 Shri Krishna Hrudayalaya & Tikekar Road, Congress Nagar 0712-2444434
Critical Care Centre Sq., Dhantoli, Nagpur-440012
16 MGM Eye Institute 5th Mile, Vidhan Sabha Road, 0771-2284771
Raipur (CG) - 493111
17 Ramkrishna Care Hospital Aurobindo Enclave, Pachpedi 0771-3003300
Naka, Dhamtari Road, N.H.43,
Raipur, Chhattisgarh – 492001.
18 Escort Heart Hospital AT. PT. JNM Medical College, 0771-2881200
Jail road, Raipur-492001
19 Apollo Hospitals Sipat Road, Bilaspur - 495006 07752-243300
SOUTHERN REGION
1 Apollo Hospital Jubilee Hills, Hyderabad – 040–23607777 /
500003 040-23553323 /
23608050 (F)
2 Apollo Hospital Rajiv Gandhi Marg, Vikrampuri 040-27893333 / 4444
Colony, Secunderabad
3 Apollo Hospital Near Key's High School, 040-27718888
Secunderabad
4 Care Hospital Road No.1, Banjara Hills, 040–23234444 /
Hyderabad – 500034 30418888 / 040–
30418488 (F)
5 Care Hospital 5-4-199, JN Road, Nampally, 040–30417777 / 040 –
Hyderabad – 500001 30417488 (F)
6 Care Hospital Market Street, Near Clock Tower, 040–30486666 /
Secunderabad – 500003 66267777 / 040–
27717738 (F)
7 Care Hospital 1–4–980/7/1, Gurunanak CARE 040–30219000 / 9002 /
Hospital, Bakaram, Musheerabad, 040–30219288 (F)
Hyderabad.
8 Yashoda Hospital Behind MCH Complex, 040–27713333 / 040-
Alexander Road, S P Road, 27703999 (F)
Secunderabad – 500003
9 Yashoda Hospital Rajbhavan Road, Somajiguda, 040-23319999 /
Hyd – 500082. 23414613
10 Yashoda Hospital Nalgonda ‘ X’ Roads, Malakpeta, 040-24555555
Hyderabad
11 NIMS Punjagutta, Hyderabad. 040–23390933 (Dir.’s
Office) / 040–23310076
(F)
12 Global Hospital 6–3–1070 / 1 to 4, Lakdikapool, 040–23244444 / 040 –
Hyderabad. 23244455 (F)
13 Vasavi Hospital 6–1-91, Lakdikapool, 040-23235102 /
Khairatabad, Hyderabad - 23212166 & 177 / 040-
500004. 23237174 (F)
14 Image Hospital Ameerpet, Hyderabad - 500 038. 040-23750000 / 040–
23755555 (F)
15 Hyderabad Nursing Home 5-9-29/40, Near Liberty Circle, 040-23222344 / 3523 /
Basheerbagh, Hyderabad 2972 / 040-23228081 (F)
Page: 29 of 45
16 Prime Hospitals #4, Mythri Vihar, Behind 040-23756575

Mythrivanam Bldg., Ameerpet,
Hyd - 500038
17 Aditya Hospital 4-1-16, Adjacent to Endowments 040–24754153 / 040-
Office, Tilak Road, Abids, Hyd - 24754117 (F)
500001
18 Krishna Instt. of Med. Sciences 1–8 -31 / 1, Minister Road, 040–30971119 (Dir) /
Secunderabad – 500003 27725000 / 040–
27817174 (F)
19 Asian Instt. of Gastro-enterology 6–3 -661, Somajiguda, 040–23378888 / 040–
Hyderabad – 500 082 23324255 (F)
20 Wockhardt Hospital 4–1–1227, King Koti Road, 040–66924444 / 040–
Abids, Hyd – 500001 66924242 (F)
21 Kamineni Hospital L B Nagar, Hyderabad – 500068 040–39879999 /
24022272 / 040–
24022277 (F)
22 L V Prasad Eye Institute L V Prasad Marg, Banjara Hills, 040–3061 2345 (30
Hyderabad – 500034 channels) / 040–2345
8271(F)
23 Poulomi Hospitals A S Rao Nagar, Secunderabad- 040-27143750 to
62 27143754
24 Seven Hills Healthcare Pvt. Ltd. Rockdale Layout, Visakhapatnam 0891-2708090 / 0891-
2565635 (F)
25 Lazarus 10-50-2, Waltair Main Road, 0891-2780780 / 0891-
Visakhapatnam 2561834 (F)
26 Care Hospital 10-50-11/5, AS Raja Complex, 0891-3041444 / 0891-
27 Gajuwaka Hospitals Pvt Ltd. Chaitanya Nagar, Gajuwaka, 0891-2517599 / 0891-
28 Apollo Hospitals Waltair Main Road, 0891-2727272 / 0891-
29 Sagar Durga 15-13-27, Krishna Nagar, 0891-2526833
Visakhapatnam
30 Queens NRI Hospital 50-53-14, Gurudwara Lane, 0891-2535063 / 0891-
seetammadhara, Visakhapatnam 2533078 (F)
31 Manipal Hospital 18-1-3, KGH Down road, 0891-2854444 / 0891-
Maharanipeta, Jagdamba 2555589 (F)
Junction, Visakhapatnam -
530002
32 Indus Hospitals 18-1-6, KGH Down Road, 0891-2508881 / 0891-
Maharanipeta, Visakhapatnam - 2718881 (F)
530002 Mob.09848724365
33 Visakha Eye Hospital 8-1-64, Pedda waltair, 0891-2566383 / 0891-
34 Century Hospital Mulakuzha, Chengannur, Kerala 0479-2469469 / 0479-
– 689505 2468709 (F)
35 VSM Hospital Post Box No.: 351, 0479-2304222, 2304901
Thattarambalam, Mavelikara - to 05 / 0479-2304421 (F)
690103.
36 Amrita Institute of Medical PO. Elamakkara, Kochi – 682026 0484-2801234 / 0484-
Sciences & Research Centre 2802020 / 2802124 (F)
Page: 30 of 45
(AIMS),
37 Kerala Institute of Medical Thiruvananthapuram–682016, 0471-2447575 &

Sciences (KIMS) Kerala 2447676 / 0471-2446535
(F)
38 Sree Uthradom Thirumal Hospital Post Box: 1052, Pattom, 0471-2446220 &
Thiruvananthapuram – 695004 2447566 / 0471-
24446220 (F)
39 Lakeshore Hospital NH-47 By-pass, Maradu, Nettoor 0484-2701032 / 33 /
P.O. Kochi – 682304 0484-2701996 (F)
40 Medical Trust Hospital M.G. Road, Kochi – 682016, 0484-2358001 (21 Lines)
& 2358032
41 Bharathi Raja Specialty Hospital 20, G.N. Chetty Road, T.Nagar, 044-28345300 / 01 / 02 /
Chennai – 600017 05 / 044-28345303 (F)
42 Billroth Hospitals # 43, Lakshmi Talkies Road, 044-26641777 / 4451 /
Shenoy Nagar, Chennai – 30 044-2664 6999 (F)
43 Global Hospitals & Health City #439 Cheran Nagar, 044-22777777 / 044-
Penumbakkam, Chennai – 22777100 (F)
600100
44 MIOT Hospitals 4/112, Mount Poonammalle 044-22492288 / 044-
Road, Manapakka, Chennai – 22491188 (F)
600089.
45 Sri Ramachandra Medical Centre No.1, Ramachandra Nagar, 044-23860048 / 044-
Porur, Chennai – 600116. 24765629 (F)
46 Vijaya Hospital Vadapalani, Chennai - 600026 044-24814261 &
24814263
47 Apollo Hospitals 21, Greams lane, Half Greams 044-28293333 / 0200 /
road, Chennai - 600006. 044-28294429 (F)
48 Sankara Netralaya Medical Sankara Netralaya, 18 College 044-28271616 /
Research Foundation Road, Chennai - 600006 28233556 / 28311913 /
044-28254180 (F)
49 M/s Kavery Medical Centre & No.1, K C Road, Tennur, Trichy – 0431-4022555 / 2742300
Hospital 17 / 0431-2742444 (F)
50 Apollo Hospitals 154/9, Bannerghatta Road, Opp. 080-26304050 / 080-
IIMB, Bangalore – 560076. 41463151 (F)
51 The Bangalore Hospital 202, Rashtriya Vidyalaya Road, 080-41187600 /
Bangalore – 560004 26562753 / 080-
26561933 (F)
52 Mallya Hospital 2, Vittal Mallya Road, Bangalore - 080-22277979 / 7997 /
560001 080-22242326 (F)
53 Wockhardt Hospitals 154/9, Bannerghatta Road, OPP: 080-66214444 /
IIMB, Bangalore - 560076 22544444 / 080-
66214242 (F)
54 National Institute of Mental Health Hosur Road, Bangalore 080-26562121 / 080-
& Neuro Sciences [NIMHANS] 26564830 (F)
55 BGS Global Hospitals #67, Uttarahalli Road, Kengeri, 080-26255555
Bangalore - 560060.
56 Columbia Asia Medical Centre Kirloskar Business Park, Bellary Malleswaram : 080-
Road, Hebbal, Bangalore – 39898969
560024.
57 Columbia Asia Medical Centre Hebbal, Bangalore Hebbal : 080-4179 1000
Page: 31 of 45
58 Manipal Hospital Heart Foundation, 98, HAL Airport 080-25266646 / 6445 /

Road (Old), Rustombagh, 6447 / 080-25266757 (F)
Bangalore - 560017
59 Dr Malathi Manipal Hospital 45/1, 45th Cross, 9th Block, 080-40091000 /
Jayanagar, Bangalore - 560060 41421000
60 Manipal Specialty Hospital No.363, Halgevadera Halli, 080-28608888
Rajarajeshwari Nagar, Bangalore
- 560069
61 Manipal Northside Hospital No.71, 11th Main, Opp. 080- 23460468
Malleswaram Rly Station,
Malleswaram, Bangalore -
560003
NORTHERN REGION
1 Shekhar Hospital B-Block, Church Road, Indira 0522-2352352 / 2352356
Nagar, Lucknow (F)
2 Mayo Medical Centre Vikas Khand-2, Gomti Nagar, 0522-2398614 &15 /
Lucknow 2302269 & 70 / 0522-
2303939 (F)
3 Vivekanand Polyclinic Ramkrishan Mission Sevashram, 0522-2328942 / 2321277-
Vivekanand Puram,Lucknow Rax-528 / 0522-2385574
(F)
4 K K Hospital 87/88, Nabibullah Road, River 0522-2619049&50 /
Bank Colony, Near Suraj Kund 0522-2231537 (F),
Park, Lucknow Mob.9235136790
5 Fatima Hospital 35-C, Mahanagar, Lucknow 0522-2332554 / 2323195
/ 0522-2332554 (F)
6 Madhuraj Nursing Home Pvt. Ltd. 113/121--A, Swaroop Nagar, 0512-2525344-46 /
Kanpur 2541404 / 2525755/
0512-3047312 (F)
7 Nazareth Hospital 13-A, Kamala Nehru Road, 0532-2407337 / 7430 /
Allahabad 2408288 / 0532-2400609
(F)
8 Heritage Hospital Lanka, Varanasi 0542-2368888 / 9991 /
0542-2369996 (F)
9 Apex Hospital DLW Hydel Road, Varanasi 0542-2300823 / 2317528
/ 466 / 0542-2317414 (F)
10 Sahara Hospital Viraj Khand, Gomti Nagar, 0522-6780001 & 2 /

Lucknow 0522-6782110 (F)
11 St. Joseph's Hospital Vishal Khand-5, Gomti Nagar, 0522-4054220 / 228 /
Lucknow 0522-4054236
12 O.P. Chaudhary Hospital Raebareli Road, Lucknow 0522-2441171 & 72 /
0522-2442035 (F),
Mob.9839333106
13 Ajanta Hospital & IVF Center Pvt. Near Krishna Cinema, Kanpur 0522-2462335 /
Ltd. Road, Alambagh, Lucknow 24651070 / 0522-
2465223 (F)
Page: 32 of 45
NATIONAL CAPITAL REGION

1 Fortis Escorts Hospital Jawahar Lal Nehru Marg, Malviya 0141-2547000
Nagar, Jaipur (Raj)
2 Fortis Modi Hospital Swami Vivekanand Nagar, RHB 0744-2473501 / 2473505
Colony, Kota (Raj)
3 Bharat Vikas Parishad Hospital & Bharat Vikas Sewa Sansthan, 0744-2504501 / 2504505
Research Centre Pratap Nagar, Dadabari, Kota
(Raj)
4 Regency Hospital A-2, Sarvodaya Nagar, Kanpur 0512-2242201-05
5 Kanpur Medical Centre 120/600,Lajpat Nagar, Kanpur 0512-2295152 / 2295520
6 Chandni Hospital 9/60, Arya Nagar, Kanpur 0512-2551185 / 2551885

/ 2525127
7 Madhu Raj Nursing Home 113/121-A, Swaroop Nagar, 0512-2525344 / 2525346
Kanpur / 2541404
8 Suraj Hospital 117/N/65, Kakadeo, Kanpur 0512-2500039 / 2505497
/ 2500768
9 Fortis Escorts Hospital & Neelam Bata Road, Faridabad 0129-24160956-97 /
Research Centre 4009999
10 Sun Flag Hosp. & Research Sec-16A, Faridabad 0129-4199000
Centre
11 Metro Heart Institute Sec-16A, Faridabad 0129-4277777
12 Sarvodaya Hospital Sec-8, Faridabad 0129-4184444
EASTERN REGION - I
1 Desun Hospital & Heart Institute Desun More, EM bypass, Kasba 033-24434567
Golpark Kolkata-700107
2 Wockhardt Hospital & Kidney 111, A, Ras Bihari Avenue, 033-24633318 /19 /20
Institute (Now Fortis) Kolkata-700029
3 Apollo Gleneagles Hospitals 58,Canal Circular Road, Kolkata 033-23203040 /
23202122
4 Nightingles Hospitals 11, Shakespeare Sarani, Kolkata 033-2282-7465 / 7462 /
7969 / 7970 / 7971 / 7972
5 Belle Vue Clinic 9&10, Loudon Street, Kolkata- 033-22872321 / 3925 /
700017 7473
6 B M Birla Heart Research Centre 1/1 National Library, Kolkata 033-30403040 /
24567777 / 7890
7 Kothari Medical Centre 8/3 Alipore Road, Kolkata-700027 033-24567050-59
8 The Calcutta Medical Research 7/2 Diamond Harbour Road, 033-24567702 / 7703 /
Institute Kolkata-700027 7704
9 AMRI P-3&4, CIT Scheme, LXXII, Block 033-24612626 / 2526
A, Gariahat Road Kolkata-700029
Page: 33 of 45
10 Peerless Hospitals & B K Roy 360, Panchasayar, Kolkata 033-24622394 / 0071 /

Research Centre 0072 / 0073
11 Kurji Holy Family PO Sadaquat Ashram, Patna 0612-2262156 / 2262516
/ 2262540 / 2264117
12 Heart Hospital Pvt Ltd Kankarbagh, Patna-800020 0612-2367997 / 2346606
13 Magadh Hospital Rajendra Nagar, Road No 2B, 0612-2691515 / 2690046
Patna - 800016 / 47
14 Dr Ruban Memorial Hospital Ratan Stone Clinic, South Gandhi 0612-2320446 / 2320404
maidan, Patna-800001
15 Mahavir Cancer Sansthan Phulwari Sharif, Patna-801505 0612-2250127 / 2253956
16 Hai Medicare & Research Bailey Road, Raja Bazar, Patna- 0612-2295981 / 2295533
Institute Pvt Ltd 800014 / 2295075
17 Sri Ram Hospital NC-1-C, Lohia Nagar, West of 0612-6944450
Rajendra Overbridge,
Kankarbagh, Patna-800020
18 Guru Nanak Hospital & Research Station Road, Ranchi - 834 001 0651-2460506 / 2460806
Centre / 2460529 / 2461039
EASTERN REGION-II

1 Ayush Hospital & Trauma Care Plot No. 13-14, Bhoi Nagar, 0674-2547944
(P) Ltd. Acharya Vihar Square,
Bhubaneswar - 751022
2 Kalinga Hospital Ltd. Chandrashekharpur, 0674-2300570
Bhubaneswar-751023
3 Aditya Care Hospital 329/1929(P), 0674-3053200-02
Chandrashekharpur,
4 Neelanchal Hospital Pvt. Ltd. A/84, Kharvel Nagar, Unit-III, 0674-2536590-94
5 Vivekanand Medical Mission Fire Station Square, Barmunda, 0674-2565357 / 2563891
Limited Bhubaneswar -751003
6 Sun Hospital Tulsipur, Cuttack - 753008 0671-2301402 / 2307126
7 Ashwini Hospital Sector-I, CDA, Cuttack -753014 0671-2363007-09

8 Apollo Hospitals Plot No. 251, Sainik School 0674-6661066 / 6661016
Road, Unit-15, Bhubaneswar -
751005
HYDRO REGION

1 Mukut Hospital 47-49, Sector 34-A, Chandigarh 0172-2660516 / 2612552
2 Inscol Tertiary Care Hospital Sector 34-A, Chandigarh 0172-5088883 / 2612552
3 Cheema Medical Complex Phase-IV, Sector-32, Mohali 0172-2227144 / 2270289
4 Silver Oaks Hospital Phase-8B, Sector-63, Mohali 0172-4658700 / 4658901
Page: 34 of 45
5 Fortis Hospital Phase-8, Sector-62, Mohali 0172-4692222 / 5021222

6 Bombay Hospital & Research Near Saurabh Hotel, Awas Vikas 05946-284949
Centre Road, Haldwani Mob.09412085568
7 Krishna Hospital & Research 3-136, Gurunanak Pura, 05946-222426
Centre Haldwani Mob.09756204475
8 Himalayan Institute Hospital Trust Swami Ram Nagar, Jolly Grant, 0135-2471200 / 2471300
PO. Doiwala, Dehradun / 2412081 / 86
9 Shri Mahant Indiresh Hospital Patel Nagar, Dehradun 0135-2728106 / 2728107
/ 2728110
Page: 35 of 45
ANNEXURE – II
ACCOMMODATION ENTITLEMENT IN NOTIFIED HOSPITALS
S NO. HOSPITAL NAME DETAILS OF ENTITLEMENT
1 Batra Hospital & Medical • VIP/ Super Deluxe = E7 & above

Research Centre, New Delhi - • Single/ Deluxe = E2A - E6
110062 • Two Bedded = All Exec/ All Suprs/ W7 & above
• Four Bedded = W0 - W6
2 Holy Family Hospital, New • Private Room = E2A & above
Delhi - 110025 • Semi Pvt. Room = All Exec/ Suprs/ Workmen
3 Escorts Heart Institute & • Suites = EDs & Directors
Research Centre, New Delhi - • Single Deluxe Room = E7A & above
110025 • Single Room = E5 to E7
• Shared Deluxe Room = E1 to E4/ S1 & above/ W8
& above
• Shared Room = W0 to W7
4 R G Stone Urology & • Suite = E7 & above
Laparoscopy Hospital, New • Super Deluxe = E4 to E6
Delhi - 110065 • Private Room = E1 to E3/ S1 & above/ W7 &
above
• Semi Pvt. Room = W3 to W6
• General Ward = W0 to W2
5 Sitaram Bhartiya Institute of • Super Deluxe Room = EDs & above
Science & Research, New Delhi • Spl. Deluxe room = E5 to E8
- 110016 • Deluxe Room = E1 to E4
• Single Room = All Execs/ Suprs/ W7 & above
• General ward = All Execs/ Suprs / W6 & below
6 Orthonova Hospital , New Delhi • Deluxe Room = E7 & above
- 110016 • Single (Pvt.) = E2A & above
• Double (Semi Pvt) = E1 to E2/ S1 & above/ W3 &
above
• General Ward = W0 - W2
7 VIMHANS, New Delhi - 110065 • Suite = E9 & above
• Deluxe = E7 - E8
• Single Room = E4 - E6
• Double Room = E1 - E3/ W7 - SG/ S1 - SG
• AC Economy = W0 - W6
8 Deepak Memorial Hospital, • Single Super Deluxe = E7A & above
Delhi - 110092 • Single Deluxe = E5 - E7
• Single Private = E2A - E4
• Double Bed = E1- E2/ W8 - SG/ S1 - SG
• Economy = W0 - W7
9 Dharamshila Hospital & • Super Deluxe = E7 & above
Research Centre, Delhi - • Deluxe = E5 & above
110096 • Single Room = E1 - E4
• Two in One = S1 & above/ W7 & above
• Four in One = W0 to W6
Page: 36 of 45
10 Tirath Ram Shah Charitable • Deluxe Room = E7 & above

Hospital, Delhi -110054 • Private Room = E4 - E6
• Semi Pvt (Two Bedded) = E1 - E3/ All Suprs/ W8
& above
• Semi Pvt (Three Bedded) = W0 to W7
11 Sunder Lal Jain Charitable • Super Deluxe Ward = E7A & above
Hospital, Delhi - 110052 • Deluxe Ward = E5 & above
• Private Ward = E2A & above
• Semi Pvt Ward = All Exec/ Suprs/ W8 & above
• Special Economy Ward (AC)= W3 to W7
• Economy Ward = W0 - W2
12 Delhi Heart & Lungs Institute, • Suite = E8 & above
New Delhi - 110055 • Private AC = E5 - E7A
• Semi Pvt. AC = W8/ S1 upto E4
13 Sir Ganga Ram Hospital, New • Suite = E7 & above
Delhi -110060 • Deluxe/ Nursing Home Deluxe = E5 & above
• Nursing Home (Single) = E1 to E4/ All Suprs/ W7
& above
• Semi Paying = W0 to W6
14 Jaipur Golden Hospital, New • Deluxe Suite = E9 & above
Delhi -110085 • Deluxe Room = E7-E8
• Single Room = E1 & above
• 2 Bedded = W8 & above/ S1-SG
• 4 Bedded = W4 - W7
15 Rajiv Gandhi Cancer Institute • Deluxe Suite = Directors
and Research Centre, Delhi- • Deluxe Room = EDs
110085 • Private Room = E5 - E8
• Semi Private (Deluxe) = E3 - E4
• Semi Pvt. (2 Bedded)= E1 - E2A / S1 & above /
W8 & Above
• Semi Pvt. (4 Bedded) = W3 - W7
16 Noida Medicare Centre, Noida • Deluxe Suite = EDs & above
• Suite = E8
• Super Deluxe Room = E7 - E7A
• Deluxe Room = E5 - E6
• Single Room = E2A - E4
• Double(2 bedded) room = E1 - E2/ All Suprs/ W7
& above
• Triple Room = W0 - W6
17 Kailash Hospital & Heart • Suite = E7 & above
Institute, Noida - 201301 • Super Deluxe Room = E5 & above
• Deluxe Room = E2A & above
• Pvt. Single Bedded = All Exec/ All Suprs/ W7 &
above
• Double Bedded Room = W0 to W6
Page: 37 of 45
18 Dipakshi Nursing & Maternity • Single Super Deluxe = E5 & above

Home Pvt. Ltd., Noida • Single Deluxe = E1 - E4
• Double Bed = All Suprs & all workmen
19 Metro & Heart Institute, Noida - • Suite = E9 & above
201301 • Super Deluxe = E7 & above
• Deluxe = E5 & above
• Single Room = E2A & above
• Semi Pvt (two Bedded) = All Exec/ All Suprs/ W7
& above
• Semi Pvt (three bedded) = W4 & above
• Special Ward = W0 - W3
20 Prakash Hospital, Noida - • Suite = E8 & above
201301 • Single Super Deluxe = E5 - E7A
• Single Deluxe = E1 - E4/ All Suprs/ W8 & above
• Double bed = W4 to W7
• Single AC Cubicle = W0 - W3
21 Satya Medical Cente, Noida- • Pvt AC = E5 & above
201301 • Pvt Air-cool/ Semi Pvt AC = W8/ S1 upto E4
• Semi Pvt Air cool = W1 - W7
• Economy = W0
22 Escorts Hospital & Research • Suite = E7 & above
Centre, Faridabad • Deluxe Room = E5 - E6
• Private Room = E1 to E4
• Semi Private Room = S1 & above/ W3 & above
23 Max Super Specialty Hospital, • Suite = Directors & CMD
New Delhi - 110017 • Classic Deluxe = E8 - E9
• Deluxe(Single) = E5 - E7A
• Standard (Double Room) = W8/ S1-E4
24 Fortis Hospital, Noida • Suite = E9 & above
• Super Deluxe Room = E7 - E8
• Deluxe Room = E5 - E6
• Single Room = E2A - E4
• Twin Sharing Room = W8/ S1 upto E2
25 Apollo Hospital, Noida- 201301 • Deluxe Room = E7 & above ‘
• Semi Private = W7 - SG/ S1- SG/ E1 - E3
• AC Multi Bed Unit = W0 - W6
26 Max Devki Devi Heart & • Suite = E8 & above
Vascular Institute, New Delhi - • Deluxe Room = E5 - E7A
110017 • Single Room = E1 - E4/ S1 & above/ W8 & above
• Semi Private Room = W3 – W7
27 RLKC Hospital Metro Heart • Suite = E7 & above
Institute, New Delhi - 110008 • Deluxe Room = E3 - E6
• Semi Private (Double bedded room) = W8 - SG/
E1 - E2A
Page: 38 of 45
• Special Ward (6 bedded) = W1 - W7

• General Ward = W0
28 Pushpawati Singhania • Suite = E9 & above

Research Institute, New Delhi - • Super Single = E7 - E8
110017 • Single Bedded = E3 - E6
• Double Bedded = E1- E2A/ S1 & above/ W8 &
above
• Four bedded = W0 - W7
29 Paras Hospital, Gurgaon - • VIP Suite = E9 & above
122002 • Deluxe = E6 - E8
• Double sharing Room = W8 - SG
• 4 Bedded = W0 - W7
30 Ayushman Hospital, Delhi - • Single Deluxe = E7A & above
110075 • Semi Deluxe = E3 - E7
• Semi Private (2 Bedded) = W7-SG & E1-E2A
• General ward = W0 - W6
31 Kailash Hospital, Greater Noida • Suite = E7 & above
- 201305 • Single Private = E3 - E6
• Semi Private (Double bedded room) = W8 - SG/
E1 - E2A
32 Moolchand Hospital, New Delhi • Presidential Room = E9 & above
- 110024 • VIP Suite = E7 - E8
• Double Bedded = E1 - E3
• 3/4 Bedded = W7 - SG/ S1 – SG
• Cabin = W0 - W6
33 MAX Hospital, Pitampura, New • Classic Deluxe = E7A & above
Delhi -110034 • Deluxe (Single)= E4 to E7
• Standard (Semi Pvt.) = W7 - SG/ S1 - SG/ E1 - E3
• Economy AC = W0 to W6
34 Balaji Medical & Diagnostic • Classic Deluxe = E7A & above
Research Centre, Patparganj, • Deluxe (Single) = E4 to E7
Delhi - 110092 • Standard (Semi Pvt) = W7 - SG/ S1 - SG/ E1 - E3
• Economy AC = W0 to W6
35 Indraprastha Apollo Hospital, • Suite = Directors & CMD
New Delhi - 110076 • Deluxe Room = E7A - E9
• Single room = E5 - E7
• Semi private = E1 - E4/ S1 - SG / W8 & above
• AC Multi Bed Unit = W0 to W7
36 B L Kapur Memorial Hospital, • Suite = Directors & CMD
New Delhi - 110005 • Deluxe = E7 - E9
• Two bedded room = E1 - E2A/ W8 & above/ S1 -
SG
• 3 or 4 bedded room = W0 - W7
Page: 39 of 45
37 Flt. Lft. Rajan Dhall Hospital, • Super Deluxe Room = E7 & above
New Delhi • Single Room = E4 & above
• Double Bedded Room = E1 - E3/ W8 & above/ S1
- SG
• General Ward = W0 & above
38 ICARE Charitable Eye Hospital, • Single Room for all employees
Noida - 201301
39 QRG Central Hospital & • Suite = E7A & Above
Research Centre, Faridabad - • Single Room = E4 - E7
121001 • Double Bedded = E1 - E3/ S1 to SG/ W8 & above
40 Gujarmal Modi Hospital & • Deluxe/ Semi Deluxe = E5 & above
Research Centre for Medical • Private Ward = E2A to E4
Sciences, Saket, New Delhi - • Semi-Private Ward = E1 to E2/ All Supervisors/
110 017 W8 & above
41 Pushpanjali Crosslay Hospital, • Suite = E8 & above
W3, Sector-1, Vaishali, • Deluxe Room = E6 – E7A
Ghaziabad • Single Room = E2A – E5
• Twin sharing = W8 – SG/ S1 – SG/ E1 – E2
• Economy = W0 – W7
42 Asian Institute of Medical • Presidential Suite = Directors & CMD
Sciences, Badkal Flyover Road, • Suite = E8 – E9
Sector- 21A, Faribabad • Pvt./ Single Room = E2A – E7A
• Semi Pvt./ Twin sharing = W8 – SG/ S1 – SG/
E1 – E2
• General = W0 – W7
43 Artemis Health Institute, Sector- • Deluxe Room = E7A & above
51, Gurgaon • Executive Single = E6 – E7
• Standard Single = E2A – E5
• Twin sharing = W8 – SG/ S1 – SG/ E1 – E2
44 Medanta The Medicity, Sector – • Suite = E9 & above
38, Gurgaon – 122001 • Single Bedded Deluxe Room = E7 – E8
• Single Bedded Room = E1 – E6/ S1 – SG/ W8 &
above
• Twin sharing Room = W0 – W7
45 Shanti Gopal Hospital, Plot • Deluxe = E7A & above
No.NH-1, Ahinsa Khand – II, • Private = E2A – E7
Indirapuram, Ghaziabad (UP) • Semi Private ( 2 Bedded) = W8 – SG/ S1 – SG/
E1 – E2
46 St Stephen’s Hospital, Tis • Deluxe Room = E8 & above
Hazari, Delhi – 110401 • AC Single Room – Special Room = E7 – E7A
• AC Single Room (small) = E2A – E6
• Semi Private AC Room = W7 – S4/ S1 – SG/ E1 –
E2
• Cubicle = W0 – W6
Page: 40 of 45
Page: 41 of 45
ANNEXURE-III
RATES OF DENTAL TREATMENT IN NON-NOTIFIED HOSPITAL
S.No Item Revised Rates (Rs)
1.0 MINOR-I
(a) Extraction per tooth 210
(b) Perio Coronotomy 210
(c) Apical Curettage 280
(d) Frenectomy 210
(e) Biopsy 280
(f) Abscess incision 280
(g) Cleaning / Scaling of teeth 210
2.0 MINOR-II
(a) Gingivectomy per segment 420
(b) Flap / gum treatment per segment 420
(c) Alvectectomy 420
(d) Fistulectomy 420
(e) Sialelithetomy 420
(f) Growth removal 420
(g) Fistula closure 420
(h) Pulpotomy 420
(i) Root Planning
-Anterior 560
-Posterior 560
3.0 MAJOR-I
(a) Removal of impaction – Apectomy 420
(b) Surgical extraction 350
(c) Root Amputation 420
(d) Gystectomy 420
(e) Sequestrectomy 420
(f) Transplant 420
(g) Replant 420
(h) Implant 420
4.0 MAJOR-II
(a) Fixation of fracture of jaw 1050
(b) Fixation of fracture per segment 700
(c) All extractions in one jaw 700
(d) Gingivectomy full mouth 700
(e) Tumor excision 1050
(f) Peripheral neurectomy 700
5.0 MAJOR-III
(a) Total extractions 1400
Page: 42 of 45
S.No Item Revised Rates (Rs)

(b) Segmental resection of jaw 1400
(c) Ostectomy 1400
(d) Condylectomy 1400
(e) Root Canal Treatment 1260
6.0 SPECIAL PROCEDURE

(a) Resection of jaw 2800
7.0 OTHER PROCEDURES

(a) Tooth Filling
- Amalgam 385
- Lightcure filling / Composite filling 460
(b) Desensitization
- Segment 110
- Full mouth 490
8.0 X-RAY
(a) Single plate 30
(b) Full mouth 210
ANNEXURE – IV
LIST OF APPLIANCES
1. Unilateral long leg brace without hip joint

2. Hip joint with pelvic band
3. Spinal Brace
4. Unilateral short leg brace
5. Shoe or Boot - Protective or aiding to paralysed or weak legs.
6. Bilateral hip joint with pelvic band/weak leg.
7. Bilateral long leg brace without hip joint.
8. Bilateral short leg brace
9. Lumbe-sacral or spinal support or back support
10. Taylors brace
11. Milwaukee brace
12. Mermaid splint
13. Posterior slab
14. Cervical brace four post
15. Rigid Cervical Collar with head extension
16. Cervical Collar
17. Dynamic splint (Aluminium)
18. Cock-up splint plain (Aluminium)
19. Cock.-up splint (plastic) or long opponens
20. Turn Buckle splint
21. Nuckle bender splint
22. Anterior Knee Guard splint
23. Densis brown splint
24. Congenital Talipus Equino Varus, Valgus splint
Page: 43 of 45
25. Short Opponens, PVC (Plastic)

26. Knee Cage
27. Long Opponens with M.P. ft. bar and finger
28. Extension (Plastic) Dynamic
29. boot with C and E heel and arch support
30. C and E heel
31. Arch Support
32. M.T. Pad
33. M.T.E. Raising 1"
34. T. Strap
35. Sponge heel
36. Wedge 1/8"
37. Universal Raising 1"
38. Foot drop splint
39. Below Knee prosthetics (P.T.S. type Prosehetics)
40. K. Prusthetics
41. Aluminium adjustable above knee right splint
42. Plastic shoulder aduetion splint
43. Plaster of paris of Gypsona cast
44. Modified shoes
45. Below Elbow Prosthetics
46. Hooks
47. Cosmetic hand
48. Splint for C.D.H.
49. Splint for Elbow
50. Above Elbow and below elbow Prosthetics
51. Above Elbow and below elbow Orthotics
52. Corset
53. Wheel Chair
54. Protective shoes with micro cellular rubber without nails often with additional
gadgets like adjustable springs and rockets.
55 Crutches
56. Walking iron with Plaster Casts
57. Calipers
58. Braces
59. Artificial limbs
60. Illestomy Kit.
ANNEXURE - V
COST TO BE RECOVERED FROM NON-ENTITLED

PERSONS/OUTSIDERS AT DISPENSARIES/HOSPITALS OF
THE COMPANY
1 First Consultation Rs.40/-

2. Each Sub-Consultation Rs.25/-
3. Indoor Visit per Day Rs.20/-
4. Emergency Consultation
Page: 44 of 45
(After Hospital Hours) Rs.60/-

5. Bed Charges per Day :
(a) ICU Rs.300/-
(b) General Ward Rs. 50-
(c) Cabin A/C Rs. 150/-
6. The Rates for various investigations and operative procedures would be fixed at 60% of
the NSB Rates prevalent in the Holly Family Hospital, New Delhi, at any point of time.
7. Medicines, if supplied by the hospitals, will be at market prices.
Note :
It may, however, be ensured that the rates charges for investigations are not below cost.
In case rates for any particular investigation need to be further escalated in order to cover
the cost involved, the same may be done under intimation to Corporate Centre.
ANNEXURE VI
Corporate Medical Cell shall monitor the receipt of such monthly report and submit the
consolidated report to D(HR).
Performa:
Report of medical referral cases by Regional Headquarter for the month of---------
Project/ Station of the Region concerned

No. of the cases referred outside
Company hospital/empanelled hospitals
of the Project/Station
No. of the cases referred outside the
Region
Reasons for referred outside the Region
No. of the cases referred outside, where
two escorts have been allowed in cases
of children below 12 years of age
Page: 45 of 45
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Wedding Gift Updated as on: 31.01.2012
Page: 1 of 2
WEDDING GIFT
1.0 NTPC is a family and in this spirit we should be alive to the needs of our
employees. An employee plays a crucial role in the contributions which he
makes to our organisation. Like in any family, if member of our family gets
married during his stay with us, it is felt that NTPC should not let such an
occasion go unnoticed and acknowledge it with the required sensitivity.
2.0 On the occasion of marriage of an employee a gift cheque /gift of about

Rs.1,100/- may be presented to him/her on behalf of NTPC. If the wedding takes
place in a place where NTPC has its office/establishment, we may also provide
a car/jeep on behalf of the company for assistance in the marriage function for
three days for local use only. Further, at the time once within six months of their
marriage when the newly married couple visits, a place where NTPC has its own
guest house and stays in the Company guest house, they may be charged for
room rent as being on official visit.
Authority:
• Corporate HR Circular No. 572/2005 dated 02.09.2005
Wedding Gift Updated as on: 31.01.2012
Page: 2 of 2
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Scheme of grant of Family Accommodation Updated as on: 31.01.2012
at a location other than the place of posting Page: 1 of 4
SCHEME OF GRANT OF FAMILY ACCOMMODATION AT A

LOCATION OTHER THAN THE PLACE OF POSTING
1.0 OBJECTIVE
In order to enhance commitment of employees towards work and to ensure work

life balance, the Scheme of Grant of Family Accommodation at a location other
than place of posting has been formulated.
2.0 COVERAGE
All employees on the regular rolls of the Company excluding the following
(i) Employees posted at Hydro and Mining Projects who are governed by
special dispensation to cover the difficult postings.
(ii) Greenfield Projects where the company has extended the provision of
special facility of HRA / Company Leased Accommodation anywhere in
India (as per classifications of cities for HRA purpose).
(iii) Employees posted at Corporate Centre / Regions.
3.0 ELIGIBILITY
Employees who are 45 years old or more shall be eligible for availing this facility
only once in career for a period of 5 years. The employee shall be considered for
availing this facility, if any of the following situation are fulfilled :
(i) Education of children
(ii) Extreme medical reasons of dependants duly certified by Medical Board

consisting of CMO of Project/Station, CMO of another Project falling
within the same region and Regional Head of HR. Further, in case of
extreme medical reasons, the age bar of 45 years may be relaxed with
the approval of CMD on the merits of each case.
(iii) Spouses working in other organization.
(iv) Aged dependant parents who cannot be moved from a particular

location.
(v) Marriage of children.

4.0 CONDITIONS FOR GRANT OF FAMILY ACCOMMODATION
4.1 The family accommodation under the scheme shall be granted in NTPC
township as per the entitlement (if available) of the employee under
house Allotment Rules. In such situations House Rent Recovery as
applicable shall be recovered.
4.2 In case of availing the facility of family accommodation at places other

than NTPC townships, it shall be granted under the facility of Company
Leased Residential Accommodation Rules or Special Facility of HRA
Rules, whichever is applicable, as per the classification of cities for the
purposes of HRA. The HRR as applicable for that location shall be
recovered in such cases also.
4.3 At the place of posting, the employee shall be eligible for a rent paid
unfurnished bachelor accommodation
5.0 PROCEDURE :
5.1 An employee desirous of claiming the facility of family accommodation

shall apply for the same through his Controlling Officer to the Head of HR,
citing the reasons for the need of seeking this facility and the duration for
which it is required.
5.2 The dealing officer in HR shall scrutinize the application with respect to
the eligibility conditions and process and put up the proposal for approval
of the Regional ED.
5.3 On receipt of the approval, necessary office order / sanction order may be
issued in the name of the employee.
6.0 COMPETENT AUTHORITY : Regional ED
7.0 GENERAL
7.1 Request for grant of family accommodation shall not be entertained in

case of employees under suspension or against whom disciplinary
proceedings have been initiated.
7.2 The company reserves the right to amend, modify or withdraw any of the
rules as deemed fit.
Authority:
1. CORPORATE HR CIRCULAR NO. 689/2010 DATED 30.08.2010

RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Scheme for providing laptop for official Updated as on: 31.01.2012
purposes Page: 1 of 3
SCHEME FOR PROVIDING LAPTOP FOR OFFICIAL PURPOSES
1.0 Objective: The Scheme of providing laptop to executives has been introduced to
facilitate faster retrieval and transfer of data alongwith access to latest
information all the time. This facility is in lieu of existing desktop PCs currently
provided to executives in office.
2.0 Eligibility: All executives excluding executive trainees below the level of GM.
2.1 The executives as above shall have option for a laptop in lieu of desktop PC after
the expiry of the life span of five years of the desktop PC already issued in their
name by the company. Those executives who have not been issued desktops
shall also have the option to apply for laptop.
3.0 Procedure:
3.1 Laptops with standard configuration will be procured by the company. The
maintenance support, Insurance and required software shall also be provided by
the company for such laptops.
3.2 All those executives who have been issued Desktop PCs, shall be allowed to
place an indent for laptop at least one year before the expiry of the life of the
Desktop PC, duly approved by the HOD / DGM. The Purchase Indent for
laptops shall be submitted by individual executives to Corporate Materials
Department through SAP.
3.3.1 The master policy for insurance of the Laptop shall be taken by HR-ES /
Corporate Materials Group. The claim filing & realization in respect of the
insurance policy shall also be taken care of by HR-ES department.
3.3.2 Corporate Materials Department shall take a consolidated Budget Certification for
the laptops to be procured.
4.0 Buy back of Laptop
4.1 Life span: The life span of the laptop shall be five years from the date of its
entry in the store registers/date of purchase. At the end of five years the
executives have option to buyback this laptop at depreciated book value of 5%.
The year of purchase and the year of buyback shall be counted as a full year for
the purpose of calculation of depreciation.
4.2 In case of separation before the expiry of five years the laptop can be bought
back by the executive concerned at depreciated value.
5.0 General
5.1 The laptop purchased under this scheme is meant for official work and will be the
property of the company till expiry of its life span / buy back by the executive.
5.2 No unauthorized / unlicensed software should be loaded on the laptop.
5.3 The company reserves the right to verify the laptop in the office premises as and
when deemed fit.
5.4 The executive shall be responsible for security of the laptop. While leaving the
laptop in car, it may be ensured that it is kept in the boot of the car.
5.4.1 In case of theft / loss of laptop, the executive concerned shall lodge the First
Information Report (F.I.R.) with the police and inform HR-ES Deptt. for insurance
claim. Where FIR is not lodged by the employee, the depreciated value shall be
recovered from the concerned executive.
5.5 The Docking Stations to which laptop could be attached shall be provided, based
on requirement with the approval of concerned Executive Director / Regional
Executive Director.
5.6 The laptop so purchased will remain with the executives in the event of transfer
also.
6.0 The Company reserves the right to modify, cancel, add or amend any of these
rules.
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Scheme of reimbursement of expenditure for Updated as on: 31.01.2012
local travel for official purposes Page: 1 of 4
SCHEME OF REIMBURSEMENT OF EXPENDITURE FOR LOCAL TRAVEL

FOR OFFICIAL PURPOSES
1.0 OBJECTIVE
1.1 A Scheme of reimbursement of expenditure on local travel for official purposes is

introduced with a view to encourage executives of the Company to own and maintain
their own vehicle and to use such vehicle for journey undertaken for official purposes,
thereby reducing demand for use of Company's vehicle.
2.1 The Scheme will cover all employees in executive pay scales of the Company.
This will also cover such deputationists who have been taken against the posts in
the pay scales of E1 and above.
3.0 ELIGIBILITY
3.1 The reimbursement shall be admissible to the executives subject to fulfillment of

the following conditions :-
The ownership and maintenance of the vehicle of the executive is required for
official purposes in the interest of the company and it will be useful in efficient
and effective discharge of his official duties. Reimbursement will be allowed for
one vehicle only provided it is owned and registered in the name of the eligible
executive and he holds a regular and valid license including a learner driving
license to drive the vehicle so registered.
4.0 RATES
4.1 The expenditure incurred on maintenance of vehicle and use of the same for the
purpose of journey on official business shall be reimbursed monthly to eligible
executives in terms of quantum of litres of petrol based on the rate of normal
petrol as at Noida* subject to the following limit :
Grade Reimbursement limit per month

(In litres)
All executives who are owning and 25
maintaining a two wheeler vehicle 4
E1-E2 55
E2A-E4 75
E5-E6 90
E7 & above 100
*This rate of petrol shall be communicated initially by HR-ES group (EOC).

Subsequently as and when there is a change in the rates of petrol, HR-ES
group shall inform about it immediately to ERP – Finance.
5.0 TERMS AND CONDITIONS

Grant of monthly reimbursement of local travel expenditure for official purposes will be
governed by the following terms and conditions:
5.1 The executive will use his own vehicle for official journey within the municipal
limit of the Headquarters or within the radius of 30 Kms from the Headquarters,
whichever is more for which he will not be allowed to claim any local travel
allowance.
5.2 For the purpose of this scheme journey from and to residence shall not be
treated as official.
5.3 An executive, who is in receipt of reimbursement of expenditure on local travel

for official purposes, shall not be eligible to avail of the Company's Staff/Hired
Car facility. Provided that Clause No. 5.1 & 5.2 will not be applicable to official
journey to and from Railway station/Airport/Bus Stand at the commencement of
and on return from official tours to outstations.
Provided further that keeping in view the fact that some of the work place/sites
may not be accessible by motorable roads owing to places located at virgin land
with difficult terrain in the new project, GM of the project, wherever he is satisfied
that it will be unreasonable to expect the executive travel to such work
place/sites in their own vehicle, may declare, depending on the stage of the
development of the roads etc. from time to time that the executive in receipt of
reimbursement of expenditure for local travel for official purposes posted in such
work places/sites may be permitted the use of company transport for official
journeys in relaxation of this rule.
5.4 Executives who usually travel to and from the place of work in staff vehicles by
reasons of such vehicle being parked in their residence or otherwise shall not be
eligible for reimbursement under this scheme.
5.5 Reimbursement of expenditure on local travel will be admissible only on

proportionate basis where an executive is absent from Headquarters / place of
duty on leave/on tour/temporary travel or otherwise or where the vehicle is not
utilized for official purposes owing to the same not being maintained in running
condition for a period in excess of 15 working days in any calendar month.
6.0 PROCEDURE
6.1 An executive, who satisfies the conditions of eligibility laid down herein, may
apply through Employee Self Service (ESS) on ERP to Head of his Department
for grant of reimbursement of expenditure for local travel for official purposes. If
the Head of the Department is prima-facie satisfied that it is necessary for
applicant to maintain and use the vehicle in the interest of the Company work, he
will recommend for grant of reimbursement and refer the application for
consideration of the Competent Authority through local HR-EB viz. concerned
General Manager for approval. However, in case where the Competent Authority
is satisfied that the registration of the vehicle is likely to be delayed beyond its
control, reimbursement may be granted provisionally with effect from. the day of
use of vehicle, provided that applicant produces satisfactory documentary
evidence in support of the purchase and ownership of the vehicle.
6.2 In case of transfer, the executive will have to apply afresh for sanction of
reimbursement of expenditure for local travel for official purpose. However, he
will have to submit documents, only if there is change in status of registration of

the vehicle.
7.0 REIMBURSEMENT ON CERTIFICATION
In pursuance of the Sanction issued under Rule 6.0 above, the reimbursement may be
made on the basis of certification through ESS submitted by the employee that he
certifies to the effect that Company's/Hired vehicle were not used by him during the
calendar month for the purpose of official journey to any of the place/sites.
8.0 CANCELLATION
The executive entitled to reimbursement under this rules will, if he is no longer in

possession of the vehicle through loss, sale, theft etc., immediately report the matter
through ESS for cancellation of the earlier order sanctioning reimbursement of
expenditure for local travel for official purposes.
9.0 GENERAL
Reimbursement of expenditure for local travel for official purpose under this scheme
being on a purely functional basis and not expected to be a source of profit and thus
taxable under Income Tax Act, 1961, it shall be expected of each executive to maintain
full records of their official journeys in their vehicles for production, if and when required
to establish that what is paid under the scheme is by way of reimbursement of actual
expenses on travel in performance of official duties in connection with Company's
business.
9.1 The powers to relax, amend and modify this rule will vest with CMD.
Authority:

3. Corporate HR IOM No. 01:HR-Policy:7(16.1)/726 dated 23.04.2010
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Ltd. Employees’ Provident Fund Trust Rules Updated as on: 31.01.2012
Page: 1 of 40
NTPC LTD. EMPLOYEES’ PROVIDENT FUND TRUST RULES
CHAPTER-I PRELIMINARY
1. NAME OF THE FUND

The Fund shall be called "NTPC Limited Employees’ Provident Fund Trust, New Delhi.”
2. DEFINITIONS
(a) 'Board' means the Board of Trustees of NTPC Limited Employees’ Provident Fund Trust, New
Delhi.”
(b) ‘Basic Pay’:- means all emoluments which are earned by an employee while on duty or on
leave or on holiday with wages in either case in accordance with the terms of the contract of
employment and which are paid or payable in cash to him, but does not include :-
(i) the cash value of any food concession.
(ii) Any dearness allowance (that is to say, all cash payments by whatever name called
paid to an employee on account of a rise in the cost of living), house rent allowance,
overtime allowance, bonus, commission or any other similar allowance, payable to the
employee in respect of his employment or of work done in such employment.
(iii) Any present made by the employer.
(c) 'Company' means the NTPC Limited, whose registered office is at NTPC Bhawan, Core-7,
SCOPE Complex, 7 Institutional Area, Lodi Road New Delhi – 110 003
(d) 'Chairman' means the Chairman of the Board of Trustees.
(e) 'Continuous Service' means uninterrupted service under the Company and includes
service, which is interrupted by sickness, accident, authorized leave, strike which is not
illegal, or cessation of work not due to the employee's fault.
(f) 'Contribution' means contribution payable in respect of member of the Fund.
(g) ‘Children’: means legitimate children and includes adopted children if the Board of Trustees
are satisfied that under the personal law of the member, adoption of a child is legally
recognized.
(h) 'Commissioner' means Regional Provident Fund Commissioner under whose jurisdiction the
establishments’ comes.
(i) ‘Employer’ means: -
(i) In relation to an establishment which is a factory, the owner or occupier of the factory,
including the agent of such owner or occupier, the legal representative of a deceased
owner or occupier and, where a person has been named as manager of the factory
under clause (b) of sub-section (1) of section 7 of the Factories Act, 1948 (63 of 1948),
the person so named; and
(ii) In relation to any other establishment, the person who, or the authority which, has the
ultimate control over the affairs of the establishments, and where the said affairs are
entrusted to a manager, managing director or managing agent such manager,
managing director or managing agent.
N K Gupta Sunil Gupta

Secretary Trustee
Page: 2 of 40
(j) ‘Employee’: - means any person who is employed for wages in any kind of work manual or
otherwise, in or in connection with the work of the establishments, and who gets his wages
directly or indirectly from the employer and includes any person:
(i) Employed by or through the contractor in or in connection with the work of the
establishments.
(ii). Engaged as an apprentice, not being an apprentice under the Apprentices Act,
1961(52 of 1961) or under the standing orders of the establishments.
(k) ‘Excluded Employee’: means excluded employees as defined in Para 2(f) of the EPF
Scheme, 1952.
(l) 'Fund' means the NTPC Limited Employees’ Provident Fund Trust.
(m) 'Family’ means—
i) In the case of a male member, the wife, children (whether married or unmarried) and
dependent parents of the member, and the widow and children of a deceased son of the
member;
Provided that if a member proves that his wife has ceased, under the personal law governing
him or the customary law of the community to which the spouse belongs, to be entitled to
maintenance, she shall no longer be deemed to be a part of the member's family for the
purpose of these Rules, unless the member subsequently intimates by express notice in
writing to the Secretary that she shall continue to be so regarded; and
ii) In the case of a female member, the husband and children of the member whether married
or unmarried, the dependant parents of the member or of the husband and the widow and
children of a deceased son of the member;
Provided that if a member by notice in writing to the Secretary expresses her desire to
exclude her husband from the family, the husband and his dependant
parents shall no longer be deemed to be a part of the member's family for the purpose of
these Rules, unless the member subsequently cancels in writing any such notice.
EXPLANATION: In either of the above two cases, if the child of a member has been
adopted by another person, and if, under the personal law of the adopter, adoption is legally
recognized, such a child shall be considered as excluded from the family of the member.
(n) ‘Financial Year' means the period commencing on the 1st of April and ending on the 31st
March of the following year.
(o) ‘Member' means a member of the Fund.
(p) ‘Pay’: Pay includes basic wages with dearness allowances, retaining allowance (if any) and
cash value of food concession admissible thereon.
(q) 'Secretary' means the Secretary to the Board of Trustees.
(r) ‘Trustee' means a member of the Board of Trustees.
All other words and expressions not defined herein above shall have the meaning respectively
assigned to them in the Employees' Provident Fund and Miscellaneous Provision Act 1952, and
the scheme framed there under i.e Employees' Provident Fund Scheme, 1952.

Secretary Trustee
Page: 3 of 40
3. FUND CONSTITUTED UNDER AN IRREVOCABLE TRUST
The Fund shall be constituted under a Trust, which shall be irrevocable save with the consent of
all the beneficiaries. No moneys belonging to the Fund in the hands of the Trustees shall be
recoverable by the Company under any pretext whatsoever nor shall the Company have any lien
or charge of any description on the same save as herein provided.
CHAPTER-II BOARD OF TRUSTEES
4. MANAGEMENT
The custody, control and management of the Fund shall be vested in a Board of Trustees
Constituted by the Company who shall be responsible for and accountable to the Employees'
Provident Fund Organization inter-alia for proper accounts of the receipts into and payments
from the provident fund and the balance in their custody. Board of Trustees shall function as per
the guidelines contained in Annexure ‘A’.
4.1 Nomination of Trustees: Board of Trustees shall consist of representatives from employers as
well as employees of the company. Total number of the members of the Boards of Trustees shall
be 10(Including the Chairman) as given below:
a) Employer Representatives: Five representatives of the Employer and,

b) Employees Representatives: Five representatives of the employees of the Company.
5. PROCEDURE FOR ELECTION OF TRUSTEES

a) Employer Representative: Any Director of the company authorized by the Board of
Directors of the company, for this purpose shall nominate employer representatives from
amongst the officers employed in managerial or administrative capacity in the establishment,
b) Employees Representative: For selection of employees’ representatives Trustees, the

under noted procedure shall be followed: -Two nomination from National Bipartite Committee
(NBC) for employees in Workmen Category, One nomination from the supervisory associations
for employee in supervisory category and two nomination from NTPC Executives Federation of
India (NEFI) for employees in Executive Category will be made by the respective
association/body.
In case of failure to make the nomination as above by the respective associations, the employer
may in consultation with the respective association/ body nominate employees representative
Trustee and if the employer also fail to make the nomination then the procedures of election as
mentioned in the Employees Provident Fund Scheme’ 1952 will be applicable.
5.1 CHAIRMAN OF THE BOARD
Any Director of the Company authorized by Board of Director of the Company shall be the
chairman of the Board of Trustees. In the event of equality of votes the Chairman shall exercise
a casting vote.
6. SECRETARY OF THE BOARD

Board of Trustees may appoint, any Trustee, out of the employer representative Trustees to act
as Secretary to the Board. Secretary shall exercise such power as delegated to him by the Board
of Trustees or specifically provided hereinafter.

Secretary Trustee
Page: 4 of 40
7 TERM OF OFFICE
The term of office of a Trustee shall be five years from the date of election or nomination. An
outgoing Trustee shall be eligible for re-election or re-nomination. A Trustee elected or
nominated to fill the casual vacancy shall hold office for the remaining period of the term of the
Trustee in whose place he is elected or nominated.
8. RESIGNATION
A trustee may resign his office by letter in writing addressed to the Chairman, Board of Trustee
and his office shall fall vacant from date on which the Board of Trustees accepts his resignation.
9. CESSATION AND RESTORATION OF TRUSTEESHIP

A trustee ceases to be a trustee on the Board if he
(i) ceases to be an employee of the company:

(ii) ceases to be a member of the Fund.
(iii) Is a nominee or representative of an employees representative body and the same
ceases to be representative body any more or is derecognised by the employer;
(iv) Incurs any of the disqualifications mentioned in the rule 10;
(v) Or fails to attend three consecutive meetings of the Board without obtaining leave
of absence from the chairman of the Board of trustees. Provided that the
chairman, Board of Trustees may restore him to trusteeship, if he is satisfied that
there were reasonable grounds for such absence.
10. DISQUALIFICATIONS FOR TRUSTEESHIP

A person shall be disqualified for being a trustee of the Board –
a) If he is declared to be of unsound mind by a competent court; or

b) If he has been convicted of an offence involving moral turpitude; or
c) Is an undischarged insolvent; or
d) Is an employer of an exempted or unexampled establishment, which has defaulted in
payment of any dues under the Act.
11. FILLING OF CASUAL VACANCIES
In the event of trustees elected or nominated, ceasing to be trustee during the tenure of the
Board, his successor shall be elected or nominated, as the case may be, in the manner
hereinbefore provided for election or nomination.
Provided that the trustee(s) so elected shall hold office for the unexpired term of the Board of
Trustees.
12. REFERENCE TO REGIONAL PROVIDENT FUND COMMISSIONER
In case of any dispute or doubt the matter shall be referred to the Regional Provident Fund
Commissioner. His decision in the matter shall be final and binding.
13. TRUSTEES' POWER TO EMPLOY ANY PERSON FOR MANAGEMENT
The Board of Trustees shall have power, with the consent of the employer in writing, to employ
any person or persons deemed necessary for the purposes of the Fund and the employer shall

Secretary Trustee
Page: 5 of 40
pay thereof. The trustees shall have power at any time to dispense with the services of such
person or persons subject to the approval of employer.
14. TRUSTEES' POWER TO OPERATE BANK ACCOUNT T
Any two trustees, including one representing the employees, acting jointly, shall on behalf of the
Board of Trustees, operate on the accounts of the Fund with banks and discharge, receive or
otherwise dispose off, as may be necessary, Government Promissory Notes, securities, Interest
Warrants, etc. relating to the Fund and shall, on behalf of the Board, reassign to members in
accordance with the Rules mentioned hereinafter, life insurance policies which the members might
have assigned to the Board as security for payment of withdrawals from the Fund.
15. CONTROL OF THE FUND
The BOT shall have control of the Fund and shall delegate powers to the trustee or officials of
the establishment for performance of various functions on its behalf under these rules. The
Board shall also decide all differences and disputes which may arise under these rules either as
to the interpretation thereof or as to the right and obligations of the establishment and/or of the
members and the decision of the majority of the trustees shall be in all cases final and binding
on all the parties concerned. In the event of an equality of votes the Chairman shall have a
casting vote. If any such decision of the board were deemed prejudicial to the interest of the
members, the matter shall be referred to the Regional Provident Fund Commissioner, whose
decision in the matter shall be final and binding.
15.1 Before a trustee leaves India:
(a) he shall intimate to the Chairman of the Board of Trustees of the date of his
departure from and expected return to India; or
(b) if he intends to absent himself for a period longer than six months, he shall tender
his resignation.
(c) If any trustee leaves India for a period of six months or more without intimation to
the Chairman of the Board of Trustees, he shall be deemed to have resigned from
the Board of trustees.
15.2 If a trustee is unable to attend any meeting of the Board of Trustees, he may, by a
written instrument signed by him, addressed to the Chairman of the Board of trustees
and explaining the reasons for his inability to attend the meeting, appoint any
representative as his substitute for attending that meeting of the Board of Trustees in his
place;
Provided that no such appointment shall be valid unless
(1) such appointment has been approved by the Chairman of the Board of trustees
; and
(2) the instrument making such appointment has been received by the Chairman
of the Board of Trustees at least seven days before the date fixed for meeting.
(3) A substitute validly appointed under this rule shall have all the rights and
powers of trustee in relation to the meeting of the Board of Trustees, in
respect of which he is appointed.
(4) A trustee appointing a substitute for attending any meeting of the Board of
trustees, shall, not withstanding anything contained in this rule, continue to be
liable for the misappropriation or misapplication of the fund by the substitute
Secretary Trustee
Page: 6 of 40
and shall also be liable for any act of misfeasance or non-feasance committed
in relation to the Fund by the substitute appointed by him.
16. MEETINGS
1) The Board of Trustees shall meet at such place and time as may be appointed by the
Secretary with prior approval of the Chairman.
2) Board of Trustees shall meet at least once in every quarter.
3) The Secretary may with prior approval of the Chairman and within fifteen days of the
receipt of a requisition in writing from not less than three members of the Board of
Trustees call a meeting thereof.
17. NOTICE OF MEETING AND LIST OF BUSINESS
Notice of not less than 15 days from the date of posting, containing the date, time and place of
every ordinary meeting together with a list of business to be conducted at the meeting, shall be
sent to each trustee.
Provided that when the Secretary, with the prior approval of the Chairman, calls a meeting for
considering any matter which in his opinion is urgent, a notice giving such reasonable time as he
may consider necessary, shall be deemed sufficient.
18. CHAIRMAN TO PRESIDE AT MEETINGS
The Chairman shall preside at every meeting of the Board at which he is present. If the
Chairman is absent at any time, the trustees present shall elect one of them to preside over the
meeting and the trustee so elected shall exercise all the powers of the Chairman at the meeting.
19. QUORUM
At any meeting of the Board of Trustees, four trustees, two representing the employees and
others representing the employer, shall be a quorum. The majority may be treated as quorum
provided at least one trustee is present from employees.
If at any meeting the number of trustees is less than the required quorum, the Chairman of the
Board shall adjourn the meeting to a date not later than seven days from the date of the original
meeting, informing the trustees of the date, time and place of the adjourned meeting and it shall
thereupon be lawful to dispose of the business at such adjourned meeting irrespective of the
number of trustees present.
20. DISPOSAL OF BUSINESS
Every question considered at a meeting of the Board shall be decided by a majority of the votes
of the trustees present and voting. In the event of an equality of votes, the Chairman shall have a
casting vote.
Provided that the Chairman may, if he thinks fit, direct that any question shall be decided by the
circulation of necessary papers to trustees and by securing their opinion in writing. Any such
question shall be decided in accordance with the opinion of the majority of trustees received
within the time limit allowed and, if the opinions are equally divided, the opinion of Chairman
shall prevail.

Secretary Trustee
Page: 7 of 40
Provided further that any trustee may request that the question referred to trustees for written
opinion be considered at a meeting of the Board and thereupon the Chairman may, and if the
request is made by not less than three trustees, shall direct that it be so considered.
In case of any dispute or doubt, the matter shall be referred to the Regional Provident Fund
Commissioner. The decision of the RPFC in the matter shall be final and binding.
20. MINUTES OF MEETING
(a) The secretary shall maintain minutes of the meeting of the board showing inter alia the names of
the trustees of the Board present there and shall be circulated to all trustees, present in India
not later than three days from the date of the meeting. The minutes shall thereafter be
recorded in minutes book as a permanent record,
Provided that if another meeting is held within a period of three days, the minutes shall be
circulated so as to reach the trustees before such meeting.
(b) The minutes of each meeting shall be signed by the Chairman after confirmation with such
modifications, if any, as may be considered necessary at the next meeting.
(d) The Secretary shall take necessary steps for carrying out the decision of the Board.
22. INVESTMENT OF THE FUND

(i) The moneys of the Fund not immediately required by the Board of Trustees shall be invested by
the Board within 15 days on receipt of contribution from the Employer, in the pattern prescribed
by the Government of India from time to time.
(ii) The securities shall be obtained in the name of Trust. The securities so obtained should be in
dematerialized (DEMAT) form and in case the required facility is not available in the areas where
the trust operates, the Board of Trustees shall inform the Regional Provident Fund
Commissioner, concerned about the same.
(iii) The Board of Trustees shall maintain a script wise register and ensure timely realization of
interest.
(iv) The DEMAT Account should be opened through depository participants approved by the Reserve
Bank of India and Central Government in accordance with the instructions issued by the Central
Government in this regard.
(v) The cost of maintaining DEMAT account should be treated as incidental cost of investment by the
Trust, also all types of cost of investments like brokerage for purchase of securities etc. shall be
treated as incidental cost of investment by the trust.
(vi) All such investments made, like purchase of securities and bonds, should be lodged in the safe
custody of depository participants, approved by the Reserve Bank of India and Central
Government, who shall be the custodian of the same. On closure of the establishment or
liquidation or cancellation of exemption from the EPF Scheme, 1952, such custodian shall
transfer the investment obtained in the name of Trust and standing in its credit to the RPFC
concerned directly on receipt of request from the RPFC concerned to that effect.
(vii) The Board shall intimate to the RPFC concerned the details of depository participants (approved
by Reserve Bank of India and Central Government), with whom and in whose safe custody, the
investments made in the name to trust, viz., Investments made in securities, bonds, etc. have
been lodged.

Secretary Trustee
Page: 8 of 40
(viii) Any commissions, incentive, bonus, or other pecuniary rewards given by any financial or other
institutions for the investments made by the trust should be credited to its accounts.
(iX) Failure to make investments as per directions of the Government shall make the Board of
Trustees separately and jointly liable to surcharge as may be imposed by the Central P.F.
Commissioner or his representative.
23. POWER OF TRUSTEES FOR SALE AND HYPOTHECATION ETC. OF THE INVESTMENTS
The Board of Trustees may from time to time, as and when necessary, raise such sum or sums as
may be required for the purposes of the Fund by sale, hypothecation or pledge of the
investments held by them or of a sufficient part thereof, subject to prior approval of the R.P.F.C.
24. RECEIPT FOR MONEY RECEIVED BY TRUSTEES
Receipt for moneys ,endorsement on cheques, drafts and other documents, received by the
Trustees shall be made by the secretary for and on behalf of Board of Trustees.
25. ACTS OF THE BOARD OF TRUSTEES NOT INVALID BY REASONS OF DEFECT IN ITS
CONSTITUTION ETC
No act or proceeding of the Board shall be deemed to be invalid by reason merely of any
vacancy in, or any defect in the constitution of the Board.

Secretary Trustee
Page: 9 of 40
CHAPTER-III MEMBERSHIP
26. MEMBERSHIP OF THE FUND
(a) Every employee employed on regular roll of the company other than an excluded employee shall
be entitled and required to become a member of the Fund from the date of joining the
establishment.
(b) An excluded employee shall on ceasing to be such an employee be entitled and required to
become a member of the Fund from the date he ceased to be such employee.
(c) Every employee on becoming a member shall remain and continue to be a member until he
withdraws his provident fund accumulation from the fund.
(d) Notwithstanding anything contained in this rule, the Board of Trustees may, on the joint request
in writing, of any employee of establishment and the employer, enroll such employee as a
member or allow him to contribute on more than six thousand and five hundred rupees of his
pay per month if he is already a member of the Fund and thereupon such employee shall be
entitled to the benefits and shall be subject to the conditions of the Fund, provided that the
employer gives an undertaking in writing that he shall pay the inspection charges payable and
comply with all statutory provisions in respect of such employee.
(e) Every employer shall on becoming member sign a declaration in the form set out in Annexure
‘B’. Absence of such declaration will not, however, invalidate his membership.
(f) On re-election of an employee or a class of employee exempted to join the Fund or on the expiry
or cancellation of an order under that paragraph, every employee, who but for such exemption
would have become and continued as a member of the Fund, shall forthwith become a member
thereof.
(g) Every employee who is a member of a private provident fund maintained in respect of an
exempted factory or other establishment and who, but for the exemption would have become
and continued as a member of fund, shall on joining NTPC become a member of the Fund
forthwith.
(h) Government employees on deputation or lien basis to NTPC are eligible for membership of the
Fund from the date their resignation from Government service takes effect and they are
absorbed in the permanent cadre of the NTPC. This is irrespective of the fact that these
employees may or may not get their GPF amount transferred from previous employers to NTPC
Employees Provident Fund Trust.
(i) If any question arises whether an employee is entitled or required to become or continue as
member or as regards the date from which he is so entitled or required to become a member,
the decision thereon of the Regional Provident Fund Commissioner shall be final.
27. RETENTION OF MEMBERSHIP
A member of the Fund shall continue to be a member until he withdraws under Rule 59, the
amount standing to his credit in the Fund.
Explanation: In the case of claim for refund by a member under sub rule 4 of rule 59, the
membership of the Fund shall be deemed to have been terminated from the date the payment is
authorized to him by the Secretary irrespective of the date of claim.
Secretary Trustee
Page: 10 of 40
28. DECLARATION BY EMPLOYEES
Every employee shall furnish, at the time of his appointment under the Company, particulars of
his last employment and his membership of any contributory provident fund before joining the
Company.
29. NOMINATION
(1) Each member shall make in his declaration in the prescribed form, a nomination conferring
the right to receive the amount that may stand to his credit or where the amount has become
payable before payment has been made.
(2) A member may in his nomination distribute the amount that may stand to his credit in the
Fund amongst his nominees at his own discretion.
(3) If a member has a family at the time of making a nomination, the nomination shall be in
favour of one or more persons belonging to his family. Any nomination made by such
member in favour of a person not belonging to his family shall be invalid.
Provided that a fresh nomination shall be made by the member on his marriage and any
nomination made before such marriage shall be deemed to be invalid
(4) If at the time of making a nomination the member has no family, the nomination may be in
favour of any person or persons but if the member subsequently acquires a family, such
nomination shall forthwith be deemed to be invalid and the member shall make a fresh
nomination in favour of one or more persons belonging to his family.
(5) A nomination made under sub-rule (1) may at any time be modified by a member after giving
a written notice of his intention of doing so in the prescribed form. If the nominee predeceases
the member, the interest of the nominee shall revert to the member who may make a fresh
nomination in respect of such interest.
(6) Where the nomination is wholly or partly in favour of a minor, the member may, for the
purposes of this rule appoint a major person of his family, as defined in clause (m) of rule 2,
to be the guardian of the minor nominee in the event of the member predeceasing the
nominee and the guardian so appointed.
Provided that where there is no major person in the family, the member may, at his
discretion, appoint any other person to be a guardian of the minor nominee.
(7) A nomination or its modification shall take effect to the extent that it is valid on the date on
which it is received by the Secretary.
30. ALLOTMENT OF ACCOUNT NUMBERS
Each member of the Fund shall be allotted an Account Number, which will be communicated, to
him by the Secretary.

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CHAPTER-IV
CONTRIBUTIONS AND ACCOUNTS
31. CONTRIBUTIONS
31.1 EMPLOYER CONTRIBUTION

(a) The contribution payable by the Company to the Fund shall be at the rate of 12% (or any
other rate as may be prescribed by the EPFO in future) of the basic pay and the Dearness
Allowance (including cash value of any food concession) and retaining allowance and
leave encashed (w.e.f. 13/6/01) payable to each employee who is eligible for membership
of the Fund.
(b) From and out of the contribution payable by the employer each month under Rule
31(I)(a) above, a part of contribution representing 8.33% of the Employees pay shall
be remitted by the employer to the Employee’s Pension Fund within 15 days of the
close of every month by a separate bank draft or Cheque on account of Employee’s
Pension Fund contribution in such manner as may be specified in this behalf by the
Regional Provident Fund Commissioner. The cost of the remittance, if any, shall be
borne by the employer. Provided that where the pay of the member exceeds
Rs.6500/- per month the contribution payable by the employer be limited to the
amount on his pay of Rs.6500/- only or on higher pay if allowed by the
EPFO/Commissioner or on any higher pay notified by the EPFO in future. The balance
of employer’s contribution after the remittance of contribution to the Employees’
Pension Fund shall be credited to the member’s individual account.
(c) The contribution to Employees Pension Fund shall be applicable only in case the
employee in question is a member of the Employee’s Pension Scheme, 1995 as laid
down in Para 6 of the Employee’s Pension Scheme, 1995, and shall cease on the
employee attaining the age of superannuation as defined in the Employees’ Pension
Scheme, 1995.
Provided further that if the employee continues in service even after the date of
superannuation the entire contribution payable by the employer as per Rule 31(I)
shall be credited to the member’s account.
MEMBER CONTRIBUTIONS
The contribution payable by any member under these rules shall be equal to or more
than the contribution payable by the Company in respect of such employee subject to
the limit laid down in the Income Tax Act.
Provided, that the members contribution shall be 12% of basic pay and the dearness
allowance (including cash value of any food concession) and retaining allowances unless
the member intimates in writing the increased amount which he/she chooses to
contribute.
31.3 The contribution payable under this rule shall be calculated on the basis of the basic
pay and Dearness Allowance (including the cash value of any food concession) and
retaining allowances actually drawn during the whole month whether paid on daily,
weekly, fortnightly or monthly basis.
31.4 Each contribution shall be calculated to the nearest rupee, 50 paise or more to be
ccounted as the next higher rupee, and less than 50 paise shall be ignored.

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31.5 Notwithstanding any contract to the contrary, the Company shall not be entitled to
deduct the Company's contribution from the wage of a member or otherwise to recover
it from him.
32. RECOVERY OF A MEMBER'S SHARE OF CONTRIBUTION
(1) The amount of a member's contribution paid by the Company shall, notwithstanding the
provision in these rules or any law for the time being in force or any contract to the contrary
be recoverable by means of deduction from the wages of the members and not otherwise
provided that no such deduction may be made from any wage other than that which is paid
in respect of the period or the part of the period in respect of which the contribution is
payable.
Provided further that the employer shall be entitled to recover the employee's share from a
wage other than that which is paid in respect of the period for which the contribution has
been paid or is payable where the employee has in writing given a false declaration regarding
his last employment and membership of contributory provident funds in other
establishments.
Provided further that where no such deduction has been made on account of an accidental
mistake or a clerical error, such deduction may be made from the subsequent wages.
(2) Deductions made from the wages of a member paid on daily, weekly or fortnightly basis should
be totaled up to indicate the monthly deductions.
(3) Any sum deducted by the Company from the wages of an employee under these Rules shall be
deemed to have been entrusted to it for the purpose of paying the contribution in respect of
which it was deducted.
(4) In respect of employees employed by or through a contractor the principal employer will
ensure that the contractor recovers the contributions payable by such employees and deposit
the same against his own PF code along with the matching contribution( employer
contribution) and inspection charges.
33. MEMBERS RECLAIMED FOR DEFENCE DUTY AND MEMBERS VOLUNTEERING TO TAKE UP
MILITARY SERVICE DURING EMERGENCY
The Company employees will be allowed to contribute towards the Provident Fund and their
accounts will be credited with the Company's contributions which would have been admissible
had they remained on duty with the Company. The Company's contributions towards Provident
Fund during the period of Military Services will form a charge against the Defence Services
Estimates and would be recovered by the Company from the Defence Services.
33.1 A member may at his option continue to contribute to the Fund after he is called up for training,
muster or any services, but no contribution shall be credited to his account and interest shall be
allowed as per Rule 39. Such a member may make withdrawals as per Rules 43 to 58-B. If any
such member desires to have his Provident Fund Account settled finally, it may be allowed in
accordance with Rule 59 (1) and (2) and he shall cease to be member of the fund thereafter.
33.2 Where a member ceases to be employed in the Company and takes up employment in any other
establishment to which the Employees Provident Fund Act, 1952 does not apply, the balance in
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his account shall be transferred to the credit of his account in the Provident Fund of the
Establishment in which he is employed, if the member so desires and rules in relation to that
Provident Fund permit such transfer.
34. PAYMENT OF CONTRIBUTIONS TO TRUSTEES
The Company shall pay the member’s contributions collected by the Company as well as its own
contributions to the Board of Trustees by 15th of the following month from the month of deduction.
34.1 PAYMENT OF INTEREST AND DAMAGES BY EMPLOYER
The employer shall be liable to pay simple interest and penal damages to the Board of Trustees
at such rate as may be specified by the Regional Provident Fund Commissioner for any delay in
the payment of contributions in the same manner as an un-exempted establishment is liable
under similar circumstances.
35. MEMBERS ACCOUNT T
1. An account shall be opened in the office of the Fund in the name of each member in which
following shall be credited:
a. His contributions
b. Contributions made by the Company in respect of him; and
c. Interest as provided in Rule 39.
d. The advance/withdrawals, if any, made to the member out of the Fund to be debited.
e) the repayments, towards advances made to the members.
The maintenance of such records shall be done electronically and necessary provisions shall be
made to enable all the members to be able to see their account balance from the computer
terminals as and when required by them.
The establishment would periodically transmit the details of members’ accounts electronically as
and when directed by the CPFC/RPFC.
2. All items of account shall be calculated to the nearest rupee, 50 paise or more shall be
counted as the next higher rupee and less than 50 paise shall be ignored.
36. ANNUAL STATEMENT/MEMBER PASSBOOK
As soon as possible and latest within six month of the close of the year every member shall be
given a Pass Book or an Annual Statement of Accounts in which shall be entered the particulars
referred to in Rule 35 above. All Pass Books or the Annual Statements shall be made up to date
at the interval of one year. Such Statement/ Passbook shall be accepted as correct and binding
on the members save that if any manifest error shall be found therein and notified by the
member to the Secretary in writing within six months after the date of making such entry, the
same may be rectified. A member of the fund is also allowed to inspect his account himself or
through any person duly authorized by him in writing to do so, within 72 hours of making such
request provided that no such request shall be entertained more than once in every two calendar
months.
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37. TRUSTEES' POWER TO ACCEPT TRANSFER OF ACCUMULATIONS FROM OTHER FUNDS
In the event of any employee who was previously in the service of another Government
Company or State or local body or Government of India or Government of a State or was a
member of any Provident Fund recognized under Employees' Provident Fund Act, 1952 or under
the Income Tax Act 1961 it shall be lawful for the trustees to receive from such Company etc. the
accumulated balance in his account of the Provident Fund, provided that in case of an Employee,
who was member of a Provident Fund covered under the Employees' Provident Fund Act, it shall
be obligatory for the trustees to accept for credit to the Member's account his accumulations in
such a fund, which shall be transferred within three months of his joining the Company.
38. TRANSFER OF MEMBERS' ACCOUNTS
Where a member ceases to be employed in the Company and takes up employment in any other
exempted establishment to which the Employees' Provident Funds Act, 1952 applies, the balance
in his account shall be transferred to the Trustees of the Provident Fund in such establishments.
In case of unexampled establishments, the account shall be transferred to RPFC in whose
jurisdiction it is covered.
39. CREDIT OF INTEREST TO MEMBER ACCOUNT
(a) On, or as soon as may be, after the 31st day of March in each year, the Board of Trustees shall
prepare a Balance Sheet and Revenue Account as at the date in respect of the preceding twelve
months.
In preparing the Balance Sheet the Board shall value investments of the Fund according to the
cost value as on that date.
(b) The Revenue Account shall be credited with all income arising out of the investments of the
Fund, all profits, if any, arising form sale of securities.
(c) The Board shall after crediting the Revenue Account as stated in clause (b) above, distribute and
credit the amount to the individual accounts of the members in proportion to the total amount
standing to his credit as on the period of account.
(d) With effect form 01.04.93, the account of each employee shall be credited with interest
calculated on monthly running balance basis with effect from the last day in each year at such
rate as may be decided by the Board of Trustees but shall not be lower than the rate declared
for the Employees Provident Fund by the Government of India under Para 60 of the Employees’
Provident Fund Scheme, 1952. Calculations shall be done in the following manner: -
i. On the amount at the credit of a member on the last day of the preceding year, less any
sums withdrawn during the current year - interest for twelve months.
ii. On sums withdrawn during the current year - interest from the beginning of the current
year up-to the last day of the month preceding the month of withdrawal;
iii. On all the sums credited to the member's account after the last day of the preceding year
- interest from the first day of the month succeeding the month of credit to the end of the
current year;
iv. The total amount of interest shall be rounded to the nearest whole rupee (fifty paise
counting as the next higher rupee).
(e) If the Board of Trustees are unable to pay interest at the rate declared for Employees’ Provident
Fund by the Govt. of India under Para 60 of the Employees’ Provident Fund Scheme, 1952 for
the reason that the return on investment is less or for any other reason then the deficiency shall
be made good by the employer.
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(f) In determining the rate of interest the Board shall satisfy itself that no excess amount is drawn
from the Revenue Account as a result of debit thereto of the interest credited to the individual
accounts.
39.1 INTEREST TO BE CREDITED ON SETTLEMENT AND TRANSFER

(a) In case of transfer of provident fund accumulations for final settlement of an account, interest on
the balance standing at the credit of the account shall be payable up to the end of the month
preceding the date on which the transfer or final payment is authorized.
(b) Provided that interest up to and for the current month shall be payable on the balance standing
in the account from the beginning of the month to the date of settlement on which the transfer
or final payment is authorized.
The rate of interest to be allowed for the broken currency period shall be the rate declared for
the year in which payment is made.
(c) In case of a member coming from other provident fund interest on his transferred accumulation
is to be credited to his account from date on which the accumulations are credited in the bank
account of the Fund.
(d) The aggregate amount of interest credited to the accounts of the members shall be debited to
"Revenue Account".
(e) In determining the rate of interest, the Board shall satisfy itself that there is no overdrawal on
the Interest Account as a result of the debit thereto of the interest credited to the accounts of
members.
40. BANKERS OF THE FUND
The Bankers of the Fund shall be the State Bank of Hyderabad, ICICI Bank Ltd and Syndicate
Bank or such other scheduled Bank that may be selected by the Board of Trustee from time to
time.
The Fund’s saving’s Bank Account shall be credited with: -
(i) All moneys deducted by the establishments from the monthly emoluments of the members,
including installments of refundable advances, if any, and interest thereon deducted from the
emoluments of the members or remitted by the members;
(ii) All moneys paid by the establishments as its contribution to the fund shall be paid into the
Fund’s Savings Bank account with the said Bank.
(iii) Interest and maturity proceeds on investments
(iv) Transfers of past accumulations of members who join the Fund, and
(v) Interest and penal damages payable by the employer for the belated remittances of dues as
ordered by the Regional Provident Fund Commissioner.
The name of the said account with the said Bank shall be NTPC Limited Employee Provident Fund
Trust. Withdrawals from this account shall be by Cheque which shall in respect of each Cheque,
be signed by two trustees, one of them must be the representative of the employee.
41. COST OF ADMINISTERING THE FUND
(i) The costs, charges and expenses of administering the Fund including the maintenance of
accounts, audit fee, submission of returns, and transfer of provident fund accumulations and
bank charges shall be borne by the employer.
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(ii) The employer shall make good any other loss that may be caused to the Fund due to theft,
burglary, misappropriation, fraud, defalcation, wrong investment decision or any other reason.
(iii) The employer shall within fifteen days of the close of every month pay the inspection
charges at the rate of 0.18% of the basic wages, D.A., Cash Value of food concession and
retaining allowance, if any, or at such rate as may be fixed by the Central Government.
42. AUDIT OF ACCOUNTS
(i) The accounts of the Fund maintained by the Board of Trustees shall be subject to audit by a
qualified chartered accountant appointed by the Board of Trustee. A copy of the audited annual
provident Fund Accounts together with the audited Balance Sheet of the establishment for each
accounting year shall be submitted to the Regional Provident Fund Commissioner within six
months after the close of the financial year. A copy of the Auditors report along with the audited
balance sheet should be submitted to the RPFC concerned by the Auditors directly within six
month after the closing of the financial year. The formats of the balance sheet and the
information to be furnished in the report shall be as prescribed by the Employees’ Provident
Fund Organization and made available by the RPFC office in electronic format as well as a signed
hard copy.
(ii) The same auditors shall not be appointed for two consecutive years and not more than two
years in a block of six years. Where considered necessary the Central Provident Fund
Commissioner shall have the right to have the accounts re-audited by any other qualified auditor
and the expense so incurred shall be borne by the employer.

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CHAPTER-V
TEMPORARY WITHDRAWALS
43. CIRCUMSTANCES IN, WHICH TEMPORARY WITHDRAWALS MAY BE PERMITTED
The Secretary may allow temporary withdrawals in the following circumstances: -
(a) to pay expenses in connection with the serious or prolonged illness or a disability, including
where necessary, the traveling and allied expenses of the member or any person actually
dependent on him for getting medical treatment;
(b) to meet the cost of higher education, including where necessary, the traveling expenses of
the member or any person actually dependent on him in the following cases, namely:
i) for education outside India for an academic, technical, professional or vocational course
beyond the High School stage; and
ii) for any medical, engineering or other technical or specialized course in India beyond
the High School stage.
(c) To meet the expenses the member has to incur in connection with the marriage or other
ceremonies of himself or of his children or of his dependent parents, sisters and brothers, the
condition of actual dependence shall not apply in the case of the children of the member;
(d) to pay obligatory expenses which by customary usage the member has to incur in connection
with marriages of his relatives like sisters, brothers, nephews and nieces etc. The nephew
and niece means son/ daughter of member or member's spouses' brother/sister.
Explanation: 1. Cost of higher education shall include all fees and hostel charges (other than
security deposit) of the recognized institution. However, the fees and hostel charges will be
paid in the name of the college/ Institution and Demand Draft charges, if any shall be born
by the company except in case where fee is to be deposited at the time of counseling and
member desires to get the advance in his/ her name with a condition that proof of utilization
will be submitted by the member within one month of withdrawal of advance. Traveling
expenses if required will be paid in the name of member.
Explanation2: Advance as mentioned in the rule 43 (c) for other ceremonies and
ceremonies of relatives mentioned in rule 43(d) will be made only in following occasion and
will be paid only once for the each ceremonies:
Self Marriage, Son & Daughter’s marriage, Niece/ Nephew’s marriage, brother- in- law/
sister- in- law’s marriage, brother & sister including cousin’s marriage, grand son & grand
daughter’s marriage, mundane including self mundane/ akika, Janeu/ Upnayan ceremony,
Karan/ Nose Chhedan, Goad Bharai of daughter in law/ daughter, baptism, holy communion
of daughter, death ceremony of father/ mother (in the year of death), aruvadham kalyanam/
shashti pujan of parents/ Dastar Bandi, Namkaran Sanskar of Child, Annaprasnam of son/
daughter.
44. CONDITIONS FOR WITHDRAWAL FOR VARIOUS PURPOSES
(1) The withdrawals in connection with expenses incurred as specified in Rule 43 shall not exceed
six months' basic pay and Dearness Allowance or the member's total contribution with in-
terest thereon whichever is less.

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(2) For the purpose of this rule, " pay " means the pay to which the employee is entitled at the
time when the withdrawal is granted or in the case of an employee referred to in Rule 33 the
' pay' and Dearness Allowance on which the Company's contribution is calculated.
(3) The amount withdrawn shall be repaid in not more than fifty equal monthly installments in
whole rupees.
(4) (a) Interest shall be charged on the amount withdrawn at existing rate of interest and 1% over
and above the rate determined by the Board for the Financial year in accordance with rule
39(1).
(b) Interest at the rate provided in Clause (a) shall be paid in the first installment; principal of
the advance shall be recovered thereafter.
(5) The Company shall recover the installments of advance and interest from the member's
wages and pay them to the Fund. The recovery of advance shall commence on the first
occasion after the advance is made on which the member's pay for a full month is drawn
irrespective of whether the balance is or is not claimed by him.
(6) A withdrawal under the rule 43 shall be treated, as a temporary reduction in the member's
balance and recoveries made under sub-rule (3) shall be credited to the member's account.
The recoveries made under sub rule (4) i.e. interest on refundable advances shall be credited
to the interest on advances to members.
45. SECOND WITHDRAWAL
A second withdrawal shall not be permitted before complete repayment of the first withdrawal
together with interest.
46. UTILIZATION OF AMOUNT WITHDRAWN
(1) In respect of any amount withdrawn under Rule 43, if the Secretary is not satisfied that the
amount withdrawn was actually spent for the specified purpose, the Secretary shall with prior
approval of the Chairman, order recovery of the amount withdrawn in one or more
installments with interest at 2% over & above the existing rate from the pay of the member,
to be credited to the member's account.
(2) In case of default in repayment of installments due under Rule 44, or where the amount
withdrawn is not utilized for the purpose for which it is withdrawn, the Commissioner of
Income Tax or RPFC may at his discretion order that the amount of the withdrawal or the
amount outstanding shall be added to the total income of the employee for the year in which
the default occurs or the withdrawn amount is finally held not to have been utilized for the
purpose for which it is withdrawn and the Income Tax Officer or P.F. Officer shall assess the
employee accordingly.

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CHAPTER-VI
NON-REFUNDABLE ADVANCES
47. WITHDRAWALS FROM THE FUND FOR PAYMENT TOWARDS INSURANCE POLICIES
(a) Any amount with interest thereon standing to the credit of a member in the account of the
Fund may be withdrawn not more than once in every six months to make a payment towards a
policy of Life Insurance, Provided that the withdrawal shall not be permitted before the details
of the proposed policy have been submitted to the Secretary in such form as he may specify
and accepted by him as suitable. Nor shall the withdrawal be permitted in excess of the
amount required to pay a premium or subscription actually due for payment within six
months of the date of withdrawal.
Provided further that no amount may be withdrawn to make any payment in respect of, or for
the purpose of purchasing, an educational endowment policy if that policy is due for payment
in whole or part before the member attaining the age of 55 years.
Provided further that the amount withdrawn shall not exceed the total of members
contributions including interest thereon up to the date of withdrawal:
Provided further that the policyholder has been a member of the Fund for at least three
years, that he has enough money in the Fund to keep the policy alive till it attains the
surrender value and that his yearly contributions are sufficient to finance the policy.
(b) A member permitted to withdraw any amount under this Rule shall send to the Secretary,
within such period as he may require, a receipt in order to satisfy him that the amount
withdrawn was duly applied for the specified purpose.
(c) The secretary shall order the recovery of any amount withdrawn, in respect of which he is
not satisfied that the amount withdrawn was actually spent for the specified purpose, with
interest thereon at 2% over & above the existing rate from the emoluments of the member
and credit it to his account in the Fund.
(d) The Fund shall not make any payment on behalf of the members directly to Insurance
Companies or take steps to keep the policy alive. Withdrawals will be permitted only on
specified requests of the members, received well in time.
(e) Before any withdrawal is allowed to make a payment towards a policy of Life Insurance, the
Secretary shall satisfy himself that the nominee under the policy is the same as the nominee
to receive the balance in the Fund in accordance with Rule 29.
47.1 ASSIGNMENT OF POLICIES TO THE FUND
a) The policy, within six months after the first withdrawal in respect of it, shall be assigned
to the Board as security for the payment of the amount withdrawn and shall be delivered
to the Secretary.
b) The Secretary shall, before allowing withdrawal in respect of old policies, satisfy himself by
reference to the Insurance Company that no prior assignment of the policy exists and the
policy is free from all encumbrances.
c) The terms of the policy shall not be altered nor shall the policy be exchanged for another
policy without the prior consent of the Secretary to whom the details of the alteration or
of the new Policy shall be furnished in such form as he may specify.
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d) If the policy is not assigned and delivered, any amount withdrawn from the Fund in
respect of the Policy shall, with interest thereon at 2% over & above the existing rate
forthwith be repaid by the member to the Fund, or in default be ordered by the Secretary
to be recovered by deduction from the emoluments of the member in such installments
as he may determine.
e) A policy to be acceptable under this rule shall be affected by the member on his own life and
shall be such as payable legally assigned by the member to the Board.
47.2 BONUS TO BE ADJUSTED AGAINST THE WITHDRAWAL
A member shall not during the currency of the policy, draw any bonus the drawl of which
during it’s currency is optional under the terms of the policy and the amount of any bonus
which under the terms of the policy the member has no option to refrain from drawing during
its currency shall be paid by him forthwith into the Fund to be adjusted against the amount
withdrawn, or in default be recovered by deduction from his emoluments in such installments
as the Secretary may determine.
47.3 Re-ASSIGNMENT OF POLICES
(1) When the member:
(a) permanently retires from service of the Company after the attainment of the age of
superannuation; or
(b) retires on account of permanent and total incapacity for work due to bodily or mental
infirmity (as provided in Rule 59 (1) (b)) ;or
(c) is permitted by the Trustees under Rules 59 (2) to withdraw the amount standing to his
credit in the Fund; or
(d) repays to the Fund the whole of any amount withdrawn from the Fund with interest
thereon at 2% over & above the existing rate, the Board shall re-assign the policy to
the member and make it over to him together with a signed notice of the reassignment
addressed to the Insurance Company.
(2) If the member dies before quitting service, the trustees shall reassign the policy to the
beneficiary, if any, or to such person as may be legally entitled to receive it and shall make
over the policy to the beneficiary or to such persons together with a signed notice of the
reassignment addressed to the Insurance Company.
47.4 RE-PAYMENT OF THE AMOUNT WITHDRAWN

If a policy matures or otherwise falls due for payment during the currency of its assignment, the
Board of Trustees shall realize the amount assured together with bonus, if any, accrued thereon,
place to the credit of the member the amount so realized, or the whole of the amount paid from
the Fund in respect of the policy with interest thereon, whichever is less, and refund the balance,
if any, to the member.
47.5 RECOVERY OF THE AMOUNT WITHDRAWN IN CERTAIN CASES

The Provisions of Rule-47, sub-rule 1(d) applicable to a failure to assign and deliver a policy shall
apply:
i) If the policy lapses or is assigned otherwise than to the Board charged or encumbered; or
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ii) If the member does not repay the whole of the amount withdrawn with interest under rule
47.4.
48. ADVANCE FROM THE FUND FOR THE PURCHASE OF A DWELLING HOUSE OR A DWELLING
SITE OR FOR CONSTRUCTION OF A DWELLING HOUSE OR EXTENSION OF AN EXISTING
DWELLING HOUSE
1.The Secretary may on an application from a member in such form as may be prescribed and
subject to conditions prescribed in this clause, sanction from the amount standing to the credit
of the Member in the fund, an advance:
a) For purchasing a dwelling house/flat including a flat in a building owned jointly with others
(outright or on hire purchase basis) or for constructing a dwelling house including the acquisition
of a suitable site for the purpose from the Central Government, the State Government, a co-
operative society, an institution, a trust, a local body or a Housing Finance Corporation
(hereinafter referred to as the agency/agencies)
OR
b) For purchasing a dwelling site for the purpose of construction of a dwelling house or a ready
built dwelling house/flat from any individual;
OR
c) For the construction of a dwelling house on site owned by the member or the spouse of the
member or jointly by the member and the spouse, or for completing/continuing the construction of
a dwelling house already commenced by the member or the spouse, on such site or for
purchase of a house/flat in the joint name of the member and the spouse under clause (a)
and (b) above.
OR
d) For purchasing dwelling house/flat on ownership basis from a promoter governed by the
provisions of any Flats or Apartments Ownership Act or by any other analogous or similar law of
the Central Government or the State Government as may be in force in any State or area for the
time being and who intends to construct or constructs a dwelling house or block or flat and the
member is required to pay the said promoter in advance for financing the said construction of
the house/flat.
The member shall enter into an agreement with the promoter as may be required under the
Flats or Apartments Ownership Act or any other analogous or similar law of the Central
Government or State Government which may be in force in any State or any area and the said
agreement is registered under the Indian Registration Act, 1908.
Explanation:
In this paragraph, the expression, co-operative society means a society registered or deemed to
be registered under the Cooperative Societies Act, 1912 (2 of 1912) or under any other law for
the time being in force in any State relating to Cooperative Societies Act. 1912 (2 of 1912).
2) (a) For the purpose of purchase of a site for construction of house thereon, the amount of
withdrawal shall not exceed member's basic pay and dearness allowance for 24 months or the
member's own share of contributions together with the employer's share of
contributions with interest thereon or the actual cost towards the acquisition of the dwelling
site whichever is the least.

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(b)For the purpose of acquisition of already built house/flat or acquisition of the dwelling
site together with the cost of construction thereon, the withdrawal shall not exceed the
member's basic pay and dearness allowance for thirty-six months or the member's own share
of contributions, together with the employer's share of contributions, with interest thereon, or
the total cost of construction, whichever is the least.
Explanation: 1.The actual cost towards purchase of the dwelling house/flat from any 'Agency'
referred to in clause (a) of sub-paragraph (1) will also include the cost for improvements to
the house/flat to make it 'livable'. The payment of advance for improvements and alterations
shall be made to member and not direct to the 'Agency" as referred to in clause (a) of sub-
paragraph (4). This will, however, be subject to the condition that such a request for
withdrawal is received by the Secretary before the date of occupation of the said Flat/house
or within three months from the date of taking possession whichever is earlier. It would be
subject to further condition that the amount of advance for this purpose shall not exceed 10%
of the actual purchase price of the flat/house and the member has not drawn any advance
from the company for the same purpose".
Explanation:2 the actual cost towards the acquisition of the dwelling site or the purchase of the
dwelling house/ flat shall include the charges payable towards registration of such site, house or
flat.
(3) (a) No advance under this paragraph should be granted unless:
i) the member has completed five years membership of the fund;
ii) the member's share of contribution with interest thereon in the account standing to his
credit in the Fund is not less than one thousand rupees;
iii)the dwelling site or the dwelling house/flat or the house under construction is free from
encumbrances.
Provided that where a dwelling site or a dwelling house/flat is mortgaged to any of the
agencies, referred to in clause (a) of sub-paragraph (1) solely for having obtained funds for
the purchase of a dwelling house/flat or for construction of a dwelling house, including the
acquisition of a suitable site for the purpose, such a dwelling house/flat as the case may be shall
not be deemed to be an encumbered property.
Provided further that a land acquired on a perpetual lease or on lease for a period of not less
than 30 years for constructing a dwelling house/flat or a house/flat built on such a leased land,
shall also not be deemed to be encumbered property.
Provided also that where the site of the dwelling house/flat is held in the name of any agency,
referred to in clause (a) of Sub paragraph (1) and the allottee is precluded from transferring or
otherwise disposing off, the house/flat without the prior approval of such agency. The mere fact
that the allottee does not have absolute right of ownership in the name of the agency shall not be
a bar to the giving of an advance under clause (a) of sub-paragraph (1), if other conditions
mentioned in the paragraph are satisfied
(b) no advance shall be granted for purchasing a share in a joint property or for constructing a
house on a site owned jointly except on a site owned jointly with the spouse.
(4) Subject to the limitation prescribed in sub paragraph (2).

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(a) where the advance is for the purchase of a dwelling house/flat or a dwelling site from an
agency, referred to in clause (a) of sub paragraph (1) the payment of advance shall not be
made to the member but shall be made direct to the agency, in one or more installments, as
may be authorized by the member;
(b) where the advance is for the construction of a dwelling house, it may be sanctioned in such
number of installments as the Secretary thinks fit.
(c) Where the advance is for acquisition of a dwelling site for the purpose of construction of a
dwelling house thereon from any individual or any agency, the amount shall be paid in not
less than two equal installments, the first installment at the time of acquisition of the
dwelling site and the remaining at his request at the time of the construction of a dwelling
house on such dwelling site;
(5) Where an advance is sanctioned for the construction of a dwelling house, the construction shall
commence within six months of the withdrawal of the first installment and shall be completed
within twelve months of the withdrawal of the final installment.
Where the advance is sanctioned for the purchase of a dwelling house/flat or for the acquisition of
a dwelling site the purchase or the acquisition as the case may be, shall be completed within six
months of the withdrawal of the amount.
Provided that this provision shall not be applicable in case of purchase of a dwelling house/ flat on
hire purchase basis and is case where a dwelling site is to be acquired or houses are to be
constructed by a cooperative society on behalf of its members with a view to their allotment to the
members.
(6) Except in the cases specified in sub-paragraph (7), no further advance shall be admissible to a
member under this paragraph.
(7) An additional advance up to twelve months’ basic wages and Dearness Allowance or the member's
own share of contribution with interest thereon, in the amount standing to his credit in the Fund,
whichever is less, may be granted in one installment only, for additions, substantial alterations or
improvements necessary to the dwelling house owned by the member or by the spouse or jointly by
the member and the spouse.
Provided that the advance shall be admissible only after a period of five years from the date of
completion of the dwelling house.
7(A) A further withdrawal up to twelve months basic wages and DA or member's own share of
Contribution with interest thereon in his account, whichever is the least, may be granted for
addition, alteration improvement or repair of the dwelling house owned by the member or by the
spouse or jointly by the member and the spouse, after ten years of withdrawal under paragraph 48
(7).
(8) The member shall produce the title deed and such other documents as may be required for
inspection, which shall be returned to the member after the grant of advance.
(9) a) If the advance granted under this paragraph exceeds, the amount actually spent for the purpose
for which it was sanctioned, the excess amount shall be refunded by the member to the Fund in
one lump-sum within thirty days of the finalization of the purchase or the completion of the
construction of, or necessary additions, alterations or improvements to a dwelling house, as
the case may be. The amount so refunded shall be credited to the employer's account in the
fund, to the extent of advance granted out of the said share and the balance, if any, shall be
credited to the member's share of contributions in this account.
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b) In the event of the member not having been allotted a dwelling site/dwelling house/flat or in
the event of the cancellation of an allotment made to the member and of the refund of the
amount by the agency referred to in clause (a) of sub-paragraph (1), or in the event of the
member not being able to acquire the dwelling site or to purchase the dwelling house/flat from
any individual or to construct the dwelling house, the member shall be liable to refund to the
fund in one lump sum and in such manner as may be specified by the Secretary, the amount
of advance remitted under this paragraph to him or as the case may be to the agency referred
to in clause (a) of sub-paragraph.
The amount so refunded shall be credited to the employer's share of contribution in the member's
account in the Fund to the extent of advance granted out of the said share, and the balance, if
any, shall be credited to the member's own share of contributions in his account.
(10) If the Secretary is satisfied that the advance granted under this paragraph has been utilised
for a purpose other than that for which it was granted or that the member refused to accept
an allotment or to acquire a dwelling site or that the conditions of advances have not been
fulfilled or that there is reasonable apprehension that they will not be fulfilled, wholly or
partly, or that the excess amount will not be refunded in terms of clause (b) of sub-
paragraph (9), the Secretary shall forthwith take steps to recover the amount due, with penal
interest thereon at the rate of two percent per annum, from the wages of the member in
such number of installments as the Secretary may determine. For the purpose of such
recovery, the Secretary may ask the employer to deduct such installments from the wages of
the member and on receipt of such direction, the employer will deduct accordingly. The
employer shall remit the amount so deducted to the Secretary within such time and in such
manner as may be specified in the direction. The amount so refunded, excluding penal
interest shall be credited to the employer's share of contributions in the members' account in
the fund, to the extent of advance granted out of the said share, and the balance, if any, shall
be credited to the member's own share of contribution in his account. The amount of penal
interest shall be credited to the Interest Account.
(11) Where any advance granted under the paragraph has been misused by the member, no
further advance shall be granted to him under this paragraph within a period of three years
from the date of grant of the said advance or till the full recovery of the amount of the said
advance, with penal interest thereon, whichever is later.
49. COMPUTATION OF PERIOD OF MEMBERSHIP
In computing the period of membership of the Fund of a member under the Rules 48, his
total service under the Company exclusive of periods of breaks as well as the period of his
membership of a provident fund in any Government or private establishment prior to joining
the Company, the balance of which has been transferred in accordance with rule 37 shall be
included.
50. ADVANCE FROM THE FUND FOR REPAYMENT OF LOANS IN SPECIAL CASES
1. (a) The Secretary may, on an application from a member, sanction from the amount
standing to the credit of the member in the Fund, withdrawal for the repayment, wholly
or partly, of any outstanding principal and interest of a loan (obtained in the name of
the member or spouse of the member or jointly by the member and spouse from a
State Government, Registered Cooperative Society, State Housing Board, Nationalized
Banks, Public Financial Institutions). Municipal Corporation or a body similar to the Delhi
Development Authority solely for the purposes specified in sub-paragraph (i) of clause
48.

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(b) The amount of advance shall not exceed the member's basic wages and dearness
allowance for 36 months or his own share of contributions, together with the employer's
share of contribution with interest thereon, in the member's account in the Fund or the
amount of outstanding principal and interest of the said loan, whichever is least.
2. No advance shall be sanctioned under this Paragraph unless:

(a) the member has completed 10 years membership of the Fund; and'
(b) the member's own share of contribution, with interest thereon, standing to his credit in
the Fund is one thousand rupees or more; and
(c) the member produces a certificate or such other documents, as may be prescribed by the
Secretary from such agency indicating the particulars of the member, the loan granted,
the outstanding principal, interest of the loan and such other particulars as may be
required.
3. The payment of the advance under this paragraph shall be made direct to such agency on
receipt of an authorization from the member in such manner as may be specified by the
Secretary and in no event the payment shall be made to the member.
51. ADVANCE TO RESERVISTS RECALLED FOR DEFENCE DUTY :
An advance may be given to a Reservist, who is a member of the Fund, to the extent of his own share
of contributions together with interest thereon, when the Army authorities call him back. Such
payments may be made as far as possible before the member concerned is relieved for reporting on
duty to the Army Authorities.
52. ADVANCES FROM THE FUND FOR MARRIAGE OR POST MATRICULATION EDUCATION OF
CHILDREN
The Secretary, may on an application from a member authorize payment to him or her a non-
refundable advance from his or her Provident Fund account not exceeding fifty percent of his/her
own share of contribution, with interest thereon, standing to his/her credit in the Fund, on the
date of such authorization, for the following purpose namely:
(a) Meeting of cost of higher education including where necessary, the traveling expenses of any
child of the member in the following case, namely:-
(i) for education outside India for academic, technical, professional or vocational course
beyond the high school stage, and
(ii) for any medical, engineering or other technical or specialized course in India beyond the
High School stage.
Explanation: Cost of higher education shall include all fees and hostel charges (other
than security deposit) of the recognized institution. However, the fees and hostel charges
will be paid in the name of the college/ Institution and Demand Draft charges, if any shall
be born by the company except in case where fee is to be deposited at the time of
counseling and member desires to get the advance in his/ her name with a condition that
proof of utilization will be submitted by the member within one month of withdrawal of
advance. Traveling expenses if required will be paid in the name of member.

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(b) Meeting the expenditure in connection with member’s self-marriage, marriage of the
members’ sons or daughters or dependent brothers or sisters.
Explanation: No advance under this rule shall be sanctioned unless the member has
completed 7 years membership of the fund and his own share of contribution including
interest thereon standing to his credit in the fund is Rs.1000/- or more.
53. ADVANCE FROM THE FUND FOR ILLNESS IN CERTAIN CASES
1. A member may be allowed non-refundable advance from his account in the Fund for
treatment of self or any member of his family in cases of:
(a) Hospitalization lasting for one month or more, or

(b) Major surgical operation in a hospital, or
(c) Suffering from T.B, leprosy, paralysis, cancer, mental derangement or heart ailment
and having been granted leave by his employer for treatment of the said illness.
2. The advance shall be granted if –
(a) A doctor of the hospital certifies that a surgical operation or, as the case may be,
hospitalization for one month or more had or has become necessary or a registered
medical practitioner, or in the case of mental derangement or heart ailment, a specialist
certifies that the member is suffering form T.B, leprosy, paralysis, cancer, mental
derangement or heart ailment.
(3) The advance shall not exceed the amount considered reasonable by the authorized
medical attendant for meeting the expenses in connection with the illness and it shall in
no case exceed six months' basic pay and D.A. or the member's total contribution with
interest thereon, whichever is less.
54. GRANT OF ADVANCES IN ABNORMAL CONDITIONS
1. The Board of Trustees may on an application from a member whose property, movable or
immovable, has been damaged by a calamity of exceptional nature, such as floods,
earthquakes or riots, authorize payment to him from the provident fund account a non-
refundable advance of Rupees Five Thousand or fifty percent of his own total contribution
including interest there on standing to his credit on the date of such authorization,
whichever is less, to meet any unforeseen expenditure;
2. No advance under sub-rule(1) shall be paid unless
(i) the State Government has declared that the calamity has affected the general public in
the area;
(ii) the member produces a certificate from an appropriate authority to the effect that his
property (movable or immovable) has been damaged as a result of the calamity;
(iii) the application for advance is made within a period of four months from the date of
declaration referred to in this sub-rule (i).
55. GRANT OF ADVANCES IN SPECIAL CASES

1. In case company has been locked up or closed down for more than fifteen days and its
employees are rendered unemployed without any compensation or in case an employee
does not receive his wages for a continuous period of two months or more, these being
for reasons other than a strike, the Secretary, may on an application from an employee,
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who is a member of the Fund, in such form as may be prescribed, authorize payment to
him, one or more non-recoverable advances from his provident fund account not
exceeding his own total contributions including interest thereon up to the date the
payment has been authorized.
(1A) In case a provident fund member is discharged or dismissed or retrenched by the

employer and such discharge or dismissal or retrenchment is challenged by the member
and the cases are pending in a Court of Law, Secretary may on an application from the
member in such form as may be prescribed authorize payment to him of one or more
non-recoverable advance from his Provident Fund Account not exceeding fifty per cent of
his own share of contribution with interest thereon standing to his credit in the Fund on
the date of such authorization.
(2) (a) In case the company continues to remain locked up or closed down for more than six
months, the Secretary on being satisfied that a member who has already been granted
one or more non-recoverable advances from his Provident Fund Account under sub-
paragraph (1) still continues to be unemployed and no compensation is likely to be paid
to him at an early date, may on receipt of an application therefore in such form as may
be prescribed in this behalf, authorize payment to the member of one or more
recoverable advances from his Provident Fund Account up to the extent of 100% of the
employers’ total contribution including interest thereon up to the date on which the
payment has been authorized:
Provided that if the company in which the member is employed remains closed for more
than five years for reasons other than strike, recoverable advance may be converted
into non-recoverable advance on receipt of a request in writing from the member
concerned.
b) The advance granted under clause (a) shall be interest-free.
(c ) The advance granted under clause (a) shall be recovered by deductions from the
wages of the member in such installments subject to a maximum of thirty-six
installments, as may be determined by the Secretary. The recovery shall commence
from the first wages paid to the member immediately after the re-start of the company.
(d)The employer shall remit the amount so deducted to the Fund within such time and in
such manner as may be specified by the Secretary. The amount, on receipt, shall be
credited to the member’s account in the Fund.
EXPLANATION- For the purpose of grant of advance under this paragraph, the
establishment (Company) may be closed legally, illegally, with permission or without
permission, so long as the establishment (Company) is closed.
56. GRANT OF ADVANCE TO MEMBERS AFFECTED BY CUT IN THE SUPPLY OF

ELECTRICITY
A member may be allowed a non-refundable advance from his account in the Fund, if there is a
cut in the supply of electricity to the company in which he is employed on the following
conditions, namely:-
a) The advance may be granted only to a member whose total wages for any one month
commencing from the month of January, 1973, were three-fourths or less than three-
fourths of wages for a month.

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b) The advance shall be restricted to the amount of wages for a month or Rs.300 or the
amount standing to the credit of the member in the Fund as his own share of
contribution with interest thereon, whichever is less.
c) No advance shall be paid unless the State Government certify that the cut in the
supply of electricity was enforced in the area in which the establishment (Company) is
located and the employer certifies that the fall in the member’s pay was due to cut in
the supply of electricity.
d) Only one advance shall be admissible under this paragraph.
EXPLANATION – “Wages” means for the purposes of this paragraph, basic pay and
dearness allowance excluding lay-off compensation, if any.
57. GRANT OF ADVANCE TO MEMBERS WHO ARE PHYSICALLY HANDICAPPED
1) A member, who is physically handicapped, may be allowed a non-refundable advance

from his account in the Fund, for purchasing equipment required to minimize the
hardship on account of handicap.
2) No advance under sub-paragraph (1) shall be paid unless the member produces a
medical certificate from a competent medical practitioner to the satisfaction of the
Secretary to the effect that he is physically handicapped.
3) The amount advanced under this paragraph shall not exceed the member’s basic wages
and dearness allowance for six months or his own share of contribution with interest
thereon or the cost of the equipment, whichever is least.
4) No second advance under this paragraph shall be allowed within a period of three years
from the date of payment of an advance allowed under this paragraph.
58. Payment from Fund to member or their Representatives
Except as these rules expressly provide, no member nor any person or persons on his behalf or
in respect of his interest in the Fund or assets thereof, shall be entitled to claim any payment of
money to him or them.
58-A. Prohibition against transfers and assignments
No member shall transfer or assign whether by way of security or otherwise his interest or any
part thereof in the moneys or lying to his credit in the Fund and no such transfer or assignment
shall be valid and the Board shall not recognize or be bound by notice to them of any such
transfer or assignment.
58-B: Payment of withdrawal or advances
The payment of withdrawal or advances under the rule of the scheme may be made at the
option of the member:
(h) by deposit with payee bank account in any scheduled bank or in any post office. or
(ii) through employer.

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CHAPTER-VII
FINAL WITHDRAWAL
59 CIRCUMSTANCES IN WHICH ACCUMULATIONS IN THE FUND ARE PAYABLE TO A

MEMBER
(1) A member may withdraw the full amount standing to his credit in the Fund:-
(a) on retirement from services after attaining the age of 55 years .
Provided that a member, who has not attained the age of 55 years at the time of
termination of his service shall also be entitled to withdraw the full amount standing to
his credit in the Fund if he attains the age of 55 years before the payment is authorized.
(b) on retirement on account of permanent and total incapacity for work due to bodily or
mental infirmity duly certified by the Medical Officer of the establishment or where it has
no regular officer, by a registered Medical Practitioner designated by the establishment or
from a registered medical practitioner or medical officer of the Employees State
Insurance Dispensary with which the member is registered under that Scheme.
(c) immediately before migration from India for permanent settlement abroad; or for taking
employment abroad.
(d) on termination of service in the case of mass or individual retrenchment;
(e) on termination of service under a voluntary scheme of retirement framed by the

employer and the employees under a mutual agreement specifying, inter-alia, that
notwithstanding the provisions contained in sub-clause (a) of clause (00) of section 2 of
the Industrial Disputes Act, 1947 excluding voluntary retirements from the scope of
definition of “retrenchment” such voluntary retirement shall for the purpose be treated as
retrenchment by mutual consent of the parties.
(f) in any of the following contingencies, provided the actual payment shall be made only
after completing a continuous period of not less than two months immediately preceding
the date on which a member makes the application for withdrawal :-
(i) Where the member is transferred from the establishment to another factory or
other establishment not covered by the Employees' Provident Fund &
Miscellaneous Provisions act, 1952; but is under the same employer.
(ii) where the establishment is closed but certain employees who are not retrenched
are transferred by the employer to other factory or establishment not covered by
the Employees' Provident Fund & Miscellaneous Provisions Act, 1952 ; and
(iii) if a member is discharged from service of the establishment and is given
retrenchment compensation under the Industrial Disputes Act, 1947.
(2.) In cases other than those specified in sub-rule (1), the Board of Trustees may permit a member
to withdraw the full amount standing to his credit in the Fund on ceasing to be an employee of
the establishment provided that a member declares in writing affirming the fact that he has not
been employed in any factory or other establishment to which the Act applies for a continuous
period of not less then two months immediately preceding the date on which he makes an
application for withdrawal. The requirement of two months waiting period shall not, however,

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apply in cases of female members resigning from the services of the establishment for the
purpose of getting married.
(3.) Any member who withdraws the amount due to him under sub-rule (2) shall, on obtaining re-
employment in the establishment be required to qualify again for the membership of the Fund
and on qualifying for membership shall be treated as a fresh member thereof.
(4.) The Board of Trustees may on an application from a member in such form as may be
prescribed, permit withdrawal of upto 90 percent of the amount standing at his credit at any
time after attainment of the age of 54 years by the member or within one year before his actual
retirement on Superannuation whichever is later.
60. ACCUMULATIONS OF A DECEASED MEMBER-TO WHOM PAYABLE
On the death of a member, before the amount standing to his credit has become payable or
where the amount has become payable before payment has been made
(a) if a nomination made by the member in accordance with Rule 29 subsists, the amount
standing to his credit in the Fund or that part thereof to which the nomination relates, shall
become payable to his nominee or nominees in accordance with such nomination; or
(b) if no nomination subsists or if the nomination relates only to a part of the amount standing to
his credit in the Fund, the whole amount or the part thereof to which the nomination does
not relate, as the case may be, shall become payable to the members of his family in equal
shares. Provided that no share shall be payable to:
i) Sons who have attained majority;

ii) Sons of a deceased son who have attained majority;
iii) Married daughters whose husbands are alive; and
iv) Married daughters of a deceased son whose husbands are alive.
If there is any member of the family other than those specified in clauses (i), (ii), (iii), (iv)
above
Provided further that the widow or widows, and the child or children of a deceased son shall
receive between them in equal parts only the share which that son would have received if he
had survived the member and had not attained the age of majority at the time of the
member’s death.
(c) In any case to which the provisions of clauses (a) and (b) do not apply, the whole amount shall
be payable to the person legally entitled to it.
Explanation
For the purpose of this Rule a member's posthumous child, if born alive, shall be treated in
the same way as a surviving child born before the member's death.
60A. PAYMENT OF PF ACCUMULATIONS IN THE CASE OF A PERSON CHARGED WITH THE

OFFENCE OF MURDER
(1) If a person, who in the event of the death of a member of the fund is eligible to receive
provident fund accumulations of the deceased member under Rule 60, is charged with the
offence of murdering the member or abetting in the commission of such an offence, his claim to

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receive the share of provident fund shall remain suspended till the conclusion of the criminal
proceedings initiated against him for such offence.
(2) If on the conclusion of the criminal proceedings referred to in sub-rule (1), the person concerned
is:-
a. convicted for the murder or abetting the murder of the member, he shall be debarred
from receiving the share of provident fund accumulations which shall be payable to other
eligible members, if any, of the deceased member; or
b. acquitted of the murdering or abetting the murder of the member, his share of provident
fund shall be payable to him.
61. PAYMENT OF PROVIDENT FUND
(1) When the amount standing to the credit of a member, or the balance thereof after any
deduction becomes payable, it shall be the duty of the Secretary to make prompt payment as
provided in these Rules. He shall close the account of the member and give notice in writing
to the person to whom the amount is payable, specifying the amount and tendering payment
thereof. In case there is no nominee in accordance with the Rules, the Chairman may, if the
amount to the Credit of the Fund does not exceed Rs. 10000/- and if satisfied after the enquiry
about the title of the claimant, pay such amount to the claimant.
(2) If any portion of the amount which has become payable is in dispute or doubt, the Secretary
shall make prompt payment of that portion of the amount in regard to which there is no
dispute or doubt, the balance being adjusted as soon as possible.
(3) If the person to whom any amount is to be paid under these Rules is a minor or a lunatic
for whose estate a guardian under the Guardians and Wards Act, 1890 (VIII of 1890), or
a manager under the Indian Lunacy Act, 1912 (IV of 1912), as the case may be, has been
appointed, the payment shall be made to such guardian or manager. In case no such
guardian or manager has been appointed, the payment shall be made to such person as
the Chairman, where the amount does not exceed Rs. 20,000/- considers to be the proper
person representing the minor or lunatic and the receipt of such person for the amount
paid shall be a sufficient discharge thereof. In any other case the amount shall be paid to
the person authorised by law to receive the payment on behalf of the minor or the lunatic.
(4) If it is brought to the notice of the Secretary that a posthumous child is to be born to the
deceased member he shall retain the amount, which will be due to the child in the event of
its being born alive, and distribute the balance. If subsequently no child is born or the child is
stillborn, the amount retained shall be distributed in accordance with the provisions of Rule
60.
(5) Payment of withdrawal or advance shall be made under the option of the member: -
i) by postal money order, or
ii) by deposit in the payee’s bank account in any Scheduled Bank or in Co-operative Bank
(including the Urban Co-operative Bank) or any post office, or
iii) through the employer.
(6) All claims including transfers, advances, and final settlement complete in all respects
submitted along with the requisite documents shall be settled expeditiously within the time limit
prescribed under the EPF & MP Act, 1952.
62. EX-MEMBERS UNCLAIMED ACCOUNT

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Any amount becoming due to a member as a result of:
(i) supplementary contribution from the employer in respect of leave wages/arrears of pay,
installment of arrear contribution received in respect of a member whose claim has been
settled on account but which could not be remitted for want of latest address; or
(ii) accumulation in respect of any member who has either ceased to be employed or died,
but no claim has been preferred within a period of three years from the date it becomes
payable, or if any amount remitted to a person, is received back undelivered, and it is not
claimed again within a period of three years from the date it becomes payable, shall be
transferred to an account to be called the “Unclaimed Deposits Accounts.”
Provided that in the case of a claim for the payment of the said balance, the amount shall
be paid by debiting to the “Unclaimed Deposit Account”.

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CHAPTER-VIII
MISCELLANEOUS
63 DEDUCTION OF INCOME TAX
The Board of Trustees or any person authorized by it shall deduct Income Tax as per provisions
of Chapter XVII B of the Income Tax Act, 1961, from the payment of accumulated balance due
to the members which is not exempted from tax and is liable to be included in total income as
provided under Rule 8 or 10 of Part A of the 4th Schedule of the Income Tax Act, 1961.
64. PROTECTION AGAINST ATTACHMENT
i) The amount standing to the credit of any member in the Fund shall not in any way be capable
of being assigned or charged and shall not be liable to attachment under any decree or order
of any Court in respect of any debt or liability incurred by the member, and neither the official
assignee appointed under the Presidency-towns Insolvency Act, 1909 (3 of 1909), nor any
Receiver appointed under the Provincial Insolvency Act, 1902 (5 of 1902), shall be entitled to,
nor have any claim on any such amount.
ii)Any amount standing to the credit of a member in the Fund at the time of his death and
payable to his nominee under the Rules of the Fund shall, subject to any deduction authorised
by the Rules, vest in the nominee and shall be free from any debt or other liability incurred by
the deceased or the nominee before the death of the member.
65. TRUSTEES' POWER TO AMEND THE RULES
With the prior approval of the Regional Provident fund commissioner and Commissioner of income tax
the Trustees may in their discretion with consent of the Company in writing add to, alter, or repeal
any of the provisions of these presents but so that no such additions or alterations shall
adversely affect the rights of any member of the Fund in respect of any fund then in the hands
of the Trustees or result in the Company acquiring any beneficial interest whatsoever in the
Fund. All such additions or alterations shall during such time as the Fund shall continue to be
recognized as a recognized Fund within the meaning of the Income Tax Act and Employees'
Provident Fund Act, 1952.
The members shall have a right to appeal to the Regional Provident Fund Commissioner, in case
the Regional Provident Fund Commissioner approves any amendment to their disadvantage.
66. INSPECTION OF CARDS AND RECORDS BY THE COMMISSIONER
The Board of Trustee or the Secretary shall, whenever the Commissioner or any officer authorized
by him in this behalf or an Inspector appointed under Section 13 of the Employees' Provident
Fund Act, 1952, so requests either in person or by notice in writing, produce before the
Commissioner, Officer or Inspector, as the case may be, any account books or records of the
Fund, and if so required by the said Commissioner, Officer or Inspector who may, if he thinks fit,
retain the records provided that he shall grant a receipt of every record retained by him.
67. DISPOSAL OF THE FUND
Subject to the provisions of the Employees' Provident Funds Act and of these Rules the Fund shall
not, except with the previous sanction of the Commissioner, be extended for any purpose other
than for the payment of sums standing to the credit of individual members of the fund or to their
nominees or heirs or legal representatives in accordance with the provisions of these rules.

Secretary Trustee
Page: 34 of 40
68. WINDING UP
It shall be lawful for the Trustees at any time on giving a month's notice in writing to all
members of the Fund to wind up the Fund in which case the Trustees shall on expiry of the
period of such notice realize all securities and make up the books and after payment of all costs
and expenses of winding up and otherwise the moneys of the Fund shall be transferred of RPFC
for distribution amongst the persons who shall be the members at the time of commencement of
such winding up in proportion to the balances at the time of the making of the books standing to
their credit therein. In case of the Fund being wound up on account of Company going into
liquidation, the employees' contribution of the provident Fund will have top priority over all other
dues.
Provided that the winding up of the Fund will not be made without the prior approval of the
Commissioner. Provided further that when the Fund is wound up or exemption of the Company
under Section 17 (1) of Employees' Provident Fund Act, 1952 is cancelled, accumulations
standing to the credit of the employees who but for exemption would have been members of the
Statutory Provident Fund constituted under Section 5(1) of the Employees' Provident Funds Act,
1952, shall be transferred to that Fund as soon as possible, and in any case, not later than 30
days in the case of securities and not later than 10 days in the case of cash in hand or bank,
together with a statement or statements as may be required by the Commissioner.
69. DISPLAY OF RULES
The employer shall display on the notice board of the establishment, a copy of the rules of the
funds as approved by the appropriate authority and as and when amended thereto along with a
translation in the language of the majority of the employees.
70. WITHDRAWAL OF EXEMPTION IN CASE OF CONSECUTIVE LOSS

A company reporting loss for three consecutive financial years or erosion in their capital base
shall have their exemption withdrawn from the first day of the next/ succeeding financial year.
71. In the event of any violation of the conditions for grant of exemption, by the employer or the
Board of Trustees, the exemption granted may be cancelled after issuing a show cause notice in
this regard to the concerned persons.
72. The central Government may lay down any further conditions for continuation of exemption of
the establishments.
73 STATUTORY PROVISIONS TO HAVE OVERRIDING EFFECT
(1) In the absence of any specific provision in these rules of if any provision of these rules is less
beneficial than the corresponding provision of the Employees’ Provident Funds & Miscellaneous
Provisions Act, 1952 and the Employees’ Provident Fund Scheme, 1952 framed there under the
latter provision shall prevail, mutatis mutandis.
(2) Where any provisions of rules conflicts with any provisions of the E.P.F. Scheme, 1952, the latter
shall always be deemed to prevail.
(3) Question whether a particular rule is beneficial or not shall be decided by the Regional Provident
Fund Commissioner whose decision shall be final.
(4) In case of any change of legal status of the establishment, which has been granted exemption,
as a result of merger, demerger, acquisition, sale, amalgamation, formation of a subsidiary,
whether wholly owned or not, etc., the exemption granted shall stand revoked and the
establishment should promptly report the matter to the RPFC concerned for grant of fresh
exemption.

Secretary Trustee
Page: 35 of 40
(5) In case, there are more than one unit/establishment participating in the common P.F. trust
which has been granted permission, all the trustees shall be jointly and separately
liable/responsible for any default committed by any of the trustees/employer of any of the
participating units.
74. EMPLOYEES FAMILY PENSION SCHEME 1971 & EMPLOYEES PENSION SCHEME, 1995
The employer is responsible to comply with the statutory provisions of FPF71 & the Employees
Pension Scheme 1995.
75. EMPLOYEES DEPOSIT LINKED INSURANCE SCHEME, 1976
The employer is responsible to comply with the conditions of Employees Deposit Linked
Insurance Scheme 1976
Board of Trustees
Sr No. Name Signature
1 Shri A K Singhal,
Chairman Board of Trustees
2 Shri S N Goel
Trustee
3 Shri M S Umesh
Trustee
4 Shri K I Singh
Trustee
5 Shri P Purkayastha
Trustee
6 Shri Pankaj Kumar
Trustee
7 Shri Sunil Gupta
Trustee
8 Shri N K Gupta
Secretary

Secretary Trustee
Page: 36 of 40
ANNEXURE ‘A’
GUIDELINES FOR THE FUNCTIONING OF BOARD OF TRUSTEES OF EXEMPTED ESTABLISHMENT
1. The Trust can be created without executing a Registered Trust Deed but trustee when elected
should ensure that there is a trust deed on the stamp paper and should be irrevocable in nature.
2. The Board of Trustees shall meet a least once in every three months.
3. No business shall be transacted at a meeting of the Board of Trustees unless at least four
trustees of the board are presently of whom at least one should be from employer’s side and
one from the employee’s side.
4. Monthly return submitted to the Regional Provident Fund Commissioner should be placed
before the meeting for scrutiny of the trustees. The trustees attending the meeting should affix
their signatures as a proof of their scrutiny. Their views on the returns should be recorded in
the minutes of meeting.
5. The trustees should ensure that as per the rules of exempted provident fund approval of all
loans must be by at least two trustees. In case of a large Organisation with major
plants/offices in different locations, the trustees may be allowed to delegate approval of loans
to two managers, one of whom may be a personnel Labour officer ( and in his absence
Accounts Officer). Such delegations should be by name of the manager/officer and not to
specified positions and the trustees must satisfy that the authorized manager/officer is well
informed and kept advised about applicable regulation.
6. Similarly settlement of accounts (including transfer of accumulations to another provident

fund) should require authorization of at least two trustees. The auditors of the fund should
specifically check all settlement. All claims for withdrawal, advances and transfers should be
settled expeditiously, within the time frame prescribed by Employees’ Provident Fund
Organisation.
7. The Board of Trustees, wherever the employers have not transferred the amount of provident
fund to the Board of Trustees shall pass a resolution to the effect and forward it to the
employer and the Regional Provident Fund Commissioner.
8. The trustees should examine if the amount shown as transferred in the return has in effect
been transferred and credited to the Bank account of the fund. Specific mention of this
scrutiny and findings should be recorded in the minutes of the meeting.
9. The trustees should also ensure whether the amount shown as invested in the last monthly
return has in effect been invested and record a certificate to that effect in the minutes.
10. Once in every year the securities should be recorded and scrutinized by the trustees and their
findings recorded in the minutes of the meetings.
Secretary Trustee
Page: 37 of 40
11. The report of the Provident Fund Inspector and the correspondence relating to the trust finds
between the employer and the Regional Provident Fund Commissioner should be placed
before the meeting of trustees and their views recorded in the minutes.
12. Within six months of the close of financial year the employer should place the Audited
Balance Sheet of the trust before the trustees.
13. The trustees shall, before the close of the financial year declare the rate of interest for the
succeeding year.
14. Along with the Balance Sheet the Chairman should also furnish an annual report to the
trustees for their consideration and adoption.
15. The Balance Sheet and the Annual Report, after their approval by trustees, should be
forwarded to the concerned Regional Provident Fund Commissioner, recognized
union/Association of employees.
16. The Board of Trustees should examine all complaints received from the subscribers.
17. The Board of Trustees shall fix a grievance day one in a month.
18. The Board of Trustees shall have a separate Notice Board of their own and display important
decisions, amendments etc. on it. Wherever non-transfer/non-investment occur the same
should be displayed for the knowledge of the subscribers.
19. The Board of Trustees shall periodically review the issuance of Annual Statement of Account,
Settlement of Claims, Sanction of Advances, etc.
20. The annual Report shall contain the followings:-
(i) The total number of employees of the establishment in each category of work at the
beginning of the year fresh recruitments made/number of employees left during the
year. The total number of subscribers at the beginning of the year, the additions during
the year and the total number of subscribers at the close of the year.
(ii) The names, addresses of the Board of Trustees
(iii) Total amount of accumulation in the trust with figures at least for the past two years.
(iv) Total amount transferred to the fund (with figures of the past year).
(v) The rate of interest and total amount of interest debited/credited to the fund.
(vi) Investment made during the year – Details of the Securities to be shown.
(vii) Claims settled and rejected with the amount sanctioned loan application
sanctioned/rejected and the amount distributed.
Secretary Trustee
Page: 38 of 40
(viii) Balance sheet, Income and Expenditure Account.
(ix) Constitution/re-constitution of the Board of Trustees. Number of meeting held during

the year and salient decisions.
x) Whether the monthly/annual returns etc. has been submitted to the Regional Provident
Fund Commissioner in time or not. If not, reasons of the same.
(xi) A statement to the effect as to whether all the conditions of exemption has been
complied with.
(xii) The justification and explanation of the Board in respect of qualifying remarks given
by the Auditors.
(xiii) The number of applications for transfer of accounts and their disposal.
(xiv) The position regarding issuance of Annual Statement of Accounts. The Arrears, if
any, and the reasons for the same.
(xv) The number of inspections carried out and salient remarks, if any.
21. The Annual Report and Accounts of the Provident Fund Trust should be exhibited on Notice Boards
of all office and factories for a minimum period of thirty days.
22. The Provident Fund money kept aside for obligatory payments towards settlement of claims and grant
of advances to the members may be kept deposited in the Saving Account opened in any scheduled
Bank in the name of the fund to be operated jointly by two trustees authorized by the Board, one of
them being the employees’ representatives.

Secretary Trustee
Page: 39 of 40
ANNEXURE ‘B’
FORM OF DECLARATION
(See Rule No.26(e)
I hereby declare that I have read/have been read and explained to me and I have understood the Rules
of…………………………………………………………………………………………………………………
…………………………………………………………..I hereby subscribe to and agree to be bound thereby.
Dated the…………………………………………day of………………………………….19……………..
Name in full and address………………………………………………………………………………………
…………………………………………………………………………………………………………………
Date of birth…………………………………………Nature of appointment…………………………………
Date of joining service…………………………………………………………………
Present Salary: (i) Basic………………………….
(ii) Dearness Allowance………………………………..
Witness………………………………………………….
Signature:
(1) Name…………………………………………….
(2) Address………………………………………….
Signature/Right or Left Hand Thumb Impression of the employee.
---------------------------------------------------------------------------------------------------------------------------------
The applicant can be admitted as a member.
TRUSTEE
Secretary Trustee
Page: 40 of 40
RECORD OF REVISIONS

No. Date
Revisions
T K Johri N K Gupta D S Rao

SM(Finance) DGM(Finance) AGM(HR)

Secretary Trustee
Rules and Regulations of Employees’ Updated as on: 31.01.2012
Gratuity Fund Page: 1 of 29
RULES AND REGULATIONS OF EMPLOYEES' GRATUITY FUND1
1.0 DEFINITIONS:
In these Rules and Regulations unless there is anything repugnant to the subject
or context:
a. "Board of Trustees" means the Board consisting of all the Trustees of the
Fund.
b. "Beneficiary" means an employee entitled to gratuity in accordance with

the provisions of these Rules.
c. "Commissioner" means Commissioner of Income Tax.
d. "Employee" means any person (other than an apprentice) employed on

wages in the Company irrespective of the rate of his pay and status, but
does not include an employee of State, Central Govt. or other Govt. or
industrial concerns working with the Company on foreign service terms.
e. "The Board of Directors" means the Board of Directors for the time; being
of NTPC Limited and shall include any Committee of the Board of Directors
to which the Board of Directors has delegated or may delegate its powers
in this respect.
f. "The Company" means NTPC Limited.
g. "The Fund" means the NTPC Employees Gratuity Fund.
h. "Rules" means the Rules and Regulations of NTPC Employees' Gratuity

Fund as contained in this Schedule.
i. "Secretary" means the Secretary of the Board of Trustees.
j. "Trustees" means the Trustees hereof for the time being of the Fund and
"Trust" means the irrevocable Trust under which the Fund is
established.
k. "Wages" means all emoluments which are earned by an employee while

on duty or on leave in accordance with the terms and conditions of his
employment and which are paid or are payable to him in cash and includes
dearness allowance but does not include any bonus, commission,
house rent allowance, overtime wages and any other allowance.
1. These rules have come into effect from 30.3.1978.
l. Words in the singular number shall include the plural and words in the
masculine gender shall include the feminine.
m. All other words and expressions not defined herein above shall have the
meaning respectively assigned to them in the Payment of Gratuity Act,
1972 and Rules there under, the Income Tax Rules and the Income Tax
Act, 1961.
2.0 IRREVOCABILITY OF THE FUND AND PURPOSE OF THE FUND:
The Fund shall be vested in the Board of Trustees under an irrevocable Trust
having for its sole purpose the provision of gratuity to the employees of the
Company as provided in these Rules.
3.0 The object of the Fund is to provide moneys for payment of gratuity in India to
the employees of the Company in accordance with the provisions of these Rules.
4.0 The Company shall be the contributor to the Fund.
5.0 TRUSTEES:
There shall be at least three Trustees on the Board of Trustees of the Fund. The
trustees of the fund shall be resident in India and any Trustee who leaves India
permanently shall vacate his office.
6.0 TERMS OF OFFICE:
1) The terms of office of the Trustees shall be three years commencing

from the date of their nomination to the Fund.
Provided that any such Trustee shall notwithstanding the expiry of the
said period of three years continue to hold office until the nomination of his
successor is made.
ii) An outgoing Trustee shall be eligible for recombination
7.0 VACANCY IN THE OFFICE OF TRUSTEES:
A Trustee shall cease to hold office with immediate effect:
a. On his death
or
b. On his resignation duly accepted by the Board of Trustees

or
c. On his becoming insolvent, insane or

incapacitated
or
d. If he is convicted of an offence involving moral turpitude

or
e. If he permanently leaves India or
f. On his ceasing to be a Director if he is a Director of the Company or
g. On his ceasing to be an employee if he is an employee of the

Company.
8.0 The Director (F) shall nominate a successor in the place of such Trustee who has
ceased to be a trustee in any manner aforesaid.
9.0 ELIGIBILITY AND SCALES OF GRATUITY:
1) Gratuity shall be payable to an employee on the termination of his

employment after he has rendered continuous service for not less than
five years.
a) On his superannuating or
b) On his resignation, retirement or termination of his service
c) On his death or disablement due to accident or disease.
Provided that the completion of continuous service of five years shall not
be necessary where the termination of the employment of any employee
is due to death or disablement.
Provided further that in the case of death of the employee, gratuity

payable to him shall be paid to his nominee, or if no nomination has been
made, to his heirs.
Where the transfer of an employee to another public Sector Undertaking is

effected with the consent of NTPC management, the employee shall be
allowed the benefit of transfer of his gratuity to his new employer2.
2.In the meeting of the Board of Trustees held on 27.6.1979 it has been decided that the
company should accept the gratuity liability for the period employee had served in other public
sector undertakings provided the employee, joins with the consent of his previous employer
3
2) a) The amount of gratuity shall be equal to fifteen days wages last
drawn by the employee concerned for every completed year of
service or part thereof in excess of six months subject to
maximum of 40 time 15 days wages or Rs. Ten lakhs.
b) Incase of death of an employee, amount of gratuity will be

admissible on the scale calculated under (a) above or as worked.
out below, which ever be more.
Period of Continuous Service Amount of gratuity

Upto 1Year 4 time 15 days wages
More than 1 Year upto 5 years 12 times 15 days wages
More than 5 Years but upto 20 years 24 times 15 days wages
More than 20 years Half month's wages for completed half year of
service subject to max. of 66 times 15 day
swages. Provided however the amount of
gratuity shall in no case exceed Rs. 10 lakhs.
In respect of Central Govt./PSU employees who have opted for

absorption in NTPC, the total gratuity admissible in respect of the
service rendered under the Govt./PSU and that under NTPC
would not exceed the amount that would have been admissible
had the employee continued in the Govt./PSU service and retired
on the same pay which he drew on retirement from NTPC.
Explanation
i)In the case of piece-rated employee, daily wages shall be

computed on the average of the total wages received
by him for a period of three months immediately
preceding the termination of the employment.
ii) For the purposes of this clause disablement means such disablement as
incapacitates an employee for the work which he was capable of
performing before the accident/or disease resulting in such disablement.
iii) For the purpose of computing the gratuity payable to an employee who
is employed, after his disablement, on reduced wages, his wages for the
period preceding his disablement shall be taken to be the wages
received by him during that period and his wages for the period
subsequent to his disablement shall be taken to be the wages as so
reduced.
iv) The amount of gratuity equal to fifteen days wages shall be computed in
the following manner:
Monthly wages x 15
15 days wages = ——————————————
26
3) Notwithstanding anything contained in the preceding clauses:

a) The gratuity of an employee, whose services have been terminated for
any act willful omission or negligence causing any damage or loss to, or
destruction of property belonging to the Company shall be forfeited to the
extent of the damage or loss so caused.
b) The gratuity payable to an employee shall be wholly forfeited:
i) if the services of such employee have been terminated for his

riotous or disorderly conduct or any other act of violence on his
part, or
ii) if services of such employee have been terminated for any act
which constitutes an offence involving moral turpitude, provided
that such offence is committed by him in the course of his
employment.
10.0 INCOME TAX/DUTY ETC. PAYABLE BY THE EMPLOYEE:
Income tax, super tax and any other tax/duty, if any, payable on the amount of
gratuity shall not be borne by the Fund but shall be deducted from out of the
gratuity amount payable.
11.0 POWER OF TRUSTEES:
i) The Rules shall be interpreted by the Board of Trustees whose decision

shall be final and binding upon the employees of the Company and their
nominees.
ii) The Board of Trustees shall administer the Fund and income thereof
except as otherwise provided in the Rules and Regulations for the time
being in force.
iii) The Board of Trustees shall invest the moneys of the Fund which are not
required for the purpose of the Trust in accordance with the provisions of
the Income-Tax Act, 1961, and the Rules made there under including
their amendments.
12.0 DECLARATION OF TRUSTEES POWER:
The Board of Trustees may from time to time appoint any officer in the Accounts
Deptt. to be the Secretary of the Fund to sign all correspondence on behalf of the
Fund and exercise all powers and authorities as may be conferred on him by the
Board of Trustees.
13.0 POWER OF BOARD OF TRUSTEES FOR SALE AND HYPOTHECATION ETC.

OF THE INVESTMENTS:
The Board of Trustees may from time to time, as and when necessary, raise such
sum or sums as may be required for the purposes of the Fund by sale,
hypothecation or pledge of the investments held by them or of a sufficient part
thereof.
14.0 RECEIPT FOR MONEYS RECEIVED BY THE BOARD OF TRUSTEES:
Receipt for moneys received by the Board of Trustees and endorsement on cheques,
drafts and other documents, received by the Board of Trustees shall be made by
the Secretary for and on behalf of the Board of Trustees.
15.0 MEETINGS:
i) The Board of Trustees shall meet as often as may be necessary and at such
places and time as may be appointed for disposal of business of the Fund.
ii) The Secretary may whenever he thinks fit, and shall, within fifteen days
of the receipt of a requisition in writing from not less than two members of
the Board of Trustees, call a meeting thereof.
16.0 NOTICE OF MEETING AND LIST OF BUSINESS:
For every meeting, notice of not less than 7 days containing the date, time and
place together with a list of business to be conducted at the meeting, shall be sent
to each Trustee.
Provided that when the Secretary, with the approval of the Chairman calls a
meeting for considering any matter which in his opinion is urgent, a notice giving
such reasonable time as may consider necessary, shall be deemed sufficient.
17.0 CHAIRMAN TO PRESIDE AT MEETINGS:

The Chairman of the Trust shall be nominated by Director (F).
18.0 The Chairman shall preside at every meeting of the Board of Trustees at which
he is present. If the Chairman is absent at any time, the Trustees present shall
elect one of them to preside over the meeting and the Trustee, so elected shall
exercise all the powers of the Chairman at the Meeting.
19.0 QUORUM:
i) Two members including the Chairman of the Board of Trustees shall

constitute the quorum at any meeting of the Board of Trustees.
ii) If at any meeting the number of Trustees is less than the required
quorum, the meeting will stand adjourned to the same day in the next
week at the same time and place and if at such adjourned meeting a
quorum is not present those trustees who are present shall form the
quorum and transact the business for which the meeting was called.
20.0 DISPOSAL OF BUSINESS:
i) Each Trustee including the Chairman shall have one vote.
ii) Every question considered at a meeting of the Board of Trustees

shall be decided by a majority of the votes of the Trustees present and
voting. In the event of an equality of votes, the Chairman shall have a
casting vote.
iii) Any resolution, except as may be placed before the meeting of the Board of
Trustees may be adopted by circulation among all the Trustees and any
resolution so circulated and adopted by a majority of the Trustees who
have signified their approval, shall be as effective and binding as if such
resolution had been adopted at meeting of the Board of Trustees.
However, such circulatory resolution shall be put up in the next meeting
of the Board of Trustees for confirmation.
21.0 MINUTES OF MEETINGS:
i) The Secretary shall maintain the records of the minutes of Meetings of

the Board of Trustees.
ii) The records of minutes of each meeting shall be signed by the

Chairman after confirmation with such modifications, if any, as may
be considered necessary at the next meeting.
iii) The Secretary shall take necessary steps for carrying out the decisions of
the Board of Trustees.
22.0 The Board of Trustees shall function notwithstanding any vacancy therein and
notwithstanding any defect in the nomination of any of its Trustees or
constitution of the Board of Trustees and no act or proceeding of the Board of
Trustees shall be called in question merely by reason of the existence of any
vacancy therein or any defect in the nomination of any Trustee or constitution
of the Board of Trustees.
23.0 COST OF ADMINISTERING THE FUND:
It shall be lawful for the Board of Trustees to reimburse themselves or pay

and discharge out of the property of the Trust, all costs, charges and expenses
incurred by them in carrying out these presents or in the execution of the
Trust power under these presents.
24.0 DELEGATION OF POWERS, DUTIES, ETC.BY THE BOARD OF

TRUSTEES:
The Board of Trustees may delegate any of their duties, powers, rights and
discretions to one or more of themselves as they may from time to time think fit,
and they may vary, alter, withdraw, modify or cancel such delegation as they
from time to time think fit.
25.0 BANK ACCOUNT OF THE FUND:
All contributions of the Company shall be deposited by the Board of Trustees

every year into a Bank account especially created for the purposes and at
convenient intervals and as soon as possible the Board of Trustees shall
invest these funds as provided hereinbefore. All interest accruing on the funds
either through the Bank Account or securities or investment will after meeting
any relative expenses be caused to be credited by the Board of Trustees at
convenient intervals not less than once every year to the account of the Fund.
The said bank account shall be operated upon invariably by two Trustees out
of which atleast one will be either the Chairman or the Secretary.
26.0 LIABILITY OF THE TRUSTEES:
No Trustees shall be responsible or chargeable save and except for moneys

actually received by him nor shall he be responsible or chargeable for the acts,
defaults or neglects of the Bank with whom the moneys of the Fund are
deposited nor for any loss, unless the same happens through his own willful act
or omission. All expenses incurred in respect of, and loss, if any, arising from
any investment shall be charged to the Fund.
27.0 ADMISSION OF DIRECTORS TO THE FUND:
The Chairman and Managing Director and other Functional Directors of the
Company shall be admitted to the benefits of the Fund only if they are whole
time employees of the Company and do not beneficially own shares in the
Company carrying more than five per-cent of the total voting right.
28.0 ASSIGNMENT OF AND CREATING CHARGES:
No employee shall assign or create a charge upon his beneficial interest in the
Fund.
29.0 ACCOUNT AND AUDIT:
i) The Secretary shall cause the accounts of the Fund to be maintained in

such a manner as the Board of Trustees may, from time to time, decide.
ii) At the end of each financial year an Income and Expenditure Account
together with a Balance Sheet of Funds' assets and liabilities shall be laid
before the Board of Trustees at a meeting to be held within 9 months of
the close of the financial year.
iii) Every year the Board of Trustee of the Gratuity Trust shall appoint a
Chartered Accountant or a firm of Chartered Accountants as auditor for
audit of the Fund accounts and fix the remuneration which shall be borne
by the Company.
iv) A copy of the said audited accounts shall be furnished to the Company
and such other authorities as may be necessary.
30.0 ARRANGEMENT OF WINDING UP OF THE COMPANY'S BUSINESS:
Where the Company's business is to be wound up or discontinued, the Board of

Trustees shall with the prior approval of and subject to such conditions as may be
imposed by the Commissioner make satisfactory arrangements for the payment
of gratuity to the existing beneficiaries.
31.0 ARRANGEMENT OF WINDING UP OF THE FUND:
Any arrangement for the winding up of the Fund or for its amalgamation with
another Fund shall be subject to the prior approval of, and to such conditions as
may be imposed by the Commissioner.
32.0 NOMINATION:
i) Each employee who has completed one year of service shall make
nomination in Form B.
ii) An employee may in his nomination distribute the amount of gratuity

payable to him amongst more than one nominee.
iii) If an employee has a family at the time of making a nomination, the

nomination shall be made in favour of one or more members of his
family, and any nomination made by such employee in favour of a
person who is not a member of his family shall be void.
iv) If at the time of making a nomination the employee has no family, the
nomination may be made in favour of any person or persons but if the
employee subsequently acquires a family, such nomination shall forth with
become invalid and the employee shall make a fresh nomination in
favour of one or more members of his Family in Form C.
v) A nomination may subject to sub-clauses (iii) and (iv) be modified by an

employee at any time, after giving to the Secretary a written notice in
Form D of his intention to do so.
vi) If a nominee predeceases the employee, the interest of the nominee

shall revert to the employee who shall make a fresh nomination in
respect of such interest.
vii) Every nomination, fresh nomination or modification of nomination, as the

case may be, shall be sent by the employee to the Secretary, who shall
keep the same in his safe custody.
viii) A nomination, fresh nomination or its modification shall take effect to

the extent it is valid on the date on which it is received by the Secretary.
Explanation-I
For the purpose of this clause, family in relation to an employee shall be

deemed to consist of:
i) in the case of a male employee, himself, his wife, his children,
whether married or unmarried, his dependent parents and the

widow and children of his predeceased son, if any.
ii) in the case of a female employee, herself, her husband, her

children whether married or unmarried, her dependent parents
and the dependent parents of her husband and the widow and
children of her predeceased son, if any.
Provided that if a female employee, by a notice in writing to the

Secretary, expresses her desire to exclude her husband from her
family, the husband and his dependent parents shall no longer

be deemed, to be included in the family of such female
employee unless the said notice is subsequently withdrawn by
such female employee
Explanation-II
Whether the personal law of an employee permits the adoption by him

of a child, any child lawfully adopted by him shall be deemed to be
included in his family, and where a child of an employee has been
adopted by another person and such adoption is, under the personal
law of the person making such adoption, lawful, such child shall be
deemed to be excluded from the family of the employee.
33.0 PAYMENT OF GRATUITY:
i) An employee who is eligible for payment of gratuity or any person

authorised in writing to act on his behalf shall apply to the Secretary
within 30 days from the date the gratuity becomes payable in Form E.
ii) Provided that where the date of superannuation or retirement of an

employee is known, the employee may apply to the Secretary before
thirty days of the date of superannuation or retirement.
iii) A nominee of an employee who is eligible for payment of gratuity under

Rule 9.0 of the Rule shall apply to the Secretary within thirty days from
the date the gratuity becomes payable to him in Form F.
Provided that an application in plain paper with relevant particulars shall

also be accepted. The Secretary may obtain such other particulars as
may be deemed necessary by him.
iv) A legal heir of an employee who is eligible for payment of gratuity under
Rule 9.0 of the Rules shall apply to the Secretary within one year from
the date the gratuity becomes payable to him in Form G.
Where gratuity becomes payable before the commencement of this

Rule, the periods of limitation specified hereinabove shall be deemed to
be operative from the date of such commencement.
34.0 MODE OF PAYMENT OF GRATUITY:
The gratuity payable shall be paid through ECS or if so desired by the payee, by
Demand Draft or Cheque to the eligible employee, nominee or legal heir, as the
case may be.
Provided that in case the eligible employee, nominee or legal heir, as the case
may be, so desires, and the amount of gratuity payable is less than one
thousand rupees, payment may be made by postal money order after deducting
the postal money order commission thereof from the amount payable.
35.0 A register shall be kept by the Secretary in which shall be entered the names
and addresses of persons who received gratuity out of the fund together with the
amount, paid to each of them.
36.0 Every employee when joining the Fund shall subscribe an Agreement as in Form
A.
37.0 AMENDMENTS OF RULES:
No alteration in the Rules, constitution, objects or conditions of the Fund shall be

made without the prior approval of the Commissioner.
38.0 If there is any repugnance between the Rules of the Fund and any provision of
the Income Tax Act, 1961 and the Rules made there under, or any other law for
the time being in force, Rules to the extent of such repugnancy, shall be
ineffective.
39.0 DISPUTES REGARDING ADMINISTRATION OF THE FUND:
Any difference which may arise between employees, nominees, executors or

personnel representatives and Board of Trustees or the Company or any matter
or thing arising out of administration of Fund and/or Rules and Regulations shall
be referred to a person appointed by the Board of Directors as sole arbitrator in
terms of the Indian Arbitration Act, 1940 for the time being in force
FORM A
(See Rule 36.0 of the Rules)
FORM OF AGREEMENT
I hereby declare that I have read the Rules and Regulations of the National Thermal Power Corporation
Employee's Gratuity Fund and that I agree to be bound by them and subsequent additions and/or
alterations, if any, to them from time to time made in pursuance of the Rules and Regulations of the
Fund.
Account Number.................................
(For office use only)
1. Name..............................................................................................................
(Surname) (First name) (Middle name)
2. Age..................................................................................................................
(Years) (months)
3. Date of Birth....................................................................................................
4. Religion...........................................................................................................
5. Sex...................................................................................................................
6. Father's/Guardian name......................................................................................
7. Marital status......................................................................................................
8. Husband's/Wife's
name.........................................................................................
9. Identification mark............................................................................................
10. Division/Office in which working..........................................................................
11. Designation........................................................................................................
12. Employee number.............................................................................................
13. Date of appointment............................................................................................
14. Permanent address...........................................................................................

15. Present address................................................................................................
Tel No...............................................
Place............................................
Date............................................. Signature/Thumb impression

of the
employee'
Certified that the above declaration has been executed by.......................................... Employee
Number...................................................... employed
as...........................at..........................before me after he had read the entries.
Place........................................
Signature of the
Date..................................:....... Controlling Officer
FORM B
[See Rule No. 31.0 (i) of the Rules]'
NOMINATION
To
The Secretary,
Board of Trustees,
National Thermal Power Corporation,
Employees Gratuity Fund,
New Delhi-110 003.
Sir,
1. Shri/Smt./Kumari......................................... Employee No....................... of.......................

(name of the Unit) hereby nominate the person's) mentioned below to receive the gratuity
payable after my death as also the gratuity standing to my credit in the event of my death
before the amount has become payable, or having become payable has not been paid
and direct that the said amount of gratuity shall be paid in proportion indicated against the
name's) of the nominee's).
2. I hereby certify that the person(s) mentioned is/are a member’s) of my family within the
meaning of Explanation 1 to Rule 32.0 of the Rule and Regulations.
3. I hereby declare that I have no family within the meaning of Explanation to Rule 32.0 of the
Rules and Regulations.
4. a) My father/Mother/parents is/are not dependent on me.
b) My husband's father/mother/parents is/are not dependent on my husband.
5. I have excluded my husband from the family by a notice dated the.................to

the Secretary in terms of proviso to Explanation (ii) to Rule 32.0 of the Rules and
Regulations.
6. Nomination made herein invalidates my previous nominee's) nomination.
NOMINEE(S)
Name in full with full Relationship Age of Proportion by

Address of nominee(s) with the nominee which the
employee gratuity will
be shared
1 2 3 4
1.
2.
3.
4.
5.
Place ................... Signature/Thumb impression

Date ..................... of the employee
DECLARATION BY WITNESSES
Nomination signed/Thumb-impressed before me

Name and address in full of: Signature of witnesses
1. 1.
2. 2.
Place..................
Date....................
Certificate by the Controlling Officer

Certified that the particulars of the above nomination have been verified.
Place.................. Signature of the

Date................... Controlling Officer
Acknowledgment by the Secretary

The above nomination has been recorded.
Place................... Signature of the

Secretary
Date...................
Note : i) Strike out the words and/or paragraphs not applicable.

ii) Secretary will send the duplicate copy of this from duly
acknowledged to the employee.
FORM C
[See Rule 32.0 (iv) of the Rules]
FRESH NOMINATION
To,
The Secretary,
Board of Trustees,
Employees' Gratuity Fund,
New Delhi-110003.
Sir,
1. Shri/Shrimati/Kumar.................................Employee No..................... of (name of
Unit)........................... have acquired a family within the meaning of Explanation 1 to Rule
32.0 of the Rules and Regulations of the National Thermal Power Corporation Employee'
Gratuity Fund with effect from the.......................in the manner indicated below and
therefore nominate a fresh person(s) mentioned below to receive the gratuity payable after
my death as also the gratuity standing to my credit in the event of my death before that
amount has become payable or having become payable has not been paid and directthat
the said amount of gratuity shall be paid in proportion indicated against the name (s) of the
nominee(s).
2. 2. I hereby certify that the person(s) nominated is/are member(s) of my

family within the meaning of Rule 32.0 of the Rule and Regulations.3.
3. 3. (a) My father/mother/parents is/are not dependent on me.
(b) (b) my husband's father/mother/parents is/are not dependent

on my husband.
4. I have excluded my husband from my family by a notice dated the.................to the

Secretary, Board of Trustees in terms of Explanation 1 to Rule 32.0 of the Rules and
Regulations.,
NOMINEE(S)
Name in full with full Relationship Age of Proportion by

Address of nominee(s) with the nominee which the
employee gratuity will
be shared
1 2 3 4
1.
2.
3.
4
5
Place ................... Signature/Thumb impression
Date .................... of the employee
Fresh nomination/signed/
thumb impressed before me
Name in full with full
addresses of witnesses Signature of witnesses
1. 1.
2. 2.
Place ...................
Dated ...................
CERTIFICATE BY THE CONTROLLING OFFICER
Certified that the particulars of the above nomination have been verified.
Signature of the
Place Controlling Officer
Dated ...................
ACKNOWLEDGEMENT BY THE SECRETARY
The above nomination has been recorded.

Secretary
Dated...................
Note i) Strike out the words and paragraphs not applicable.
ii) Secretary will send the duplicate copy of this form duly acknowledged to
the employee.
FORM D
[See Rule 32.0(V) of the Rules]
MODIFICATION NOMINATION
to,
The Secretary
Board of Trustees,
Employees' Gratuity Fund
New Delhi-110 003.'
Sir
I Shri/Shrimati/Kumari...............................................................................................
Employee No............................................................of...........................................(name of the
Unit) hereby give notice that the nomination flied by me on ..................................and recorded
under your reference....................dated..................... shall stand modified in the following
manner. (here give details of the modifications intended)
Signature/Thumb-impression
Place.................. of the employee.
Dated..................
Modification of nomination signed/thumb impressed before me.
Name in full with full address Signature of witnesses
1. 1.
2. 2.
2.
Place...................
Dated..................
CERTIFICATE BY THE CONTROLLING OFFICER
Certified that the modification mentioned above have been verified.

Dated................... Controlling Officer
CERTIFICATE BY THE SECRETARY
Certified that the above modifications have been recorded.

Dated................... Secretary
Note: i) Strike out the words not applicable.
ii) Secretary will send the duplicate copy of this from duly acknowledged to
FORM E
[See Rule 33.0 (i) of the Rules]
APPLICATION FOR GRATUITY BY AN EMPLOYEE
To
The Secretary,
Board of Trustees,
Employee Gratuity Fund,
New Delhi-110003.
Sir,
I hereby apply for payment of gratuity to which I am entitled (Rule 9.0 of the Rules and
Regulations of the National Thermal Power Corporation Employees' Gratuity Fund
on account of my superannuating/retirement/resignation after completion of not less
than five years of continuous service/total disablement due to accident/total
disablement due to disease with effect from....................Necessary particulars
relating to my appointment in the Company are given in the statement below:
1. Name in full
2. Address in full
3. Department/Branch/Section where last employed
4. Post held with Employee No.
5. Date of appointment
6. Date and cause of termination of service
7. Total period of service
8. Amount of wages last drawn
9. Amount of Gratuity claimed
2. I was rendered totally disabled as a result of (here give the details of the nature of
disease or accident).
The evidence/witnesses in support of my total disablement are as follows: (Here

give details)
3. Payment may please by made in cash/open or crossed bank

cheque/demand Draft.
4. As the amount of gratuity payable is less than Rs. 1,000- (Rupees One
thousand only) I shall request you to arrange for payment of the sum due to
me by postal money order at the address mentioned above after deducting
postal money order commission therefrom.
Yours faithfully,
Place................... Signature/Thumb/Impression of
the applicant employee
Dated...................
Note: 1. Strike out the words or paragraphs not applicable.

FORM F
[See Rule 33.0 (iii) of the Rules]
APPLICATION FOR GRATUITY BY A NOMINEE
To
The Secretary,
Board of Trustees,
NTPC Bhavan, Scope Complex,
7, Institutional Area, New Delhi-110003
Sir,
I hereby apply for payment of gratuity to which I am entitled under Rule of the
Rules and Regulations of National Thermal Power Corporation Employees
Gratuity Fund as a nominee of late Shri/Shrimati/Kumari
.............................................who was an employee of National Thermal Power
Corporation Limited and died on the ................. The gratuity is payable on
account of the death of the aforesaid employee while in service/ superannuating of
the aforesaid employee on...................../retirement or resignation of the
aforesaid employee on...........after completion of............year of service/total
disablement of the aforesaid employee due to accident or disease while in service
with effect from....................Necessary particulars relating to my claim are given
in the statement below:
1. Name of the applicant nominee
2. Address in full of the applicant nominee

3. Marital status of the applicant nominee
[unmarried/married (Widow/ Widower)]
4. Reference No. of recorded nomination available
5. Name in full of the employee
7. Post last held with Employee No.

8. Date of appointment of the employee
9. Date and cause of termination of service of the employee
10. Date of death and evidence/witness as proof of death of the employee
11. Total period of service of the employee
12. Amount of wages last drawn by the employee
13. Total Gratuity payable to the employee.
14. Share of gratuity claimed.
2. I declare that the particulars mentioned in above statement are true and correct to
the best of my knowledge and belief.
3. Payment may please be made in cash/open or crossed bank cheque/demand

draft.
4. As the amount payable is less than Rupees, 1,000- (Rupees One thousand only) I
shall request you to arrange for payment of the sum due to me by postal money
order at the address mentioned above after deducting postal money order
commission there from.
Yours faithfully,
Place........................ Signature/Thumb/Impression of the

applicant employee
Dated...................

FORM G
[See Rule 33.0(iv) of the Rules]
APPLICATION FOR GRATUITY BY A LEGAL HEIR
To
The Secretary,
Board of Trustees,
New Delhi-110003
Sir,
I hereby apply for payment of gratuity to which I am entitled under Rule 9.0 of the
Rules and Regulations of National Thermal Power Corporation Employees'
Gratuity Fund as a legal heir of late Shri/Shrimati/Kumari................................who
was an employee of National Thermal Power Corporation Limited and died on
the ................. without making any nomination. The gratuity is payable on
account of the death of the aforesaid employee while in service/superannuating
of the aforesaid employee on........................retirement or resignation of the
aforesaid employee on.....................after completion of................year of service/total
disablement of the aforesaid employee due to accident or disease while in service
with effect from............................Necessary particulars relating to my claim are
given in the statement below:
1. Name of the applicant (legal heir)
2. Address in full of the applicant (legal heir)
3. Marital status of the applicant (legal heir) [unmarried/married
(Widow/Widower)]
4. Name in full of the employee
5. Relationship of the applicant with the employee.
7. Post last held with Employee No.

8. Date of appointment of the employee
9. Date and cause of termination of service of the employee (death or otherwise
10. Date of death and evidence/witness as proof of death
11. Total period of service of the employee
12. Amount of wages last drawn by the employee
13. Total Gratuity payable to the employee.
14. Percentage of gratuity claimed.
15. Basis of the claim and evidence/witness in support thereof.
2. I declare that the particulars mentioned in above statement are true and correct
to the best of my knowledge and belief.
3. Payment may please be made in cash/open or crossed bank cheque/demand

draft.
4. As the amount payable is less than Rupees, 1,000/- (Rupees One thousand only)
I shall request you to arrange for payment of the sum due to me by postal money
order at the address mentioned above after deducting postal money order
commission there from.
Yours faithfully,
Place................... Signature/Thumb/Impression of the

applicant employee
Dated...................

RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Employees’ Group Insurance Scheme Updated as on: 31.01.2012
Page: 1 of 7
NTPC EMPLOYEES' GROUP INSURANCE SCHEME
NTPC holds a Master Policy No. GI-46207 and GI-48618 on behalf of the
employees of the Company. The rules of the Scheme are as under
1.0 DEFINITIONS:
1. In these Rules, where the context so admits, the masculine shall

include the feminine, the singular shall include the plural and the
following words and expressions shall, unless repugnant to the
context, have the following meanings:
i) “the COMPANY" shall mean N T P C Ltd.
ii) "the EMPLOYER" shall mean the Company and any other
Company, firm or Corporation which may in future be
managed or controlled by or become associated with the
Company and which may agree to become bound by these
Rules.
iii) "the CORPORATION" shall mean the Life Insurance

Corporation of India established under Section-3 of the Life
Insurance Corporation Act, 1956.
iv) "the SCHEME" shall mean N T P C Ltd. Employees Group

Insurance Scheme.
v) "the RULES" shall mean the Rules of the Scheme as set

out below and as amended from time to time.
vi) "the MEMBER" shall mean an employee of the Employer

who has been admitted to the membership of the Scheme
and on where life as assurance has been affected in
accordance with the Rules.
vii) "EFFECTIVE DATE" shall mean the 1st March, 1978 the
date as from which the Scheme commences.
viii) "ENTRY DATE" shall mean (a) in relation to the Member

admitted to the Scheme on the Effective date, and (b) in
relation to a new member to be admitted to the Scheme after
the Effective Date, the date on which they join the Company.
ix) "ANNUAL RENEWAL DATE" shall mean in relation to the

Page: 2 of 7
Scheme, the 1st April, 2001 and, the 1st April in each
subsequent year.
x) "the TERMINAL DATE" shall mean in respect of each member

the Annual Renewal Date which is coincident, with or next
following the date on which the member completes the age
of 60 years. If the member is on extension after the age of
60 years, the Terminal Date shall mean the age not
exceeding 62 years.
xi) "the ASSURANCE" shall mean the Assurance effected on the

Life of the member.
xii) "the BENEFICIARY" shall mean the person or persons who

has/have been appointed by the Member as Beneficiary or
Beneficiaries and whose name or names have been entered
in the Register of Members kept by the employer.
xiii) "SERVICE" shall mean the period of continuous service

rendered by the member to the employer. For the purpose
of the Scheme, service shall include periods of authorized
leave.
2.0 ROLE OF THE COMPANY:
The Company will act for and on behalf of the Member in all matters relating
to the Scheme and every act done by arrangement made with and the notice
given to the Corporation by the Company shall be binding on the Members.
3.0 ELIGIBILITY:
a. All employees on the rolls of the Company as on the effective date shall
be eligible to become members and be entitled to the benefits of the
Policy.
It will be a condition of service for future employees that they shall

become members of the Scheme on the relevant Entry date.
b. No member shall withdraw his membership from the Scheme so long

as he satisfies the conditions of eligibility described above.
4.0 EVIDENCE OF AGE:
The employees shall arrange for submission of evidence of age in respect of

each member at the time of entry into the Scheme.
5.0 CONTRIBUTIONS:
Page: 3 of 7
The Company shall pay to the Corporation in respect of each member on the
Entry Date and the relevant Annual Renewal Dates such contributions as are
required to secure the benefits under the Assurance effected on his life in
accordance with these Rules.
6.0 ASSURANCES:
On the Entry Date an Assurance shall be effected on the life of each Member under
one year Renewal Group Term Assurance Plan for a sum assured asunder:
The coverage under NTPC Group Insurance Scheme (inclusive of coverage

under EDLI), shall be as under:
Category Category of Employees Amount* of cover (Rs)*
A Workmen upto W8 grade, Jr. 1,45,000/-

Supervisors, Artisan Trainees &
Diploma Trainees
B Workmen in the grade W9 & above, 1,70,000/-
Executives in E1/E2 grades, ETs
C Executives in E2A- E5 grades 2,00,000/-
D Executives in E6 grade & above 2,30,000/-
The assurance shall be held by the Employer upon Trust for the benefit of the persons
entitled to in accordance with these Rules.
7.0 RENEWAL OF ASSURANCES:
The Assurance shall be renewed automatically for the sum assured as stated
above on each Annual Renewal Date by Payment of premium for members
who continue to be in the service of the Employer.
*Enhanced vide CHRC No. 698/2011 Dated 20.5.2011, w.e.f. 8.1.2011
8.0 BENEFITS ON DEATH WHILE IN SERVICE:

Page: 4 of 7
Upon the death of the Member while in Service the Sum Assured under the
Assurance then in force shall become payable to the Company for the benefit
of the Beneficiary.
9.0 TERMINATION OF ASSURANCE:
The Assurance on the life of a Member shall immediately terminate upon the
happening of any of the following events.
a. Discontinuance of the contributions relating to the Assurance. OR
b. The Member reaching the Terminal date. OR
C. The Member ceasing to be in service of the employer
10.0 RESTRAINT ON ANTICIPATION OR ENCUMBRANCE :
The benefits assured under the Scheme are strictly personal and cannot be
assigned, charged or alienated in any way.
11.0 DISCONTINUANCE OR AMENDMENT OF THE SCHEME :
The Company reserves the right to discontinue the Scheme or to amend the
Rules thereof on any Annual Renewal Date, subject to 3 months' notice being
given to the Corporation.
12.0 JURISDICTION:
All Assurance issued under the Scheme shall be subject to the provisions
of the Indian Insurance Act, 1930 as amended, the Estate Duty Act, 1953
as amended, the Life Insurance Corporation Act, 1956, the Income-tax Act,
1961 and to any legislation subsequently introduced. All benefits under the
Scheme arising on death of any Member shall be payable in Indian
Rupees
13.0 MASTER POLICY:
The Corporation will issue a single Master Policy incorporating all the
Assurance effected under the Scheme.
14.0 ESTATE DUTY:
Where any liability to Estate Duty arises in respect of any benefits, the
Company may apply the benefit or part of it in payment of such duty (including
any interest thereon) and deduct the amount so paid from the benefits or
may postpone the payment of the benefits until the liability has been
Page: 5 of 7
provided for to their satisfaction. PROVIDED THAT where the Beneficiary

of a deceased Member claiming the benefits hereunder satisfy the
Company that duty has been paid or shall be paid or that no duty is due,
the Company shall have the discretion to pay the benefits subject to the
Beneficiary furnishing indemnity or indemnities in the form and manner
specified by them.
15.0 EFFECT OF CHANGE IN CATEGORY OF EMPLOYEES ON AMOUNT OF

SUM ASSURED:
The amount of sum assured in respect of each member shall be revised as

and when the change of category takes place. The revised sum assured shall
be in accordance with the change in category of the employee.
16.0 APPOINTMENT OF BENEFICIARY:
Every member shall appoint one or more of his child/children or dependents

to be his beneficiary or beneficiaries. In the event of death of the member
whilst in service, the sum assured under the Assurance then in force on his
life will become payable to the Company for the benefit of the beneficiary or
beneficiaries appointed by the member. If the member does not have a wife
or child/children or dependents then he shall appoint his legal personal
representative to be the beneficiary.
17.0 RATES OF PREMIUM AND CONDITIONS OF ASSURANCE:
The Rates of Premium and conditions of Assurance under which the

Corporation is prepared to arrange the Scheme shall be subject to an
agreement between the company and the Corporation. The conditions of
Assurance and rates of premium may be modified by the Corporation from
time to time on any Annual Renewal date, subject to 3 months' notice being
given to the Company.
18.0 EVIDENCE OF DEATH :
Satisfactory evidence of health as required by the Corporation shall be

furnished by every eligible employee at the time of his entry into the Scheme
and on each occasion when an increase in insurance is granted. The terms of
acceptance may be varied if in the opinion of the Corporation the evidence of
health is not satisfactory or other special hazards exist.
AUTHORITY
1. Corporate Personnel circular No. 268/90 dt. 8.11.90

Page: 6 of 7

Page: 7 of 7
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Group Personal Accident Insurance Scheme Updated as on: 31.01.2012
Page: 1 of 15
GROUP PERSONAL ACCIDENT INSURANCE SCHEME1
1.0 OBJECTIVE:
1.1 The objective of the Group Personal Accident Insurance Scheme (GPAIS) is a
welfare measure formulated to insure employees against the consequences of
personal accidents and provide appropriate relief to the affected employee or the
nominee through an Insurance Cover.
2.0 POLICY:
2.1 The Scheme is framed entirely as a welfare measure and does not confer any
right or benefit on the employees, nor imposes any obligation or liability,
whatsoever on the Company and shall not be deemed to be any contract or
conditions of service between the Company and its employees.
2.2 NTPC will take an Insurance Policy and the employees shall be entitled to get
the benefits only as admissible under the provision of the said Insurance Policy.
3.0 SCOPE:
3.1 The Scheme shall cover all regular employees and will also include/cover
deputationists, Board appointees and Trainees of the Company under its own training
Schemes, but shall not cover
Apprentices under Apprentices Act, Muster Roll/Daily Rated/Casual/Badhi substitute

employee or employees appointed on contract basis.
3.2 With the implementation of this Scheme, the following two Scheme shall become
in operative
(i) Scheme of taking Air Insurance Policy for employees travelling by air (IOM
No:01:Pers:4(7) dated 30.1.1987) and (ii) the Scheme of ex-gratia Payment
in case of personal injury caused due to accident arising out of and in course
of employment to employees who are not covered by the Workmen's
Compensation Act, 1923 (CPC No. 200/87 dated 9.2.1987).
4.0 DEFINITIONS:
4.1 “Company”: means the N T P C Ltd. Including the projects/units under its
management.
___________________________________________________________________________
Page: 2 of 15
N.B: The Scheme came into force from 1.8.1988.
4.2 “Insurer” :means a General Insurance Company from whom the Company
takes the insurance cover for the Scheme.
4.3. “Scheme”: means the Group Personal Accident Insurance Scheme.
4.4 “Nominee”: means the person(s) nominated by the covered employee for the
purpose of Group Insurance Scheme. In case of those persons covered under
the Scheme who have not submitted nomination in the Group Insurance
Scheme of LIC or are not covered by the said Group Insurance Scheme, the
person(s) to be nominated by the employee for this Scheme.
4.5 "Policy” : means the Insurance Policy taken by the Company.
5.0 BENEFITS:
5.1 The Insurance Policy will provide coverage by way of payment of compensation to
the extent specified in this Scheme to the covered employees round the clock,
whether he is on Company's duty or not, on any location in India or abroad;
against a bodily injury resulting solely and directly from accidents caused by
violent, external and visible means which shall solely, and independent of any
cause, result in death or disablement (as per the provision/Schedule in the policy,
which is enclosed at Annexure-I). The benefits under the Policy in brief are as
follows:
5.2 Death:
In case of death of a covered employee of NTPC, caused by accident as at

5.1 the nominee(s) as declared by the employee for the purpose of
compensation payable under Group Insurance Scheme, will be paid a
compensation by the Insurers to the extent of 100% of the Capital Sum
Insured, which will be 50 months' pay (i.e. Basic pay and Dearness
Allowance) of the financial year during which the death takes place.
5.3 Permanent Disablement:
In case of permanent disablement (total or partial) of a covered employee of

NTPC, caused by accident as at 5.1 above, the employee will be paid a specified
percentage of the Capital Sum Insured as at 5.2 as compensation by the Insurers.
Percentages are indicated in the Schedule of the Policy enclosed at Annexure-I.
5. 4 Temporary Disablement;
In case of a temporary disablement of a covered employee caused by an accident

as at 5.1, the employee will be entitled to a sum at the rate of 1% of the Capital
Page: 3 of 15
Sum Insured as at 5.2, per week only during the period the employee is on leave
(other than Special Disability Leave) subject to the condition that this weekly
benefit shall not exceed Rs.5000/- or weekly wages, which ever is lower. The
compensation payable under above clauses shall not be payable for more than
104 weeks in respect of any one injury calculated from the date of
commencement of the disablement and in no case shall exceed the Capital Sum
Insured. Where the weekly benefit under GPAIS fall below Rs.1500/- , the
minimum payment of Rs.1500/- will be assured to the claimant.
5.5 Where an employee is covered under the Workmen's Compensation Act and
certain compensation becomes payable under the Act, the Compensation
under this Scheme will be in lieu of the Compensation payable under the
provisions of the Workmen's Compensation Act, 1923. Where in a particular
case the amount payable under this Scheme falls short of the amount
payable under the Workmen's Compensation Act, the difference will be paid
by the Company. In other cases, Where the payment is higher under the
Scheme the higher of the two will be admissible. However, in no case
compensation will be paid under both, i.e. this Scheme and the Workmen's
Compensation Act.
5.6 Where an employee is sanctioned Special Disability Leave under the

concerned rules of the Company, the Compensation for temporary
disablement under clause 5.4 of this Scheme shall not be payable. However,
in case the employee opts for taking Compensation under the Scheme, he
will not be sanctioned special Disability leave and he will have to apply for
other leave due at his credit CL, EL or HPL for the period of disablement.
5.7 Expenses on Transportation of Dead Body:
In the event of death of the Insured Person due to accident, as defined in

Policy, outside his/her residence, the insurer shall reimburse, in addition to
the amount of compensation of the Capital sum insured, the expenses
incurred for transportation of employee's dead body to the place of residence
subject to the maximum of 2% of Capital Sum Insured or Rs. 1,000/- whichever is
less.
6.0 CONDITIONS AND PROCEDURES OF CLAIMS UNDER THE SCHEME:
6.1 If a covered employee sustains any bodily injury in respect of which a claim is or
may be made under this Scheme, prompt written notice thereof shall be given
by the employee to the HR Deptt. of Project/Division who in turn will inform the
Insurer, as soon as possible. If, however, the covered employee dies, notice of
death shall be given forthwith by the employee's legal personal
representative/nominee to the Insurance Company/HR Deptt. of the
Project/Division. Copies of this will also be sent to the Manager (HR – EB)
Page: 4 of 15
Corporate Center by the HR Deptt. of Project/Division.
6.2 All certificates, information and evidence required by the Insurance shall be
furnished at the expense of the insured employee or his legal personal
representative/ nominee and shall be in such form and of such nature as the
Insurers may prescribe from time to time.
6.3 Upon the happening of any event which may give rise to a claim under this
Policy, written notice with full particulars must be given to the Insurer
immediately. In case of death, written notice of .the death must, unless
reasonable cause is shown, be given before internment/cremation, and in any
case, within one calendar month of the death, as also in the event of loss of
sight or amputation.
6.4 The insured employee must, immediately, after the occurrence of an accident, which
may be a subject of a claim under this policy, obtain and follow the advice of a
registered medical practitioner, failing which the Insurers shall not be liable for
any consequence arising from such failure by the covered employee to obtain and
follow such medical advice.
6.5 Claims Pertaining to Death:
The covered employee's legal personal representative/nominee will submit the

claim in the prescribed form for this purpose along with the following documents:
i) Claim in prescribed form2 (Annexure-I)
ii) Attested copy of Death Certificate
iii) Attested copy of Post Mortem Report
6.6 Claims Pertaining to permanent (total and partial) Disablement:
The covered employee shall submit the claim in the prescribed form for this
purpose alongwith the following documents:
i) Claim form/Attending Doctor's Report2

(Annexure I & II)
ii) Medical Fitness Certificate
iii) Leave Sanction Certificate by HR:
6.7 Claims Pertaining to Temporary Total Disablement:
The covered employee shall submit the claim in the prescribed form for this
Page: 5 of 15
purpose alongwith the following documents:
i) Claim Form/ Attending Doctor's Report2

(Annexure I & II)
ii) Leave Sanction Certificate of HR Department
iii) Fitness Certificate except in case of claim for interim payment
Discharge Voucher is required to be sent to the Insurance Company, as enclosed at

Annexure-III while preferring the claim and should be duly affixed with revenue
stamp and signed by the employee concerned. In case of death, the Discharge
Voucher may be signed by the representative of the HR Department who is
preferring the claim on behalf of the concerned employee. However, the details
regarding amount etc. need not be furnished in the Discharge Voucher, as the
same will be filled in by the Insurance Company3
In respect of Leave Sanction Certificate of HR Department to be submitted in terms

of Clause 6.6(iii) and 6.7(ii), if the employee does not apply for any leave during the
period of disablement, a certificate of absence from the work place may be submitted
by HR Department along with the claim form 3
6.8 The compensation under more than one of the sub-clauses 5.2, 5.3 and 5.4 in
respect of the same period of disablement shall not be payable. In other words, the
covered employee will be entitled to compensation under only one of them in case of
the same accident.
6.9 Any payment in case of more than one claim in respect of such insured person
under the policy during any one period of insurance by which the maximum liability
of the Insurer specified in the Schedule, applicable to such Insured Person,
exceeds the total sum assured under this policy, shall not be payable.
6.10 The Insurers shall not be liable for death/disablement, directly or indirectly, caused
by/arising out of or resulting from or traceable to certain contingencies of which an
illustration, is given below:
a. Intentional self-injury, whether criminal or not, suicide or attempted suicide;
b. The covered employee being under the influence of or being affected by

intoxicating liquor or drugs;
C. Child birth or pregnancy or other physical causes peculiar to the female

sex (in the case of female insured employee);
d. Hunting, Mountaineering, Aviation (other than as a passenger on a

Schedule Flight), etc.
Page: 6 of 15
e. Any physical defect or infirmity which existed prior to the date of affecting
this insurance.
Note: These conditions are subject to change without notice at the instance of the
Insurance Company.
7. 0 GENERAL:
7.1 A compensation under this Scheme duly covered by an Insurance Policy shall
be paid to the covered employee or his nominee, as the case may be and to
the extent the compensation in settlement of the claim is received from the
Insurance Company.
7.2 In respect of matters which are not specifically covered in the above scheme/
rules, the provisions of the policy taken for GPAI from the Insurance Company will
be followed. Further, in case of differences, if any, in the provisions of the
Scheme and that of the Insurance Policy, the latter shall prevail.
7.3 The Chairman and Managing Director reserves the right to modify or amend or
withdraw the Scheme, at any time, without notice.
Authority
2. Corporate IOM 01/Pers:/4(32), dt. 8.9.88
4. Corporate IOM 4(32)/337 dt. 12.11.98
ADDENDUM
EXTRACTS FROM THE SCHEDULE OF THE POLICY
Under the Scheme the insurer shall pay to the covered employee,
compensation to the extent and manner as provided hereunder; in case
the covered employee shall:
1. Sustain any bodily injury resulting solely and directly from accident
caused by external, violent & visible means, the sum hereinafter set
forth in respect of any of the Insured Persons specified in the Schedule:-
a) If such injury shall within twelve calendar months of its

occurrence be the sole and direct cause of the death of the
Insured Person/Persons, the Capital Sum Insured stated in the
Page: 7 of 15
Schedule hereto applicable to such Insured Person/Persons.
b) In such injury within twelve Calendar months of its occurrence be

the sole and/or direct cause of the total irrecoverable loss of.
i) Sight of both eyes, or of the actual loss by physical

separation of the two entire hands or two entire feet or
one entire hand and one entire foot or such loss of sight
of one eye and such loss of one entire hand or one
entire foot, the Capital Sum Stated in the Schedule
hereto.
ii) use of two hands or two feet, or of one hand and one
foot or of such loss of sight of one eye and such loss of
use of one hand or one foot, the Capital Sum Insured
Stated in the Schedule here to.
c) If such injury shall within twelve calendar months of its

occurrence, be the sole and direct cause of the total and
irrecoverable loss of:
i) the sight of one eye, or of the actual loss by physical

separation of one entire hand or one entire foot, fifty
percent (50%) of the Capital Sum Insured Stated in the
Schedule hereto, applicable to such Insured Person.
ii) total and irrevocable loss of use of a hand or a foot

without physical separation, forty percent (40%) of the
Capital Sum Insured stated in the Schedule hereto
applicable to such Insured person.
Note: For the purpose of clause (b) and (c) above, physical
separation of a hand or foot means separation of hand
at or above the wrist and/or of the foot at or above the
ankle.
d) If such injury shall as a direct consequence thereof, immediately permanently,

totally and absolutely, disable the Insured person from engaging in being
occupied with or giving attention to any employment or occupation of any
description whatsoever, then a lump sum equal to hundred percent (100%) of
the Capital Sum Insured stated in the Schedule hereto applicable to such
Insured person.
e) If such injury shall within twelve calendar months of its occurrence be the sole
and direct cause of the total and irrecoverable loss of use or of the actual loss
by physical separation of the following, then the percentage of the Capital Sum
Page: 8 of 15
Insured applicable to such Insured person in the manner indicated below:-
Percentage of Capital Sum Insured
i) Loss of toes all 20

Great both phalanges 5
2
Great one Phalanx 1
Other than great, if more than one toes

lost each.
ii) Loss of hearing both ears 50
iii) Loss of hearing one ear 15
iv) Loss of four fingers & 40thumb of one hand
v) Loss of four fingers 35
vi) Loss of thumb-both Phalanges 25
one Phalanx 10
vii) Loss of Index Finger
three phalanges 10
two phalanges 8
one phalanx 4
viii) Loss of middle Finger
three phalanges 6
two phalanges. 4
one phalanx 2
ix) Loss of ring finger three phalanges 5
two phalanges 4
one phalanx 2
x) Loss of little finger
three phalanges 4
two phalanges 3
one phalanx 2
xi) Loss of metacarpals
first or second (additional 3
third, fourth or fifth 2
(additional)
xii) Any other, permanent partial Percentage
disablement as assessed
by the Doctor.
Page: 9 of 15
f) If such injury shall be the sole and direct cause of temporary total disablement, then so
long as the Insured Person shall be totally disabled from engaging in any
employment or occupation of any description whatsoever, a sum at the
rate one percent (1%) of the Capital Sum Insured stated in the Schedule
hereto per week, but in any case not exceeding Rs. 1,500- per week, in
all, under all P.A. policies, covering such Insured Person.
Provided that the compensation payable under the foregoing Sub-Clause

(f) shall not be payable for more than 104 weeks in respect of any one
injury calculated from the date of commencement of the disablement and
in no case shall exceed the Capital Sum Insured, applicable to such
Insured Person
g) In the event of the death of the Insured person due to accident as

defined in the policy outside his/her residence the company shall
reimburse in addition to the amounts payable under Sub-Clauses (a) .
to (0 expenses incurred for transportation of Insured's dead body to the
place of residence subject to a maximum of 2% of Capital Sum Insured
or Rs. 1000/- whichever is less.
ANNEXURE-1
To
PRELIMINARY CLAIM FORM
The Issue of this form is not be taken as an admission of liability.
TO BE COMPLETED BY THE INSURED
1. (a) Name of Insured (in full)___________________Pl.No._____________________
(aa) Name of the Injured person (for group policies only_______________________)
(b) Address in full____________________________________________________

Page: 10 of 15
(c) Profession/Occupation_____________________________________________
(d) Age last birthday__________________________________________________
2. (a) Date of Accident______________(b) Time or Accident_____________________

(b) Where it happened____________
3. How did the accident occur?
4. Nature of injury received

(If to limb or eye state whether right or left.
5. Name and address of the Doctor/Hospital/

Nursing Home where you are being treated.
6. Where and when can a Medical Officer of the Company visit you if necessary?
I hereby declare that the foregoing statements are made by himself and are true in all
respect and that I have not attempted to conceal from the company anything with which it
ought to be made acquainted and I agree that if I have made, or in any further declaration the
company may require, shall make any false or fraudulent statement or any suppression,
concealment or untrue advertisement whatever, the policy shall be void, and my right to
compensation forfeited, and I am willing, if required, to make a statutory declaration before a
Justice of the peace of the truth of the whole of the foregoing statement or any other statement
I may make in connection with this claim.
Witness:
Name________________ Signature of Insured___________
Signature Date _______________________
Signature______________
Date__________________
Address_______________
Page: 11 of 15
ANNEXURE-II
CERTIFICATE TO BE FILLED UP AND SIGNED BY AN EYEWITNESS OF THE

ACCIDENT
I have certify that I was present when the Accident occurred to Mr /Mrs.________ on
the________________date of_________20____ in the manner stated by him overleaf, that it was
caused____________ which * was his willful act and that the was his willful act and that he was
not _________________was not______ was_________under the influence of intoxic thing liquor
at the time.
Signature__________
Address
Occupation_________*
Strike out which is not applicable
Date
_____________________________________________________________________________
__________________________
MEDICAL
CERTIFICATE_________________________________________________________________
Claims must be supported by Medical Evidence furnished by the Insured at his expenses.
1. (a) Name of Claimant (b) Age
2. (a) Nature and cause of Accident.

(b) If to eye or limb state left or right
(c) Whether the appearance of the Injuries consistent with the account given of the
accident.
3. Date on which you first attended Claimant for this injury.
4. Has Claimant been totally prevented from attending to any portion of his business? if so, how
long?
Page: 12 of 15
5. Is Claimant suffering from any disease or illness apart from his injury, and is there any illness
or circumstances which may tend to retard recovery? If so give particular
6. Present condition.
7. How long from the happening of the Accident do you consider.
(a) Total disablement will last?
(b) Partial disablement will last?
Having personally examined the above named Insured I certify that the above
statements are correct and the injured person is necessarily disabled by the Accident
referred to:-
Signature________________________
Name & Qualification________________
Date: Address ________________________
REMARKS
Annexure III
PERSONAL ACCIDENT INSURANCE CLAIM FORM

(PARTICULARS OF ACCIDENT)
Policy No. _______________

Branch/Unit______________
Claim No.______________________
To
Page: 13 of 15
The issue of this form is not be taken as an admission of liability_______.
TO BE COMPLETED BY THE INSURED
1. (a) Name of Insured (in full)___________________________________________
(b) Address in full___________________________________________________
(c) Profession occupation

_____________________________________________________
(d) Age last birthday_______________________________________________
2. (i) Policy No. Sum InsuredTable of Cover Period

(ii)
(iii)
3. (a) Date of Accident

(b) Time of Accident
(c) Where it happened
(d) Name and Add. of witness
4. How did the accident occur?
5. Nature of injury received

(If to limb or eye state whether right or left.
6. (a) Nature of disablement

(b) Extent of disablement
Confined to House__________(From__________to___________________________)
Partial disablement_____________ (From__________to_______________________)
(c) Present State of incapacity
. Name and address of Surgeon in attendance

Page: 14 of 15
8. (a) Where and when can be Medical Officer of the

Company visit you if necessary ?
(b) Name of nearest railway station and distance

there from.
9. (a) Are you insured in any other office or
offices granting compensation for accident?
(b) If so state name and address of company or

companies. and amount of insurance.'
I hereby declare that the foregoing statements are made by myself and are true in all respect and
that I have not attempted to conceal from the company anything with which it ought to be made
acquainted and I agree that if I have made, or in any further declaration the company may
require, shall make any false or fraudulent statement or any suppression, concealment or untrue
advertisement whatever, the policy shall be void, and my right to compensation forfeited, and I am
willing, if required, to make a statutory declaration before a Justice of the peace of the truth of the
whole of the foregoing statement or any other statement I may take in connection with this claim.
Date............................. 199
Received from ...........................................................................
the sum of Rupees.........................................................................................................................
being.........................................................................................................................................................
..................................................................................................................................................................
Cash Receipt given by

Mr................................................................................
Rs.
Signature
Affix Twenty Paise Revenue Stamp if amount exceeds Rs.20/-

Page: 15 of 15
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Employee Benevolent Fund Scheme Updated as on: 31.01.2012
Page: 1 of 7
NTPC EMPLOYEE BENEVOLENT FUND SCHEME1
1.0 OBJECTIVE:
The NTPC Employees Benevolent Fund Scheme* is introduced with a view to

provide financial assistance to the families of member employees who die a
natural death while in the employment of the Company.
2.0 SCOPE AND COVERAGE:
The Scheme will cover all employees borne on the regular rolls the Company,
who enr ol l themselves as members or the Scheme, but w i l l e xc l u d e
deputationists, lien holders, trainees/apprentices, muster roll, casual, badli or
substitute employees.
3.0 MEMBERSHIP OF THE SCHEME :
3.1 The Membership of the Scheme will be voluntary. An eligible employee who
wishes to become a member shall apply in the prescribed Form (Form-I), to be
filled in duplicate, authorizing recovery of the contribution payable by h i m @
0.6% of Basic Pay and DA subject to a minimum of Rs. 10- per month and a
maximum of Rs. 25/- per month (Form-II).
4.0 EXTENT OF BENEFIT:
4.1 In case of natural death of an employee while in the employment of the

Company, the nominated family members of the employee concerned will be paid
an amount equivalent to 25 months Basic Pay + DA (reckoned as on 1st April of the
relevant financial year) subject to a minimum of Rs. 40,000/- and a maximum of Rs.
1 lakh.
4.2 The benefit, as above, shall not be admissible in the case of death arising out of
accident, for which the relief is covered under Company's Group Personal Accident
Insurance Scheme. In such cases, the nominated family members of the member
employee will be entitled for refund of the amount contributed by him, without
interest.
*N.B. 1. The Scheme initially came into operation in CC. Each Region can
consider introducing the Scheme for the employees in respect of
Projects/Regional/TL Establishments under their control.
2. Consequent to the implementation of the Scheme, the death relief

Scheme, wherever operating, stands withdrawn.
Page: 2 of 7
3. The Scheme becomes viable only if 70% or more employees opt for
membership of the Scheme.
4.3 However, in either case, when the death takes place due to accident or
otherwise, an amount of Rs. 5,000/- will be paid towards funeral expenses over
and above the amount admissible under the Scheme.
5.0 NOMINATION FOR PAYMENT:
5.1 Every Member employee shall make a nomination in the prescribed format
(Form-I) conferring on one or more persons of his family the right to receive the
benefit under the Scheme in the event of his death, indicating the shares
payable to each member. In case of an employee having no family, the
nomination may be made in favour of any person or persons or body of
persons, corporate or incorporate. Family, for this purpose shall mean the
spouse, children, whether married or unmarried; dependent parents and the
widow and children of deceased son, if any.
5.2 The nomination may be changed by a member employee at any time, through a-
written notice to this effect and filling of revised nominations in the prescribed
form.
5.3 In case no nomination has been made by the deceased member employee
under this Scheme, the benefit under the Scheme will be paid to the person(s)
as nominated for Group Insurance Scheme.
6.0 PROCEDURE FOR PAYMENT:

On natural death of a member employee, intimation will be given by the
concerned HR Department after obtaining the usual formalities. On receipt of
the communication from the HR Deptt., a Society/Committee as constituted
under 7.0 below will sanction the amount after ascertaining the
beneficiary/beneficiaries entitled to receive the benefit. The payment will be
made by a crossed cheque/bank draft to the beneficiary/beneficiaries.
7.0 ADMINISTRATION OF THE SCHEME :
7.1 The Scheme will be administered by a Society, to be duly registered under the
relevant law and will be regulated by its bye-laws.
7.2 Pending registration of a Society, the Scheme will be administered by a

Committee, as constituted by the promoters.
7.3 The Society/Committee, as above, will judiciously invest the contributions

collected from the member-employees, so as to obtain as optimum return on
Page: 3 of 7
investment.
8.0 CESSATION OF MEMBERSHIP :
8.1 The Membership of an employee will cease, with specific written notice for
withdrawal or in the event of separation from the Company.
8.2 In the event of cessation of Membership, sum as contributed will be refunded

without any interest.
AUTHORITY:
1. Corporate Personnel Circular No. 223/89 Dated 15.2.1989.
FORM -1
NTPC EMPLOYEES BENEVOLENT FUND SCHEME
APPLICATION FOR MEMBERSHIP UNDER PROVISION 3.1 OF THE SCHEME
1. Name of the Employee :
(In Block Letters)
2. Employee No. :
3. Designation :
4. Place of Posting :
5. Date of Joining NTPC :
on Regular Rolls
6. Present Basic and Scale :

of Pay
7 Age and Date of Birth as on

the date of application :
8. Present Address :
9. Permanent Address :
Page: 4 of 7
10. Details of Family Members :
SI. No. Name of the Age Marital Relationship

Family Status with the
Members employee
1.
2.
3.
4.
5.
I declare that all particulars furnished by me are correct and true and further
request that I may be admitted as a member of NTPC Benevolent Fund Scheme
w.e.f.__________.
My nomination of relatives to whom the benefit under the Scheme will accrue is also
given below :
(Where more than one person is nominated, indicated the percentage of

distribution of benefits between the nominees).
SI. Name of the Nominee Age Relationship Percentage of benefit
No.*
1-
2.
3-
4.
5.
Dated :___________
Place :___________
Signature______________
Name________________
Page: 5 of 7
Employee No.____________
Designation_____________
Department_____________
Place of Posting___________
To :
MEMBER SECRETARY
NTPC
FORM-II
FORM OF AUTHORIZATION FOR DEDUCTION OF CONTRIBUTION
FROM WAGES/SALARY
I, Shri/Smt./Ms./____________________ Employee No._____________
Designation_______________________working in the Department
___________________________________being a Member employee of 'NTPC
EMPLOYEES BENEVOLENT FUND SCHEME' authorize M/s. NTPC Ltd., to deduct from my
salary an amount equal to 0.6% of my basic pay and dearness allowance per month subject
to a minimum of Rs. 10/- and a maximum of Rs. 25/- only w.e.f.
Dated :______________
Place : ______________
Signature__________________
Name_____________________
Employee No._______________
Page: 6 of 7
Designation_________________
Department_________________
Place of Posting______________
To:
MEMBER SECRETARY
NTPC
Page: 7 of 7
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Scheme for providing assistance for Updated as on: 31.01.2012
performance of customary rituals on the Page: 1 of 4
demise of employees
SCHEME FOR PROVIDING ASSISTANCE FOR PERFORMANCE OF

CUSTOMARY RITUALS ON THE DEMISE OF EMPLOYEES 2
1.0 OBJECTIVE:
The objective of the Scheme is to render immediate assistance in transportation

of the body of the deceased employee and to provide financial assistance in
connection with customary rituals on the demise of the employee.
2.0 APPLICABILITY:
2.1 The Scheme shall be applicable to all employees in the prescribed pay scales in
the Company including employees on deputation/lien to NTPC from other
organizations.
2.2 The Scheme shall cover all cases of death of employees due to any reason
whatsoever while in service as per provisions specified hereunder.
3.0 ASSISTANCE:
In the event of death of an employee while in service of the Company, the

following assistances would be admissible:
3.1 Financial Assistance
3.1.1 In all cases of death of employee, for any reason whatsoever, while in service, an
amount of Rs.5000/- (Rupees Five thousand only) shall be paid as a financial
assistance for performance of customary rituals on the demise of the employee.
3.1.2 The aforesaid financial assistance will normally be made available to the spouse
or nominee of the deceased employee, entitled to receive the dues payable by
the Company in the event of his/her death. In cases where either the deceased
employee was an unmarried person or has not authorized any person as his/her
nominee or the nominee is not available at the place of death of the employee to
take care of his/her funeral, the assistance may be made available to his/her
family member/ relative/ friend/ neighbour/ well wisher who actually makes
arrangements for the funeral.
3.1.3 The above financial assistance is not over and above, but in lieu of the amount of
Rs.5000/- (Rupees five thousand only) admissible to a member of NTPC
Employee Provident Fund from the ‘Capital Reserve Fund Account’ (circulated
vide Chairman, NTPC Provident Fund Trust’s letter No. 105 dated 1.10.2002).
However, the amount admissible, if any, under ‘NTPC Employee Benevolent
Fund Scheme ‘ for the above purpose shall be over and above the amount
admissible under this Scheme.
3.2 Transportation Assistance

demise of employees
3.2.1 Death at the Place of Posting:
Where the death of the employee occurs at his place of posting within India due
to any reason whatsoever, and last rites are also being performed at the same
place, one car/jeep/multi-utility vehicle may be provided for a day to assist the
family of the deceased employee in making arrangements for performance of the
customary rites. If the family of deceased wishes or for any other reason, the last
rites are to be performed at the home town of the deceased employee, the
arrangements for transportation of the body of deceased employee along with
one escort as per wishes of the family, shall be made by rail / road / airlines (to
and fro fare) as per entitlement of a serving employee in equivalent grade. Head
of HR concerned at Projects / Stations / Regions and GM (HR) at Corporate
Centre will be the Competent Authority to approve such assistance.
3.2.2 Death at place other than place of posting within India on tour or official duty:
If the death of the employee occurs at a place other than his place of posting but
within India where employee may be on tour or may be at such place on official
duty, the arrangements at the cost of Company for the transportation of the body
of the deceased employee, alongwith one escort to his place of posting or to his
home town or any other place in India as may be desired by the family of the
deceased employee shall be made by road/rail/airlines (to and fro fare) as
considered feasible and practicable keeping in view the period of journey and
means available. Head of HR concerned at Projects / Stations/Regions and
GM(HR) at Corporate Centre will be the Competent Authority for according
approval of such assistance.
The above provisions will also be applicable in case of death of an employee

while taking medical treatment at a place other than the place of posting. In case
the medical treatment is being taken for children below 12 years of age, such
assistance shall be extended with 2 escorts.3
3.2.3 Death of employee outside India while on official duty:
In respect of cases of death of an employee outside India while on official duty,

the assistance would be admissible in similar manner as in case of death in India.
In addition, one of the family members, if the family so desires, would be provided
to & fro air fare by economy class for claiming the body of the deceased
employee from the concerned authorities where required. Competent Authority
to approve such expenditure shall be Head of Project / Stations at
Projects/Stations, ED(Region) at Region, ED(HR) in CC (as applicable). In all
such cases of death and sanction of transportation assistance a report shall be
sent to Director (HR) for information.
3.3 The assistance for actual transportation would be admissible even if such
assistance would have been admissible from any other source in case of death
due to accident but not availed by the family of the employee.
4.0 PROCEDURE:
4.1 On receipt of the information regarding death of an employee within India, by the
concerned HR Department, the Senior HR Officer / HR Officer looking after the
welfare function, shall obtain sanction of the Head of HR for grant of financial
demise of employees
assistance as well as transport wherever available or alternatively reimbursement

of the cost of transportation to the eligible person as mentioned in para 3.2
above; and thereafter the concerned officer shall ensure that the aforesaid
assistance is made available to the eligible person at the earliest. Similarly for
cases of death outside India on tour / official duty, the concerned HR Officer shall
obtain sanction of the Competent Authority as per para 3.2.3 for transportation
and para 3.1 for financial assistance.
4.2 On receipt of the sanction under para 4.1 above, the concerned Finance
Department would immediately arrange for amount in cash and hand over to the
Senior HR Officer/HR Officer (Welfare) for doing the needful. After making
payment, the concerned Finance Department will take action for recoupment of
the amount from NTPC Provident Fund Trust, New Delhi, in case the deceased
employee was member of NTPC Provident Fund. Where, however, the
deceased employee was not a member of the NTPC Employees Provident Fund,
the expenses will be borne directly by the Company.
4.3 It is desirable that the Head of Department, where the deceased employee was
working, personally visits, accompanied by the Sr. HR Officer/HR Officer
(Welfare) and hand over the money to the person referred to at para 3.1.2 above
if the last rites are performed at his place of posting.
5.0 GENERAL
5.1 The Scheme is framed purely as a welfare measure and does not confer any right
or benefit on the employee nor imposes any obligation or liability whatsoever on
the Company; and shall not be deemed to be any contract or condition of service
between the Company and any such employee.
5.2 The power to interpret and administer the scheme shall vest with the Chairman
and Managing Director whose decision shall be final and binding.
5.3 The Company reserves the right to withdraw, cancel, add or amend in any
manner any or all of the provisions of this scheme.
Authority:
1. Corporate Personnel IOM Dated 28.3.1985.

demise of employees
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Employees (HBA) Group Insurance Updated as on: 31.01.2012
Scheme Page: 1 of 8
NTPC EMPLOYEES (HBA) GROUP INSURANCE SCHEME
1.0 INTRODUCTION
In the event of untimely demise of an employee while in service, the deceased

employee's family faces financial hardships in repaying the outstanding House
Building Advance of the employee, if taken; and in the process, the terminal
benefits like PF, Gratuity etc. get depleted to a large extent.
2.0 To cover the liability of the employees towards outstanding HBA and interest
thereon in case of death, the Company has taken a HBA Insurance Policy from
LIC, which provides for insurance cover for the house building advance taken by
the employees, as per the terms and conditions mentioned below:
2.1 Coverage:
Employee who have taken House Building Advance from the Company shall be
covered under the scheme w.e.f 1.6.1993 on giving their willingness and
consent to be covered under the Insurance Scheme and for monthly recovery of
their share of the premium. As on the date of introduction of the scheme, at least
70% of the employees who have already taken HBA are required to become
covered under the scheme. The company has provisionally paid the total
premium covering all employees w.e.f 1.6.1993, who have taken HBA, in
anticipation of the willingness and consent of all such employees. However, in case
the same is not received from at least 70% of such employees LIC will not provide
the Insurance coverage and consequently, the company will be constrained to
withdraw the scheme.
Subsequent to the date of introduction of the scheme, all employees who are
sanctioned HBA shall be compulsorily covered under the scheme.
2.2 Insurance Cover :
In terms of the Insurance Policy, LIC shall provide insurance cover to individual
house building advance taken by the employees to the extent of Rs.20.0 lakhs
(Principal and interest) w.e.f 1.4.2010.3 In other words, in the event of death of
an employee while in service and before repayment of the entire amount of HBA
and the interest thereon, LIC shall pay to the company the outstanding HBA and
interest of the employee, limited to Rs.20.0 lakhs. However, the outstanding HBA
& interest thereon shall not include the defaults in payments, if any, of the
concerned employees. Any amount beyond the limit of Rs.20.0 lakhs shall be
adjusted as due from the concerned employees.
2.3 Premium :
Scheme Page: 2 of 8
The premium towards taking the aforesaid insurance policy s h a l l be as per the
rates charged by LIC from time to time (Presently, as per the table given at
Annexure - A) and shall be determined on the basis of the outstanding HBA &
interest of the employees as on 1st April every year.
The premium payable under the scheme will be shared by the company and the
concerned employees in equal proportion of 1:1 and the employees share shall
be recovered from them in 12 equal monthly installments.
2.4 Procedure:
2.4.1 As on the date of implementation of the scheme, i.e 01.06.1993, the Projects/Units
will obtain willingness and consent from employees, who have taken House
Building Advance from the Company, to be covered under the Insurance Scheme
and for monthly recovery of their share of the premium. This will be obtained in the
proforma given at Annexure - B.
2.4.2 The consent, so obtained will be kept in the HBA file of the employee concerned
maintained in HR Dept. On receipt of the consent, the HR Dept will prepare a list of
such cases (showing employee no. and age, as on date of consent) and send it to
F&A for calculation and recovery of employees share of premium. The projects will
also inform C.C., as per Annexure - D the total number of the employees who have
taken HBA and have given their consent, along with proposed total annual recovery
towards employees share of premium. This will be done by 30.09.1993 latest.
2.4.3 Starting from 01.06.1993, the projects will intimate action for recovery of monthly
premium from the salary of those employees who have submitted their consent,
based on their respective age and amount outstanding (Principal + interest). For this
purpose, the premium will be as indicated at Column No. 3 (Group size 501 -2500)
of the Table at Annexure 'A' corresponding to the age till further notice.
2.4.4 In all cases of fresh sanction of HBA, immediately on release of first installment (or
lump sum as the case may be) recovery of the premium, corresponding to the
amount released and interest thereon, shall be effected by F&A through a
monthly list, the age details of the employees sanctioned HBA in a particular month.
2.4.5 Further every year as on 1st April an updated list showing all the particulars as per
proforma at Annexure 'C' will be prepared jointly by HR & F&A and sent by the
Projects/Units/CC to Corporate Personnel Establishment Group incorporating
additions and deletions to enable LIC to calculate the premium payment for the year.
2.4.6 In the case of transfer of an employee covered under the scheme to another
Scheme Page: 3 of 8
project, the particulars of the total HBA and interest outstanding a n d the rate of
recovery of monthly premium shall be shown in the LPC issued by Finance
Deptt. The HR Deptt. will also sent details of Date of Birth of the transferred
employees to the unit concerned.
2.4.7 In the case of resignation from the service of the Corporation, the recovery of the
premium would be effected till the month in which the employee is relieved.
2.4.8 In the event of death of a covered employee while in service and in respect of
whom the entire/part amount of HBA and interest thereon is still to be repaid, the
project/unit shall send the necessary intimation to LIC, along with the details of
the concerned employee in the prescribed form. On receipt of the said intimation,
LIC will process the case and pay to NTPC the outstanding HBA & interest
thereon of the employee, as admissible under the scheme,
3.0 The above scheme shall be deemed to have come into force w.e.f 1.6.1993.
AUTHORITY:
2. Corporate Personnel Circular No. 465/2001dt. 23.4.2001.
3. Corporate HR IOM No. 01: HR-Policy:7(&.1)/727 Dated 07.05.2010

Scheme Page: 4 of 8
ANNEXURE- A
OYRGTA TABLE OF PREMIUM RATES

Premium Rate per Thousand Sum Assured
Group Upto 501- 2501- Above Group

Size => 500 2500 10000 10000 <= Size
Age II Age I-I
V V
1 2 3 4 5 6
18 - 30 2.15 1.95 1.80 1.75 18-30
31 2.20 1.95 1.85 1.80 31

32 2.25 2.05 1.90 1.90 32
33 2.35 2.15 2.00 1.95 33
34 2.45 2.25 2.10 2.10 34
35 2.60 2.40 2.25 2.20 35
36 2.75 2.55 2.40 2.35 36
37 2.95 2.75- 2.60 2.55 37
38 3.10 2.90 2.75 2.70 38
39 3.25 3.05 2.90 2.85 39
40 3.45 3.25 3.10 3.05 40
41 3.75 3.50 3.40 3.30 41
42 4.00 3.85 3.70 3.65 42
43 4.50 4.25 4.10 4.05 43
44 4.95 4.75 4.60 4.50 44
45 5.50 5.30 5.10 5.00 45
46 6.15 5.95 5.75 5.65 46
47 6.85 6.65 6.45 6.35 47
48 7.65 7.45 7.25 7.10 48
49 8.55 8.30 8.10 7.95 49
50 9.50 9.30 9.05 8.90 50
51 10.55 10.35 10.15 9.95 51
52 11.75 11.50 11.30 11.05 52
53 13.00 12.80 12.55 12.30 53
54 14.45 14.20 13.95 13.65 54
Scheme Page: 5 of 8
55 15.95 15.75 15.50 15.15 55

56 17.65 17.45 17.15 16.80 56
57 19.50 19.25 18.95 18.55 57
58 21.50 21.30 20.95 20.50 58
1 2 3 4 5 6
59 23.70 23.50 23.11 22.65 09

60 26.05 25.85 25.45 24.95 60
61 31.20 30.95 30.55 29.90 81
62 36.30 36.10 35.60 34.85 62
63 41.40 41.20 40.65 39.00 63
64 46.55 46.30 45.70 44.80 64
65 51.65 51.45 50.80 49.75 65
Scheme Page: 6 of 8
ANNEXURE-B
NTPC
PERFORMA FOR INDICATING WILLINGNESS/CONSENT TO BECOME

COVERED UNDER THE NTPC EMPLOYEES (HBA) GROUP
INSURANCE SCHEME
With reference to the NTPC Employees (HBA) Group Insurance Scheme, as

introduced vide Corporate Personnel Circular No. 304/93 dated 28-07-93. 1
hereby indicate my willingness and consent to become covered under the said
Scheme w.e.f 01-06-93.
I also authorize the F&A Department to recover from my salary, in 12 equal

monthly installments, my share of the premium (i.e. 50%) for getting covered
under the said Scheme, which will be worked out on the basis of rates charged
by LIC from time to time.
(Signature)
Employee Name:
Employee No. :
Designation :
Department :
Project/Unit:
To : HR Department
ANNEXURE-C
NTPC
PERFORMA FOR SUBMITTING EMPLOYEE DETAILS TO LIC/CORPORATE CENTRE

Scheme Page: 7 of 8
EMP. NO. NAME DESIGNATION DATE OF BIRTH AMOUNT OF

HBA
SANCTIONED
1 2 3 4 5
DATE OF TOTAL OUTSTANDING MONTHLY HBA

SANCTION HBA & INTEREST RECOVERY
6. 7, 8.
ANNEXURE-D
NTPC
Name of Project : Date as on :
Total no. of employees No. of employees Proposed total
who have been sanctioned who consented to annual recovery\

HBA (only number need be joint the Scheme towards employees
given) (out focal 1) share of premium (Rs.)
1 2 3
Scheme Page: 8 of 8
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Employees’ Family Economic Updated as on: 31.01.2012
Rehabilitation Scheme Page: 1 of 17
NTPC EMPLOYEES' FAMILY ECONOMIC REHABILITATION SCHEME
• It has been decided to introduce "NTPC Employees' Family Economic Rehabilitation

Scheme" for providing monetary benefit and support to employees / family in the event of
Permanent Total Disablement / death of the employee while in service. The detailed
Scheme is as given under:
• The Scheme will come into force with effect from 17.4.2001 and will cover and be
applicable to cases of death / Permanent Total Disablement which have taken place on
or after 1.4.95. However, the benefits under the Scheme shall accrue only from the
month following the month in which the amounts as at para 7.0 of the Scheme are
deposited with the Company.
1.0 OBJECTIVE
To provide monetary benefit and support to an employee in case of his Permanent Total
Disablement, and to his family in case of his death, provided the Permanent Total
Disablement / death, as the case may be, takes place while the employee is in service of
the Company.
2.0 DEFINITIONS
i) "Scheme" means NTPC Employees' Family Economic Rehabilitation Scheme

ii) "Company" shall mean NTPC Ltd.
iii) "Employee" shall mean any person in the regular scale of pay in whole time
employment of the Company and is admitted in this Scheme.
iv) "Beneficiary" shall mean either the employee himself (in case of Permanent Total
Disablement) or his nominee (in case of death) as per clause 9.0 of the Scheme below.
v) "PF Balance" shall mean PF balance outstanding to the credit of an employee
on the date of cessation of service on account of death or Permanent Total Disablement.
vi) "Gratuity" shall mean Gratuity payable under NTPC Employees' Gratuity Fund
Rules without taking into account any permissible deductions therefrom.
vii) "Group Insurance amount" shall mean amount payable under NTPC Employees'
Group Insurance Scheme.

viii) "Permanent Total Disablement" shall mean Permanent Total Disablement as
defined under the Workmen's Compensation Act, 1923.
ix) "Nominee" means the person who is to receive the benefit as envisaged in the
Scheme in the event of the employee's death
3.0 SCOPE & COVERAGE
3.1 The scheme will cover all regular employees (both executives and non-executives
excluding trainees/ apprentices). The scheme will also cover full-time Functional
Directors of the Company in regular scale of pay.
4.0 ELIGIBILITY
4.1 The benefits under the Scheme will be admissible in cases of death / Permanent
Total Disablement excluding cases of death/ Permanent Total Disablement due
to accident while on duty, provided the employee has completed one year of
service at the time of death / Permanent Total Disablement.
4.2 The benefits may also be allowed in cases of death / Permanent Total
Disablement due to accident while on duty at the discretion of Management if
dependants of the deceased employee do not opt for employment in NTPC.
4.3 Applicability in Past Cases : The benefit will be admissible in past cases of
death/Permanent Total Disablement only if the same has taken place on or after
1.4.95 and the beneficiary is willing to deposit the amount mentioned at para 7.0
below now.
5.0 EFFECTIVE DATE
The Scheme will come into force with immediate effect and will cover and be
applicable to cases of death / Permanent Total Disablement which have taken
place on or after 1.4.95. However, the benefits under the Scheme shall accrue
only from the month following the month in which the amounts as at para 7.0
below are deposited with the Company.
6.0 BENEFIT
6.1 On the separation of an employee from the service of the Company on account
of death/Permanent Total Disablement, the beneficiary would be entitled to
monthly payment equivalent to the employee's salary (Basic Pay plus DA +
special pay) last drawn provided the beneficiary deposits with the Management
the amount as indicated in Para 7.0 below in one lumpsum.
6.2 Such monthly payment would be inclusive of contributory Pension payable under
NTPC Ltd. Self Contributory Superannuation Benefit (Pension) Trust Fund and
would continue till the normal notional date on which the employee concerned
would have attained the age of superannuation, had the employee continued in
the service of the Company. While amount equivalent to employee's salary
(Basic + DA + special pay) last drawn less pension payable will be paid by the
Company, Pension amount will be paid to the beneficiary directly by the Pension
Trust. The amount would be payable w.e.f. the
month following the month in which the amounts as at para 7.0 below are
deposited with the Company.
6.3 The interest accrued on balance of PF account from the date of cessation of
service of the employee till the date of withdrawal shall not be considered for
availing benefits under the Scheme.
7.0 DEPOSIT OF AMOUNT
i) Cases of Death / Permanent Total Disablement after the Scheme comes

into force: The beneficiary shall deposit PF balance, Gratuity and Group
Insurance amounts with the Company within a maximum period of 30 days of
settlement of all dues relating to PF, Gratuity and Group Insurance. The
beneficiary will have no option to retain any part of the amounts paid by the
Company towards settlement of PF, Gratuity and Group Insurance amounts.
ii) Past cases of death / Permanent Total Disablement on or after 1.4.95: For
the cases of separation on or after 1.4.95 till the date of notification of the
Scheme, the beneficiary would be allowed to deposit the PF balance, Gratuity

and Group Insurance amounts within a maximum period of 6 months from the
date of notification of the Scheme. In case the beneficiary is not able to deposit
back the above amounts in full, the payments will be in proportion to the amount
deposited.
7.1 The recovery of PF from salary / final settlement / pay revision after month of death / total
permanent disability may be taken into account as PF balance on the date of death / total
disability as the approval is for the period the ex-employee has served.
7.2 Recovery of PF on leave encashment after the death or total disability to be taken as
deposit.
7.3 PF interest for the full month in which death or total permanent disability has occurred
may be taken as PF balance on the date of death/total disability for simplifying the
procedures.
7.4 PF balance as on the date of death of employee shall be deposited with NTPC, so no
apportionment is allowed.
8.0 TERMINATION OF BENEFIT
i) On the normal date of superannuation of the separated employee, the monthly

payments under this Scheme would cease and the amount deposited with the
Company under this Scheme would be refunded to the beneficiary. Under the
Scheme, no interest on the deposits will be admissible for the period of deposit.
ii) If the beneficiary desires to permanently withdraw the PF, Gratuity, and Group
Insurance amounts deposited with the Company under the Scheme at any point
of time, he/she will be allowed to do so. In such cases, the beneficiary would
cease to receive the benefit under the Scheme from the date of withdrawal.
9.0 NOMINATION OF BENEFICIARY
9.1 Only spouse or one of the children of the employee can be nominated as
beneficiary. In the absence of any option, following shall be deemed to be the

beneficiary:-
(a) Spouse
or
(b) In case spouse is not alive, or is unwilling, any one of the dependent
unmarried children.
9.2 An employee separated on account of Permanent Total Disablement and joining the
Scheme, shall himself draw the amount under the Scheme notwithstanding any
nomination made by him. In the event of his death prior to the normal date of
superannuating, his/her nominee shall receive the benefit under the Scheme till the
notional date of superannuating of the deceased employee.
9.3 The nominee of the deceased employee will be required to nominate the person who will
receive the benefit under the Scheme in the event of his/her death.
9.4 In the event of the nominee predeceasing the employee, the employee will be required to
make a fresh nomination.
10.0 OTHER TERMS AND CONDITIONS
10.1 The Scheme is voluntary
10.2 The benefits would be admissible only in case no employment has been provided
by the Company to any of the dependants on compassionate grounds or
otherwise in NTPC or in any of its subsidiary, joint venture, or sister concerns.
10.3 The beneficiary shall deposit in one lump sum the various amounts as required
under Para 7.0 above with the Company, after the same are settled by the
employee, as per Rules.
10.4 The beneficiary will be eligible to get the benefit under this Scheme only after the
loans/advances taken by the employee from the Company and other dues, if any,
to the Company, have been repaid by the nominee/employee in full.
10.5 The employee/ nominee will get the benefit under this scheme only after vacation
of Company's quarters/ Company leased accommodation.
10.5.1 The retention of Company-owned accommodation may be allowed to the

beneficiary on specific request, subject to conditions laid down in NTPC
Allotment of Residential accommodation rules as under:
a) For a period upto 4 months after the death of the employees in normal course.
b) On expiry of 4 months, for a further period till expiry of current academic
session on payment of normal rent/licence fee with the approval of Head of
Project/ED in case of RHQ/ED(HR) in case of CC.
10.5.2 In case the beneficiary is permitted to retain the company owned

accommodation, the benefits under the Economic Rehabilitation Scheme will be
provisionally released to the beneficiary and will cease to be payable
automatically if such accommodation is not vacated after the permitted period.
The deposit made by the beneficiary under the Economic Rehabilitation Scheme
will continue to remain with NTPC.
10.5.3 For claiming these benefits the beneficiary shall be required to provide an
undertaking that she will vacate the accommodation after the permitted period
and that she will be willing to effect recovery of rent from the monthly payment
admissible under the scheme, alongwith the request letter as specified
above.(Proforma of undertaking at annexure). Penal rent would be payable by
the beneficiary for the period of unauthorized occupation.
10.5.4 If the company owned accommodation has been vacated by the beneficiary on a
date beyond the date of permitted period the benefits under the Scheme may be
resumed to the nominee/beneficiary against a fresh sanction.5
10.6 In case the nominee under this Scheme and the Pension Scheme is not the
same person, then payment under this Scheme will be calculated without taking the
pensionary benefit into account. In other words, the benefit under this Scheme will be
restricted to 50% of (Basic Pay + DA + special pay) last drawn.
11.0 MODALITIES
11.1 Each Plant/Unit/Office shall supervise administration and operation of the

Scheme in so far as it relates to their employees through a committee headed by
the Head of HR with a representative each from Finance and Operations.
11.1.1 The dependants of the ex-employee/ employee are required to submit an

application in the prescribed Performa to the Committee as stipulated under Rule
11.1 of the CPC No. 463/2001 dated 17.4.2001. The committee shall examine
the request in totality and will recommend the case for issuance of Sanction
Order by the HR Employee Benefits Group.
11.1.2 The Sanction Order should inter alias, indicate the following details.
1. Date of separation
2. (a) Date of settlement of all dues and
(b) Date of deposit of money with NTPC.
3. Amount deposited by the beneficiary
4. Basic pay, Special pay, if any and DA last drawn
5. Amount of monthly payment to the beneficiary
6. Effective month of the release of the payment to the beneficiary.
7. Name & Address of the beneficiary for delivery of the cheque.
8. Notional month of retirement of the ex-employee for release of the deposit
to the beneficiary.
9. If the spouse is alive & unwilling as per Clause 9.1(b) of the Scheme, the
reference of the letter of unwillingness from the spouse.
11.1.3 The copies of the Sanction Order will be marked to the beneficiary(s), concerned
Finance Deptt. and HR Deptt.
11.2 The deposits under the Scheme shall be made by the employee/nominee, as the
case may be, by an a/c payee cheque/ bank draft in favour of NTPC alongwith an
application on the prescribed format (given in the Annexure A & Annexure B).
Alternatively, the amount may be directly transferred from the PF / Gratuity Trust
for deposit under the Scheme by a letter of authority by the concerned employee
/ nominee. Plant / unit/ office will issue a receipt for the deposit l made by the
employee or his nominee, as the case may be.
11.3 The committee of the concerned plant/unit/office, as mentioned at 11.1 above,

will examine the eligibility of the employee/nominee concerned and will approve
and notify the amount of monthly payment and the period of payment under the
Scheme. Thereafter monthly payment shall be made by the Finance Department
of the plant/ unit/ office concerned by a/c payee, latest by 10th of the following
month.
Clarification: The amount released under Employees' Family Economic

Rehabilitation Scheme will be treated as "other income" under the prevalent IT
Act provisions and therefore it will not qualify for deduction of tax at source
(TDS).
11.4 All payments under the Scheme shall be made through ECS or account payee
cheque only. Separate Accounts Codes for booking receipts and payments under
Economic Rehabilitation scheme will be intimated by Corporate Finance.
11.5 If a beneficiary desires that the payment under the Scheme may be released to
him/her from an office or unit of NTPC different from the last place of the posting
of the employee then an application shall be made to the unit by the beneficiary
concerned, which shall be considered by the Committee. The committee will
recommend to HR-EB group to issue necessary Orders for transfer after deposit
of requisite amount by the beneficiary as stipulated under the rules. After
issuance of the sanction order, the concerned Finance Deptt. will transfer the
deposited amount to the new unit/ project from where the beneficiary desires to
receive payments indicating:
a) Month from which payment is to be released.
b) Amount of monthly payment.
c) Total amount of deposit transferred.
d) Copy of the Sanction Order.
Such option may be exercised only once.
11.6 The request for withdrawal will be considered by the committee and
recommended to the HR Deptt. for issuance of necessary orders.
12.0 MISCELLANEOUS
12.1 Clarifications to these Rules, as and when required, shall be, issued by the
Corporate HR Department either suo moto or on references received from any
plant/ unit/ office.
12.2 Where any doubt arises as to the interpretation of these Rules, it shall be referred
to the Corporate Office for decision, which shall be final and binding.
13.0 REVIEW
The CMD will have the right to amend, add, delete, review or discontinue the Scheme at
any time.
Authority:
1. CPC No. 463/2001 dt. 17.4.2001

2. CC IOM 01:HR-Policy:7(ERS) / 422 dt. 24.9.2001.
3. CHRC No. 479 / 2001 dt. 28.12.2001
4. CC IOM No. 01: HR- Policy :7(ERS)/ 451 dated 27.03.2002
5. CC IOM NO. 01: HR- Policy :7(ERS)/468 dated 24.09.2002
Annexure – A
To,
The Head of HR,
NTPC ______________
Sub : Application for Benefit under NTPC Employees’ Family Economic

Rehabilitation Scheme (in case of Death)
A Details of the Ex-Employee :
Name : ____________________ Emp.No. _____________
Designation _________________ Deptt. ______________
Place of last posting ____________ Date of joining NTPC _________
Date of Death _____________________
Last pay drawn a) Basic __________

b) DA __________
Total __________
Date of Birth ___________ Notional Date of Superannuation __________
(Date on which the employee would have attained 60 yrs of age /

the age of superannuation as notified by the Company)
B Details of Beneficiary :
Name ________________ Relationship with Employee* : Spouse/Child
Age & Date of Birth __________________ Occupation _________________
Martial status * Married/unmarried/widowed
Dependent on Employee * Yes/No

(as on the date of expiry)
* Please strike off whichever is not applicable
C Application
1. I wish to apply for benefit under NTPC Employees’ Family Economic

Rehabilitation Scheme.
2. Neither I, nor any of the dependents of the deceased employee, have been
provided employment on compassionate grounds or otherwise in NTPC, or in any of its
Subsidiary, Joint Venture or Sister concerns.
3. Neither I, nor any of the dependents of the deceased employee, wish to apply in
future for employment on compassionate grounds either in NTPC, or in any of its Subsidiary,
Joint Venture or Sister Concerns.
4. (a) I hereby deposit (vide Section E) PF Balance, Gratuity and Group

Insurance by an a/c payee cheque/bank draft No. _______ dated ___________ drawn on
_____________bank in favour of NTPC.
Name & Signature of the

Beneficiary
Relationship with Employee ________
Place __________ Date ______________
D. Nominee
I hereby nominate the following person to receive lumpsum deposits/benefits under the
Scheme in the event of my death before the notional date of superannuation of late
Sh./Smt. _______________.
Name __________________
Relation ________________
Beneficiary
Date ______________
(To be detached and sent to F&A by HR)
E. Authorisation/Deposit
To,
The Head of Finance (Estt.)
NTPC _______________
Sub : Authorization/Deposit under NTPC Employees’ Family

Economic Rehabilitation Scheme
Dear Sir,
(a) Please find enclosed an amount of Rs. _____________ towards PF Balance, Gratuity
and Group Insurance in respect of the deceased employee Late Shri/Smt.
_______________, Emp.No. ________, Desgn. ____________ vide A/C Payee
Cheque/Bank Draft No. _____________ dated ____________ drawn on
_____________bank in favour of NTPC. This deposit is being made under the NTPC
Employees’ Family Economic Rehabilitation Scheme
I would request you to issue a receipt for the amounts deposited by me and start
disbursement of the benefits under the Scheme as per Rules.
Thanking you,
Yours faithfully
Place _______________ Name & Signature of the

Date _______________ Beneficiary
Relationship with Employee ______
The nomination of the beneficiary to receive lumpsum deposits/benefits under the

Scheme in the event of death of beneficiary before the notional date of superannuation of the
deceased employee has been received in favour of Shri/Smt./Km _________________________
This receipt is being issued subject to verification of eligibility of the applicant under the
Scheme and realisation of the cheque/draft amount.
For and on behalf of NTPC Ltd.

Name
_____________________
Designation
_________________
Date ________
(Seal )
Annexure - B
To,
The Head of HR,

NTPC ________________
Sub : Application for Benefit under NTPC Employees’ Family Economic

Rehabilitation Scheme (in case of Permanent Total Disablement)
A Details of the Employee
Name : ____________________ Emp.No. _____________
Designation _________________ Deptt. ______________
Place of last posting ____________ Date of joining NTPC _________
Date of Termination of Service _____________________

on account of Permanent Total Disablement
Last pay drawn a) Basic __________

b) DA __________
Total __________
Date of Birth ___________ Notional Date of Superannuation ___________

(Date on which the employee would have been 60 yrs of age / the age
of superannuation as notified by the Company)
B Application
1. I wish to apply for benefit under NTPC Employees’ Family Economic Rehabilitation
Scheme.
2. None of my dependents has been provided employment on compassionate grounds or

otherwise in NTPC, or in any of its Subsidiary, Joint Venture or Sister concerns.
3. None of my dependents wish to apply in future for employment on compassionate

grounds either in NTPC, or in any of its Subsidiary, Joint Venture or Sister Concerns.
4. a) I hereby deposit (vide Section D) PF Balance, Gratuity and Group Insurance by

an a/c payee cheque/bank draft No. _______ dated ___________ drawn on _____________
bank in favour of NTPC.

Employee
Place :________________ Date ______________
C. Nominee
I hereby nominate the following person to receive lumpsum deposits/benefits under the
Scheme in the event of my death before the notional date of superannuation.
Name __________________
Relation ________________
Employee
Date _______________
(To be detached and sent to F&A by HR)
D. Authorisation/ Deposit
To,
The Head of Finance (Estt.)

NTPC _______________
Sub : Authorization/Deposit under NTPC Employees’ Family Economic

Rehabilitation Scheme
Dear Sir,
(a) Please find enclosed an amount of Rs. _____________ towards PF Balance, Gratuity
and Group Insurance in respect of me vide A/C Payee Cheque/Bank Draft No.
_____________ dated ____________ drawn on _____________bank in favour of
NTPC. This deposit is being made under the NTPC Employees’ Family Economic
Rehabilitation Scheme
I would request you to issue a receipt for the amounts deposited by me and start
disbursement of the benefits under the Scheme as per Rules.
Thanking you,
Yours faithfully
Place : _____________ Name & Signature of the

Date : ______________ Employee
-------------------------------------------------------------------------------------------------------
E. Receipt (To be detached and given to the Applicant)
The nomination of the beneficiary to receive lumpsum deposits/benefits under the

Scheme in the event of death of beneficiary before the notional date of superannuation of the
employee has been received in favour of Shri/Smt./Km _________________________
This receipt is being issued subject to verification of eligibility of the applicant under the
Scheme and realisation of the cheque/draft amount.
Name
______________________
Designation
_________________
Date ________
(Seal )
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Ltd. Self Contributory Superannuation Updated as on: 31.01.2012
Benefit (Pension) Scheme Page: 1 of 5
NTPC LTD. SELF CONTRIBUTORY SUPERANNUATION BENEFIT (PENSION) SCHEME

(Managed by NTPC Ltd. Self Contributory Superannuation Benefit (Pension) Trust)
1.0 OBJECTIVES:-
In order to take care of post retirement needs and contingencies of death or permanent
disablement while in service of the Company a, ‘Self Contributory Superannuation
Benefit (Pension) Scheme’ has been introduced in the Company in the year 1997 with
effect from 01/04/1995.
2.0 NAME OF THE SCHEME:-
The Scheme is called “NTPC Ltd. Self Contributory Superannuation Benefit (Pension)
Scheme.”
2.1 NATURE OF THE SCHEME: Defined Contribution Scheme applicable w.e.f.

01/04/2002(Defined Benefit Scheme up to 31/03/2002)
3.0 ADMINISTRATION OF THE SCHEME:-
The Scheme is administered by a Trust constituted for the purpose and is named as
‘NTPC Ltd. Self Contributory Superannuation Benefit (Pension) Trust’. Trust is an
approved Superannuation Fund under Income Tax Act. Trust is administered by Board
of Trustees consisting of Seventeen (17) Trustees (Seven (7) representatives from
Management and Ten (10) representatives of the employees of the Company).
4.0 EFFECTIVE DATE:-
Scheme is effective from 01/04/1995.
5.0 COVERAGE AND ELIGIBILITY:-
All employees appointed on regular pay scales of NTPC are covered under the scheme
and are eligible to become member of the scheme from 01/04/1995 or the date of joining
whichever is later.
In the event of any dispute as to the eligibility of any Employee to become Member of
the Scheme, decision of the Board of Trustees shall be final and binding. .
6.0 CONTRIBUTIONS TO THE SCHEME
6.1 Employer Contribution:
The scheme is totally self contributory scheme, meaning thereby that all contributions
under the scheme as per the rate decided by the Board of Trustees are payable by the
employees only. However, the Company contributes to the Trust an amount of `100/-
per annum for all employees taken together as per the Government guidelines in this
regard. Annual employer contribution shall be made to the Trust before the end of the
financial year.
6.2 Members Contribution
Rate of Members contribution shall be decided by the Board of Trustees from time to
time and such Contribution are recovered by the Company as deduction from the salary
of the Member or by such other mode as may be decided by the Board of Trustees.
Company responsibilities are limited only to the extent of recovery of contribution from
the Members salary and remittance thereof to the Trust.
6.2.1 Monthly Contribution: For Financial Year 2011-12, monthly contribution

payable by the Member is `718/- per month.
6.2.2 Lump/Sum/Annual Contribution: For Financial Year 2011-12 annual/ lump

sum contribution payable by the Members is `6295/-
6.2.3 Annual Escalation: Both members monthly contribution and Lump Sum/annual
Contribution are escalated @8.00% per annum.
6.3 CONTRIBUTIONS DURING PERIOD OF LEAVE / SUSPENSION:-
Members are required to make full Contribution to the Trust for periods of any type of
leave with or without pay and for period of suspension failing which such periods shall
not be taken into account for calculating accumulated amount of contributions.
6.4 THE ACCUMULATED CONTRIBUTION

The “Accumulated Contribution” would mean the sum of the Contributions credited into
the individual account of the Member on closing of the each financial year plus pro-rata
earnings of the Trust credited into the individual account of the Member on closing of the
financial year based on the contributions of the Member. The effective rate of earnings
to be credited to the individual Members shall be notified by the Trust based on the
earnings of the Trust during the financial year.
6.5 REVIEW OF CONTRIBUTION BY TRUST:

The Board of Trustees shall review the availability of the moneys of the Trust annually or
at such interval as may be deemed fit by the Board of Trustees to decide any revision in
the Members' contribution under the Pension Scheme.
7.0 PENSION BENEFITS
7.1 PENSION ON SUPERANNUATION / INCAPACITATION / DEATH WHILE IN SERVICE

OF MEMBER: -
Subject to the provisions of these rules, a Member on superannuation would be entitled
to pensionary benefits by way of purchase of pension annuities on the basis of
Accumulated Contribution amount (as defined at Para 6.4 above) with the Trust in
respect of individual employee. These Pension annuities will be purchased through LIC/
any other Insurance Company authorized by IRDA under the regular / special pension
annuity schemes for Senior citizens operated by LIC.
7.2 COMMUTATION OF PENSION:-
A Member may at his sole discretion commute a part of the eligible Accumulated
Contribution amount as per the provisions under the applicable laws.
7.3 BENEFITS ON SEPARATION IN CASE OF VRS, RESIGNATION, DISMISSAL ETC.-

a) Members may opt for refund of the accumulated amount of contributions and the
same would be refunded based on the period for which the Contribution was paid
by the Member less escalation on additional contribution amount.
OR
b) If, any Member wants to avail the pensionary benefits then he is allowed to do
the same under the present provisions of the Scheme (as mentioned at para 7.1)
instead of refund of contribution as mentioned at (a) above.
8.0 REVISION IN BENEFITS BY THE TRUSTEES:-

The Board of Trustees in consultation with the Company / Actuary shall review the
availability of moneys of the Pension Trust annually or at such intervals as may be
deemed fit by the Board of Trustees to decide any revision in the benefit payable under
the Pension Scheme, from time to time. The decision of the Board of Trustees shall be
final and binding.
RECORD OF REVISIONS

No. Date
Revisions
Amit Prakash P H Saxena Sanjay Singh

DM(HR) SM(HR) DGM(HR)
NTPC Employees Death Relief Scheme Updated as on: 31.01.2012
Page: 1 of 7
NTPC EMPLOYEES DEATH RELIEF SCHEME
1.0 OBJECTIVE
1.1 The NTPC Employees Death Relief Scheme hereinafter referred to as ‘scheme’ is
introduced with a view to provide financial assistance to the families of member
employees who die while in harness, either on account of accident or otherwise, by
voluntary contribution of employees.
2.1 The Scheme will cover all employees borne on the regular rolls of NTPC, hereinafter
referred to as “Company”, and trainees recruited under Company’s own training
schemes, who are enrolled as members of the Scheme but will exclude deputationists,
lien holders, apprentices, muster roll, casual, badly or substitute employees.3
3.0 MEMBERSHIP OF THE SCHEME
3.1 All employees on regular rolls of the company on the date of introduction of the Scheme
and those joining thereafter, other than deputationists, lien holders, trainees/apprentices
muster roll, casual, badly or substitute employees will be deemed to be members of the
Scheme unless they choose to opt out of the Scheme by exercising their option in the
prescribed format(Form II) within 7 days of introduction of the Scheme in the case of
existing employees and within 7 days of joining in the case of employees who join
thereafter. Option to opt out of the Scheme if exercised by an employee will render the
employee ineligible for membership on a later date even in the instance of his/her
subsequently desiring membership of the Scheme.
3.2 If an employee proceeds on long term leave such as study leave and child care leave no
recovery shall be made during the period of leave on account of the death of any other
member employees taking place during the duration of leave. However, such employees
shall continue to be members of the NTPC Death Relief Scheme.5
4.0 EFFECTIVE DATE

Page: 2 of 7
4.1 The Scheme will come into force with effect from 1st of August 2002 and will cover and be
applicable to cases of death on or after the effective date of the scheme.
5.0 BENEFICIARY(IES)
5.1 Every member employee shall make a nomination in the prescribed format( Form I)
conferring on one or more persons of his family the right to receive the benefit under the
Scheme in the event of his death, indicating the shares payable to each family member.
Family, for this purpose will be spouse, children whether married or unmarried,
parents and the widow and children of deceased son, if any. 2
5.2 The nomination may be changed by a member employee at any time, through a written
notice to this effect and filling of revised nominations in the prescribed form.
5.3 In case no nomination has been made by the deceased member employee under this
scheme, the beneficiary will be the person(s) to whom the benefit under the Group
Insurance Scheme is payable.
6.0 BENEFIT
6.1 In the event of death of an employee while in the employment of the company, an
amount of Rs 50/- will be deducted from the next salary due, of all member employees of
the company and the entire corpus remitted to the nominee of the deceased member
employee.4
7.0 PROCEDURE FOR PAYMENT AND ADMINISTRATION OF THE SCHEME
7.1 On death of a member employee the 100% amount towards Death Relief Scheme shall
be released to the unit Finance by 7th of the next month for deaths which have taken
place upto 25th of the previous month.5
7.1.1 Payment to the nominee shall be made in e-mode. The dealing officer in HR-EB shall
create the vendor code for the nominee and communicate the same to CPT by 30th of the
month in which death has taken place. 5
Page: 3 of 7
8.0 CESSATION OF MEMBERSHIP
8.1 The membership of an employee will cease, with specific written notice for withdrawl or in
the event of separation from the Company. In case of withdrawl through written notice to
that effect, the concerned employee will render himself/herself ineligible for rejoining the
Scheme, on a subsequent date.
9.0 MISCELLANEOUS
9.1 The amount contributed by member employees in the event of death of a fellow member
employee, in favour of the beneficiary(ies)/ nominee(s) of the deceased employee, will
not be refunded either in the event of cessation of membership of a member employee or
otherwise.
10.0 GENERAL
Management reserves the right to add, amend, modify, cancel or withdraw any or all
provisions of NTPC Employees Death Relief Scheme.
Authority:

2. Corporate HR Circular No. 501/2002 Dated 25.11. 2002
3. Corporate HR Circular No. 602/2006 Dated 05.09. 2006
4. Corporate IOM No. 01:HR-Policy: 4(21)/735 Dated 30.08.2010
5. Corporate IOM No. 01:HR-Policy: 4(21)/764 Dated 10.01.2012
Page: 4 of 7
FORM I
NTPC EMPLOYEES DEATH RELIEF SCHEME
NOMINATION FORM
(IN DUPLICATE)
1.0 Name of the Employee (Block Letters) :________________________
2.0 Employee Number :________________________
3.0 Designation/Department :________________________
4.0 Date of joining NTPC ( On regular rolls) :________________________
5.0 Present Address :________________________
________________________
________________________
6.0 Permanent Address :________________________
________________________
________________________
7.0 Contact Phone Nos. :________________________
8.0 Details of family members :________________________
S.No. NAME OF AGE MARITAL RELATIONSHIP

FAMILY STATUS WITH
MEMBER EMPLOYEE
9.0 I declare that all particulars furnished by me are correct and true. My nomination of family
members to whom the benefit under the scheme will accrue is given below:
(Where more than one person is nominated, indicate the percentage of distribution of
benefits between the nominees)
S.No. NAME OF AGE MARITAL RELATIONSHIP

FAMILY STATUS WITH
MEMBER EMPLOYEE
Page: 5 of 7
Date:__________________
Place:_________________
SIGNATURE :_________________
(Signature to be made on both sheets of Form I )
NAME :__________________
PLACE OF POSTING :__________________
To:
Head of HR, NTPC Project/Station/Unit
CC: Head of F&A, Project/Station/Unit

Page: 6 of 7
FORM II
EXERCISING OF OPTION- OPTING OUT OF THE NTPC EMPLOYEES DEATH

RELIEF SCHEME
1.0 I Shri/Smt/Ms_________________________________Employee No._________

Designation_______ Department_________Unit_____ have decided not to
become a member of the NTPC Employees Death Relief Scheme, after going
through the said Death Relief Scheme and being apprised of the benefit that
would accrue to my nominee(s) in the vent of my death, while in service of
NTPC.
2.0 I am aware that exercising option as at para 1.0 above, will render me ineligible
for membership on a later date even in the instance of my subsequently desiring
membership of the scheme.
DATE: SIGNATURE: _______________
PLACE: NAME: ___________________

Page: 7 of 7
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
House Building Advance Rules Updated as on: 31.01.2012
Page: 1 of 108
HOUSE BUILDING ADVANCE RULES

1.0 OBJECTIVE
1.1 The objective of NTPC House Building Advance Rules is to establish uniform policy and rules
relating to the grant of House Building Advance to the employees of the Company.
2.0 POLICY
2.1 These rules are framed entirely as a welfare measures and do not confer any right or benefit
on the employees nor impose any obligation or liability, whatsoever, on the Company and
shall not be deemed to be any contract or condition of service between the Company and
any such employee.
2.2 The House Building Advance will be admissible for constructing a house including purchase of land
for that purpose, purchase of house, enlarging an existing accommodation, preferably in the areas
falling within a radius of 40 kms of the Company’s project and/or its permanent offices; or any
where in India, where an employee of the Company intends to settle down after retirement.
3.0 DEFINITION
3.1 ‘Company’ means the NTPC Ltd., including the projects/units under its management.
3.2 ‘Competent Authority’ means the authority empowered to sanction House Building Advance in
accordance with these rules.
3.3 ‘Committee’ means a Committee as constituted under rule 7.2
3.4 ‘Employee’ means a person employed in the regular establishment of the Company but does not
include:-
i) A lien holder;
ii) a deputationist on foreign service terms;
iii) a person appointed on contract;
iv) a muster roll, daily rated, casual badli or substitute employee; and
v) an apprentice / a trainee.
3.5 ‘Family’ means an employee’s spouse and minor children including legally adopted
children.
N.B. These rules come into effect from 30.06.1981.
3.6 ‘House’ means a house, flat or a tenement.

Page: 2 of 108
3.7 “Salary / Wages” means basic pay, special pay and personal pay plus dearness allowance and will
include pension and pension equivalent of retirement benefits, in respect of a re-employed
pensioner provided and to the extent the same has been taken into consideration for fixation of his
basic pay.
4.0 ELIGIBILITY
4.1 Subject to rule 4.4, all employees who, on the date of making application for advance, have
rendered not less than three years’ continuous service in the regular establishment (i.e. excluding
service as work-charged, muster roll or trainee) shall be eligible for grant of the advance.
4.2 Employees of the Company who have left the service of Government/Public Sector Undertaking /
Statutory Corporation / Quasi Government bodies in order to join services in the NTPC or who
initially join services in the Company or who initially join NTPC on deputation / lien and
subsequently get absorbed in the services of the Company, will be given the benefit of their earlier
service rendered in all such organisations prior to joining the Company for the purpose of
computation of continuous service provided and to the extent that the service rendered in earlier
organisations were in Government / Public Sector Undertakings / Statutory Corporations / Quasi
Government / Public Sector Undertakings / Statutory Corporations / Quasi Government Bodies in
succession only. For this purpose the services rendered in regular establishment in two
organisations will be treated as continuous only if the same was interrupted by such period which
can be accounted for by the transit time for joining from the previous organisation to a subsequent
organisation coupled with such number of days as can be reasonably explained being on account
of preparation time / time required for winding up of the establishment at the previous place of
posting.
4.3 Where both husband and wife are employees of the Company and are otherwise eligible for the
grant of advance, the advance shall be admissible to only one of them, at their option.
4.4 An employee of the Company shall not be eligible for House Building Advance if:
4.4.1 He has not satisfactorily completed the period of probation on initial appointment/joining or has not
put at least one year’s continuous service in the Company, whichever is later. Provided that the
above stipulation shall not be applicable in respect of such employees of Govt./Public Sector
Undertakings Corporations/Quasi Govt. Bodies who in continuation of their deputation / lien get
absorbed in the services of the Company and apply for an advance for the purpose of repayment of
the balance amount of House Building Advance drawn from their parent organisation / department
and interest accrued thereon.
4.4.2 He or any member of his family already holds or owns a house / flat in his own name or jointly with
any other member (s) of his family anywhere in the Town / Urban Agglomeration where the house /
flat is proposed to be constructed or acquired with the advance from the Company except where
the advance is required for the purpose of extension of the house as provided in sub – rule 5.1.5.
Provided that the above conditions may be relaxed by the Competent Authority in exceptional
circumstances; as for example, if an applicant owns a house jointly with his relations (other than
family members) and desires to build a separate house for himself.
Page: 3 of 108
4.4.3 He or member(s) of his family, either singly or jointly, has acquired a house on hire purchase basis.
4.4.4 He or any member of his family has / had taken advance (other than an advance from the
Provident Fund) or any assistance of like nature for the purpose of construction or purchase of a
house from any source whatsoever prior to obtaining advance from NTPC.
4.5 He is to leave the services of the company within 36 months of the grant of advance either on
superannuation or otherwise.
4.6 Eligibility of an employee under suspension for HBA.
4.6.1 Where an employee, subsequent to his being placed under suspension, makes a request for the
first time for grant of House Building Advance, the same may not be sanctioned till such time his
suspension order is revoked and he resumes his duties. However, in case an employee under
suspension having been already sanctioned the advance previously, and also drawn the same in
part, makes a request for release of balance advance / subsequent instalments during the period
of his suspension, the same may be allowed in terms of the provisions of the extant Rules.
4.6.2 Where an employee having been sanctioned the advance is subsequently placed under suspension
and has not drawn any amount / installment of the advance earlier sanctioned, HBA should not be
released till such time his suspension order is revoked and he resumes his duties.
5.0 PURPOSE
5.1 The House Building Advance may be granted to the eligible employees for the following
purposes:
5.1.1 Acquisition and purchase of land (free hold or lease hold) and construction of house thereon.
5.1.2 Construction of house on land already owned / purchased / acquired by an employee in his own
name or held jointly with his spouse.
5.1.3 Purchase of a ready built house or ownership flat (which has not been lived in since its
construction) in the name of the employee or jointly in the name of the employee and name of his /
her spouse if the agency offering it for sale is a Government, semi-Government or an Autonomous
Institution like DDA, City Improvement Trust, State Housing Board, Registered Cooperative House
Construction / Building Society, Limited Company / Registered Private Builder / Promoter including
a house or flat under self financing scheme of such organisation.
5.1.4 Purchase of a ready built house other than those at sub-rule 5.1.3 at the discretion of the
Competent Authority and or proper evaluation of the property.
Page: 4 of 108
5.1.5 Enlargement or renovation and modernization or both of living accommodation in an

existing house owned by the employee either in his own name or jointly with his spouse.
5.1.6 Repayment of the balance amount of House Building Advance together with accrued interest
thereon, directly by the Company to his parent organisation, in the case of an employee covered
under the proviso to sub-Rule 4.4.1.
5.2 The advance will be admissible only for outright purchase and not for hire purchase of a house.
5.3 The advance for the cases covered in sub rules 5.1.2, 5.1.3 and 5.1.5 shall be granted only if the
employee and his spouse jointly owning the land / house / flat are willing to execute a mortgage
deed for the same in favour of the Company and shall submit an undertaking to this effect on non-
judicial stamp paper.
5.4 No advance will be sanctioned to an employee for the purpose of registering himself for allotment of
a plot of land and / or a house. However, on the allotment being made in his favour, advance may
be sanctioned to him towards the registration deposit made by him to the extent the same is in
excess of Rs.15,000 and subject to other conditions in these rules.
5.5 Supplementary Advance for providing fixtures / furnishing in ready built houses or ownership flats:
5.5.1 This Advance shall be granted to such employees, who purchase a ready built house or ownership
flat by taking advance under the company’s HBA rules, limited to 20% of the estimated cost of
original flat / house or 20% of the maximum sanctioned of HBA, whichever is less at the time of
sanction of supplementary / furnishing advance. No supplementary advance is to be allowed for
HBA under self construction scheme.
The amount of advance shall be 20% of the total sanctioned HBA and not 20% of HBA ceiling
prevalent at the time of sanction of supplementary advance. However, Furnishing Advance is
allowed within the ceiling of HBA existing on the date of sanction of supplementary / furnishing
advance.
5.5.2 Supplementary Advance as above, may be granted only towards making the flat/ house habitable
and not for the purpose of improvement in the already existing fixtures/furnishings provided in the
flat / house
5.5.3 Advance shall be granted within 5 years from date of sanction of original HBA or one year from the
date o possession of the flat, whichever is later.
5.6 Employees can be granted HBA for the purpose of repayment of loan earlier obtained by them from
Financial Institutions like LIC, HDFC etc. towards construction / purchase of houses / flats, subject
to the fulfillment of the conditions mentioned hereunder:
5.6.1 House Building Advance in such cases will be granted only if the employee is otherwise eligible for
grant of advance under the HBA Rules.
5.6.2 Before grant of HBA in such cases, the sanctioning authority should satisfy himself that the loan
obtained by the employee from the Financial Institution was entirely for the purpose of construction
/ purchase of house / flat.
Page: 5 of 108
5.6.3 The amount of HBA to be sanctioned in such cases shall be limited to the entitlement of the
employee or the outstanding amount of loan due to be repaid by the employee to the Financial
Institution, whichever is less.
5.6.4 The HBA, as above, will be available to the eligible employees even where the construction of
house / flat has commenced.
5.7 Additional HBA
5.7.1 This will be allowed after the lapse of a period of 10 (ten) years from date of drawl of the last
instalment of first HBA provided the employee pays back the entire outstanding amount of HBA
including the principal and the interest to the company before sanction of Second HBA.
5.7.2 The ceiling for this advance will be equal to the ceiling applicable in case of HBA for enlargement
as per existing rules. Further, it will be ensured that the sum of first and second HBA does not
exceed the maximum amount of HBA permissible under the existing rules as on the date of
application for second HBA.
5.8 HBA for purchase of property from parents
5.8.1 Property acquired by the parents : If the property acquired by parents is purchased by employee
then the parents shall not be treated as dependant for the purpose of medical, TA etc.
5.8.2 The property inherited by the parents : In such a situation parents do not have absolute right to
dispose it off, or execute will, as per their choice. All the legal heirs at parents have right on the
property as per Law of Inheritance. In such a situation, the HBA granted to the employee will be
restricted to the cost of property excluding the share of the employee.
5.9 HBA to Project Affected Persons
5.9.1 HBA shall be sanctioned where the patta is in the name of the employee.
6.0 AMOUNT
6.1 Subject to Rule 6.2 the maximum amount of advance admissible to an employee would be the
least of the following:
6.1.1 For new construction / purchase of ready built house:
i) 90 months’ salary / wages of the employee; or’
ii) 100% cost of construction including that for acquisition of land / 100% cost of the property
as the case may be; or
iii) Rs. 20 lakhs
6.1.2 For Enlargement / Renovation & Modernization (Additional HBA –Rule 5.7) of living
accommodation in an existing house:
Page: 6 of 108
i) 30 months salary / wages of the employee; or
ii) 100% cost of enlargement or
iii) Rs.5 lakhs
6.1.3 The limits as at sub-rule 6.1.1 / 6.1.2 as appropriate, shall also apply to a case covered under sub-
rule 5.1.6
6.2 The actual amount of advance to be sanctioned to an employee will be determined by the Company
on the basis of the plans, detailed specifications and estimates to be furnished by the employee,
within the ceiling limit or advance as prescribed above and monthly paying capacity of the
employee which may be taken as follows:
Length of remaining service Repaying capacity
- Employees retiring / superannuating 50% of wages / salary

after 20 years
- Employees retiring / superannuating 60% of wages / salary

after 10 years, but not later than 20
years
- Employees retiring / superannuating 66-2/3% of wages / salary

within 10 years
6.2.1 The provisions of Payment of Wages Act shall also be kept in view while sanctioning the advance
to employees coming within the purview of the said Act. No advance shall be granted to those
employees in whose case the total deduction from the salary amounts to not more than 75% of
gross pay.
6.3 Enhancement of HBA is allowed under the following situations:-
a) If the sanctioned amount was restricted due to repaying capacity or entitlement, any revision in
salary which enhances paying capacity or the entitlement.`
b) Increase in cost over a period of time while retaining the original plan.
c) Revision in ceiling limits.
6.3.1 The enhancement would be subject to the following conditions:

Page: 7 of 108
a) A period of 3 years has elapsed after the date of original sanction order, leading to escalation in
cost estimate and / or enhancement in repaying capacity. However, this period may not be
insisted upon if, either, ceiling limit, or salary revision takes place with retrospective effect. Further
this period is not to be insisted in case of houses purchased from Govt.
bodies/agencies/cooperative societies / or other reputed agencies.
b) The employee has not completed the construction / taken possession of the house / flat. (In case
of self-construction, the construction will be deemed to be completed within six months of drawal of
last instalment).
c) The total amount of advance will be restricted to the repaying capacity as calculated under Cl.6.2 of
HBA Rules.
d) There will be no deviation from the approved plan of construction on the basis of which original
sanction of HBA was accorded.
e) All legal formalities resulting from grant of additional HBA shall be completed by the employee at
his own expense.
f) The revised advance (‘original sanctioned amount + Enhanced sanctioned amount’) will bear
interest as applicable to the entire amount of advance from the date of release of first instalment
itself.
g) Pay to be reckoned for the purpose of determining the revised entitlement shall be as on the date of
application / request of the employees for enhancement of HBA.
6.4 In view of many house building agencies like DDA, GDA etc., offering Self Financing Scheme for
semifinished houses / flats, an additional financial assistance in HBA for completing the residual
civil/electrical works shall be allowed subject to the following provisions:-
6.4.1 Additional enhancement of HBA for completing the semi-finished house / flat shall be based on an
estimate submitted by employee, which is approved/vetted by the procedure / system in vogue.
The additional amount together with the total sanctioned amount for purchase of semi-finished
house/flat shall be subject to the maximum ceiling of HBA at the time of application for additional
enhancement of HBA, subject to entitlement.
6.4.2 The additional enhancement will be allowed only after the possession of semi-finished house by the
employee from the Agency.
6.4.3 The additional amount will be against the request/requirement of employee concerned. The
application for additional enhancement will have to be made by the employee within six (6) months
of having taken possession of semi-finished house.
Page: 8 of 108
6.4.4 The purpose for which the additional enhancement can be allowed shall be either for completing
the residential civil/electrical works of semi-finished house and/or for constructing additional room(s)
where provision exists for such construction. The residual civil works for completion of semi-
finished house/flat and/or construction of additional room(s) can be allowed only if the same are as
per the drawing of the Agency.
6.4.5 The grant of additional enhancement of HBA will not debar an employee for grant of
supplementary advance for providing fixtures / furnishing subject to meeting all other requirements
for grant of that advance.
6.4.6 The cases under self construction will not be covered for grant of additional enhancement.
6.5 Only one advance to an employee shall be granted under these Rules during his entire service.
7.0 PROCEDURE
7.1 Applications for grant of the advance shall be submitted in the prescribed form (Annexure-‘A’). The
following documents should accompany the applications:
7.1.1 In case of construction of a new house or enlargement / renovation / modernization of the

living accommodation in an existing house, a copy of the building plan, and the site plan as well
as specifications, detailed estimate and abstract estimate in the prescribed form (Annexure A-I and
A-II). The site plan and the building plan must be duly approved by the Municipality or other or
other local bodies concerned before submission of the same to the Company
7.1.2 In case of construction of a new house, the original sale deed or other proof of the applicant
having clear title to the land on which the house is proposed to be built except in the case of
purchase of land.
7.1.3 In case of enlargement / R&M (Additional HBA) of a living accommodation in an existing house,
the original sale deed, if any, as well as other documents establishing that the applicant possesses
indisputable title to the property in question.
7.2 On receipt of an application, HR Department will take necessary action for processing the
application. The HR Department or a Committee, if specifically constituted by the Competent
Authority, will scrutinise the application with reference to the conditions of eligibility as provided
under these rules as well as priorities etc. if any, laid down for dealing with such cases so as to
satisfy themselves that all the conditions have been fulfilled. They will also satisfy themselves of
the correctness of the facts stated in the application as well as examine the title deeds and other
documents furnished in compliance with sub-rules 7.1.2 and 7.1.3 above and other rules and orders
made under sub-rule 10.8 (in consultation with the legal department and the Revenue and
Registration Authorities, if necessary) to make sure that the applicant does, in fact, possess a clear
marketable title, free from encumbrances and attachments to the property in question. After
Page: 9 of 108
examining all the plans, specifications and estimates submitted alongwith the application and all
other relevant details, the application will be forwarded along with the recommendations, as to the
amount of advance that could be granted to the concerned applicant and its repayment terms, to
the competent authority for his consideration.
7.3 The Competent Authority after satisfying himself that all the conditions have been fulfilled and
keeping in view the recommendations made, will accord sanction to the grant of advance specifying
the amount of advance so sanctioned as well as the repayment period, subject to the terms and
conditions of grant of advance as under Rule 10.0.
7.4 Procedure for applying under Self Financing Scheme:
7.4.1 While applying for grant of HBA, in the form prescribed in the existing rules, the employee shall
submit the following documents:
(a) Photo-copy of the letter issued by the Registrar of the Co-operative Society that the Society is
registered with the Registrar of concerned State;
(b) Photo-copy of the share certificate, if any, issued by the Society to the employee concerned;
(c) Letter of Allotment cum demand issued by the Society;
(d) Original and copy of the receipts of payments made by the employee to the Society;
(e) Proof of allotment or allocation of land to the Society by Govt. or Institutions like DDA etc; and
(f) Certified copy of up-to-date bye-laws of the Society.
7.4.2 On receipt of the application, together with aforesaid documents, the same will be scrutinized and
processed by concerned HR Department, with reference to the conditions of eligibility and other
requirements as provided under the existing rules for obtaining sanction of the Competent Authority
for grant of advance to the employee concerned. While according sanction, the Competent
Authority shall satisfy himself about the genuineness of the Society concerned as well as the
employee’s membership with the said Society.
7.4.3 Subsequent to the sanction of advance, the employee concerned shall be allowed to draw the first
installment of advance provided he executes a personal Bond (Annexure-M) and also furnishes a
Surety Bond (Annexure-N) on non-judicial stamp paper of appropriate value. The Surety Bond, as
prescribed, is to be executed jointly by two Sureties (other than husband / wife of the employee)
who are regular employees of the Company and fulfill all other terms and conditions as provided at
rule 9.0 of the existing rules. Besides these, the employee shall also furnish the following
documents:
(a) Attested copy of the Title Deed of the Society to the land on which the house/flat is to be
constructed; (where, however, the land has not been allotted to the Society, the Title Deed is to be
furnished before disbursement of Second instalment);
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(b) No objection from the Society to the effect that the Society has no objection to mortgage the
house/flat in favour of NTPC.
(c) Certificate that the land on which the house / flat is to be constructed is free from all
encumbrances; and
d) Agreement to mortgage the property to NTPC. This condition may not be insisted upon in case the
Society is not in a position to issue mortgage permission due to reasons that certain legal
formalities have to be completed by the society and the original owner of the land allotted to the
society. The employee concerned shall have to furnish the said permission at the time of
mortgaging the flat / house in favor of NTPC Ltd. At the time of drawl of first installment, he shall
have to furnish an undertaking in the prescribed format. (Annexure-O)
e) Title document executed by the owner of land in favour of the Society.
f) Non-encumbrance Certificate issued by the Sub-Registrar concerned that the Society has clear
marketable title to the land over which the house/flat is proposed to be built.
7.4.4 While applying for subsequent instalments of advance the employee concerned shall furnish a
demand letter from the Society indicating, inter alia, the programme of construction; the correctness
of which shall be verified by the Competent Authority by arranging inspection of the premises
concerned. Further the employee shall also furnish a proforma of the Sale Deed proposed to be
executed by the Society in favour of the employee. After being fully satisfied the Competent
Authority shall authorize disbursement of the remaining instalments of the advance.
7.4.5 Immediately on taking the possession of the house/flat, and in no case later than three months that
the employee concerned shall execute and submit Mortgage Deed as prescribed under the existing
rules.
7.4.6 The amount of advance sanctioned to the employee shall be disbursed in suitable instalments as
per demands raised by the Society, from time to time.
7.4.7 Notwithstanding anything mentioned above, the employee shall execute such supplementary
documents / deeds as may be required by the Company, from time to time.
7.4.8 In case of purchase of house/flat from Registered Cooperative Group Housing Societies, when land
has not been allotted to the Society by Government or Institutions like DDA etc. but the same has
been purchased from a private party, in addition to the documents mentioned above in Rule 7.4.3,
the following two documents are also required for processing the HBA application:
i) Title document executed by the owner of land in favour of the Society.
ii) Non-encumbrance Certificate issued by the Sub-Registrar concerned that the Society has clear
marketable title to the land over which the house/flat is proposed to be built.
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7.5 Grant of House Building Advance for repayment of loans earlier obtained by employees from
various Financial Institutions and other similar organizations like LIC, HDFC etc.
7.5.1 The employee concerned, shall, along with the application for grant of HBA, produce a certificate
from the Financial Institution from where the employee had earlier obtained the loan, certifying
therein the outstanding loan amount and interest thereon as on the date of issue of the certificate
by the Financial Institution together with another certificate by the Financial Institution indicating the
per day rate of interest on the said loan, so as to enable NTPC to determine the quantum of HBA to
be sanctioned to the employee concerned.
7.5.2 The employee concerned shall, along with the application for grant of HBA also produce certified
photocopies of the original title deeds/documents submitted to the Financial Institution along with an
‘undertaking’ from the Financial Institution to the effect that after the repayment of the principal loan
amount together with interest thereon in full by the employee, the Financial Institution shall promptly
discharge the mortgage deed/security documents and the original title deeds of the immovable
property and promptly send them directly to NTPC within a period of 15 days from the date of
receipt of full and final payment from the employee. The Financial Institution shall also issue ‘No
Dues Certificates” against the employee (Borrower). For obtaining the aforesaid ‘undertaking’ from
the Financial Institution the employee may authorize the financial institution for sending the
original title deeds and mortgage deed / security documents directly to NTPC on receipt of full &
final payment from the employee (borrower).
7.5.3 On receipt of the above documents from the employee, the HR department concerned shall
process the application for sanction of HBA as per the rules, ensuring that while determining the
quantum of HBA to be sanctioned, the instalments of principal and interest, if any, paid by the
employee to the Financial Institution during the period of processing the application is deducted
from the total amount of outstanding loan payable to the Financial Institution.
7.5.4 In the event, the outstanding principal and interest, thereon is found to be in excess of the
entitlement of the employee under the HBA Rules, the employee shall be first required to deposit to
NTPC such difference i.e. excess amount of outstanding dues against him and payable by him to
the Financial Institution.
7.6 Security Documents:
On fulfillment of the conditions specified at 7.5.1 to 7.5.4 above, as also other terms and conditions
of the HBA Rules, the HBA applied for by the employee may be sanctioned and on receipt of
sanction order of HBA from NTPC, the employee concerned shall execute the following security
documents on Stamp Paper of appropriate value:
a) Personal Bond equivalent to the loan sanctioned and to be advanced.

b) Surety Bond from an employee of the Company, as specified in under HBA rules.
c) Agreement to mortgage.
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7.6.1 On obtaining the above security documents from the employee concerned, the sanctioned amount
of HBA and the amount deposited by the employee, if any, may be released directly to the Financial
Institution towards full and final payment of the outstanding dues of the Financial Institution.
7.6.2 On receipt of the original mortgage deed/security documents duly discharged and the original title
deeds from the Financial Institution, NTPC shall promptly notify to the employee concerned to
create Equitable/English mortgage, as the case may be, in favour of NTPC within a period of 30
days from the date of such notification. In exceptional cases, where proper conveyance deed (sale
deed/lease deed/transfer deed etc.) has not been executed in favour of the employee concerned by
the agency/authority from where the immovable property in question has been purchased by the
employee, the employee shall create mortgage in favour of NTPC within 30 days of the receipt of
proper conveyance deed duly registered from the said agency/authority.
7.6.3 The employee shall also be required to produce “No Dues Certificate” from the Financial Institution.
7.7 Grant of HBA for purchase of old ready-built house/flat
7.7.1 While making an application for grant of HBA for purchase of an old ready built house/flat, having a
clear marketable title, the employee concerned shall be required to submit the following documents.
i) Consent of seller along with details of house and price agreed to;
ii) Attested copy of title deed of the owner;
iii) Attested copy of documents showing mutation of house duly supported by current rent and taxes
paid by the owner (receipt to be enclosed);
iv) Documents showing original cost, municipal valuation or authorized valuation of the house;
v) 12 years non-encumbrance certificate from the competent authority;
vi) Certificate from authorized engineer indicating condition of house and the approximate age thereof;
and
vii) Sale permission from the competent authority, if required.
7.7.2 On receipt of the aforesaid documents, the concerned HR Department shall process the application
for grant of HBA and constitution of a Committee by the competent authority shall not be necessary.
Other formalities, such as obtaining sureties, mortgage of the flat/house etc. shall remain the same
as prescribed under the extant rules.
7.8 Guidelines for Grant of HBA from Registered Private Builders / Promoters / Limited
Company
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7.8.1 Application for grant of advance shall be submitted in the prescribed form through the workflow in
ESS-SAP.
7.8.2 The following documents should accompany the application form:
(i) Documents of Title / Conveyance Deed of the land issued to the builder by the agency
concerned.
(ii) Agreement to sell or the Sale Deed, in original executed between the executive and the
builder.
(iii) Copy of allotment-cum-demand letter issued by the builder to the executive.
(iv) 12 years non-encumbrance certificate / search report from the Sub-Registrar.
(v) Approved Building Plan by the Govt. Agency.
(vi) Approximate cost of construction including payment plan.
(vii) Agreement to execute tripartite agreement with corporation at the time of possession of the
flat (undertaking by builder).
(viii) Valuation Certificate from authorized Valuer.
(ix) Original money receipt against initial payment made to the builder.
(x) Approval for Number of floors to be constructed.
(xi) Permission under Urban land (Ceiling & Regulations) Act in favour of builder.
(xii) In case land owner is other than builder, a copy of Development Agreement of the builder
with the land owner.
(xiii) Registered Architect's Certificate.
(xiv) Irrevocable Power of Attorney by the land owner in favour of builder if flats are being
constructed / developed by the builder on the land owned by the land owner.
(xv) Copy of the floor plan approved by Competent Authority.
(xvi) The profile and chain of ownership document in respect of the land to be obtained by the
executive from the builder and subsequent verification by the NTPC Legal Cell.
(xvii) The land on which the private builder is proposing to construct flat should be free from all
encumbrances.
7.8.3 The profile of the Private Builder / Promoter shall be checked on the following points:
(i) Number of projects completed by the builder(Min.3 projects executed).

(ii) Number of projects in hand of the builder(Min. 2 projects in hand).
(iii) The source of funding / financing for the projects executed and to be
executed by the concerned private builder.
(iv) The status of registration of the private builder - The private builder should be registered
under the Companies Act, 1956 or firm of builders registered with Registrar of Firms under
the Indian Partnership Act.
(v) The private builder should comply with the provisions of the Urban Land (Ceiling and
Regulation ) Act, 1976.
7.8.3.1 In case of Special Purpose Companies (SPC) of Private Builders / Promoters / Limited Companies
we may grant HBA by considering the profile of the lead partner i.e. the company which has the
maximum stake in the project. In case of equal partnership we may consider the completed
projects of any one partner towards fulfillment of terms and conditions for grant of HBA for
purchasing flats from Private Builders / Promoters / Limited Companies.
7.8.4 On receipt of application together with aforesaid documents, the same will be scrutinized and
processed by concerned HR-EB Group with reference to the conditions of eligibility and other
requirements under the existing Rules for obtaining sanction of Competent Authority.
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7.8.5 The Competent Authority may constitute a Committee consisting of representatives from HR, Legal,
Finance & Civil to visit the site of the private builder from whom the flat is going to be purchased.
The Committee shall satisfy themselves regarding the extent of construction done by the builder,
may also check the profile of the builder and ensure that title deeds, other documents are in order.
7.8.6 The Competent Authority may accord sanction based on the recommendations of the Committee
and fulfillment of all terms and conditions for grant of HBA in these cases.
7.8.7 In cases where the first charge of the property (flat) to be purchased from a Private Builder /
Promoter / Limited Company lies with Noida/ any other Govt. Authority, a Tripartite Agreement may
be executed between the employee, private builder and NTPC. A copy of the Tripartite Agreement
is placed at Annexure-S.
7.8.8 In addition, in all cases of Grant of HBA from Private Builder / Promoter / Limited Company a
personal bond as placed at Annexure-T may be executed by the employee applying for Grant of
HBA from Private Builder/ Promoter / Limited Company.
7.8.9 The Tripartite Agreement and Personal Bond may be executed after sanction of HBA but before
disbursement of Ist instalment.
7.8.10 In case of purchase of house from registered private builder / promoters / limited company, if the
executive wants to withdraw from the scheme for any reason whatsoever, the money advanced by
the Company shall be refunded forthwith to the company by the agency concerned, for which a
tripartite agreement shall be entered into.
7.8.11 In case the agency concerned deducts any part or the whole of the amount deposited with them
due to non-compliance by the executive with any of their requirements or for any other reasons, the
same will be on the individual executive account and the Company will not undertake any liability
for the same.
7.8.12 The executive shall be required to execute equitable mortgage by deposit of title deeds of the
house /flat purchased by drawing HBA from NTPC, in favour of NTPC.
7.8.13 While applying for subsequent instalments of advance, the executive concerned shall furnish a
demand letter from the builder based on the construction schedule of the housing project. The
amount of advance shall be disbursed in suitable instalments as per demands raised by the Private
Builder from time to time.
7.8.14 The purchase from the private builder has to be completed within 36 months of the date on which
the first instalment of advance is paid to the executive concerned.
7.8.15 The recovery of advance granted for purchase of flat from registered private builder / promoter /
Limited Company shall commence from the pay of the month following that in which possession of
house is taken by executive or immediately on expiry of 36 months from the date of release of 1st
instalment, whichever is earlier.
7.8.16 All documents pertaining to cases of Grant of HBA from private builder / promoter / company shall
be vetted by NTPC legal department.
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8.0 DISBURSEMENT
8.1 While according sanction to the grant of advance the competent authority will also authorize
disbursement of the first installment of the advance in accordance with the basic guidelines set out
in Annexure-B, subject to the observance of prescribed formalities by the borrowing employees.
These include execution of Agreement to mortgage (Annexure-C), mortgage deed (Annexure-D or
D-I or D-II or D-III as the case may be and surety bond (Annexure-E) in prescribed forms
OR
Alternatively, the competent authority may allow to secure the advance through Equitable Mortgage
of property by deposit of original title deeds in place of registered mortgage deed subject to the
submission of the following documents:
1. Agreement to mortgage in form Annexure-C.
2. Original Title Deeds of the property as soon as the same are received by the employee.
3. Letter evidencing deposit of the Title Deeds of the property in form Annexure-J.
4. Affidavit regarding deposit of Title Deeds and declaration etc., as per Performa Annexure-K.
5. Mutation Certificate from Revenue or Municipal Records after it is mutated.
6. Latest Search Certificate through sub-Registrar / Advocate to show that there is no encumbrance
on the property.
7. Special Power of Attorney authorizing NTPC to execute English Mortgage of the property in favour
of NTPC at its discretion as per proforma Annexure-L.
8.1.1 In case of Group Housing Societies where all the documents evidencing deposit of title deeds are
not available due to reasons beyond the control of employees, the following documents shall be
accepted towards creation of equitable mortgage:
Original Letter of Allotment, Original Letter of possession & Original Share Certificate / membership
certificate.
OR
Original Conveyance Deed duly registered.
8.1.2 For cases other than Group Housing Societies actions to be taken to facilitate mortgaging the
property of NTPC are as under:
The employees who have taken loan up to the earlier ceiling of Rs.7.5 lakhs shall be encouraged to
take advance for stamp duty and registration fee under Rule 15.4 of HBA Rule and go for equitable
mortgage with the company. The interest on this additional advance shall be at the rates
applicable on the initial HBA inclusive of additional amount.
8.2 The following legal formalities must be ensured while creating Equitable Mortgage by deposit of title
deeds:
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(a) After sanction of House Building Advance by the Competent Authority in favour of the
employee and issuance of sanction order, the borrower shall submit document at Sl.No.1 as
stipulated in Clause 8.1 of House Building Advance Rules viz. Agreement to Mortgage
together with Surety Bond for claiming HBA sanctioned to the employee. Thereafter the
actual Equitable Mortgage will be created when the borrower acquired the property in
question in the manner provided herein.
(b) The documents of the title at Sl.No.2,5,6 viz. original Title Deeds, Mutation Certificate if available
and Non-encumbrance Certificate as stipulated in Clause 8.1 of the HBA Rules must be physically
deposited by the borrower and handed over to the officer of NTPC who is duly authorized by
Competent Authority to receive the original documents of the title for creation of Equitable Mortgage
as security for HBA sanctioned and advanced / to be advanced.
(c) Documents mentioned at Sl.No. 3,4 & 7 as stipulated in Clause 8.1 of HBA Rules shall also be
executed by the borrower in favour of NTPC immediately after creation of Equitable Mortgage as at
(ii) above (preferably the very next day).
(d) All the original title deeds and other security documents referred to in paras (i), (ii) & (iii) except
Surety Bond mentioned in para (1) must be kept in safe custody in fire proof almirah/safe, the keys
of which should be kept with two authorized officers of the company, not below the level of E4, one
from the HR Department and the other from the Finance Department, so that neither of the officers
can have access to these unilaterally.
(e) Under no circumstances, the original title deeds should be returned to the borrower employee till
the HBA loan together with interest thereon has been fully repaid by the borrower to NTPC. After
full and final settlement of account with respect of HBA the original title deeds shall be released and
returned to the borrower employee and the Equitable Mortgage shall stand discharged. NTPC shall
issue a ‘No Due Certificate’ and ‘Discharge of Equitable Mortgage Letter’ in favour of the borrower.
8.2.1 Where a ready-built house is intended to be purchased, the employee shall be required to produce
proof of negotiations for the purchase of house together with a copy of the building plan and the site
plan and also a certificate that the purchase price is not less than the amount of advance
sanctioned and that he has satisfied himself that the transaction will enable him to acquire
indisputable title of the house.
8.2.2 In case of purchase of house / flat in the joint names of the employee and his / her spouse they will
be required to execute a Tripartite Agreement.
8.3 While applying for subsequent instalments of advance, the borrowing employee shall certify that the
construction is being carried out strictly in accordance with the plans and estimates submitted by
him at the time of making the application, that the construction has actually reached the prescribed
stages of construction and that the amount already drawn has actually been used on the
construction of the house. Such certificates are to be furnished by the borrowing employee in the
prescribed proforma (Annexure-F). The competent authority may, if necessary, arrange to have
inspection carried out by an official to be nominated by him to verify the correctness of the
certificates. After being fully satisfied the competent authority will authorise disbursement of the
remaining instalments of the advance as per provision of these rules.
8.4 In case of employee covered under the proviso to sub-rule 4.4.1, the repayment of outstanding
advance along with accrued interest to the parent organisations, will be subject to the following
conditions:
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8.4.1 He shall obtain the consent of his parent organisation to release the title deeds of the property and
recover the deeds to the Company on receipt of the total outstanding amount direct from the
Company.
8.4.2 He shall execute an agreement to mortgage the property in favour of the Company in the prescribed
proforma.
8.4.3 He shall also furnish surety as prescribed under these rules.
8.4.4 The Competent Authority may ask for satisfactory evidence that the advance already taken is duly
secured on the basis of mortgage of the property and its cost value.
8.5 In case of purchase of house under Self Financing Housing Scheme or from housing Co-
operative Societies, the disbursement of advance will be further subject to the following
conditions:
8.5.1 The employee concerned will be required to produce two sureties from amongst the eligible
employees of the Company.
8.5.2 If the employee wants to withdraw from the scheme for any reason whatsoever, the money
advanced by the Company shall be refunded forthwith to the Company by the agency concerned,
for which a tripartite agreement shall be entered into, wherever possible.
8.5.3 The employee shall produce either a mortgage permission or an assurance from the agency
concerned that the latter shall grant the mortgage / permission after completion of house in favour
of the Company.
8.5.4 In case the agency concerned deducts any part or the whole of the amount deposited with them
due to non-compliance by the employee with any of their requirements or for any other reasons, the
same will be on the individual employees account and the Company will not undertake any liability
for the same.
8.5.5 The interest, if any, paid by the agency concerned on the money advances by the Company will
accrue to the Company only and not to the individual.
8.6 In the case of grant of advance for repayment as in sub-rule 5.1.6 and under rule 8.5, the amount of
advance will be sanctioned by the competent authority to the applicant but amount / cheque /
demand draft will actually be given to the agency or the parent organization, as applicable, by the
Company’s representative, after completion of necessary formalities.
8.7 The employees shall not encumber, create, lien, alienate or otherwise make any second charge or
dispose of the property already mortgaged in favour of the Company for loan already taken from the
Company, unless all the following conditions are satisfied.
8.7.1 The first charge is registered in favour of the Company.
8.7.2 Following addition is incorporated in Clause (h) of Annexure-D and D-1, Clause (j) of Annexure D-II
& D-III of the Mortgage Deeds, of the HBA Rules, whichever is applicable.
8.7.3 The second mortgage proposed to be created shall be in favour of Financial Institutions, such as
banking institutions, cooperative banks, financial corporations set up by the State Government for
House Constructions Loans, Apex Cooperative Housing Finance Society and Public Companies
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formed and registered in India with main object of carrying on the business of providing loan for
construction of house or flat.
8.7.3.1 An employee may create second charge on property in favor of specified Financial Institutions from
whom an additional house loan has been taken by the employee apart from HBA from NTPC,
NTPC can agree to deduct the House Building loan recovery installment from the employees’ salary
and remit the same to Financial Institutions like HDFC, Canfin Homes, HUDCO, etc. as listed in
clause 8.6.3 of the HBA Rules subject to the following conditions: (Annexure-P)
a) If for any reason recovery and/or remittance is delayed, NTPC shall not bear any penalty/penal
interest or such other charges and the same has to be borne by the employee concerned. An
undertaking to this effect shall be taken from the concerned employee.
b) In case there is no sufficient balance in the pay bill of the concerned employee after adjusting other
recoveries, the employee has to make remittance himself under intimation to NTPC.
c) In case the employee ceases to be in the employment of the Company for any reason whatsoever,
NTPC will not undertake any responsibility for recovery and/or remittance of installments.
8.7.4 The competent authority has consented to create the second mortgage in writing.
8.7.5 The draft of the second mortgage has been approved by the competent authority.
8.7.6 The total amount of advance sanctioned by the Company and the loan proposed to be taken under
second mortgage does not exceed the prescribed cost ceiling of the value of the property, as
indicated below:
200 times the salary / wages of the employees, subject to a minimum of Rs.3.0 lakhs and a
maximum of Rs.45 lakhs. However, on merits of each individual case, CMD may relax the cost
ceiling upto a maximum of 25% of the aforesaid cost ceiling in individual cases.
8.7.7 Creation of Pari Passu Mortgage
Since LIC Housing Finance Ltd are advancing a second housing loan only on Pari Passu (Joint
Mortgage) Charge and not on second charge basis, considering the fact that the LIC Housing
Finance Ltd is a Public Ltd. Company under the Govt. of India, employees may be allowed the
employees to take a second loan from LIC Housing Finance Ltd. on Pari Passu Charge in addition
to HBA from NTPC subject to the following:
i) Inter se Agreement regarding Pari Passu Charge to be executed among the borrower employee,
NTPC Ltd. and LIC Housing Finance Ltd in the prescribed form as at Annexure-1.
ii) Memorandum of Confirmation of Pari Passu Arrangement to be executed between NTPC Ltd and
LIC Housing Finance Ltd in the prescribed for as at Annexure-2.
These documents shall be executed on Non Judicial Stamp Paper of appropriate value in addition
to the documents which are required to be executed for creation of equitable mortgage.
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The terms and conditions applicable for creation of second mortgage shall be applied
mutatismutandis to creation of charge on Pari Passu basis with the terms “Pari Passu” replacing
“Second Mortgage” wherever applicable.
Creation of second charge on pari passu as mentioned above in respect of HUDCO shall be
allowed provided the loan is repaid to HUDCO through salary deduction and the repayment of loan
is completed before superannuating of the employee.
9.0 SURETY
9.1 The applicant shall get executed the surety bond, as referred to in Rule 8.2 from an employee of
the Company. An employee of the Company shall be eligible to stand as a surety if:
He has satisfactorily completed the period of probation stipulated, if any.
9.1.2 His salary / wages is not less than two-third of that of the applicant.
9.1.3 He is not likely to superannuate within 3 years of the date of executing the surety bond.
9.1.4 He has not stood as surety in more than two cases of House Building Advance.
9.1.5 The employee applying for House Building Advance has not already stood as a surety for him
when he applied for House Building Advance.
9.1.6 He is working, to the extent possible, in the same division / office, where the applicant is working
for the time being.
9.2 Where a surety employee is likely to leave the employment of the Company or ceases to be in the
employment of the Company on account of resignation, retirement, death or for any other reason
before the borrowing employee has executed the deed mortgaging the property to the Company or
has repaid the advance in full (including interest thereon), the latter shall arrange to get executed a
surety bond from another substitute surety, within one month of the communication to this effect
from the HR Department
The liability of the surety will extend till the house built / purchased is mortgaged to the Company or
till the advance in full (including interest thereon) is repaid to the Company, whichever happens
earlier.
10.1 The construction of the house or additions to living accommodation in an existing house (as the
case may be) shall be :
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10.1.1 Carried out exactly in accordance with the approved plan and specifications on the basis of which
the amount of advance has been computed and sanctioned. The plan and specifications must not
be departed from without the prior approval of the competent authority.
10.1.2 Completed within 18 months / 24 months / 36 months, as applicable, of the date on which the first
instalment of the advance is paid to the employee concerned. Failure to do so will render the
employee liable to refund the entire amount advanced to him (together with interest thereon
calculated as in rule 11.0 below) in one lump sum. An extension of the time limit may be allowed
up to one year by the competent authority in the cases where the work is delayed due to
circumstances beyond the control of the employee. The date of Completion must be reported to
the competent authority without delay.
10.2 Immediately on completion or purchase of the house, as the case may be, the employee
concerned shall insure the house at his own cost for a sum not less than the amount of the advance
and shall keep it so insured, against damage by fire, flood, lightning, earthquake and riot till the
advance along with interest is fully repaid to the Company. The policy obtained should be
deposited with the Company. A letter should also be written to the insurer by the employee that the
Company is interested in the Insurance Policy (Annexure-G). The premium must be paid regularly
and the premium receipt produced for inspection by an officer of the HR Department as nominated
by the Competent Authority. In the event of failure on the part of the employee to effect Insurance
against fire, flood, lightning, earthquake and riot, it shall be lawful but not obligatory for the
Company to insure the said house at the cost of the employee concerned and recover the amount
from him including interest thereon at bank lending interest rate, in the same manner as the
amounts are recoverable under these rules. The employee will in addition be liable to disciplinary
action .
10.3 The house must be maintained in good repair by the employee concerned at his own cost. He shall
also keep it free of all encumbrances and shall continue to pay all the Municipal and other local
rates and taxes regularly until the advance alongwith interest has been repaid to the Company in
full. The employee shall furnish an annual certificate to this effect to the Company. The format for
facilitating submission of proof of insurance and the annual certificate by employees is placed at
Annexure-Q. All the employees who have drawn HBA from the company are required to fill up and
submit this certificate on purchase of a house / completion of construction / on taking possession,
once in a year in the month of April to concerned HR-EB group. In case where it is observed that
an employee has not submitted the proof of insurance cover of house, respective HR-EB Group
may take appropriate action as per clause 10.2 of HBA Rules.
10.3.1 The employees who have stood surety for HBA cases are to be informed periodically by concerned
HR-EB Group, through individual communication that they must remind / pursue the person for
whom they have stood surety that he / she is supposed to complete all formalities of mortgage and
insurance of the house they have acquired by way of drawing HBA from the company. The format
of letter to be sent to the sureties is placed at Annexure-R.
10.4 After the completion of construction of the house, annual inspection may be carried out by an
authorized official of the Company under instructions from the competent authority to ensure that it
is maintained in good repair until the advance alongwith interest has been repaid in full.
10.5 The employee concerned shall afford full facilities for all inspections as required under these rules.
Page: 21 of 108
10.6 In case where the house is not used for residential purpose of the employee and / or his family,
permission of the competent authority should be obtained by him before renting the same.
10.7 The terms and conditions enumerated under rule 10.0 are in addition to those contained
elsewhere in these rules.
10.8 In case of default by employee in mortgaging the property to the company, it shall be
considered that the other advances like conveyance advance, multipurpose advance,
furniture advance, computer advance and other facilities like Residential Lease
Accommodation etc. be stopped till the time the employee mortgages the property to the
Company. This shall be at the discretion of competent authority as per HBA Rules.
10.8.1 No subsequent instalment shall be released in case of purchase of land and construction
of house thereon without mortgage of property.
10.8.2 An additional 2% interest over and above the normal HBA interest rate shall be charged
from the employees in case of failure of mortgaging the property .
10.9 Notwithstanding anything contained herein, the employee shall be bound to comply with any
supplementary rules / orders which may be made subsequently in this regard from time to time with
a view to safeguarding the company’s as well as proper and faithful observance of the provisions of
these rules.
10.10 Furnishing of false certificates or breach of any of the terms and conditions stipulated in these rules
and / or any other supplementary rules / orders will render the employee concerned liable to
appropriate disciplinary action apart from his being called upon to refund to the Company forthwith
the entire advance drawn by him together with accrued interest.
11.0 INTEREST
11.1 An advance granted under these rules shall carry simple interest from the date of payment of the
advance, the amount of interest being calculated on the balance outstanding on the last date of
each month.
11.2 The rate of interest (on slab basis) shall be as follows:-
Amount of Advance Rate of interest

Per annum
------------------------ --------------------
(Rs.)
Upto 1,50,001 5.5%
50,001-2,50,000 6.5%
Page: 22 of 108
2,50,001-3,50,000 7.5%
3,50,001-4,50,000 8.5%
4,50,001-5,50,000 9.0%
Above 5,50,001 9.5%
11.3 Where differential rates of interest are prescribed for varying amounts of advance, the portion of the
advance carrying highest rate of interest will be treated as having been refunded first, in the
process of recovery.
11.4 Notwithstanding anything contained above, failure of an employee to faithfully observance of all the
terms and conditions attached to the advance sanctioned, will make him liable to pay the interest at
bank lending interest rate.
11.5 Rebate in interest for pursuing small family norms
With a view to providing incentives to the employees for promoting small family norms, it has been
decided that the rate of interest on HBA to such employee who themselves or their spouses
undergo organization operations will be ½% (Half percent) less than the normal rate of interest.
The above concession shall be subject to the same conditions, as applicable for grant of special
increment under the Company’s Incentive Scheme for pursuing small family norms.
The concession as above shall also be applicable to employees who themselves or their spouses
have undergone organization on or after 01.09.79
11.5.2 The rebate in the HBA rate of interest will be admissible from the date of sterilization.
11.5.3 An employee who is entitled to interest subsidy in terms of Cl.14.0 of the HBA rules, will also be
allowed ½% rebate in HBA interest for promoting small family norms, subject to his fulfilling the
conditions as stipulated, from the date of sterilization. In other words, the subsidy will be calculated
as a difference between the rate of interest which would have been charged from him by NTPC,
after accounting for the ½% rebate and the interest rate payable to the Financial Institutions.
12.0 REPAYMENT
The advance granted to an employee under these rules, together with the interest thereon, shall be
repaid in full before superannuation/separation from service of the employee by monthly
instalments within a period not exceeding 25 years; repayment of principal in 15 years (180
instalments) and interest in 10 years (120 instalments).
Provided that where an advance has been sanctioned under sub-rule 5.1.6 the amount of monthly
instalment shall not be less than the instalment amount at which the advance was being repaid by
the employee while in service in parent sterilization / department. Provided further that it will be
open to an employee to repay the amount in a shorter period, if he so desires.
Page: 23 of 108
The amount of advance and interest thereon, to be recovered from the employee, shall be fixed in
whole rupees, except in the case of last instalment when the remaining balance, including any
fraction of rupee shall be recovered.
12.3 Commencement of Recovery:
12.3.1 Recovery of advance granted for repayment under sub-rule 5.1.6 shall commence from the pay of
he month following that in which the advance is drawn.
12.3.2 Recovery of advance granted for purchase of a ready built house shall commence from the month
following the month in which the possession is taken or immediately on the expiry of two months
from the date on which the advance is paid to the employee, whichever is earlier.
12.3.3 Recovery of advance granted for constructing a new house or enlarging living accommodation in an
existing house shall commence from the month following the completion of the house or
immediately on the expiry of 18 months from the date on which the first instalment of the advance is
paid to the employee, whichever is earlier. The competent authority may relax this time limit
keeping in view the merits of a case
12.3.4 Recovery of advance granted for constructing a new house including purchase of land and
construction thereon shall commence from the month following the completion of the house or
immediately on expiry of 24 months from the date on which the first instalment of the advance is
paid to the employee, whichever is earlier. The competent authority may relax this time limit
keeping in view the merits of a case.
12.3.5 Recovery of advance granted for purchase of a ready built house under the Self Financing Scheme
commence from the pay of the month following that is which the possession of the house is taken
by the employee or immediately on the expiry of 36 months from the date on which the first
instalment of the advance is paid to the employee, whichever is earlier. The competent authority
may relax this time limit keeping in view the merits of a case.
12.4 If an employee resigns from the services of the Company or his services are terminated for any
reason whatsoever, before repayment of the advance together with accrued interest thereon in full,
the entire outstanding amount may become payable to the Company forthwith.
12.4.1 When the termination of service is due to involuntary act on the part of the employee concerned,
the Company may, in deserving cases, permit him or his successors-in-interest, as the case may
be, to repay the outstanding amount together with interest thereon in suitable instalments after
safeguarding Company’s interest.
13.0 PAYMENT OF INTEREST SUBSIDY
13.1 Such employees of the Company as are otherwise eligible for grant of House Building Advance
under these rules, may avail of the House Building Loan Scheme sponsored as in Rule 14.3 . In
such cases the Company will grant subsidy to them to meet the difference between the
Government rate of interest and the interest rate actually paid to the Life Insurance Corporation of
India from time to time subject to the conditions that the subsidy will be limited on this amount which
would have been admissible to the concerned employee under these rules and no subsidy shall be
Page: 24 of 108
allowed on the interest levied by the Life Insurance Corporation of India for default and / or delay in
payments.
13.2 The subsidy will be paid after actual verification of receipts issued by the Life Insurance Corporation
of India for payment of interest and for this purpose, suitable registers will be maintained to avoid
double / over payments. The original receipts will also be endorsed suitably to guard against a
second claim.
13.3 The interest subsidy scheme may be extended for House Loan obtained from all Scheduled,
Commercial (including private banks) and their Housing Finance Subsidiaries, in line with such
subsidy being given in respect of House building loan obtained from LIC. The interest subsidy will
be restricted to the difference between the rate of interest charged by Financial Institutions as the
case may be and the rate of interest charged under NTPC House Building Advance Rules. An
employee may avail either the facility of interest subsidy on House Building Loan from a Financial
Institution as above or HBA from NTPC and not both. In no case the interest subsidy payable in
respect of any financial institution shall exceed the interest subsidy payable, had the employee
obtained loan of equivalent amount from LIC.
13.4 HBA will not be sanctioned for construction of house on the roof of an existing house for which the
concerned employee has roof rights. However, if the employee obtains loan from Financial
Institutions, he will entitled to payment of interest subsidy subject to all other terms and conditions
of the HBA rules, including provisions pertaining to payment of interest subsidy.
14.0 GENERAL
14.1 The Competent Authority shall ensure that the purchase / construction / enlargement of the house
is completed within the period prescribed in the rules and that :
14.1.1 The prescribed mortgage deed is executed immediately on purchase of the house / land and the
document kept in safe custody after registration.
14.1.2 The house is insured in the manner indicated in rule 10.2 immediately on its purchase / completion
and that the premium receipts are regularly produced for inspection.
14.1.3 The house is maintained in good repair and that the necessary insurance premia and municipal
taxes and rates are paid regularly and the requisite certificate furnished annually, until the advance
has been repaid in full.
14.1.4 Monthly recovery of instalments of repayments of the advance commence from the due date and is
made regularly from the pay / leave salary etc. bill of the employee concerned thereafter.
15.1.5 Any amount drawn in excess of the said expenditure incurred is refunded by the employee
concerned to the Company forthwith together with the interest, if any, due thereon.
14.2 Even in the case of transfer from the unit / plant etc. to another, the documents such as title deed,
mortgage deed etc. submitted by an employee should continue to be kept in the safe custody of the
authority which sanctioned the advance. This is with a view to safeguarding against loss or
misplacement of precious documents in transit.
14.2.1 In the event of transfer of an employee from one unit/plant to another, all papers relating to HBA in
respect of the employee concerned may be kept in the custody of the authority who sanctions the
Page: 25 of 108
advance. However, a copy of all the papers relating to sanction of HBA etc. may be provided to the
unit / plant to which the employee concerned has been transferred.
14.2.2 In the event of transfer of an employee from one unit / plant to another, the responsibility of
processing the house Building Advance in respect of the concerned employee shall be of the unit /
plant to which the employee concerned has been transferred.
14.3 Subject to the superintendence and instructions of the Chairman and Managing Director the
respective unit / plant General Managers will exercise all power prescribed under these rules in
respect of employees working under their administrative control; and for employees in the rank of
Dy. General Manager and below working at Corporate Centre the same will be exercised by
General Manager (HR). The General Managers may sub-delegate these powers to the authorities
working under them to the extent considered necessary, except the following:
14.3.1 Grant of advance for purchase of ready built house if the agency offering it for sale is other than a
Govt., Semi Government or an Institution like City Improvement Trust, Housing Unit, Registered
Co-operative House Construction / Building Society.
14.3.2 Extension of time limit for construction of house beyond 18/24/36 months, as the case may be, of
the payment of the first instalment of advance and recovery of the advance granted thereto.
14.3.3 (i)Grant of permission to an employee who ceases to be in service for any reason whatsoever (ii)
grant of permission to the legal successor or his/ her spouse working in NTPC to repay the
outstanding amount together with interest thereon in suitable instalments.
14.4 Stamp duty chargeable on all documents and registration fee to be incurred for the completion of
legal formalities required in connection with grant of HBA may be granted as advance to the
concerned employees, subject, however, to the condition that the total amount of HBA shall not
exceed their entitlement as per rules. The employees concerned will complete all formalities within
a period of 3 months from the date of drawl of the advance granted for stamp duty charges etc.,
failing which the amount drawn for the said purpose will be refunded by the employees together
with interest thereon.
14.5 The grant of advance under these rules shall always be subject to availability of funds.
14.6 The power to interpret and administer the rules shall rest with the Chairman and Managing Director
of the Company whose decision shall be final and binding. The Chairman and Managing Director is
also empowered to make any supplementary rules / orders as envisaged under Rule 10.8.
14.7 The Company reserves the right to modify, cancel, add or amend any of these rules.
Page: 26 of 108
AUTHORITY
Sl.No. Corporate Personnel Date
Circular No.
1. 17/78 29.08.78
2. 74/81 30.06.81
3. 112/83 07.06.83
4. 128/84 12.03.84
5. 144/84 03.10.84
6. 147/84 13.11.84
7. 202/87 20.07.87
8. 205/88 08.01.88
9. 222/89 25.01.89
10. 239/89 04.09.89
11. 243/89 17.01.90
12. 253/90 17.01.90
13. 282/91 24.09.91
14. 3/91 07.10.91
15. 287/92 26.03.92
16. 288/92 09.04.92
17. 303/93 02.07.93
18. 304/93 28.07.93
19. 311/94 17.06.94
20. 322/95 17.02.95
21. 330/95 08.06.95
22. 343/95 09.12.95
23. 344/95 27.12.95
24. 357/97 04.07.97
25. 358/97 07.07.97
26. 365/98 01.01.98
27. 368/98 07.01.98
28. 418/99 08.07.99
29. 434/2000 7.2.2000
30. 447/2000 10.8.2000
31. 467/2001 01.06.2001
32. 498/2002 04.01.2002
33. 503/2003 02.04.2003
Page: 27 of 108
LIST OF INTER OFFICE MEMOs

Sl.No. IOM No. Date
1. Corporate personnel IOM no:01/pers/7(7) 14.07.81

36. Corporate HR IOM No.01:HR:Policy:7(7)/477 14.01.2003
Page: 28 of 108

Page: 29 of 108
ANNEXURE-A
NTPC
NTPC BHAWAN, SCOPE COMPLEX, NEW DELHI-110 003
Application for Grant of House Building Advance
1. (a) Name (in block letters) :
(b) Employee No :
(c) Designation :
(d) Department :
(e) Scale of pay :
(f) Present Salary/Wages :

(Basic Pay + Personal Pay + dearness
Allowance)
(g) Station where posted :
(h) Place where the house/flat :

etc. is proposed to be
built/purchase/enlarged.
2. Please State :
Whether you are Date of Date of super Is your Wife/

a confirmed Birth annuation/ husband employed
employee? If so, expiry of contract in NTPC? If so,
state the period give her/his name,
of your continuous ' employee no.,
service (Refer designation,
rule 4.2) department etc.)
(1) (2) (3) (4)
3.(a) Do you require the advance for building a new house? If so, please indicate :
Page: 30 of 108
(Note: Entries in Cols.2-4s have to be supported by specification estimates in enclosed form and plan at the appropriate stage).
Approx. floor area of Estimated Cost Amount of

the house proposed to ——————————-————————-—— advance
be constructed Cost of Cost of Total required
(in sq.m) land building
(1) (2) (3) (4) (5)
(b) Whether you are already in possession of land? If so, please state :
Name of the place Area of the plot Name of the Municipal or other local
(in sq.m) authority where it is located (if any)
in whose jurisdiction it is located
(1) ( 2) (3).
(c) If no plot of land is already in your possession, how, when and where do you propose to acquire one? State the
approximate plot area (in sq.m.) proposed to be acquired and enclose an attested true copy of a letter from the seller of
the plot that subject to the settlement and payment of the price, he can hand over to the applicant the vacant possession
of a clearly demarcated plot of land within a period of two months from the date of the letter.
4. Do you require an advance for enlarging living accommodation in your existing house? If so, please stage : (Note : A
plan of the house should accompany the application).
No. of rooms Total If an Particulars of Amount of in the house floor

additional additions desired advance
(excluding area storey is desired
lavatory of the proposed No Floor Esti-
bathroom rooms to be of area mated
and kitchen) (in sq. added is rooms (in cost
m.) the foun (sq m)
dation
strong
Page: 31 of 108
enough?
(1) (2) (3) (4) (5) (6) (7)
5. Do you require the advance for purchasing a ready built house?
6. (a) If so, and in case you already have a house in view

i)Please state: (Note: A plan of the house should accompany the application).
Exact Floor Plinth Approx Munici- Name Approx. Amount

loca- area area age of pal and price of
tion of the of the the valua- addr- expec- advance
of house house house tion of ess ted to required
the (in (in the of be paid
house sq.m.) sq.m.) house the
owner
(1) (2) (3) (4) (5) (6) (7) (8)
(ii) Have you satisfied yourself that the transaction would result in your acquiring an
indisputable title to the house?
(b) If you do not already have a house in view, when and where do you propose to acquire
one?
Please indicate :- (Note : Details specified against 5(a) (I) above should be furnished in the case
also as soon as possible and in any case before the full amount of the advance can be drawn.
The approximate amount upto The approximate amount
which you will be prepared of advance required

Page: 32 of 108
to buy a house
(1) (2)
6. Is the land on which the house stands, or is proposed to be constructed, free hold or lease hold?
If lease hold, please state (Note : A copy of the lease/sale deed should accompany the application)
The term of the How much of the Whether conditions of Premium paid for the Annual rental of the
lease term has already the lease permit the plot plot
expired? land being mortgaged
to the Company
(1) (2) (3) (4) (5)
7. (a) No. of years in which the advance with interest is proposed to be repaid.
(b) If a part of the advance is intended to be adjusted against the gratuity payable to you,
please indicate the amount thereof.
8. (a) Is your title to the land/house undisputed and free from encumbrances?
(b) Can you produce, if required, original documents (sale or lease deed) in support of your
title? If not, state the reasons therefore indicating what other documentary proof, if any, you
can furnish in support of your claim.
9. Details of Surety(s) :
(Refer rule 9.0) :
(a) Name, Employee No. and Designation
(b) Present Salary/Wages (Basic Pay + Personal Pay + Dearness Allowance)
(c) Date of superannuation:
10 Any other information
DECLARATIONS
1 I have read the rules regulating the grant of House Building Advance and agree to abide by the terms
and conditions stipulated therein.
Page: 33 of 108
2. I certify that:
i) My wife/husband is not a company employee. My wife/ husband who is a company employee

has not applied for and/or obtained any advance under these rules :
ii) Neither I nor my wife/husband/minor child has/had applied for and/or obtained any loan or
advance (other than an advance from the Provident Fund) or any assistance of like nature for
acquisition of a house in the past from any source.
iii) I do not own a house in my name or in the name of my spouse or minor children/I own a
house in my name or in the name of my spouse or minor children, and the same is located
at......................................... I or any member of my family have/has not acquired a house on
hire-purchase basis; and
iv) that the construction/enlargement of the house for which the advance has been applied for,
has not yet been commenced.
3. I solemnly declare that the information furnished by me in reply to the various items indicated
above is true to the best of my knowledge and belief.
Place: Signature:
Date: Name:
______________________________________________________________________________
Forwarded to the Personnel Manager/_Unit.
Controlling Officer
(Designation and Deptt.)
_________________________________________________________________________
(For use by Personnel Department Officer/Committee)
1 The application has been scrutinised in terms of the rules and it is certified that:
(a) the applicant fulfils all the eligibility conditions and priorities, if any, etc.
(b) the facts stated in the application are correct:
(c) the applicant possesses a clear title to the property in question/the transaction would
result in the applicant's acquiring an undisputable title to the property.
Page: 34 of 108
2. It is recommended that an advance of Rs............... may be granted to the applicant. On the basis of
monthly deductions etc. to be made from the applicant's salary it is certified that this amount is well
within his repaying capacity.
Place: Signature:
Date: Personnel Department Officer/

Chairman of the Committee
__________________________________________________________________________
Sanctioned an advance of Rs...........................................(Rupees............................................
only) to Shri / Smt................................................................. Employee No....................................
Designation.......:.................................................................Department......................................
Place: Signature:
Date: Sanctioning Authority

Page: 35 of 108
ANNEXURE A-l
ABSTRACT OF COST OF ORIGINAL ESTIMATES AND DETAILED

SPECIFICATIONS FOR GRANT OF HOUSE BUILDING ADVANCE
TO COMPANY EMPLOYEES.
Amount Rs....................................................
Name.............................................................................Employee No...................................
Designation.....................................................................
Department......................................
Locality and address in which the house......................................................................................
is proposed to be constructed/enlarged.........................................................................................
Item Sub-heads and items Quantity Rate Per Amount Total

No. of work or No.
1 2 3 4 5 6 7
I EARTHWORK
(Earthwork excavation, 1000
for foundations and sq.m.
disposing of the surplus earth etc.)
II CONCRETE WORK
(Foundation concrete 100 sq.m.
with cement or lime
using stone or brick ballast either
below floors or for footings)
III DAMP PROOF COURSE

(Concrete on rich cement mortar of
bitumanistic compounds)
IV ROOFING WORK
(R.C.C. asbestos or any other type of
suitable roof)
Page: 36 of 108
V REINFORCED CEMENT
CONCRETE
VI MASONRY
(Brick, stone, concrete roofs
etc.)
VII WOODWORK
(For doors and windows,
wooden scantling for roofs
etc.)
VIII STEELWORK
(For reinforcements,
holdfast, window
bars etc.)
IX FLOORING
(Concrete, stone or
marble chips etc.)
X FINISHING
(Plastering, pointing,
colour or white washing,
painting etc.)
XI MISCELLANEOUS
(Like rain water pipes,
shelves, jalis, chulas, pegs,
hooks for fans etc.)
XII SANITARY INSTALLATIONS

(Closets, connections, pipes, manholes, drains, etc.)
XIII WATER SUPPLY

(Taps, water meters, water tanks, G.I. pipe etc.)
XIV ELECTRICITY
(Electric points,
Page: 37 of 108
meters, connections,
lines, etc.)
TOTAL COST
Place: Signature :
Date: Name :
Employee No. :
Designation :
Department :
NOTE: The abstract is to be typed on a separate sheet (indicating the actual detailed items of works, rates etc.
proposed to be adopted) and attached to the application at the appropriate stage
Page: 38 of 108
ANNEXURE A-II
DETAILED ESTIMATES FOR HOUSE BUILDING ADVANCE TO COMPANY

EMPLOYEES
(Detailed estimate sheet to support the quantities given in Annexure

A-l)
Name................................................................................Employee No....................................
Designation........................................................................ Department.....................................
Office to which attached................................................................................................................
Locality and address in which the house.......................................................................................
is proposed to be constructed/enlarged........................................................................................
SI. Details of work No. Measurements ` Qty.

No ___________________________________
Length Breadth Height
1 2 3 4 5 6 7
1 EARTHWORK
Earthwork in excavation in all soils for
foundation and other trenches and
depositing the same within 50 meters
lead and upto 1.5 meters lift
Front Wall.............
Rear Verandah retaining
Wall.................…….Outside
Wall...........
Common walls between

Page: 39 of 108
rooms..................
W.C. front and rear....Do-side................
1 2 3 4 5 6 7
Steeps in front and rear
Total earth work.......

Refilling are excavated.
earth etc.
Continue details for all items

as given in sample
ANNEXURE A-1
Place: Signature:
Date: Name:
Employee No:
Designation:
Department :
ANNEXURE-B
DISBURSEMENT OF ADVANCE
Page: 40 of 108
Sl.No. Purpose 1st Stage 2nd Stage 3rd Stage 4th Stage
1 2 3 4 5 6
1. Purchase of land 50% of advance 15% of 15% of advance Balance 20% of

plus construction amount advance amount payable on advance amount
of house sanctioned for amount reaching plinth payable on
land purchase payable on level and reaching the roof
(In respect of on executing mortgaging production of level and
A1, A, B1 and the agreement the land and certificate to that production of
B2 class of to mortgage the house to effect by the certificate to that
cities). sale deed to be built there applicant effect by the
NTPC and its on in favour applicant.
submission of the
within two Company
months applicant of
building plan
duly
approved by
the local
authorities
2 Purchase of land 20% of advance 25% of 25% of advance Balance 30% of
and construction amount advance amount payable on advance amount
thereon sanctioned for amount payable reaching plinth level payable on
(In respect of other land purchase on on mortgaging and production of reaching the roof
places) executing the the land and the certificate to that level of ground
agreement to house to be effect by the floor & production
mortgage. Sale built there on in applicant. of certificate to that
deed to be favour to the effect by the
produced within Company and applicant.
two months submission of
building plan
duly approved
by the local
authorities
3. Construction of 30% of advance 40% of Balance 30% of
single storey sanctioned on advance advance amount
house mortgaging the amount payable payable on reaching
land and the on reaching the roof level &
house to be built plinth level and production of
thereon and production of certificate to that
submission of certificate to effect by the
building plan the effect by applicant.
duly approved by the application.
the local
authorities.
4. Construction of 25% of 30% of 15% of advance Balance 30%
double storey advance advance amount on of advance
house (or amount amount on reaching roof amount on
enlargement) sanctioned on reaching the level of the reaching roof
Page: 41 of 108
mortgaging plinth level ground floor and level of the first

the land and and production of floor and
the house to production certificate to that production of
be built of certificate effect by the certificate to
thereon and to that effect applicant. that effect by
submission of by the the applicant.
building plant applicant
duly approved
by local
authorities
5. Enlargement of 30% of 40% of Balance 30% of
living advance advance advance amount
accommodatio amount on amount on on reaching roof
n on the ground mortgaging reaching level and
floor the property plinth level production of
and and certificate to that
submission of production effect by the
building plan of certificate applicant.
duly approved to that effect
by local by the
authorities applicant.
ANNEXURE-C
(On Non-judicial Stamp Paper)
FORM OF AGREEMENT TO BE EXECUTED AT THE TIME OF DRAWING THE HOUSE

BUILDING ADVANCE
AN AGREEMENT MADE THIS.......................................... day of............Two thousand and .................

between................son/daughter/of..................at present serving as...................(hereinafter called the
'Borrower', which expression shall unless excluded by or repugnant to the subject or context include his heirs,
executors, administrators and legal representatives) of the one part and the NTPC Ltd., a Company
incorporated under the Indian Companies Act, 1956 and having its registered office at Scope Complex, 7,
Institutional Area, Lodi Road, New Delhi-110003 (hereinafter called the 'Company which expression shall
unless excluded by or repugnant to the subject or context include their successors in office and assigns) of the
other part.
Page: 42 of 108
WHEREAS the Borrower desires to purchase land and/or construct a house thereon/enlarge living
accommodation in his/her house at.......................purchase a ready built house at.........described in the schedule
hereto annexed and
WHEREAS the Borrower has under the provisions of the Rules framed by the Company to regulate the grant of
advance to Company employees for building etc., of house (hereinafter referred to as the "said Rules", which
expression shall where the context so admits, include any amendment thereof or addition for the time being in
force) applied to the Company for an advance of Rupees...................... to purchase the said land and/or
construct a house thereon/enlarge living accommodation in his/her house/purchase a ready built house as
aforesaid and the Company has sanctioned an advance of Rupees............................to the Borrower vide
letter No.................dated................ a copy of which is annexed to these presents for the purpose aforesaid on
the terms and conditions set forth therein.
NOW IT IS HEREBY AGREED BY and between the parties hereto as follows :
1. In consideration of the sum of Rupees........................ (insert full amount to be paid) to be paid

by the Company to the Borrower as provided in the said Rules, Borrower hereby agrees with the
Company.
(a) i) to repay the Company the said amount of Rupees......... (insert full amount sanctioned) with
interest calculated in accordance with the said Rules for the time being in force by
...........................* (number to be filled in) monthly instalments of
..........................................Rupees) .from his pay commencing from the month of...............one
thousand nine hundred and......................and the borrower hereby authorises the Company
to make such deductions from his monthly pay, leave salary, subsistence allowance bills or
any other dues payable to him by the Company.
ii) to repay the Company the said amount of Rupees......... (insert full amount sanctioned) with
interest calculated in accordance with the said Rules for the time being in force
by....................number to be filled in) monthly instalments of Rupees............... from his pay
commencing from the month of ............. Two thousand and................or from the month
following the completion of the house, whichever is earlier and the Borrower hereby
authorises the Company to make such deductions from his monthly pay, leave salary,
subsistence allowance bills or any other dues payable to him by the Company.
iii) to repay the Company the said amount of Rupees......... (insert full amount sanctioned) with
interest calculated in accordance with the said Rules for the time being in force
by......................(number to be filled in ) monthly instalments of Rupees............ from his pay
commencing from the month of ............. Two thousand and ......................... or from the
month following that in which the possession of the house/flat is taken by the Borrower,
whichever is earlier and the borrower, hereby authorises the Company to make such
deductions from his monthly pay, leave salary, subsistence allowance bills or any other dues
payable to him by the Company.
Page: 43 of 108
(b) i) within three months from the date of the receipt of the aforesaid advance of
Rs................................ (Rupees....................) to expend the aforesaid amount in the
purchase of the said ready built house and mortgage it to the Company failing which the
Borrower shall refund forthwith to the Company the entire amount of advance received by
him together with interest thereon unless an extension of time is granted by the Company.
ii) to complete construction/enlargement of the said house within eighteen months of the
receipt of the aforesaid advance of Rs.............(Rupees...................) strictly in accordance
with the plan and specifications to be approved by the Company and on the basis of which
the amount of advance is to be computed and sanctioned finally or within such extended
period as may be laid down by the Company.
iii) within two months from the date of receipt of the amount of Rs.........................(insert amount
of instalments to be paid) out of the said sanctioned advance or within such further time as
the Company may allow in this behalf, to expend the aforesaid amount in the purchase of
land and to produce for inspection of the Company the sale deed in respect thereof failing
which the Borrower shall refund to the Company the e ntire amount of the advance received
by him together with interest thereon.
To complete the construction of the said house within twenty four months of the receipt of
the aforesaid advance of Rs................ (Rupees.................) strictly in accordance with the
plan and specifications to be approved by the Company and on the basis of which the
amount of advance is to be computed and sanctioned finally or within such extended period
as may be laid down by the Company.
iv) within three months from the date of possession of the said house or flat, to mortgage the said house or
flat to the Company failing which the Borrower shall refund forthwith to the Company the entire amount
of advance received by him together with interest thereon unless an extension of time is granted by the
Company.
2. If the actual amount paid by the Borrower for the purchase of land and building a house thereon/enlarging the
house/the purchase of the ready built house is less than the amount received under these presents by the Borrower, to
repay the difference to the Company forthwith.
3. To execute a document mortgaging the said house/ and along with the house to be built thereon to the Company as
security for the amount advanced to the Borrower under these presents as also for the interest payable for the said
amount in the form provided by the said Rules.
4. If the land is not purchased and the sale deed thereof not produced for inspection of the Company within two months
of the drawal of the advance for that purpose or within such further time as the Company may allow in this behalf/if
the house is not purchased and mortgaged within further time as the Company may allow in this behalf/if the
Borrower fails, to complete the construction/enlargement of the said house, as hereinbefore agreed, or if the Borrower
becomes insolvent or quits the service of the Company or dies, the entire amount advanced together with interest
accruing thereon shall immediately become due and payable to the Company.
Page: 44 of 108
5. Without prejudice to any other right of the Company in that behalf, if any amount becomes refundable or payable by
the Borrower to the Company, the Company will be entitled to recover the same as arrears of land revenue through
other legal measures, including adjustment against Borrower's statutory or contractual dues.
6. The stamp duty payable on these presents shall be borne and paid by the Borrower.
SCHEDULE ABOVE REFERRED TO *
IN WITNESS WHEREOF THE BORROWER has hereunto set his hand and Shri............................for and on
behalf of NTPC Ltd. has hereunto set his hand.
Signature of the Borrower
Signed by the said Borrower
in the presence of :
1st Witness :
Address :
Occupation :
2nd Witness :
Address
Occupation
Signature of Shri...................
(For and on behalf of NTPC Ltd.)
In the presence of :
1st Witness :
Address :
Occupation :
2nd Witness :
Address :
Occupation :
a (ii), (iii) and b (ii), (iii), (iv) to be deleted in case of purchase of ready built house/flat. a(i),(iii)and b (i),(iii),(iv) to be
deleted in case of construction/enlargement of a house.
Page: 45 of 108
a (i),(iii),and b (i),(ii),(iv)to be deleted in case of purchase of land and construction of house.
a (i),(ii)and be (i),(ii),(iii) to be deleted in case of acquisition of purchase of house/flat under the self financing
housing scheme.
(*To be filled in by the Borrower)

Page: 46 of 108
ANNEXURE-D

FORM OF MORTGAGE DEED TO BE EXECUTED
WHEN THE PROPERTY IS FREE HOLD
This indenture made this..............day of .................... Two thousand and.................................... between son of
........................of ....................... at present employed as..............................in NTPC Ltd. at.............................
(hereinafter called "THE MORTGAGOR" which expression shall unless excluded by or repugnant to the subject or
context, include his/her heirs, executors, administrators or assigns) of the ONE PART and NTPC Ltd. a Company
incorporated under the Indian Companies Act, 1956 and having its registered office at 62-63, Skipper House, New
Delhi-110019 (hereinafter called "THE MORTGAGEE" which expression shall unless excluded by or repugnant to the
subject or context include his successors in office and assigns) of the OTHER PART
WHEREAS the MORTGAGOR is absolute and sole beneficial owner and is seized and possessed of or otherwise well
and sufficiently entitled to the land and/or house hereditaments and premises hereinafter described in the Schedule hereunder
written and for greater clarity delineated on the plan annexed hereto and thereon shown with the boundaries thereof
coloured...................and expressed to be hereby conveyed, transferred and assured (hereinafter referred to as "the said
Mortaged Property").
AND WHEREAS THE MORTGAGOR applied to the MORTGAGEE for an advance of

Rs..........................(Rupees.......................only) for the purpose of enabling the MORTGAGOR.
*(1) to purchase land and to construct a house thereon *or (to enlarge living accommodation in the existing house an the
said hereditement).
*(2) to construct a house on the said hereditaments or *(to enlarge living accommodation in the house on the said
hereditaments).
*(3) to purchase a ready built aforesaid house/flat.
AND WHEREAS the MORTGAGEE agreed to advance to the MORTGAGOR the said sum of Rupees.....................on
certain terms and conditions.
AND WHEREAS one of the conditions for the aforesaid advance is that the MORTGAGOR should secure the
repayment of the said advance and due observance of all the terms and conditions contained in the Rules to regulate
the grant of advances to employees of the Company for building, purchase etc. of houses/flats issued by the Company
vide No....................... dated............................ (hereinafter referred to as the "said Rules" which expression shall where the
context so admits include any amendment thereof or addition thereto for the time being in force) by Mortgage of the
property described in the schedule hereunder written.
AND WHEREAS THE MORTGAGEE
*(has sanctioned to the MORTGAGOR an advance of Rs.......... (Rupees.................. only) payable by such
instalments and in the manner as hereinafter appearing) (has paid to be mortgagor an advance if
Page: 47 of 108
Rs....................(Rupees..............................................only) on....................... and in the manner provided in

the said rules upon having and in the manner provided in the said Rules upon having the repayment of the
loan with interest and the observance of all the terms and conditions contained in the said Rules as
hereinafter mentioned secured in the manner hereinafter appearing :
AND WHEREAS THE MORTGAGOR is to receive from the Mortgagee the aforesaid advance in the
following instalments :
* Rs..........................already received on............. * Rs.....................on the execution of this indenture by

the Mortgagor in favour of the Mortgagee.
** Rs........................when the construction of the house reaches plinth level.
** Rs...............when the construction of the house reaches roof level.
NOW THIS INDENTURE WITNESSETH as follows :
(i) (a) In pursuance of the said Rules and in consideration of the said advance sanctioned/paid
by the MORTGAGEE to the MORTGAGOR pursuant to the - provision contained in the
said Rule the MORTGAGOR DOTH hereby convenant with the MORTGAGEE that the
MORTGAGOR shall always duly observe and perform all the terms and conditions of the
said Rules and shall repay to the MORTGAGEE the said advance of
Rs......................(Rupees.............only) by ***.................monthly instalments of Rs.................
(Rupees.......................only) from-the pay of the MORTGAGOR commencing from the
month of....................Two thousand and................or from the month following the
completion of the house, which ever is earlier and the MORTGAGOR hereby authorises
the MORTGAGEE to make deductions from his monthly pay/leave salary/subsistence
allowance or any other dues payable to him by the Company of the amount of such
instalments and the MORTGAGOR shall after paying the full amount of the advance
also pay interest due thereon in
* mention whatever is applicable.
** The language will be modified if the mode of payment of advance is different from what is
prescribed.
*** This will be as per sanction of advance.
*** .........monthly installments in the manner and on the terms specified in the said Rules provided that
the MORTGAGOR shall repay the entire advance with interest in full before the date on which
he/she is due to retire from service, failing which the MORTGAGEE shall be entitled to enforce this
security of the Mortgage at any time thereafter and recover the balance of the advance then due together with
interest and costs of recovery by sale of the mortgaged property without the intervention of the Court or
in such other manner as may be permissible under the law. It will, however, be open to the MORTGAGOR
to repay the amount in a shorter period.
Page: 48 of 108
ANNEXURE-D-1

FORM OF MORTGAGE DEED TO BE EXECUTED WHEN THE PROPERTY IS FREE HOLD AND IS HELD IN
THE JOINT NAMES OF HUSBAND AND WIFE
This indenture made this..............day of....................Two thousand

and...................................between......................................................son/daughter of........................of....................... at
present employed as..............................in NTPC Ltd. at............................. his/her wife/husband (hereinafter jointly
referred to as The Mortgagers', which expression shall unless excluded by the repugnant to the subject or context, include
their respective heirs, executors, administrators and assigns) of the ONE PART and Shri/Smt.......................... (the
employee being hereinafter called as principal or applicant mortgagor) and the NTPC Ltd., a Company incorporated
under the Indian Companies Act, 1956 and having its registered office at NTPC Bhawan, Core-7, Scope Complex, 7,
Institutional Area, Lodhi Road, New Delhi-110 003 (hereinafter called "THE MORTGAGEE" which expression shall
unless excluded by or repugnant to the subject or context include his successors in office and assigns) of the OTHER
PART :
WHEREAS the MORTGAGORS are the absolute and sole beneficial owners and are seized and possessed of or
otherwise well and sufficiently entitled to 'the land and/or house hereditaments and premises hereinafter described in the
Schedule hereunder written and for greater clarity delineated on the plan annexed hereto and thereon shown with the
boundaries thereof coloured...................and expressed to be hereby conveyed, transferred and assured (hereinafter
referred to as "the said Mortgaged property").
AND WHEREAS.......................one of the Mortgagors hereby referred to as Applicant Mortgagor applied to the
MORTGAGEE for an advance of of Rs.......................................................
(Rupees....................................................................................only) for the purpose of enabling the SAID APPLICANT
MORTGAGOR.
*(1) to purchase land and to construct a house thereon *or (to enlarge living accommodation in the existing house on
the said hereditement).
*(2) to construct a house on the said hereditaments or *(to enlarge living accommodation in the house on the said
hereditaments).
AND WHEREAS the MORTGAGEE agreed to the Principal Mortgagor the said sum of Rupees.....................on certain
terms and conditions.
repayment of the said advance and due observance of all the terms and conditions contained in the Rules to regulate the
grant of advances to Company employees for building, etc. of houses, issued by the Company vide Letter No.................
dated.............. (hereinafter referred to as the "said Rules" which expression shall where the context so admits include any
amendment thereof or addition thereto for the time being in force) by Mortgagee of the property described in the
schedule hereunder written.

Page: 49 of 108
*(has sanctioned to the APPLICANT MORTGAGOR an advance of Rs..........(Rupees.................. only) on..............and in

the manner provided in the said Rules upon having the repayment of the loan with interest and the observance of all the
terms and conditions contained in the said Rules as hereinafter mentioned secured in the manner hereinafter appearing :
AND WHEREAS THE APPLICANT MORTGAGOR is to receive from the Mortgagee the aforesaid advance in the
following instalments :
*Rs.....................on the execution of this indenture by the Mortgagors in favour of the Mortgagee. **Rs............ when the
construction of the house reaches plinth level. **Rs............. when the construction of the house reaches roof level.
(i) (a) In pursuance of the said Rules and in consideration of the said advance sanctioned/paid by the
MORTGAGEE to the APPLICANT MORTGAGOR pursuant to the provisions contained in the said Rules the
MORTGAGOR DO hereby convenant with the MORTGAGEE that the MORTGAGOR shall always duly
observe and perform all the terms and conditions of the said Rules and shall repay to the MORTGAGEE the
said advance of Rs.................................(Rupees.............only) by ***...............monthly instalments of
Rs................. (Rupees....................... only) from the pay of the APPLICANT commencing from the month
of............ Two thousand and................* or from the month following the completion of the house, whichever is
earlier and the APPLICANT MORTGAGOR hereby authorises the MORTGAGEE to make deductions from
his/her monthly pay/leave salary/subsistence allowance or any other dues payable to him by the Company of
the amount of such instalments and the APPLICANT MORTGAGOR shall after paying the full amount of the
advance also pay interest due thereon in ***...............monthly instalments in the manner and on the terms
specified in the said Rules provided that the APPLICANT MORTGAGOR shall repay the entire advance with
interest in full before the date on which he/she is due to retire from service, failing which the MORTGAGEE
shall be entitled to enforce this security of the Mortgage at any time thereafter and recover the balance of the-
advance then due together with interest and costs of recovery by sale of the mortgaged property without the
intervention of the Court or in such other manner as may be permissible under the law. It will, however, be
open to the APPLICANT MORTGAGOR to repay the amount in a shorter period.
* Mention whichever is applicable

** The language will be modified if the made of payment of advance is different from which is prescribed.
*** This will be as per sanction of advance.
(i) (b) In pursuance of the said Rules and in consideration of the said advance sanctioned/paid by the Mortgagee to
the APPLICANT MORTGAGOR pursuant to the provisions contained in the said Rules the APPLICANT
MORTGAGOR DOTH hereby convenant with the mortgagee that the APPLICANT MORTGAGOR shall
always duly observe and perform all terms and conditions of the said Rules and shall repay to the
MORTGAGEE the said advance of Rs..........from the pay of the APPLICANT MORTGAGOR
commencing from the month of..................... Two thousand and............ or from the month following the
compulsion of the house whichever is earlier, till the date of superannuation and the balance then remaining
outstanding on his superannuation together with the interest on the amount advanced from the date of the
advance to the date of retirement from his monthly pay/leave salary/sub-sistence allowance or any other dues
payable to him by the Company of the amount of instalments of such of the balances remaining unpaid at the
date of his death/retirement/superannuation as hereinbefore mentioned, failing which the MORTGAGEE
Page: 50 of 108
shall be entitled to enforce this security of the MORTGAGEE at any time thereafter and recover the balance
of the advance then due together with interest and costs of recovery by sale of the Mortgaged property
without the intervention of the Court or in such other manner as may be permissible under the law. It will,
however, be open to the APPLICANT MORTGAGOR to repay the amount in a shorter period, by increasing
the quantum of instalment/or by making lumpsum payment.
NOTE : Delete Clause (i) (a) or (b) whichever is inapplicable.
(2) If the APPLICANT MORTGAGOR shall utilise the advance for a purpose other than that for which the
advance is sanctioned or if the APPLICANT MORTGAGOR shall become insolvent or shall cease to be in
service for any reason other than normal retirement, superannuation or if he/she dies before repayment of the
advance in full, or if the APPLICANT MORTGAGOR shall fail to observe or perform any of the terms,
conditions and stipulations specified in the said Rules and on his/her part to be observed and performed then
and in any such cases the whole of the principle amount of the advance or so mush thereof as shall then
remain due and unpaid shall become payable forth with to the MORTGAGEE with interest thereon
at*............. percent per annum calculated from the date of the payment by the MORTGAGEE, of the first
instalment of the said advance. Notwithstanding anything contained herein, if the APPLICANT
MORTGAGOR utilises the advance for a purpose other than that for which the advance is sanctioned, it shall
be open to the MORTGAGEE to take such disciplinary action against the APPLICANT MORTGAGOR as
may be considered appropriate by the MORTGAGEE.
(3) In further pursuance of the said Rules and for the consideration aforesaid and secure repayment of the
aforesaid advance and interest as shall at any time or times hereinafter be due to the MORTGAGEE under the
terms of these presents the MORTGAGOR DO hereby grant, convey, transfer, assign, and assure unto the
MORTGAGEE ALL AND SINGULAR the said Mortgaged property fully described in the Schedule
hereunder written together with buildings erected or to be erected by MORTGAGOR the said Mortgaged
property or materials for the time being thereon with all rights, easements and appurtenances to the
said Mortgaged property or any of them belonging to HOLD the said Mortgaged property with their
appurtenances including all erections and building erected and built or to be erected and built
hereafter on the said Mortgaged property or materials for the time being thereon unto and to the use
of the Mortgagee absolutely forever free from all encumbrances. SUBJECT NEVERTHELESS to
the provision for redemption hereinafter contained namely that if the MORTGAGOR shall duly pay
to the MORTGAGEE the said principal sum and interest hereby secured in the manner herein
provided and also the other moneys (if any) determined to be payable by the MORTGAGORS to the
MORTGAGEE under the terms and conditions of the said Rules, then the MORTGAGEE will at
any time thereafter upon the request and at the cost of the MORTGAGORS recover, retransfer and
reassure the said Mortgaged property unto and to the use of the MORTGAGORS or as they may
direct.
(4) AND IT IS HEREBY EXPRESSLY AGREED AND DECLARED that if there shall be any breach by the
MORTGAGORS of the covenants on their part therein contained or if the APPLICANT MORTGAGOR
shall become insolvent or shall cease to be in service for any reason other than normal
retirement/superannuation or if he/ she dies before all the dues payable to the MORTGAGEE under these
presents together with interest thereon shall have been fully paid off or if the said advance or any part thereof
becomes payable forthwith under these presents or otherwise then and in any of such cases it shall be lawful
for the MORTGAGEE without intervention of the Court, to sell said Mortgaged property or any part thereof
either together or in parcels and either by public auction or by private contract with power to buy in or rescind
any contract for sale and to resell without being responsible for any loss which may be occasioned thereby
Page: 51 of 108
and to do and execute all such acts and assurances for effectuating any such sale as the MORTGAGEE shall
think fit AND IT IS HEREBY declared that the receipts of the MORTGAGEE for the purchase money of the
premises sold or any part thereof shall effectually discharge the purchaser or purchasers therefrom AND IT IS
HEREBY declared that the MORTGAGEE shall hold the money to arise from any sale in pursuance of the
aforesaid power upon TRUST in the first place thereout to pay all the expenses incurred on such sale and then
to pay moneys in or towards the satisfaction of the moneys for the time being owing on the Security of these
presents and the balance if any to be paid to the Mortgagors.
(5) The MORTGAGORS hereby covenants with the MORTGAGEE as follows :-
(a) That the MORTGAGOR now have in themselves good right and lawful authority to grant, convey,
transfer, assign and assure the MORTGAGED property unto and to the use of the MORTGAGEE in
the manner aforesaid.
(b) That the APPLICANT MORTGAGOR shall carry out the construction of the house-additions to
living accommodation in the aforesaid house exactly in accordance in with the approved plan and
specifications on the basis of which the above advance has been computed and sanctioned unless a
departure therefrom is permitted by the MORTGAGEE. The APPLICANT MORTGAG-
OR shall certify, when applying for instalments of advance admissible at the plinth/roof level, that the
construction is being carried out in accordance with the plan and estimates furnished by him to the
MORTGAGEE, that the construction has reached plinth/roof level and that the amount already drawn out of
the sanctioned advance has actually been used on the construction of the house. He/She will allow the
MORTGAGEE to carry out either by him-self or through his representative an inspection to verify the
correctness of the aforesaid certificates. If a false certificate is furnished by the APPLICANT
MORTGAGOR, he/she will be liable to pay the MORTGAGEE forth-with the entire advance received by
him/her together with interest thereon at*.................. percent per annum and further will also be liable to
disciplinary action as may be considered appropriate by the MORTGAGEE.
(c) That the APPLICANT MORTGAGOR shall complete the construction of the House/additions to living
accommodation in the aforesaid house within eighteen months of receipt of the advance of Rs..............
(Rupees.........................the first instalment already received on...................) unless an extension of time is
allowed in writing by the MORTGAGEE. In case of default the PRINCIPAL MORTGAGOR shall be
liable to repay forthwith the entire amount advanced to him together with interest calculated under the said
Rules, in one lump sum. The APPLICANT MORTGAGOR shall report to the MORTGAGEE the date of
completion of the house and furnish a certificate to the MORTGAGEE that the full amount of the advance
has been utilised for the purpose for which it was sanctioned.
Normal rate of interest as per sanction of advance.
NOTE: Clauses (b) and (c) are not applicable when the advance is for the purchase of ready built houses/flats
or for repayment of loans taken by an applicant for the construction of purchase of a house/flat.
(d) That the MORTGAGOR shall immediately insure the house at his own cost, with the Life
Insurance Corporation of India, for a sum of not less than the amount of the aforesaid
advance and shall keep it so insured against loss or damage by fire, flood, lightning,
Page: 52 of 108
earthquake and riot as provided in the said Rules till the advance is fully repaid to the
MORTGAGEE and deposit, the policy of insurance with the MORTGAGEE. The
MORTGAGOR shall pay regularly the premium in respect of the said insurance from time
to time and will be then to required produce to the MORTGAGEE the premium receipts for
inspections. Failure on the part of the MORTGAGOR to insure the house will render the
PRINCIPAL MORTGAGOR liable to disciplinary action by the MORTGAGEE. In the event
of failure on the part of the MORTGAGOR to effect the insurance against fire, flood,
lightning, earthquake and riot it shall be lawful but not obligatory for the MORTGAGEE to
insure the said house at the cost of the MORTGAGOR and add the amount of the premium
to the outstanding amount of the advance and the APPLICANT MORTGAGOR shall
thereupon be liable to pay interest thereon as if the amount of premium had been advanced
to him as part of the aforesaid advance at..................... till the amount is repaid to the
MORTGAGEE or is recovered as if it were an amount covered by the security of these
presents. The MORTGAGOR shall give a letter to the Mortgagee as often as required,
addressed to the Insurer, with which the house is insured with a view to enable the
MORTGAGEE to notify to the Insurer the fact that the MORTGAGEE is interested in the
Insurance policy secured.
(e) MORTGAGORS shall maintain the aforesaid house in good repair at their own cost and shall pay all
the Municipal and other local rates, taxes and all other outgoings in respect of the Mortgaged
property regularly until the advance has been repaid to the MORTGAGEE in full. The
MORTGAGORS shall also furnish to the MORTGAGEE an annual certificate to the above effect.
(f) The MORTGAGORS shall afford full facility to the Mortgagee for carrying out inspections after
completion of the house to ensure that it is maintained in good repair until advance has been repaid
in full.
(g) The APPLICANT MORTGAGOR shall refund to the MORTGAGEE any amount together with
interest, if any, due thereon drawn on account of the advance in excess of the expenditure, incurred,
for which the advance was sanctioned.
(h) That the MORTGAGOR shall not during the continuance of these presents charge, encumber, alien
or otherwise dispose of the Mortgaged property.
(i) Notwithstanding anything contained herein, the MORTGAGEE shall be entitled to recover the
balance of the advance with interest remaining unpaid at the time of his retirement or death
preceding retirement to enforce the security of the MORTGAGEEat any time thereafter and recover
the balance of the advance together with interest and cost of recovery by sale of the house/
ownership flat etc. without the intervention of the Court or in such other manner as may be
permissible under law.
SCHEDULE ABOVE REFERRED TO*
IN WITNESS WHEREOF THE MORTGAGOR has hereunto set his hand on the day, month and year written above.
Signed by the said MORTGAGORS................ in the presence of

Page: 53 of 108
1st Witness :
Address :
Occupation :
2nd Witness :
Address :
Occupation :
IN WITNESS THEREOF Shri......................... for and on behalf of and by order and direction of NTPC Ltd. has signed
this present.
Signed by Shri...................... in the presence of
1st Witness :
Address :
Occupation :
2nd Witness :
Address :
Occupation :
NOTE: Before paying stamp duty on this document the applicants are advised to contact the respective State
Government/Administration for ascertaining the value of Non judicial Stamp Paper to be used and
whether exemption from payment of stamp duty is . available.
*To be filled in by Mortgagor.

Page: 54 of 108
ANNEXURE D-II

FORM OF MORTGAGE DEED TO BE EXECUTED WHEN
THE PROPERTY IS LEASEHOLD
This indenture made this...........day of .................. Two thousand and.................................... between son/daughter of
............................................... at present employed as....'..........................in NTPC Ltd. at............................. (hereinafter
called "THE MORTGAGOR" which expression shall unless excluded by or repugnant to the subject or context include
his/her heirs, executors, administrators and assigns) of the ONE PART and NTPC Ltd. a Company incorporated under
the Indian Companies Act, 1956 and having its registered office at NTPC Bhawan. Scope Complex, 7, Institutional
Area, Lodhi Road. New Delhi-110 003 (hereinafter called "THE MORTGAGEE" which expression shall unless
excluded by or repugnant to the subject or context include his successors in office and assigns) of the OTHER PART :
WHEREAS by a lease dated.............. and made between..... .................. the lessor demised to the MORTGAGOR the
property situated at................... and more particularly described in the Scheduled hereunder written for a term
of..................... years commencing from.................... at the yearly/monthly rent of Rs............... and subject to the
performance and subject to the performance and observance of the convenants and conditions therein mentioned.
AND WHEREAS MORTGAGOR applied to the MORTGAGEE for an advance of Rs............... (Rupees.......................
only) for the purpose of enabling the MORTGAGOR.
*(1) to purchase land and to construct a house thereon or (to enlarge living accommodation in the existing house
on the said hereditament).
*(2) to construct a house on the said hereditaments or (to enlarge living accommodation in the house on the said
hereditaments).
*(3) to purchase a ready built aforesaid house.
AND WHEREAS the MORTGAGEE agreed to advance to the MORTGAGOR the said sum of Rupees.....................on
certain terms and conditions.
repayment of the said advance and due observance of all the terms and conditions contained in the Rules to regulate the
grant of advance to Company employees for building, etc. of houses, issued by the Management (hereinafter referred to
as the "said Rules" which expression shall where the context so admits include any amendment thereof or addition
thereto for the time being in force) by Mortgagee of the property described in the schedule hereunder written.
@(1) has sanctioned to the MORTGAGOR an advance of Rs.......... (Rupees............................. only) payable in such
instalments and in the manner as hereinafter appearing.
@(2) has paid to the MORTGAGOR an advance of Rs.................. (Rupees............................. only) on............... and in
the manner provided in the said Rules upon having the repayment of the loan with interest and observance of all
Page: 55 of 108
the terms and conditions contained in the said Rules as hereinafter mentioned secured in the manner herein-after
appearing;
AND WHEREAS THE MORTGAGOR is to receive from the Mortgagee the aforesaid advance in the following
instalments :
** Rs.................... already received on Rs............. on the execution of the indenture by the MORTGAGOR in
favour of the MORTGAGEE.
** Rs when the construction of the house reaches plinth level.
** Rs when the construction of the house reaches roof level.
*** AND WHEREAS the lessor of the said premises has given his approval for the Mortgage on the conditions that
if the property be sold under the Power therein contained, or otherwise he will be paid first, after the cost of such
sale, his share of the unearned increase as provided in the said lease.
@ Mention whatever is applicable.
** Language may be modified if the mode of payment of advance is different from what is indicated above.
*** This applies to Nazul lands (normally) to be inserted wherever applicable.
MORTGAGEE to MORTGAGOR pursuant to the provisions contained in the said Rules the MORTGAGOR
DOTH hereby convenant with the MORTGAGEE that the MORTGAGOR shall always duly observe and
perform all the terms and conditions of the said Rules and shall repay to the MORTGAGEE the said advance
of Rs............ (Rupees......................only) by ***..............monthly instalments of Rs.................
(Rupees............................. only) from the pay of the MORTGAGOR commencing from the month of............
Two thousand and................ or from the month following the completion of the house, whichever is earlier
and the MORTGAGOR hereby authorises the MORTGAGEE to make deductions from his monthly pay/leave
salary/subsistence allowance or any other dues payable to him by the Company of the amount of such
instalments and the MORTGAGOR shall after paying the full amount of the advance also pay interest due
thereon in ****.................... monthly instalments in the manner and on the terms specified in the said Rules
provided that the MORTGAGOR shall repay the entire advance with interest in full before the date on which
he/she is due to retire from service, failing which the MORTGAGEE shall be entitled to enforce this security
of the Mortgage at any time thereafter and recover the balance of the advance then due together with interest
and costs of recovery by sale of the mortgaged property without the intervention of the Court or in such other
manner as may be permissible under the law. It will, however, be open to the MORTGAGOR to repay the
amount in a shorter period by increasing the quantum of instalment or in lump sum.
(i) (b) In pursuance of the said Rules and in consideration of the said advance sanctioned/paid by the
MORTGAGEE to the MORTGAGOR pursuant to the provisions contained in the said Rules the MORTGAGOR
DOTH hereby convenant with the MORTGAGEE that the Mortgagor shall always duly observe and perform all terms
and conditions of the said Rules and shall repay to the MORT-GAGEE the said advance of Rs..........
Page: 56 of 108
(Rupees............................. only) by ..........monthly instalments of Rs.................... from the pay of the MORTGAGOR
commencing from the month of..................... Two thousand and............or from the month following the compulsion of
the house whichever is earlier, till the date of superannuation and the balance then remaining outstanding on his
superannuation together with the interest on the amount of advance from the date of the advance to the date of
retirement from his monthly pay/leave salary/sub-sistence allowance or any other dues payable to him by the Company
of the amount of such instalments and of such of the balances remaining unpaid at the date of his
death/retirement/superannuation as hereinbefore mentioned, failing which the MORTGAGEE shall be entitled to
enforce this security of the MORTGAGEE at any time thereafter and recover the balance of the advance then due
together with interest and costs of recovery by sale of the Mortgaged property without the intervention of the Court or in
such other manner as may be permissible under the law. It will, however, be open to the MORTGAGOR to repay the
amount in a shorter period, by increasing the quantum of instalment and/or making lumpsum payment.
NOTE : (Delete Clause (i) (a) or (b) whichever is inapplicable.)
(ii) If the MORTGAGOR shall utilise the advance for a purpose other than that for which the advance is
sanctioned or if the MORTGAGOR shall become insolvent or shall cease to be in service for any reason
other than normal retirement, superannuation or if he/ she dies before repayment of the advance in full, or
if the MORTGAGOR shall fail to observe or perform any of the terms, conditions and stipulations
specified in the said Rules and on his/her part to be observed and performed then and in any such cases the
whole of the principle amount of the advance or so much thereof as shall then remain due and unpaid shall
become payable forthwith to the MORTGAGEE with interest thereon at*............. percent per annum
calculated from the date of the payment by the MORTGAGEE, of the first instalment of the said advance.
Notwithstanding anything contained herein, if the MORTGAGOR utilises the advance for a purpose other than
that for which the advance is sanctioned, it shall be open to the MORTGAGEE to take such disciplinary action
against the MORTGAGOR as may be considered appropriate by the MORTGAGEE.
**** As per sanction order of the advance under the rules.
(iii) In further pursuance of the said Rules and for the consideration aforesaid and to secure repayment of the aforesaid
advance and interest as shall at any time or times hereinafter be due to the MORTGAGEE unde'r the terms of
these presents the MORTGAGOR DOTH hereby grant, convey, transfer or assure unto the MORTGAGEE ALL
AND SINGULAR the said property comprised in the said lease dated............. and more particularly described in
the Schedule hereunder written together with buildings erected or to be erected by MORTGAGOR on the said
property (hereinafter referred to the Mortgaged property) or materials for the time being thereon with all rights,
easements and appurtenances to the said Mortgaged property or any of them belonging subject to covenancts by
the lessee and to the conditions therein contained to HOLD the same unto the Mortgagee absolutely but subject to
the terms and covenants of the said lease and subject nevertheless to the proviso to the redemption hereinafter
contained PROVIDE ALWAYS AND it is here revise agreed and declared by and between the party hereto there
is the MORTGAGOR shall duly paid to the Mortgagee the said principle sum and interest hereby secured in the
manner herein provided and also the other monies (if any) determined to be payable by the MORTGAGOR to the
MORTGAGEE under the terms and conditions of the said rules then the MORTGAGEE will act any time,
thereafter upon the request and at the cost of the MORTGAGOR reconvey the transfer and reassure the said
Mortgaged property unto and to the use of the MORTGAGOR or as he may direct.
(iv) AND IT IS HEREBY EXPRESSLY AGREED AND DECLARED that if there shall be any breach by the
MORTGAGOR of the covenants on his/her part herein contained or if the MORTGAGOR shall become
insolvent or shall cease to be in service for any reason other than normal retirement/superannuation or if
he/she dies before all the dues payable to the MORTGAGEE under these presents together with interest
Page: 57 of 108
thereon shall have been fully paid off or if the said advance or any part thereof becomes payable forthwith
under these presents or otherwise then and in any of such cases it shall be lawful for the MORTGAGEE to
sell without intervention of the Court, the said Mortgaged property or any part thereof either together or in
parcels and either by public auction or by private contract with power to buy in or rescind any contract for
sale and to resell without being responsible for .any loss which may be occasioned thereby and to do and
execute all such acts and assurances for effectuating any such sale as the MORTGAGEE shall think fit AND
IT IS HEREBY declared that the receipts of the MORTGAGEE for the purchase money of the premises sold
or any part thereof shall effectually discharge the purchaser or purchaser therefrom AND IT IS HEREBY
declared that the MORTGAGEE shall hold the moneys to arise from any sale in pursuance of the aforesaid
power upon TRUST in the first place thereout to pay all the expenses incurred on such sale* (and in the next
place to pay to ...................... the lessor of the Mortgaged Property ............... fifty percent of the unearned
increase pursuant to clause........... of the said lease) and then to pay moneys in or towards the satisfaction of the
moneys for the time being owing on the Security of these presents and the balance if any to be paid to the
Mortgagor.
*Normal Rate of interest to be charged under the said rules.
(v) The MORTGAGOR hereby covenants with the MORTGAGEE as follows:-
(a) That the MORTGAGOR now hath in himself/herself good right and lawful authority to grant, convey,
transfer, assign and assure the MORTGAGED property unto and to the use of the MORTGAGEE in the
manner aforesaid.
(b) **That the MORTGAGOR shall carry out the construction of the house-additions to living
accommodation in the aforesaid house exactly in accordance with the approved plan and specifications on
the basis of which the above advance has been computed and sanctioned unless a departure therefrom is
permitted by the MORTGAGEE. The MORTGAGOR shall certify, when applying for instalments of
advance admissible at the plinth/roof level, that the construction is being carried out in accordance with
the plan and estimates furnished by him to the MORTGAGEE, that the construction has reached
plinth/roof level and that the amount already drawn out of the sanctioned advance has actually been used
on the construction of the house. He/She will allow the MORTGAGEE to carry out either by himself or
through the representative an inspection to verify the correctness of the aforesaid certificates. If a false
certificate is furnished by the MORTGAGOR, he/she will be liable to pay to the MORTGAGEE
forthwith the entire advance received by him/her together with interest
thereon at*.................. percent per annum and further will also be liable to disciplinary action as may be
considered appropriate by the MORTGAGEE!.
@(c) That the APPLICANT MORTGAGOR shall complete the construction of the House/additions to living
accommodation in the aforesaid house within eighteen/twenty four months of receipt of the advance of
Rs.............* unless an extension of time is allowed in writing by the MORTGAGEE. In case of default
the MORTGAGOR shall be liable to repay forthwith the entire amount advanced to him together with
interest calculated under the said Rules, in one lump sum. The MORTGAGOR shall report to the
Page: 58 of 108
MORTGAGEE the date of completion of the house and furnish a certificate to the MORTGAGEE that
the full amount of the advance has been utilised for the purpose for which it was sanctioned.
* In case of Nazul land in Delhi and in similar cases wherever applicable.
** Not applicable when advance is for purchase of ready built house.
@ Note applicable when advance is for purchase of ready built house.
(d) That the MORTGAGOR shall immediately insure the house at his own cost, with the Life Insurance
Corporation of India, for a sum of not less than the amount of the aforesaid advance and shall keep it
so insured against loss or damage by fire, flood, lightning, earthquake and riot as provided in the said
Rules till the advance is fully repaid to the MORTGAGEE and deposit, the policy of insurance with
the MORTGAGEE. The MORTGAGOR shall pay regularly the premium in respect of the said
insurance from time to time and will when required produce to the MORTGAGEE the premium
receipts for inspection. Failure to do so will render the MORTGAGEE liable to disciplinary action. In
the event of failure on the part of the MORTGAGOR to effect the insurance against fire, flood,
lightning, earthquake and riot it shall be lawful but not obligatory for the MORTGAGEE to insure the
said house at the cost of the MORTGAGOR and add the amount of the premium to the outstanding
amount of the advance and the MORTGAGOR shall thereupon be liable to pay interest thereon as if
the amount of premium had been advanced to him as part of the aforesaid advance at..................... till
the amount is repaid to the MORTGAGEE or is recovered as if it were an amount covered by the
security of these presents. The MORTGAGOR shall give a letter to the Mortgagee as often as
required, addressed to the Insurer, with which the house is insured with a view to enable the
MORTGAGEE to notify to the Insurer the fact that the MORTGAGEE is interested in the Insurance
policy secured.
(e) That the MORTGAGOR shall maintain the aforesaid house in good repair at his own cost and shall pay
all the Municipal and other local rates, taxes and all other outgoings in respect of the Mortgaged
property regularly until the advance has been repaid to the MORTGAGEE in full. The MORTGAGOR
shall also furnish to the MORTGAGEE an annual certificate to the above effect.
(f) The MORTGAGORS shall afford full facility to the Mortgagee for carrying out inspections after
completion of the house to ensure that it is maintained in good repair until advance has been repaid in
full.
(g) The MORTGAGOR shall refund to the MORTGAGEE any amount together with interest, if any, due
thereon drawn on account of the advance in excess of the expenditure, incurred, for which the advance
was sanctioned.
(h) That the said lease dated............. is valid and subsisting lease of the Mortgage Property and are in no way
void or voidable and the rents and the covenants and conditions in and by the indenture of lease reserved
have been paid, performed and observed upto the date of these presents and that the same is assignable in
the manner hereinbefore stated.
Page: 59 of 108
(i) That the MORTGAGOR will so long as any money shall remain owing on security of the said
Mortgaged property, hereinbefore expressed to be hereby assigned and in any case for the period
of the said agreement duly observe all the covenants by the lease and conditions contained in the
said indenture of lease referred in the Schedule hereunder written and keep the MORTGAGEE
indemnified against all actions, suits, proceedings, costs, charges, claims and demands which will
be incurred or sustained by reasons of the non-payment of the said rent or the breach, non-
performance or non-observance of the said convenants and conditions or any of them.
(j) That the MORTGAGOR shall not during the continuance of these presents charge, encumber, alien
or otherwise dispose of the Mortgaged Property.
(k) Notwithstanding anything contained herein, the MORTGAGEE shall be entitled to recover the
preceding retirement to enforce the security of the MORTGAGEE at any time thereafter and recover
the balance of the advance together with interest and cost of recovery by sale of the house/ownership
flat etc. without the intervention of the Court or in such other manner as may be permissible under
law.
IN WITNESS WHEREOF THE MORTGAGOR has hereunto set his hand on the day, month and year written above.
Signed by the said (MORTGAGORS)................ in the presence of:

1st Witness :
Address :
Occupation :
2nd Witness :
Address :
Occupation :
Signed by Shri......................... for and on behalf of and by order and direction of NTPC Ltd.. In the presence of:
1st Witness :
Address :
Occupation :
2nd Witness :
Address :
Occupation :
*To be filled by the MORTGAGOR.
NOTE:Before paying stamp duty on this document the applicants are advised to contact the respective
State Government/Administration for ascertaining the value of Non judicial Stamp Paper to be
used and whether exemption from payment of stamp duty is available.
Page: 60 of 108
ANNEXURE D-III
FORM OF MORTGAGE DEED TO BE EXECUTED WHEN

THE PROPERTY IS LEASEHOLD AND IS HELD IN
THE JOINT NAMES OF HUSBAND AND WIFE
This indenture made this...........day of..................Two thousand and.................................... between

......................son/daughter of................... at present employed...............................in NTPC Ltd. at.......... and...............
his/her/wife/husband (hereinafter jointly referred to as "THE MORTGAGORS" which expression shall unless
excluded by or repugnant to the subject or context include their respective heirs, executors, administrators and assigns)
of the ONE PART and NTPC Ltd. a Company incorporated under the Indian Companies Act, 1956 and having its
registered office at 62-63, Skipper House, New Delhi-110019 (hereinafter called "THE MORTGAGEE" which
expression shall unless excluded by or repugnant to the subject or context include his successors in office and assigns)
of the OTHER PART :
WHEREAS by a lease dated.............. and made between..... .................. the lessor demised to the MORTGAGORS the
property situated at................... and more particularly described in the Scheduled hereunder written for a term
of..................... years commencing from..................... at the yearly/monthly rent of Rs............... and subject to the
performance and subject to the performance and observance of the convenants and conditions therein mentioned.
AND WHEREAS one of the MORTGAGORS........................... (hereinafter referred to as the APPLICANT

MORTGAGOR) applied to the MORTGAGEE for an advance of Rs............................... (Rupees....................... only)
for the purpose of enabling the said applicant MORTGAGOR:
*(1) to purchase land and to construct a house thereon or (to enlarge living accommodation in the existing house
on the said hereditement).
*(2) to construct a house on the said hereditaments or (to enlarge living accommodation in -the house on the said
hereditaments).
AND WHEREAS the MORTGAGEE agreed to advance to the MORTGAGOR the said sum of
Rupees.....................on certain terms and conditions.
AND WHEREAS one of the conditions for the aforesaid advance is that the MORTGAGOR secure the repayment of
the advance and due observance of all the terms and conditions contained in the Rules to regulate the grant of
advances to Company employees for building, etc. of houses, issued by the Company vide letter No....................
dated................. (hereinafter referred as the "said Rules" which expression shall where the context so admits include
any amendment thereof or addition thereto for the time being in force) by Mortgagee of the property described in the
schedule hereunder written.
@(1) has sanctioned to the APPLICANT MORTGAGOR an advance of Rs.......... (Rupees............................. only) payable
in such instalments and in the manner as hereinafter appearing.
Page: 61 of 108
@(2) has paid to the APPLICANT MORTGAGOR an advance of Rs........ (Rupees............................. only) on............... and in
the manner provided in the said Rules upon having the repayment of the loan with interest and observance of all the
terms and conditions contained in the said Rules as hereinafter mentioned secured in the manner hereinafter appearing;
* Strike out whichever is not applicable.
@ Mentioned whatever is applicable.
AND WHEREAS THE APPLICANT MORTGAGOR is to receive from the Mortgagee the aforesaid advance in the following
instalments :
** Rs.................... already received on Rs............. on the execution of the indenture by the

MORTGAGOR in favour of the MORTGAGEE.
** Rs............ when the construction of the house reaches plinth level.
* Rs............ when the construction of the house reaches roof level. -
** AND WHEREAS the lessor of the said premises has given his approval for the Mortgage on the conditions that if the
property be sold under the Power therein contained, or otherwise he will be paid first, after the cost of such sale, his
share of the unearned increase as provided in the said lease.
@ Mention whatever is applicable.
* Language may be modified if the mode of payment of advance is different from what is indicated above.
** This applies to -Nazul lands (normally) to be inserted whenever applicable.
MORTGAGEE to the APPLICANT MORTGAGOR pursuant to the provisions contained in the said Rules the
MORTGAGOR DOTH hereby covenant with the MORTGAGEE that the MORTGAGORS shall always duly observe
and perform all the terms and conditions of the said Rules and shall repay to the MORTGAGEE the said advance of
Rs............(Rupees............. only) by @.................monthly instalments of Rs............. from the pay of the APPLICANT
MORTGAGOR commencing from the month of ………………. Two thousand and ……………… or from the
month following the completion of the house, whichever is earlier and the APPLICANT MORTGAGOR hereby
authorises the MORTGAGEE to make deductions from his/her monthly pay/leave salary/subsistence
allowance or any other dues payable to him by the Company of the amount of such instalments and the
APPLICANT MORTGAGOR shall after paying the full amount of the advance also pay interest due thereon
in @........................ monthly instalments in the manner and on the terms specified in the said Rules provided
that the APPLICANT MORTGAGOR shall repay the entire advance with interest in full before the date on
which he/she is due to retire from service, failing which the MORTGAGEE shall be entitled to enforce this
security of the Mortgage at any time thereafter and recover the balance of the advance then due together
with interest and costs of recovery by sale of the mortgaged property without the intervention of the Court or
Page: 62 of 108
in such other manner as may be permissible under the law. It will, however, be open to the APPLICANT
MORTGAGOR to repay the amount in a shorter period.
@ As per sanction order of the advance under the rules.
(i) (b) In pursuance of the said Rules and in consideration of the said advance sanctioned/paid by the
MORTGAGEE to the APPLICANT MORTGAGOR pursuant to the provisions contained in the said
Rules the MORTGAGOR DO hereby convenant with the MORTGAGEE that the Mortgagors shall
always duly observe and perform all terms and conditions of the said Rules and shall repay to the
MORTGAGEE the said advance of Rs.......... (Rupees............... only) by.......... monthly instalments
of Rs.................... from the month of.............. Two thousand and............ or from the month following
the completion of the house whichever is earlier, till the date of superannuation and the balance
then remaining outstanding on his superannuation together with the interest on the amount of
advance from the date of the advance to the date of retirement from his/her monthly pay/leave
salary/sub-sistence allowance or any other dues payable to him by the Company of the amount of
such instalments and of such of the balances remaining unpaid at the date of his/her death/
retirement/superannuation as hereinbefore mentioned, failing which the MORTGAGEE shall be
entitled to enforce this security of the MORTGAGEE at any time thereafter and recover the balance
of the advance then due together with interest and costs of recovery by sale of the Mortgaged
property without the intervention of the Court or in such other manner as may be permissible under
the law. It will, however, be open to the APPLICANT MORTGAGOR to repay the amount in a
shorter period, by increasing the quantum of instalment and/or making lumpsum payment.
(ii) If the APPLICANT MORTGAGOR shall utilise the advance for a purpose other than that for which the
advance is sanctioned or if the APPLICANT MORTGAGOR shall become insolvent or shall cease to be in
service for any reason other than normal retirement/ superannuation or if he/she dies before repayment of
the advance in full, or if the MORTGAGOR shall fail to observe or perform any of the terms, conditions
and stipulations specified in the said Rules and on his/her part to be observed and performed then and in
any such cases the whole of the principle amount of the advance or so much thereof as shall then remain
due and unpaid shall become payable forthwith to the MORTGAGEE with interest thereof at..............
percent per annum calculated from the date of the payment by the MORTGAGEE, of the first instalment
of the said advance. Notwithstanding anything contained herein, if the APPLICANT MORTGAGOR
utilises the advance for a purpose other than that for which the advance is sanctioned, it shall be open to
the MORTGAGEE to take such disciplinary action against the APPLICANT MORTGAGOR as may be
considered appropriate by the MORTGAGEE.
(iii) In further pursuance of the said Rules and for the consideration aforesaid and secure repayment of the
aforesaid advance and interest as shall at any time or times hereinafter be due to the MORTGAGEE under
the terms of these presents the MORTGAGOR DO hereby grant, convey, transfer or assure unto the
MORTGAGEE ALL AND SINGULAR the said property comprised in the said lease dated............. and
more particularly described in the Schedule hereunder written together with buildings erected or to be
erected by MORTGAGOR on the said property (hereinafter referred to as the Mortgaged property) or
materials for the time being thereon with all rights, easements and appurtenances to the said Mortgaged
property or any of them belonging subject to covenants by the leases and to the conditions therein
contained to HOLD the same unto the Mortgagee absolutely but subject to the terms and covenants of the
said lease and subject nevertheless to the proviso to the redemption hereinafter contained namely that if
Page: 63 of 108
the MORTGAGORS shall duly pay to the Mortgagee the said principle sum and interest hereby secured in
the manner herein provided and also the other monies (if any) determined to be payable by the
MORTGAGORS to the MORTGAGEE will at any time thereafter upon the request and at the cost of the
MORTGAGORS reconvey retransfer and reassure the said Mortgaged property unto and to the use of the
MORTGAGORS or as they may direct.
APPLICANT MORTGAGOR of the covenants on his/her part herein contained or if the APPLICANT
MORTGAGOR shall become insolvent or cease to be in service for any reason other than normal
retirement/superannuation or if he/she dies before all the dues payable to the MORTGAGEE under these
presents together with interest thereon shall have been fully paid off or if the said advance or any part
thereof becomes payable forthwith under these presents or otherwise then and in any of such cases it shall
be lawful for the MORTGAGEE to sell without intervention of the Court, said Mortgaged property or any
part thereof either together or in parcels and either by public auction or by private contract with power to
buy in or rescind any contract for sale and to resell without being responsible for any loss which may be
occasioned thereby and to do and execute all such acts and assurances for effectuating any such sale as the
MORTGAGEE shall think fit AND IT IS HEREBY declared that the receipt of the MORTGAGEE for the
purchase money of the premises sold or any part thereof shall effectually discharge the purchaser or
purchasers therefrom AND IT IS HEREBY declared that the MORTGAGEE shall hold the moneys to
arise from any sale in pursuance of the aforesaid power upon TRUST in the first place thereout to pay all
the expenses incurred on such sale* (and in the next place to pay to ........................ the lessor of the
Mortgaged Property................... fifty percent of the unearned increase pursuant to clause........... of the said
lease) and then to pay moneys in or towards the satisfaction of the moneys for the time being owing on the
Security of these presents and the balance if any to be paid to the Mortgagors.
(v) The MORTGAGORS hereby covenant with the MORTGAGEE as follows:-
(a) That the MORTGAGORS now have in themselves good right and lawful authority to grant, convey,
transfer, assign and assure the MORTGAGED property unto and to the use of the MORTGAGEE in
the manner aforesaid.
(b) **That the APPLICANT MORTGAGOR shall carry out the construction of the house-additions to
living accommodation in the aforesaid house exactly in accordance with the approved plan and
specifications on the basis of which the above advance has been computed and sanctioned unless a
departure therefrom is permitted by the MORTGAGEE. The APPLICANT MORTGAGOR shall
certify, when applying for instalments of advance admissible at the plinth/ roof level, that the
construction is being carried out in accordance with the plan and estimates furnished by him to the
MORTGAGEE, that the construction has reached plinth/roof level and the amount already drawn out
of the sanctioned advance has actually been used on the construction of the house. He/She will allow
the MORTGAGEE to carry out either by himself or through his representative an inspection to
verify the correctness of the aforesaid certificates. If a false certificate is furnished by the
MORTGAGOR, he/she will be liable to pay to the MORTGAGEE forthwith the entire advance
received by him/her together with interest thereon at.................. percent per annum and further will
also be liable to disciplinary action as may be considered appropriate by the MORTGAGEE.
(c) **That the APPLICANT MORTGAGOR shall complete the construction of the House/additions to
living accommodation in the aforesaid house within eighteen/twenty four months of receipt of the
Page: 64 of 108
advance of Rs............... (i.e. first instalment of advance received on.................) unless an extension
of time is allowed in writing by the MORTGAGEE. In case of default the APPLICANT
MORTGAGOR shall be liable to repay forthwith the entire amount advanced to him together with
interest calculated under the said Rules, in one lump sum. The APPLICANT MORTGAGOR shall
report to the MORTGAGEE the date of completion of the house and furnish a certificate to the
MORTGAGEE that the full amount of the advance has been utilised for the purpose for which it was
sanctioned.

** Not applicable when advance is for purchase of ready built house.
(d) That the MORTGAGORS shall immediately insure the house at his own cost, with the Life
Insurance Corporation of India, for a sum of not less than the amount of the aforesaid advance and
shall keep it so insured against loss or damage by fire, flood, lightning, earthquake and riot as provided in
the said Rules till the advance is fully repaid to the MORTGAGEE and deposit, the policy of insurance
with the MORTGAGEE. The MORTGAGORS shall pay regularly the premium in respect of the said
insurance from time to time and will when required produce to the MORTGAGEE the premium receipts
for inspection. Failure to ensure of the APPLICANT MORTGAGOR to disciplinary action. In the event
of failure on the part of the MORTGAGORS to effect the insurance against fire, flood, lightning,
earthquake and riot it shall be lawful but not obligatory for the MORTGAGEE to insure the said house at
the cost of the MORTGAGORS and add the amount of the premium to the outstanding amount of the
advance and the APPLICANT MORTGAGOR shall thereupon be liable to pay interest thereon as if the
amount of premium had been advanced to him/her as part of the aforesaid advance at.....................till the
amount is repaid to the MORTGAGEE or is recovered as if it were an amount covered by the security of
these presents. The MORTGAGORS shall give a letter to the Mortgagee as often as required, addressed
to the Insurer, with which the house is insured with a view to enable the MORTGAGEE to notify to the
Insurer the fact that the MORTGAGEE is interested in the Insurance policy secured.
(e) That the MORTGAGORS shall maintain the aforesaid house in good repair at this own cost and shall
pay all the Municipal and other local rates, taxes and all other outgoings in respect of the Mortgaged
property regularly until the advance has been repaid to the MORTGAGEE in full. The MORTGAGORS
shall also furnish to the MORTGAGEE an annual certificate to the above effect.
(f) The MORTGAGORS shall afford full facility to the Mortgagee for carrying out inspection after
completion of the house to ensure that it is maintained in good repair until advance has been repaid in
full.
(g) The APPLICANT MORTGAGOR shall refund to the MORTGAGEE any amount together with interest,
if any, due thereon drawn on account of the advance in excess of the expenditure, incurred, for which the
advance was sanctioned.
(h) That the said lease dated.............is now valid and subsisting lease of the said Mortgage Property and are in
no way void or voidable and the rents and the covenants and conditions in and by the indenture of lease
reserved have been paid, performed and observed upto the date of these presents and that the same is
assignable in the manner hereinbefore stated.
Page: 65 of 108
(i) That the MORTGAGORS will so long as any money shall remain owing on security of the said
Mortgaged property, hereinbefore expressed to be hereby assigned and in any case for the period of
the said agreement duly observe all the covenants by the lease and conditions contained in the said
indenture of lease referred to in the Schedule hereunder written and keep the MORTGAGEE
indemnified against all actions, suits, proceedings, costs, charges, claims and demands which will be
incurred or sustained by reasons of the non-payment of the said rent or the breach, non-performance
of non-observance of the said covenants and conditions or any of them.
(j) That the MORTGAGORS shall not during the continuance of these presents charge, encumber,
alien or otherwise dispose of the Mortgaged Property.
balance of the advance with interest remaining unpaid at the time of the retirement or death
the balance of the advance due together with interest and cost of recovery by sale of the
house/ownership flat without the intervention of the Court etc. or in such other manner as may be
IN WITNESS WHEREOF THE MORTGAGORS have hereunto set their hands this day, month and year first above
referred.
Signed by the said MORTGAGORS................ in the presence of:
1st Witness :
Address :
Occupation :
2nd Witness :
Address :
Occupation :
IN WITNESS THEREOF Shri......................... for and on behalf of and by order and direction of NTPC Ltd. has
signed this present.Signed by Shri..................
:
2nd Witness :
Address :
Occupation :
*To be filled by the (BORROWER).
Government/Administration for ascertaining the value of Non judicial Stamp and whether exemption from
payment of stamp duty is available.
Page: 66 of 108
ANNEXURE D-IV
(On Non-Judicial Stamp Paper)
FORM OF MORTGAGE DEED TO BE EXECUTED IN THE CASE OF PURCHASE OF READY BUILT

HOUSE/FLAT ON LEASE HOLD LAND, THE ABSOLUTE RIGHT OF WHICH IS NOT VESTED IN THE
PURCHASER.
This indenture made this...........day of .................. Two thousand and.................................... between

......................son/daughter of ................... at present employed as..............................in NTPC Ltd. at.............................
(hereinafter called "THE MORTGAGOR" which expression shall unless excluded by or repugnant to the subject or
context include his/her heirs, executors, administrators and assigns) of the ONE PART and NTPC Ltd. a Company
incorporated under the Indian Companies Act, 1956 and having its registered office at 62-63, Skipper House, New
Delhi-110019 (hereinafter called "THE MORTGAGEE" which expression shall unless excluded by or repugnant to the
subject or context include his successors in office and assigns) of the OTHER PART.
WHEREAS the Borrower had under the provision of the Rules framed by the Company to regulate the grant of
advances to the Company employees for building etc. of houses (hereinafter referred to as the "said rules" which
"expression shall where the context so admits, include any amendment thereof or additions for the time being in force)
applied to the Company for an advance of Rupees...................... to purchase a ready built house as aforesaid and the
Company had sanctioned to the Borrower an advance of Rs................ vide its order No.................. dated..............
subject to performance and observance of the covenants and conditions mentioned therein.
AND WHEREAS on the................ at the time of the drawal of the said loan an agreement was
executed by and between the MORTGAGOR and the MORTGAGEE whereby the
MORTGAGOR interalia undertook to execute a document mortgaging the said flat to the
MORTGAGEE as security for the amount advanced to MORTGAGOR as also for the interest
payable for the said amount in the form provided by the said Rules.
AND WHEREAS by a deed of conveyance dated the............... day of............. executed by and between the Delhi
Development Authority of the one part and the Mortgagor of the other part for consideration in the said indenture
mentioned in the Delhi Development Authority sold, transferred and assigned the properties more particularly
mentioned in the schedule to the said documents as also the schedule hereunder to the MORTGAGOR on terms
and conditions in the said indenture mentioned.
AND WHEREAS the consideration for the said transfer was paid by the MORTGAGOR out of the Company loan
of Rs............ advanced to him.
NOW THIS INDENTURE WITNESSETH AS FOLLOWS :
(i) (a) In pursuance of the said Rules and in consideration of the said advance sanctioned/paid by the MORTGAGEE
to MORTGAGOR pursuant to the provisions contained in the said Rules the MORTGAGOR DOTH hereby
covenant with the MORTGAGEE that the MORTGAGOR shall always duly observe and perform all the
Page: 67 of 108
terms and conditions of the said Rules and shall repay to the MORTGAGEE the said advance of Rs*............
(Rupees......................only) by.................monthly instalments of Rs................. (Rupees............................. only)
from the pay of the MORTGAGOR commencing from the month of............ Two thousand and................ or from
the pay of the month following that in which the advance is drawn and the MORTGAGOR hereby 'authorises
the MORTGAGEE to make deductions from his monthly pay/leave salary/subsistence allowance or any other
dues payable to him by the Company of the amount of such instalments and the MORTGAGOR shall after
paying the full amount of the advance also pay interest due thereon in *....................... monthly instalments in the
manner and on the terms specified in the said Rules provided that the MORTGAGOR shall repay the entire
advance with interest in full before the date on which he/she is due to retire from service, failing which the
MORTGAGEE shall be entitled to enforce this security of the Mortgage at any time thereafter and recover the
balance of the advance then due together with interest and costs of recovery by sale of the mortgaged property
however, be open to the MORTGAGOR to repay the amount in a shorter period by increasing the quantum of
instalment and/or by making lump sum payment.
(i) (b) In pursuance of the said Rules and in consideration of the said advance sanctioned/paid by the MORTGAGEE
to the MORTGAGOR pursuant to the provisions contained in the said Rules the MORTGAGOR DOTH hereby
covenant with the MORTGAGEE that the Mortgagor shall always duly observe and perform all the terms and
conditions of the said Rules and shall repay to the MORTGAGEE the said advance of Rs..........
(Rupees..........:.................. only) by.......... monthly instalments of Rs.................... from the pay of the
MORTGAGOR commencing from the month of..................... Two thousand and............ or from the pay of the
month following that in which the advance is drawn, till the date of his superannuation and the balance then
remaining outstanding on his superannuation together with the interest on the amount of advance from the date
of the advance to the date of repayment from his gratuity and the MORTGAGOR hereby authorise the
MORTGAGEE to make deductions from his monthly pay/ leave salary/subsistence allowance or any other use
payable to him by the Company or the amount of such instalments and from his gratuity of such of the balances
remaining unpaid at the date of his death/retirement/ superannuation as hereinbefore mentioned, failing which
the MORTGAGOR shall be entitled to enforce this security of Mortgage at any time thereaftere and recover the
balance of the advance then due together with interest and cost of recovery by sale of the Mortgaged property
however, be open to the MORTGAGOR to repay the amount in shorter period by increasing the quantum of
instalment and/or making lumpsum payment.
NOTE : Delete Clause (i) (a) or (b) whichever is inapplicable.
(ii) If the MORTGAGOR shall utilise the advance for a purpose other than that for which the advance is sanctioned or if
the MORTGAGOR shall become insolvent or shall cease to be in service for any reason other than normal
retirement/superannuation or if he/ she dies before repayment of the advance in full, or if the MORTGAGOR shall
fail to observe or perform any of the terms, conditions and stipulations specified in the said Rules and on his/her part
to be observed and performed then and in any such case the whole of the principle amount of the advance or so much
thereof as shall then remain due and unpaid shall become payable forthwith to the MORTGAGEE with interest
thereof at.............. percent per annum calculated from the date of the payment by the MORTGAGEE, of the first
instalment of the said advance. Notwithstanding anything contained herein, if the MORTGAGOR utilises the
advance for a purpose'other than that for which the advance is sanctioned, it shall be open to the MORTGAGEE to
take such disciplinary action against the MORTGAGOR as may be considered appropriate by the MORTGAGEE.
(iii) In further pursuance of the said Rules and for the consideration aforesaid and seeure repayment of the aforesaid
advance and interest as shall at any time or times hereinafter be due to the MORTGAGEE under the terms of these
presents the MORTGAGOR DOTH hereby grant, convey, transfer or assure unto the MORTGAGEE ALL AND.
Page: 68 of 108
SINGULAR the said property comprised in the said conveyance dated............. and more particularly described in the
Schedule hereunder written together with buildings erected or to be erected by MORTGAGOR on the said property.
If any (hereinafter referred to the Mortgaged property) or materials for the time being thereon with all rights,
easements and appurtenances to the said Mortgaged property or any of them belonging subject to covenants by the
purchaser and to the conditions therein contained to HOLD the same unto the Mortgagee absolutely but subject to
the terms and covenants of the said conveyance and subject nevertheless to the proviso to the redemption hereinafter
contained PROVIDE ALWAYS AND it is here revise agreed and declared by and between the party hereto there is
the MORTGAGOR shall duly paid, to the Mortgagee the said principle sum and interest hereby secured in the
manner herein provided and also the other monies (if any) determined to be payable by the MORTGAGOR to the
MORTGAGEE under the terms and conditions of the said rules then the MORTGAGEE will act any time, thereafter
upon the request and at the cost of the MORTGAGOR reconvey retransfer and reassure the said Mortgaged property
unto and to the use of the MORTGAGOR or as he may direct.
MORTGAGOR of the covenants on his/her part herein contained or if the MORTGAGOR shall become
insolvent or shall cease to be in service for any reason other than normal retirement/superannuation or if
he/she dies before all the dues payable to the MORTGAGEE under these presents together with interest
thereon shall have been fully paid off or if the said advance or any part thereof becomes payable forthwith
under these presents or otherwise then and in any of such cases it shall be lawful for the MORTGAGEE to
sell without intervention of the Court, to sell said Mortgaged property or any part thereof either together or in
parcels and either by public auction or by private contract with power to buy in or rescind any contract for
sale and to resell without being responsible for any loss which may be occassioned thereby and to do and
execute all such acts and assurances for effectuating any such sale as the MORTGAGEE shall think fit AND
IT IS HEREBY declared that the receipts of the MORTGAGEE for the purchase money of the premises sold
or any part thereof shall effectually discharge the purchaser or purchaser therefrom AND IT IS HEREBY
declared that the MORTGAGEE shall hold the moneys to arise from any sale in pursuance of the aforesaid
power upon TRUST in the first place thereout to pay all the expenses incurred on such sale* (and in the next
place to pay to ......................the Delhi Development Authority the lessor of the Mortgaged Property
...…......... fiftypercent of the unearned incease pursuant to clause........... of the said lease) and then to pay
moneys in or towards the satisfaction of the moneys for the time being owing on the Security of these
presents and the balance if any to be paid to the Mortgagor.
(v) The MORTGAGOR hereby covenants with the MORTGAGEE as follows:-
(a) That the MORTGAGOR now hath in himself/herself good right and lawful authority to
grant, convey, transfer, assign and assure the MORTGAGED property unto and to the use
of the MORTGAGEE in the manner aforesaid.
@(b) That the MORTGAGOR shall carry out the construction of the house/additions to living
accommodation in the aforesaid house exactly in accordance with the approved plan and
specifications on the basis of which the above advance has been computed and sanctioned
unless a departure therefrom is permitted by the MORTGAGEE. The MORTGAGOR
shall certify, when applying for instalments of advance admissible at the plinth/roof level,
that the construction is being carried out in accordance with the plan and estimates
furnished by him to the MORTGAGEE, that the construction has reached plinth/roof level
and that the amount already drawn out of the sanctioned advance has actually been used on
the construction of the house. He/She will allow the MORTGAGEE to carry out either by
himself or through his representative an inspection to verify the correctness of the aforesaid
certificates. If a false certificate is furnished by the MORTGAGOR, he/she will be liable to
pay the MORTGAGEE forthwith the entire advance received by him/her together with
interest thereon at...................percent per annum and further will also be liable to
disciplinary action as may be considered appropriate by the MORTGAGEE.
Page: 69 of 108
@(c) That the MORTGAGOR shall complete the construction of the House/additions to living
accommodation in the aforesaid house within eighteen/twenty four months of receipt of the
advance of Rs.............. (i.e. first instalment of advance received on.................) unless an
extension of time is allowed in writing by the MORTGAGEE. In case of default the
MORTGAGOR shall be liable to repay forthwith the entire amount advanced to him
together with interest calculated under the said Rules, in one lump sum. The
MORTGAGOR shall report to the MORTGAGEE the date of completion of the house and
furnish a certificate to the MORTGAGEE that the full amount of the advance has been
utilised for the purpose for which it was sanctioned.
@ Not applicable in case of advance for purchase of ready built house, unless it is for addition
of accommodation.
(d) That the MORTGAGOR shall immediately insure the house at his own cost, with the Life Insurance
Corporation of India, for a sum of not less than the amount of the aforesaid advance and shall keep it
so insured against loss or damage by fire, flood, lightning, earthquake and riot as provided in the said
Rules till the advance is fully repaid to the MORTGAGEE and deposit, the policy of insurance with
the MORTGAGEE. The MORTGAGOR shall pay regularly the premium in respect of the said
insurance from time to time and will when required produce to the MORTGAGEE the premium
receipts for inspections. Failure to insure will render the MORTGAGOR liable to disciplinary
action. In the event of failure on the part of the MORTGAGOR to effect the insurance against fire,
flood, lightning, earthquake and riot it shall be lawful but not obligatory for the MORTGAGEE to
insure the said house at the cost of the MORTGAGOR and add the amount of the premium to the
outstanding amount of the advance and the MORTGAGOR shall thereupon be liable to pay interest
thereon as if the amount of premium had been advanced to him as part of the aforesaid advance
at..................... till the amount is repaid to the MORTGAGEE or is recovered as if it were an amount
covered by the security of these presents. The MORTGAGOR shall give a letter to the Mortgagee as
often as required, addressed to the Insurer, with which the house is insured with a view to enable the
MORTGAGEE to notify to the Insurer the fact that the MORTGAGEE is interested in the Insurance
policy secured.
(e) That the MORTGAGOR shall maintain the aforesaid house in good repair at his own cost and shall
pay all the Municipal and other local rates, taxes and all other outgoings in respect of the Mortgaged
property regularly until the advance has been repaid to the MORTGAGEE in full. The
MORTGAGOR shall also furnish to the MORTGAGEE an annual certificate to the above effect.
(f) The MORTGAGORS shall afford full facility to the Mortgagee for carrying out inspection after
completion of the house to ensure that it is maintained in good repair until advance has been repaid
in full.
(g) The MORTGAGOR shall refund to the MORTGAGEE an amount together with interest, if any,
due thereon drawn on account of the advance in excess of the expenditure, incurred, for which the
advance was sanctioned.
(h) That the said lease dated............. is valid and subsisting lease of the Mortgage Property and are in no
way void or voidable and the rents and the covenants and conditions in and by the indenture of lease
Page: 70 of 108
reserved have been paid, performed and observed upto the date of these presents and that the same is
assignable in the manner hereinbefore stated.
(i) That the MORTGAGOR will so long as any money shall remain owing on security of the said
Mortgaged property, hereinbefore expressed to be hereby assigned and in case for the period of the
said agreement duly observe all the covenants by the lease and conditions contained in the said
indenture of lease referred in the Schedule hereunder written and keep the MORTGAGEE
indemnified against all actions, suits, proceedings, costs, charges, claims and demands which will be
incurred or sustained by reasons of the non-payment of the said rent or the breach, non-performance
or non-observance of the said covenants and conditions or any of them.
(j) That the MORTGAGOR shall not during the continuance of these presents charge, encumber, alien
or otherwise dispose of the Mortgaged Property.
the balance of the advance then due together with interest and cost of recovery by sale of the house/
ownership flat etc. without the intervention of the Court or in such other manner as may be
IN WITNESS WHEREOF THE MORTGAGOR has hereunto set his hand on this day, month and year above written.
Signed by the said MORTGAGORS................ in the presence of:
1st Witness :
Address :
Occupation :
2nd Witness :
Address :
Occupation :
Signed by Shri......................... for and on behalf of and by order and direction of NTPC Ltd.. In the presence of:
1st Witness :
Address :
Occupation :
2nd Witness :
Address :
Occupation :
Page: 71 of 108
*To be filled by the MORTGAGOR.
Government/Administration for ascertaining the value of Non judicial Stamp Paper and whether exemptions
from payment of stamp duty is available.
Page: 72 of 108
ANNEXURE-E
SURETY BOND
KNOW ALL MEN BY THESE PRESENTS that I....................... son/daughter of..................................... a resident
of............................................................... in the district of........................... at present employed as a confirmed......................... in
the (name and address of office)........................... (hereinafter called "the Surety") am held and finally bound unto the NTPC
Ltd., a Company incorporated under the Indian Companies Act, 1956, having its registered office at 62-63 Skipper House,
Nehru Place, New Delhi-110019 (hereinafter called "the Company" which expression shall unless excluded by or repugnant to
the subject or context include its successors in office and assigns) in the sum of Rs.............................
(Rupees.....................................................only) to be paid to the Company FOR WHICH PAYMENT TO be well and truly
made I hereby bind myself, my heirs, executors, administrators, and representatives firmly by these presents. As witness I set
my hand this.................. day of............... Two thousand and ...................
WHEREAS........................ son/daughter of............. a resident of.................... in the district of....'......... at present employed as a
probationer/confirmed................... in the NTPC Ltd. (hereinafter called "the Borrower") (but is due to retire on.................)
applied to the Company for an advance of Rs...................... for the purpose of purchasing land and/or constructing a new house
or enlarging living accommodation in an existing house/ purchasing ready built house.
AND WHEREAS the Company sanctioned the payment of Rs........ (Rupees.................................... only) under the Rules
framed by the Company to regulate the grant of advance to Company employees vide sanction letter No................................
dated............... (hereinafter referred to as the "said Rules").
AND WHEREAS the Borrower has undertaken to repay the said amount in.............. monthly instalments. AND WHEREAS
the Borrower has further undertaken to mortgage the house built/ purchased with the help of the said amount and to observe
the provisions of the said Rules. AND WHEREAS in consideration of the Company having agreed to grant the aforesaid
advance to Borrower the Surety has agreed to execute the above bond with such conditions as hereunder is written.
NOW THE CONDITION OF THE OBLIGATION is such that if the said Borrower shall while employed in the said or any
other office/ Company duly and regularly pay or cause to be paid to the Company amount of the aforesaid advance owing to
the Company by instalments until the said sum of Rs............ (Rupees......... ........................ only) shall be duly paid or
mortgages to the Company the house built/purchased referred to above whichever event happens earlier, then this bond shall
be void, otherwise the same shall be and remain in full force and virtue. It shall not be necessary for the Company to proceed
against the Borrower before proceeding against the Surety to recover the amount due under this bond.
The obligation undertaken by the Surety shall not be discharged or in any way affected by an extension of time or any
other indulgence granted by the Company to the said Borrower.
Signed and delivered by the said............................ on the day, month and year written above.
(Signature of Surety)
Designation..............................................
Office to which
attached.......................................…….........
In the present of :
1st Witness :
Page: 73 of 108
Address :
Occupation :
2nd Witness :
Address :
Occupation :
Signed by Shri......................... for and on behalf of NTPC Ltd.
1st Witness :
Address :
Occupation :
2nd Witness :
Address :
Occupation :
The stamp duty payable in respect of these presents shall be borne and paid by the Surety.
Page: 74 of 108
ANNEXURE-F
CERTIFICATE
Certified that the construction has reached *plinth/window sill/roof level and the amount of advance already drawn
has been entirely spent. Further certified that construction has been/is being carried out strictly in accordance with the
plan and estimates furnished.
Signature of the Applicant
Place :
Date :
*Strike out whichever is not applicable.

Page: 75 of 108
ANNEXURE-G
FORM OF LETTER FOR INTIMATING TO THE LIFE INSURANCE

CORPORATION OF INDIA, COMPANY'S INTEREST IN INSURANCE
POLICIES OF HOUSES CONSTRUCTED/PURCHASED WITH HOUSE
BUILDING ADVANCE ADMISSIBLE UNDER THE RULES
From
TO
: (Through General Manager)
Dear Sir,
I am to inform you that the NTPC Ltd. is interested in House Insurance Policy No'................. secured in your Life
Insurance Corporation and to request that you will kindly insert a clause to the following effect in the Policy :
Form of clauses to be inserted in the insurance Policy :
1. It is hereby declared and agreed that Shri.................. (the owner of building bearing Municipal
No...................... (hereinafter referred to as "the insured" in the schedule to this policy) has mortgaged the
house to NTPC Ltd. (hereinafter called "the Company") as security for an advance for the construction of the
house and it is further declared and agreed that the Company is interested in any marks which but for their
endorsement is payable to the said Shri...................... (the insured under this policy) in respect of loss or
damage to the said house (which loss or damage is not made good by repairs, reinstatement or replacement) and
such monies shall be paid to the Company as long as it is the MORTGAGEE of the house and its receipt shall
be full and final discharge to the corporation in respect of such loss or damage.
2 Save as by this endorsement expressly agreed, nothing herein shall modify or affect the rights or liabilities of
the insured or the Life Insurance Corporation respectively, under or in connection with this policy or any
terms, provision or condition or conditions thereof.
Yours faithfully,
Place :
Date :
Forwarded. The receipt of the letter may kindly be acknowledged. It is also requested that the undersigned may
kindly be informed wherever any .claim is paid under the policy and also if the premium is not paid periodically
for renewal of the policy.
Place :
Date :
Page: 76 of 108
Designation.............................
Page: 77 of 108
ANNEXURE-H H
FORM OF RECONVEYANCE FOR HOUSE BUILDING ADVANCE
THIS DEED OF RECONVEYANCE IS MADE THIS.................. day of................... Two thousand and..............
between NTPC Ltd. a Company incorporated under the Indian Companies Act, 1956 and having its registered office at
62-63 Skipper House, Nehru Place, New Delhi-19 (hereinafter called the MORTGAGEE which expression shall
unless excluded by or repugnant to the subject or context include its administrators/successors in office and assigns) of
the one part and............................son/daughter of............. (hereinafter called the MORTGAGOR which expression
shall unless excluded by or repugnant to the subject or context include his/her heirs, executors, administrators and
assigns) of the other part.
WHEREAS by an indenture of mortgage, dated the.............. day................ of............... Two thousand and....................
and made BETWEEN the MORTGAGOR of the one part and the MORTGAGEE of the other part and registered
at........................... in Book volume.......... pages..... to.................. as No............... for.................... (hereinafter called
the PRINCIPAL INDENTURE). The MORTGAGOR by the said principal indenture mortgaged the property at...........
and more particularly described in the Schedule hereunder written to the MORTGAGEE to secure an advance of
Rs.............. made by the MORTGAGEE to the MORTGAGOR. AND WHEREAS ALL MONEY due and owing on
the security of the PRINCIPAL INDENTURE have been fully paid and satisfied and the MORTGAGEE has
accordingly at the request of MORTGAGOR agreed to execute reconveyance of the Mortgaged premises as is
hereinafter contained. NOW THIS INDENTURE WITNESSETH that in pursuance of the said agreement and in
consideration of the premises the MORTGAGEE doth hereby grant, assign and reconvey unto the MORTGAGOR.
ALL THAT THE piece of land situated at............... and comprised in the said Principal indenture and more
particularly described in the Schedule hereunder written with their rights, easements and appurtenances as in the
PRINCIPAL INDENTURE expressed and all the estates right, title, interest, property claim and demand whatsoever
of the MORTGAGEE into out of or upon the said premises by virtue of the PRINCIPAL INDENTURE to have and to
held the premises herebefore expressed to be hereby granted, assigned and reconveyed unto and to the use of the
MORTGAGOR, for ever freed and discharged from all moneys intended to be secured by the said PRINCIPAL
INDENTURE and from all actions, suits, accounts, claims and demands for, or in respect of the said moneys or any
part thereof, for or in respect of the PRINCIPAL INDENTURE OR of anything relating to the premises AND THE
MORTGAGEE knowingly suffered or been party or privy to anything whereby the said premises or any part thereof,
are/is or can be impeached, encumbered or effected in title estate or otherwise howsoever, IN WITNESS whereof the
MORTGAGEE has caused................... on his behalf to set his hand the day, month and year first above written.
SCHEDULE ABOVE REFERRED TO
Signed by...................... for and on behalf of the MORTGAGEE...................... in the presence of

(Signature)
for and on behalf of NTPC
1st Witness :
Address :
Page: 78 of 108
Occupation :
2nd Witness :
Address :
Occupation :
SCHEDULE OF PROPERTY
1. All that piece or parcel of land/flat/block Tenemant No. _________constructed/to be constructed,
admeasuring about _________sq.mts. situated at ________and registered at SI. No. on_________in Book
No._________Vol.________on pages __________to_____________ with the Sub-Registrar of assurances
in the District of _____________and Sub-District________________. The aforesaid
plot/flat/block/tenemant No.__________is bounded as follows:
On or towards East by _________________

On or towards West by _________________
On or towards North by ________________
On or towards South by _________________
2. Description of Deeds & Documents deposited
1. Title Deed of the property No._______dated :_______
2. Mutation Certificate or extracts of Khasra/Khatuni/Mutation Record.
3. Permission to mortagage the property from __________

4. Allotment letter and Original share certificate (in case of
membership of Regd.Co-op Societies)
5. _______________________________
Full Signature ___________________

Name ________________________
Designation ____________________
Deptt./Project__________________
Employee No. _____________________
ANNEXURE-J
LETTER EVIDENCING DEPOSIT OF TITLE DEEDS OF PROPERTY

Page: 79 of 108
Dated:
'To,
The Dy. Manager (Personnel) NTPC Ltd., Scope

Complex, 7, Institutional Area, Lodhi Road, N. Delhi-
110 003
Sub : Deposit of Title Deeds of Property.
Dear Sir,
1. Pursuant to NTPC Ltd., having sanctioned House Building Advance of Rs................... (Rupees......................................)
to me vide its Office Order No.................... dated................ under NTPC House Building Advance Rules and my
Agreement dated......... with you whereby I have undertaken to repay the amount of advance with interest, costs, charges
and expenses and have agreed to secure NTPC Ltd., by way of an equitable mortgage by deposit of title deeds of my
property at................. and any accretion thereto.
2. This is to record and confirm that with a view to secure the due repayment of the aforesaid House Building
Advance of Rs............... together with interest and other charges thereon payable by me to you, I have
today deposited with National Thermal Power Corporation in its office at New Delhi*, the original title
deeds and documents relating to my property situated at........................................... as more specifically
described in the Schedule appended hereto, with intent to create a security thereon by means of mortgage
by deposit of title deeds of the said property together with buildings/erected and/or to be erected thereon, in
terms of the Agreement dated................ entered into between NTPC and myself.
Yours faithfully,
Full Signature : ___________
Name : ___________________
Designation : _____________
Department : _____________
Employee No. : _____________
Place of posting in NTPC : ____
*it may be any other town, such as Calcutta, Madras, Bombay or any other town, as notified by the State
Government concerned under Sec.58 of the TP Act, 1882.
Page: 80 of 108
SCHEDULE OF PROPERTY
1. All that piece of parcel of land/flat/block Tenement No........................ constructed/to be constructed, and
measuring about................ sq.mts. situated at............................... and registered at SI.No............ on....................
in Book No............. Vol......... on pages................ to............... with the Sub- Registrar of Assurances in the
District of.................. and Sub-District.....................
The aforesaid plot/flat/block/tenement No................ is bounded as follows :
On or towards East by.....................
On or towards West by.....................
On or towards North by..................….
On or towards South by..................….
2. Description of Deeds & Documents deposited
1. Title Deed of the property No............ dated........
2. Mutation Certificate or extracts of Khasra/Khatuni/ Mutation Record.
3. Permission to mortgage the property from..............
4. Allotment letter and Original siare certificate (in case of membership of Regd. Co-op. Societies)
5.. …………………………………
Full Signature : _____________
Name : ________________
Designation : _____________
Deptt. Project: ______________
Employee No. : __________

Page: 81 of 108
ANNEXURE-K
(To be executed on non-judicial stamp paper of requisite value)

AFFIDAVIT
Affidavit of Shri.................................. s/d/w of Shri.......................... aged............. years, resident of............................ do

hereby solemnly affirm and state as under :
(1) That I am at present working as............................. in................... Project/Division of NTPC Ltd., having its
registered office at 62-63, Skipper House, Nehru Place, New Delhi (hereinafter called 'NTPC').
(2) That NTPC has sanctioned me House Building Advance of Rs.................... on the terms and conditions
contained in its office order No..................... dated........... and accordingly an Agreement dated............... was
executed by me with NTPC.
(3) That with the intent to secure due repayment of the said House Building Advance together with interest and
other charges thereon, I have deposited on............... with NTPC the original title deed of my property situated
at............................ more fully described in the schedule attached hereto in pursuance of the aforesaid agreement
dated...............
(4) That I am fully competent to deal with the dispose of, create charge/mortgage the said property in the manner, I
like.
(5) That the title deeds deposited by me are complete in all respects and are the only documents of title in my
possession, power and control and that I do not have any other documents of title relating to the said property.
(6) I confirm and declare that save and except the aforesaid Equitable Mortgage in favour of NTPC my aforesaid
property is free from all encumbrances, claims and demands. I am the full and absolute owner thereof and no
other persons has any right, title, interest, claim or demand, whatsoever in respect thereof.
(7) I further confirm arid declare that my aforesaid property is not affected by or subject matter of any litigation,
attachment, process of ocurt lispendens or otherwise and there is no impediment in my creating the aforesaid
Equitable Mortgage in favour of ntpc.
(8) I further confirm and declare that I shall not create any charge, encumbrance or lien on the aforesaid property in
favour of any other person till such time the entire amount in respect of the aforesaid Advance has been repaid
together with interest and other charges by me to NTPC.
(9) I further confirm and declare that the creation of Equitable Mortgage by deposit of title deeds of the property
with intent to create security of the said property shall include any further additions/accretions thereto and I
shall not obtain any loan or advance from any other source by creating further charge/lien on the property or
any addition/accretion thereto.
DEPONENT
Page: 82 of 108
VERIFICATION
I the above named Deponent do hereby verify that the facts stated in the paras 1 to 9 above are true to my
knowledge arid no part of it is false and nothing material has been concealed therefrom.
Signed and verified at.................. this............... day of 20 .
DEPONENT
VERIFICATION
I the above named Deponent do hereby verify that the facts stated in the paras 1 to 9 above are true to my
knowledge arid no part of it is false and nothing material has been concealed therefrom.
Signed and verified at.................. this............... day of 20 .
DEPONENT
Page: 83 of 108
ANNEXURE-L
(On non-judicial stamp paper of appropriate
value as per applicable Law)
POWER OF ATTORNEY
KNOW ALL MEN BY THIS POWER OF ATTORNEY that I............... son/daughter/wife of.................................
resident of......................................... presently working in the capacity of........................... with NTPC Ltd. with its
registered office at NTPC Square, 62-63, Nehru Place, New Delhi (hereinafter called the 'NTPC') having executed an
Agreement dated............... for obtaining House Building Advance of Rs.............. from NTPC against mortgage of my
immovable property bearing Plot/Flat No........... situated at................................. and having agreed to execute an
Irrevocable owner of Attorney in favour of NTPC empowering it to execute an English mortgage deed and get the
same registered, I do hereby irrevocably appoint Manager(P&A) of NTPC to be my lawful attorney to act in my name
and on my behalf for the purposes hereinafter mentioned :
(i) To execute the mortgage deed in the form known as English Mortgage of the whole of my aforesaid property
including future accretion thereto in favour of NTPC as security towards repayment of the sum of Rs..............
borrowed by me from NTPC alongwith interest secured, costs and charges thereon in accordance with the
Agreement dated.............. executed by me in favour of NTPC, and present it for registration before
Registration Authority and get is registered under the Registration Act, 1908.
(ii) And to do all such other acts or things as may said attorney shall deem fit for the purpose of securing the
repayment of House Building Advance together with interest accrued, costs and charges.
AND I HEREBY AGREE to ratify and confirm all and whatever my said Attorney shall do under and by
virtue of these present.
IN WITNESS WHEREOF I.................. have hereunto set my hand this day................ of................. Two thousand
eighty................ in the presence of witnesses.
SIGNATURE OF BORROWER
WITNESSES:
1. )
2. )Name, Designation, Address
3. )
(NOTE : This is to be registered with Registrar of Assurances concerned).
To enforce their rights under their relative Joint Securities, against the Borrower.
Page: 84 of 108
(c) Thirdly, the surplus, if any, out of such money shall be paid to the person
or persons entitles therto.
6. If any of the Joint Mortagees shall receive any such money in respect of the mortgaged permised in any
other manners indicated in clause 1 hereof the same shall be held in trust until required for appropriation
hereunder, Such Joint Mortgagees shall also submit to the other Joint Mortgagee at the end of every
month a statement of account with respect to the amount realised by it from the enforcement of the
mortgaged premises or in connection with the mortgaged premises. Such Joint Mortgagee shall also
submit to the mortaged every month a report dealing with other important matters, connected with or
affecting the mortgaged premises and the enforcement therof affecting the interest of the Joint
Mortgagees.
The aforesaid provisions shall effect between the Joint Mortgagees and the persons claiming through
them and without prejudice to any rights they may have against the Borrower.
Signature of the authorised persons on behalf of the NTPC Ltd. And LIC HFL
1) NTPC Ltd.
…………………………
2) LIC HOUSING FINANCE
LIMITED
………………………
Page: 85 of 108
ANNEXURE-M
(On Non- Judicial Stamp Paper)
PERSONAL BOND
KNOW ALL MEN BY THESE PRESENTS THAT
I, son of......................... (hereinafter referred to as the 'Bounden') am held and firmly bound unto the NTPC Ltd. (A
Government of India Enterprise) a Company incorporated under Companies Act, 1956 having its registered office at
62-63 Skipper House, Nehru Place, New Delhi (hereinafter referred to as 'Company') in the sum of Rs.......... to be paid
to the Company for which payment well and truly to be made I bind myself, my heirs, executors, administrators and legal
representative by these presents.
SIGNED the................. day of......................20 WHEREAS THE BOUNDEN has applied to the Company for an advance
of Rs................ (hereinafter referred to as "the said Advance") for the purpose of purchase/construction of a residential
flat in the building known as and situated at........ .......................... and more particularly described in the Schedule
hereunder written* and which building is to be transferred shortly to the............................ Society Ltd., a Cooperative
Society having its registered office at.................................... (hereinafter referred to as the 'Society' which has been duly
sanctioned by the Company on the terms and conditions inter alia that the Bounden do execute in favour of the
Company a bond in the manner hereinafter contained.
NOW THIS BOND IS CONDITIONED TO BE VOID
(a) If the Bounden duly repays to the Company-the said advance of Rs................ (Rupees............................ only)
(insert full amount sanctioned) in............ instalments from his pay commencing from the month
of................... Two thousand and................. or from the month following that in which the possession of flat
is taken over, whichever is earlier, and he shall after paying the full amount of advance also pay interest
thereon............ monthly instalments in the manner and on the terms specified in the said rules and the Bounden
hereby authorises the Company to make deductions from his monthly pay, leave salary and subsistence allowance
of the amount of such instalments. It will, however, be open to the Bounden to repay the amount in a shorter
period. :
OR
i) NOW THIS BOND IS CONDITIONED TO BE VOID if the Bounden duly repays to the Company
the advance of Rs........... hereinafter referred to as the Principal amount and interest thereon
calculated in accordance with the said rules of the Company in...................... monthly instalments
from the month of ................ Two thousand and................. or the date of taking over possession of
the ready built flat whichever is earlier, in such a way that the Principal amount and/or interest
outstanding at the time of his/her retirement will be less than or equivalent to the amount if
anticipated gratuity of Rs................. payable to him/her under NTPC Gratuity Trust Deed and the
Bounden hereby authorises the Company to make deductions from his/her monthly salary and
subsistence allowance bills of such instalments and to adjust the outstanding balance of Principal
and/or interest at the time of retirement against the aforesaid anticipated amount of gratuity for
which the Bounden hereby covenants with the Company to give necessary acquittance to the Trustee
of NTPC Gratuity Trust in such form and at such time as may be required.
NOTE :Clause (a) (i) will be applicable where the employee seeks gratuity adjustment against House
Page: 86 of 108
Building Advance and clause (a) will be applicable in all other cases.
(b) Within one month from the date of these presents utilise the amount of each instalment the said advance in
the purchase/ construction of residential flat in the building known as and situated at.................. and more
particularly described in the Schedule hereunder written.
(c) In transfer being executed in favour of the Bounden of the house/flat or plot, he would mortgage it to the
Company as security for the advance obtained from the Company.
(d) does not transfer, assign, underlet the said flat or any interest therein or part with possession thereof/or
transfer or otherwise alienate the said shares/debentures/without the previous consent in writing of the
Company.
(e) so long as the said advance and interest or any part thereof is outstanding and if so required by the Company
hand over the shares/debentures of the Society to the Company along with properly signed blank transfer
forms as further security for the said advance.
(f) executes or furnishes such agreement(s) deed(s) and other document(s) with the Company as may be
required by the Company from time to time.
IT IS HEREBY AGREED by the Bounden as under :
(1) The said advance or the balance thereof for the time being due by the Bounden to the Company and all other
moneys due under these presents, shall become immediately payable in each and every of the following
events :
(a) If the Bounden fails to pay any instalment of repayment of principal on its due date as and when it
may become due and payable.
(b) If the Bounden makes default in payment of any instalment of interest on its due date as herein
above.
(c) If any distress or execution shall be levied upon any property of the Bounden or a receiver thereof
be appointed.
(d) If the Bounden commits a breach of any one of the said covenants or provisions and on his part to be
observed and performed or the House Building Advance Rules of the Company as in force from time
to time or commits any breach of the Agreement's) deed(s) or other instrument(s) entered into
between the Company and the Bounden.
(e) If the Bounden dies or retires from or ceases to be in the service of the Company.
(f) If the Bounden presents a petition for being adjudged insolvent or is adjudicated insolvent.
(2) The Company shall have the absolute right and full liberty to deduct every month from the Bounden's salary
the amount of monthly instalment and appropriate the same towards the said monthly instalments in
repayment of principal and interest and for purpose aforesaid the Bounden hereby irrevocably authorise the
Page: 87 of 108
Company to make such deductions without the necessity of any further consent or concurrence of the
Bounden.
(3) In the event of the retirement or death before retirement of the Bounden, Company will be entitled to recover
the entire unpaid balance of the said advance remaining unpaid at the time of such retirement or death and all
unpaid interest thereon from any amount due to him.
(4) Whenever any instalment of the principal or interest or any other sum due and payable by the Bounden
under these presents shall be in arrears, Company shall be entitled to recover the same as an arrear of land
revenue PROVIDED ALWAYS THAT this clause shall not affect any other rights power and remedies of
the Company.
IN WITNESS WHEREOF THE bounden above mentioned has hereto set his hand the day and year first hereinabove
written.
THE SCHEDULE ABOVE REFERRED TO
SIGNED AND DELIVERED BY THE SAID BOUNDEN………………….
1st Witness :
Name :
Address :
Occupation :
2nd Witness :
Name :
Address :
Occupation :
Signed by Shri……………………….

In the presence of
1st Witness :
Name :
Address :
Page: 88 of 108
Occupation :
2nd Witness :
Name :
Address :
Occupation :
---------------------------------------------------------------------------------------------------
Applicable only to the flats purchased in a building owned by Cooperative Housing Society
Address :
Occupation :
2nd Witness: :
Name :
Address :
Occupation :
Signed by Shri :
1st Witness :
Name :
Address :
Occupation :
2nd Witness :
Name :
Address :
Page: 89 of 108
Occupation :
________________________________________________________________________
The Stamp duly payable in respect of these presents shall be borne and paid by the surety.
Page: 90 of 108
ANNEXURE-O
Whereas, I................................... S/o, W/o, D/o resident of......................................................confirmed employee of

NTPC Limited (Employee No.................) have applied for grant of HBA, which request has since been accepted by
NTPC Limited, and a sum of Rs.................... has been sanctioned vide sanction Order No...........................
dated................ Consequent upon the aforesaid sanction, I have further requested NTPC vide letter dated................. to
release the sanctioned amount pending obtention of Mortgage Permission from the lessor, subject to furnishing of an
additional undertaking by the undersigned to this effect that the said permission will be submitted at the time of
mortgaging the property in favour of NTPC Ltd., being these presents.
I do hereby undertake as under :
i) that I shall ensure that all necessary legal formalities pertaining to mortgage of my flat/house, allotted to me
by........................ Cooperative Group Housing Society Ltd.,including production of Mortgage permission
from the said Cooperative Group Housing Society will be completed within one month of obtaining its
possession from the said Cooperative Group Housing Society.
ii) that in the event of my not being able to produce the Mortgage permission for the said flat/house in favour of
NTPC Ltd., from the Society concerned, as mentioned in para (i) above, or fail to mortgage the said property
in favour of NTPC Ltd., for whatsoever reason. I propose to repay to NTPC Limited on demand the entire
amount of House Building Advance, together with interest accrued thereon in lumpsum amount forthwith.
In witness whereof I...............................sign and execute these presents at...................

on.................. day of ................19.......
Revenue Stamp of
0.40 NP
Witness: 1)......................................
.............................................................. Signature.................................
................................................................ Name.....................................
2) ............................................................ Employee No........................
................................................................ Designation............................
................................................................ Department............................
Page: 91 of 108
ANNEXURE-1
INTERSE AGREEMENT REGARDING PARI PASSU CHARGE
THIS AGREEMENT MADE THIS_______DAY OF_____2012 Two thousand twelve

between________________________________resident____________________________________of
___________________________________________hereinafter called _____________ (which expression shall
unless repugnant to the context so admits includes the First Part, __________________________, a Company
registered under the Companies Act, 1956 and having its Registered Office at Bombay Life Building, 45/47, Veer
Nariman Road, Bombay-400 001, hereinafter called _________________ (which expression shall unless repugnant
to the context or meaning hereof includes its successors and assigns) of the Second Part, and the NTPC Ltd., a
Company registered under the Companies Act, 1956 having its Registered Office at NTPC Bhawan, Scope Complex,
7, Institutional Area, Lodi Road, New Delhi-110 003, hereinafter called the NTPC of the Third Part.
WHEREAS by an agreement dated_______ between the Borrower of the First Part and NTPC of the Third Part the
Borrower has agreed to create mortgage of the Flat situated in
The Borrower has created an equitable mortgage in favour of ___________________ by deposit of title deed of the
property specified in Para one above.
The Borrower has requested LIC HFL of the Second Part, for an additional load for the construction of above
mentioned house described in para 1 above.
The NTPC Ltd. has given its permission to the creation of Pari Passu Charge with LIC HFL on the aforesaid
property.
It is hereby agreed to by and between the parties hereto that, interse agreement being these presents be entered into by
and between the parties for the said purpose in the manner hereinafter appearing.
NOW THESE PRESENTS WITNESS AND IS HEREBY AGREED between the parties hereto as follows:
(1) Notwithstanding anything to the contrary contained in the mortgage created with the said NTPC the right of
LIC HFL in respect of the securities, created by the Borrower in favour of NTPC by deposit of title deeds
shall rank Pari Passu to the charge created by the NTPC.
(2) All the witness deeds in respect of the House shall remain and continue the remain in the custody of NTPC
till all the loans are repaid.
(3) Prior to taking any action for enforcement of the securities, NTPC shall duly inform LIC HFL of the same
and each of them shall consult the other in respect of all matters pertaining to the security aforesaid, so far as
the same is practicable without affecting its own rights and each of them at all times keep the other informed
of all serious and important matters, coming to its knowledge relating to the House or any part or portion
thereof or otherwise relating to the Borrower.
(4) If at any time during the currency of the respective loans of the NTPC and LIC HFL, the Borrower commits
any default for payment or the respective mortgage debts or in observance or performance of any covenant or
Page: 92 of 108
condition contained in the said NTPC or LIC HFL, as the case may be and either LIC HFL or NTPC in
pursuance of the powers i eserved to them decide to enforce the right and in such case, the LIC HFL, and
NTPC shall consult each other before enforcing such rights.
(5) The Borrower do hereby confirm these presents and undertake that during the subsistence of the securities
created by the Borrower in favour of the LIC HFL and NTPC, the Borrower shall not do or suffer to be done
or be party or privy to any act, deed, matter or thing which may in anywise prejudicially affect the securities
and rights of LIC HFL and NTPC.
(6) Subject to the Pari Passu arrangement between LIC HFL and NTPC as aforesaid, the rights and powers
reserved to the LIC HFL and NTPC under the said arrangement shall not be prejudiced or affected by the
rights and powers available to LIC HFL and NTPC under their respective mortgage.
(7) LIC HFL will not give loan for more than Rs.________ and, if for any reason, the said limit be increased then
the same will not prejudice the rights of joint mortgagees concerned and the said enhanced loan shall not be
fully secured by the Joint Security shared on Pari Passu basis as therein. In WITNESS WHEREOF THE
parties hereto have signed the day, month and year above written.
SIGNED AND DELIVERED BY THE within
Name................................................................
in the presence of............................................
SIGNED AND DELIVERED BY THE within

named LIC HOUSING FINANCE LTD. by
the hands of....................................................
its.....................................................................
SIGNED AND DELIVERED BY THE
on behalf of the..................................................
ANNEXURE-2
MEMORANDUM OF CONFIRMATION OF PARI PASSU AGREEMENT
We, NTPC Ltd., a Company registered under the Companies Act, 1956 and having its Registered Office at NTPC
Bhawan, Scope Complex, 7, Institutional Area, Lodi Road New Delhi-110 003 hereinafter called "NTPC" (which
expression shall unless the context otherwise required, include its successors and assigns) and LIC Housing Finance
Page: 93 of 108
Ltd., a Company registered under the Companies Act, 1956 and having its Registered Office at Bombay Life
Building, 45/47, Veer Nariman Road, Bombay-400 001, hereinafter called 'LIC HFL' (which expression shall unless
the context otherwise required, include its successors and assigns), hereby agree and confirm the general conditions of
the Pari Passu Arrangement which forms part of this Memorandum, a copy of which is annexed hereto.
We also hereby agree arid confirm that notwithstanding anything to the contrary contained in or arising from or by
virtue of or implied by the securities created and/or to becreated by (hereinafter referred to as "the Borrower") in our
respective favour of her immovable prop erties present and future, for securings :
(a) Loan of Rs. lent and advanced/agreed to be lent and advanced by the NTPC to the Borrower;
(b) Loan of Rs._________ lent and advanced/agreed to be lent and advanced by the LIC HFL to the Borrower.
Our respective rights thereunder shall rank Pari Passu without any preference or priority of one over the other for all
purposes and to all intents.
For NTPC Ltd. For LIC Housing Finance Ltd.

Page: 94 of 108
GENERAL CONDITIONS OF PARI PASSU ARRANGEMENT FORMING

PART OF THE MEMORANDUM
1. Notwithstanding anything to the contrary contained in or arising from or by virtue of or implied by the
securities created and/or to be created by _______________________________ (the Borrower) in favour of
NTPC and LIC Housing Finance Ltd. (which securities or such of them as per for the time being subsisting
are hereinafter collectively referred to as "the Joint Securities") all money resulting from the enforcement or
realisation of the properties mortgaged and charged jointly (hereinafter referred to as "the Mortgaged
Premises") to the NTPC and LIC Housing Finance Ltd. (hereinafter jointly referred to as the "Joint
Mortgagees") and/or! any compensation moneys received from requisition or acquisition of the
mortgaged I premises or any part thereof and/or any moneys or amounts received and/or any other
realisation from or out of the mortgaged premises or any part thereof by enforcement or by taking resources
to any special legislation for recovery of dues and may be applicable or otherwise howsoever shall be
available for distribution between the Joint Mortgagees on Pari Passu basis without any preference or
priority of one over the other for all purposes and to all intents.
2. (a) Unless otherwise agreed to in writing between the Joint Mortgagees, the Borrower shall not be
allowed to prepay any part of liabilities of the Borrower inclusive of principal, interest, additional
interest, further interest, liquidated . damages, commitment charges, prepayment charges, guarantee
commission, costs, charges, expenses and other moneys for the time being outstanding and secured
under the Joint Securities and due to each of the Joint Mortgagees (hereinafter collectively referred to
as "the Principal Debts") without offering to prepay and prepaying a proportionate amount of the
Principal Debts due to the other of the Joint Mortgagees to whom prepayment is acceptable nor shall
any of the Joint Mortgagees accept such prepayment without giving 15 days prior notice in writing to
the other Joint Mortgagees. If, however, such prepayment is not acceptable to one of the Joint
Mortgagees, the share of such Joint Mortgagees to whom prepayment is not acceptable shall be
offered and paid to the other Joint Mortgagee to whom prepayment is acceptable. Notwithstanding
anything to the contrary contained in this clause, the Borrower may be allowed to prepay (either
wholly or partly any of her/his liabilities to either of the Joint Mortgagees out of or from the proceeds
of any of the respective Joint Securities (other than the mortgaged premises) that may have been
available to that Joint Mortgagee as security or otherwise. In such an even no concurrence shall be
required from the other of the Joint Mortgagees.
2 (b) Notwithstanding anything contained in clause (a) hereof, the Joint Mortgagees shall be under no
obligation to accept any prepayment of the Principal Debts due to them.
3. The Joint Mortgagees or either of them shall be entitled to bring a suit or other legal proceeding or to
take any steps for enforcement of the security created in its or their respective favour or otherwise for
realisation of its or their respective principal debts ; from the Borrower and in the event of the institution
of any such suit of other legal proceedings, the party so instituting shall joint the other as is not willing
to join as party plaintiff as party defendant in such suit or other legal proceedings.
4. Prior to taking any action for enforcement of its right over the mortgaged premises, each of the Joint
Page: 95 of 108
Mortgagees concerned shall duly inform the other of the same and each of them shall also consult and
co-operate with the other in respect of all matters pertaining to the mortgaged premises so far as the
same is practicable without effecting its own rights and each of them shall at all times keep the other
informed of all serious and important matters coming to its knowledge relating to the mortgaged
permises under the Joint Securities or any part of portion thereof or otherwise relating to the Borrower.
5. All moneys, available for distribution, on Pari Passu basis, as mentioned in Clause 1 thereof shall be
applied with all reasonable dispatch in the matter hereinafter pro-vided:-
(a) First, there shall be paid out of such moneys or provisions made thereout for the costs, charges,
expenses incurred by the Joint Mortgagees or any one of them for and incidental to the
enforcement of the mortgage and/or realisation or receipt of such moneys.
(b) Secondly, the balance of such moneys shall:
(i) In the even of the moneys so available for distribution being sufficient to pay to each of
them the full amount of the principal and other debts due to each of the Joint
Mortgagees, be applied simultaneously in the payment to each of them of their
respective principal and other debts in full.
(ii) In the event of the moneys available for distribution being insufficient to pay to each of the
Joint Mortgagees the full amount of the Principal Debts and other due to each of the Joint
Mortgagees, be applied Pari Passu as nearly as may be practicable towards payment to each of
them first towards the Principal Debts. The amount distributable to each of the Joint
Mortgagees shall bear to the total distributable amount the same proportion which the
outstanding amounts of the principal debts due to each of such Joint Mortgagees bears to the
aggregate of the outstanding amounts of the Principal Debts due to Joint Mortgagees. Any
payment made to each of the Joint Mortgagees in accordance with the provisions of this
Clause shall be in protanto satisfaction of its respective principal debts out as between such
Joint Mortgagees and the Borro
ANNEXURE-N

Page: 96 of 108
SURETY BOND
We (1).,....................................................................................................................................................................
of.................................................................................
(2).................................. Department etc.) do hereby declare ourselves sureties for Shri/ Smt.......................... (hereinafter referred
to as "the Bounden") and do hereby guarantee that the Bounden shall do and perform all that he has undertaken to do and
perform under the Bond dated the............ day of................. 20............. executed by him in favour of the NTPC Ltd. (A
Government of India Enterprise) a company incorporated under the Companies Act 1956, having its registered office at 62-63,
Skipper House, Nehru Place, New Delhi (hereinafter referred to as "Company") and do hereby bind ourselves our respective
heirs, executors and administrators to pay to the Company a sum of Rs................. (in words Rupees........................) being the
amount due and payable by the Bounden under the said bond or such sum as the Company shall deem to be sufficient to cover
any loss or damage the Company may have sustained by reason of default of the Bounden, and we do hereby further agree that
the Company may without prejudice of any other rights and remedies recover from us the said sum as arrears of land revenue
and we do hereby further agree that any forbearance in enforcement of the said Bond or any other indulgence granted to the
Bounden or any variation of their terms of the said Bond or any time given to the Bounden or any other conditions or
circumstances under which in law a surety would be discharged will not discharge us from our liability to pay the said sum and
for the purpose of enforcement of this Bond our liability under this Bond will be as principal debtors and joint and several with
that of the Bounden.
Dated this................................................. day of ......................................... 19......................
Signed by the Sureties above named:

Surety No.1 SuretyNo.2
Designation..................... Designation.....................
Employee No.................. Employee No.................
In the presence of:
1st Witness :
Name :
Annexure – P
NTPC
7, Institutional Area, Scope Complex Lodhi Road, New Delhi
Page: 97 of 108
(Corporate Personnel Division)
To
Sub: Permission For Creation Of Second Charge

Dear Sir,
Thie has reference to letter No. ………………………dt………………………….. requesting therein to grant

permission for creation of second charge on the immovable property (described in Schedule appended) which will
be mortgaged by you in favour of NTPC Ltd. Against House Building Loan of Rs……………………… to be
granted by NTPC / HDFC.
In this regards we do hereby confirm that we will be having no objection to Shri / Ms…………………………
obtaining a loan from GICHF / Can Fin Homes Ltd./ HDFC for the purpose of acquisition / construction of said
property. This is however subject to following terms and conditions:-
(1) The first charge on the said property will be held by NTPC as security for the
loan advanced to the employee.
(2) NTPC is holding the possession of the following original documents the certified true copies of which
are being forwarded to you.
(1)
(2)
(3)
(4)
(5)
(3) NTPC will not part with the Original document as above without intimating the GICHF / Can Fin
Homes Ltd. / HDFC. In the event, NTPC loan with interest and other charges are paid in full, NTPC may
at the request of GICHF / Can Fin. Homes Ltd. / HDFC deliver the original title deed of GICHF / Can
Fin. Homes Ltd. / HDFC after talking the requisite authorization from the employee.
(4) NTPC will allow the authorised representative of GICHF Ltd. / Can. Fin. Homes Ltd. / HDFC (second
mortgage) with prior intimation to inspect the said documents / title deeds as and when required.
(5) NTPC will deduct the amount of GICHF / Can Fin. Homes Ltd. / HDFC monthly instalment from the
salary of the employee and directly remit the same to GICHF / Can. Fin. Homes Ltd. / HDFC Loan
provided there is sufficient balance available after NTPC’s authorized deductions adjustments (*) made
from the salary.
(6) In case Shri / Ms……………………………………….. cases to be in the employment of NTPC for any
reason whatsoever, NTPC will intimated GIC – HF / Can. Fin. Homes Ltd. / HDFC of the cessation of
employment. However, NTPC will not be responsible in any manner whatsoever for the recovery and/or
remittance of future instalments to GICHF / Can Fin. Homes Ltd. / HDFC.
Page: 98 of 108
(7) A certified copy of all these documents included the Mortgage Deed or so executed by
Shri……………………………… of HDFC in favour of GICHF / Can. Fin. Homes Ltd. Shall be
forwarded to NTPC (within fifteen days of execution) for information and records.
Thanking you,
Your’s faithfully,
For and on behalf of

NTPC Ltd.
Encl : As above,
Note ( * ) An authorisation letter regarding Clause 5 shall be taken for employee(s) concerned.
Page: 99 of 108
Annexure-Q
CERTIFICATE
1.0 I hereby state that my house / flat, which has been purchased / constructed by drawing
HBA from NTPC is located at _____________________________________________
2.0 I hereby certify that this house is free from all encumbrances (as per Cl 10.3 of HBA
Rules)
3.0 I also certify that I am maintaining this house under good repair at my own cost (as per Cl.
10.3 of HBA Rules)
4.0 I have insured this house / flat with _____________ Insurance Company and the
Insurance Policy Number is______________ for the period from ___________ to ______.
5.0 I have paid all the municipal and other local taxes leviable on this property and shall
continue to pay them regularly.
6.0 I have fulfilled all other terms and conditions as laid down in NTPC HBA Rules.
(Signature)
--------------------------------------------------------------------------------------------------------
NAME :
EMP.NO.
DEPTT.
STATION / PROJECT
_______________________________________________________________
Forwarded to:
Dealing Officer - HR-EB Group

Page: 100 of 108
Annexure-R
01:HR-EB/HBA
Shri / Ms …………………,
Emp.No……………………,
……………………………..
Sub: House Building Advance
Dear Sir,
This has reference to sanction of HBA of Rs……………….. to Shri / Ms

………………, Emp.No……………… for whom you have stood surety.
In this context, this is to inform you that Shri / Ms………………… has not
completed the formalities of mortgage required as per HBA rules. We would also
like to inform you that the liability of the surety gets discharged only on mortgage of
the property. Therefore, you are requested to pursue with the abovementioned
employee for completion of mortgage formalities of the flat / house purchased by
obtaining HBA from NTPC.
Thanking you,
Yours faithfully,
(Dealing Officer)
(HR)
Page: 101 of 108
Annexure-S
TRIPARTITE AGREEMENT
This agreement is made on this day of __________ between M/s ___________ having its
registered office at _______________ (hereinafter called as the builder which expression shall
unless excluded by or repugnant to the subject or context includes the successor in office and
assign) of the first part:
and ____________ s/o Sh._____________ at present serving as ____________________
employee no. ________ at NTPC… (hereinafter called as the “employee” which expression shall
unless excluded by or repugnant to the subject or context include his heirs, executors,
administrators and legal representatives) of the second part;
And NTPC Limited, a Company incorporated under the companies Act 1956, having its
Registered Office at Scope Complex, 7 Institutional Area, Lodi Road, New Delhi - 110 003
(hereinafter called as the “NTPC” which expression shall unless excluded by or repugnant to the
subject or context include his heirs, executors, administration and legal representatives) of the
Third part.
Whereas;
The builder vide its allotment letter dt. _________ allotted flat no. __________ situated in
_________________, group housing project ________ known as _______ fully described in the
schedule A to the employee and whereas the employee has under the provisions of the Rules
framed by Company to regulate the grant of advance to company employees for the purchase of
the Flat (hereinafter referred to as the “Rules” which expression shall where the context so
admits, include any amendment thereof or addition for the time being in force) applied to the
company for an advance of Rs.____ to purchase the said flat and the company sanctioned an
advance of Rs._________ to the employee vide office order No.____________ dt._______
issued under reference letter No.01:HR-EB:HBA(___) dt. ________.
NOW IT IS HEREBY AGREED BY AND BETWEEN THE PARTIES HERETO AS FOLLOWS :-
1. The employee shall ensure that in case of withdrawal from the scheme / ceasing to be the
member of the said group Housing Project of the Builder, the whole advance will be
refunded to the company. The builder hereby agrees to and undertakes to refund directly
to NTPC in case the employees wants to withdraw from the scheme for purchase of the
flat from the builder for any reason, it becomes refundable to the extent of Rs. _____ or
loan amount not refunded by the employee and thus due to be paid to the company or
loan taken as applicable whichever is less. That the refund made by the Builder will be
deemed as part payment of the advance made by the Company to the Employee.
Page: 102 of 108
2. Neither the employee shall transfer nor the builder shall effect any such transfer of the
allotment / flat without taking prior permission from NTPC before execution of the sub
lease deed.
3. The builder shall send the draft of Sub Lease to NTPC. The sublease shall be executed
after obtaining a NOC from NTPC in the presence of authorized officials of NTPC.
4. The builder hereby undertake to indemnify the employee / NTPC against all dues to
various statutory authorities including full / proportionate payment to Noida / concerned
Authority towards lease premium and entire lease rental to be made before execution of
tripartite lease deed in the favour of the employee. The builder confirm that they shall pay
all land dues to Noida / concerned Authority before handling over the possession /
registration of Sublease of the flat to the allottee / employee.
5. In case the builder takes a loan from any financial institution / bank for the project, the
builder shall give prior intimation to NTPC and NTPC shall hold the first charge after Noida
/ concerned Authority and such a financial institution / bank shall hold a second charge
after NTPC.
6. In case there is any default by the employee to pay the flat cost, the builder shall reserve
the right to cancel the flat buyer agreement and proceed with the refund and forfeiture as
per the terms of the agreement. In such event, the builder shall make payment to NTPC
directly to the extent of the HBA Amount remaining outstanding at that time.
7. The builder declares that the plans for the building to be constructed is approved by the
concerned Authority and construction shall be carried as per the said approved plan.
8. The allottee / employee of the dwelling unit shall have to intimate concerned Authority of
the creation of the mortgage in favour of bank / financial institution / employer. The
employee shall also inform NTPC about any financing of the flat by Bank to NTPC.
However NTPC shall have a prior charge on that flat.
9. The builder undertakes to sign and execute such applications and statements as may be
necessary for effectually vesting the said flat and give their due consent to the borrowing
employee submitting statement and application necessary for mortgaging his or her
interest to NTPC as required.
10. The builder hereby declares and undertakes that they will take urgent steps to form and
register the Resident Owner Association under concerned Flat Ownership Act and transfer
the land and building to the flat owners under provisions of the said Act.
11. The builder as well as the employee jointly and severally undertake to indemnify NTPC
against any loss or damage caused to it by virtue of any default of the builder or employee
due to any reason till the flat has been mortgaged with NTPC.
In witness whereof the parties the parties have hereunto set and subscribe their hands on
the date mentioned __________.
Page: 103 of 108
Schedule A
Name of the Project
Situated in
Flat Number
Builder
The presence of
1st Witness
Sign
Name
Address
2nd Witness
Signed by the employee in the presence of
1st Witness
Sign
Name
Address
2nd Witness
For and on behalf of the Company
Witnesses
1.
2.
Page: 104 of 108
Annexure-T
PERSONAL BOND
KNOW ALL MEN BY THESE PRESENTS THAT I ___________________________ s/o

_____________________________________ resident of
____________________________________________________________________________ at present
serving as __________________________ (hereinafter referred to as the 'Bounden) am held and firmly
bound unto the NTPC Limited (A Government of India Enterprise) a Company incorporated under Companies
Act 1956 having its registered office at Scope Complex, Core no.7, Lodhi Road, New Delhi-110 003
(hereinafter referred to as 'Company') in the sum of Rs. ________
(Rupees______________________________________________________________________ ) to be paid
to the Company for which payment well and truly to be made I bind myself, my heirs, executors,
administrators and legal representative by these presents.
SIGNED the ______ day of _______ 20…
WHEREAS THE BOUNDEN has applied to the Company for an advance of Rs. ______________ (Rupees
_____________________________________________________________________________)
(hereinafter referred to as the “said advance”) for the purpose of purchase / construction of a residential flat to
be constructed / being constructed by the __________ private builder / promoter / limited company having its
registered office at ____________ (hereinafter referred to as the private builder) at ____________ location of
flat and more particularly described in the Schedule hereunder written, which has been duly sanctioned by
the Company on the terms and conditions inter alia that the Bounden do execute in favour of the Company a
bond in the manner hereinafter contained.
Page: 105 of 108
NOW THIS BOND IS CONDITIONED TO BE VOID
(a) If the Bounden duly repays to the Company the said advance of Rs. __________ (Rupees
______________________) in __________ monthly instalments of Rs. ________________
(Rupees _____________________________________ ) from his / her pay commencing from the
month of _____________ two thousand and ________ or from the month following that in which
the possession of flat is taken over, whichever is earlier, and he/she shall after paying the full
amount of advance also pay interest thereon in _____ monthly instalments in the manner and on the
terms specified in the said rules and the Bounden hereby authorises the Company to make
deductions from his monthly pay, leave salary and subsistence allowance of the amount of such
instalments. It will, however, be open to the Bounden to repay the amount in a shorter period.
(b) Within one month from the date of these presents utilise the amount of each instalment of the said
advance in the purchase/construction of residential flat in the as aforesaid known and situated at
______ and more particularly described in the Schedule hereunder written.
(c) On transfer being executed in favour of the Bounden of the flat, he would mortgage it to the
Company as security for the advance obtained from the Company.
(d) Does not transfer, assign, underlet the said flat or any interest therein or part with possession
thereof/or transfer or otherwise alienate the said shares/debentures/without the previous consent in
writing of the Company.
(e) Executes or furnishes such agreement(s)/deed(s) and other document(s) with the Company as may
be required by the Company from time to time as a security of laon paid to him.
IT IS HEREBY AGREED by the Bounden as under:
(1) The said advance/or the balance thereof for the time being due by the Bounden to the Company and
all other moneys due under these presents, shall become immediately payable in each and every of
the following events:
(a) If the Bounden fails to pay any instalment or repayment of principal on its due date and when it may
become due and payable.
(b) If the Bounden makes default in payment of any instalment of interest on its due date as herein
above.
(c) If any distress or execution shall be levied upon any property of the Bounden or a receiver thereof be
appointed.
Page: 106 of 108
(d) If the Bounden commits a breach of any one of the said covenants or provisions and on his part to be
observed and performed or the House Building Advance Rules of the Company as in force from time
to time or commits any breach of the Agreement(s) deed(s) or other instrument(s) entered into
between the Company and the Bounden.
(e) If the Bounden dies or retires from or ceases to be in the service of the Company.
(f) If the Bounden presents a petition for being adjudged insolvent or is adjudicated insolvent.
(2) The Company shall have the absolute right and full liberty to deduct every month from the Bounden's
salary the amount of monthly instalment and appropriate the same towards the said monthly
instalments in repayment of principal and interest and for purpose aforesaid the Bounden hereby
irrevocably authorise the Company to make such deductions without the necessity of any further
consent or concurrence of the Bounden.
(3) In the event of retirement or death before retirement of the Bounden, Company will be entitled to
recover the entire unpaid balance of the said advance remaining unpaid at the time of such
retirement or death and all unpaid interest thereon from any amount due to him.
(4) Whenever any instalment of the principal or interest or any other sum due and payable by the
Bounden under these presents shall be in arrears, Company shall be entitled to recover the same as
an arrear of land revenue PROVIDED ALWAYS THAT this clause shall not affect any other rights
power and remedies of the Company.
IN WITNESS WHEREOF THE Bounden above mentioned has hereto set his hand the day and year first
hereinabove written.
Signed and Delivered by the said bounden
Signature :
Name :
Emp.No. :
Desgn. :
In the presence of:
1st Witness: 2nd witness
Name: Name:
Address: Address:
Occupation: Occupation:
Page: 107 of 108
Signed by Shri
In the presence of:
1st Witness: 2nd witness
Name: Name:
Address: Address:
Occupation: Occupation:
Page: 108 of 108
RECORD OF REVISIONS

No. Date
Revisions
Harleen Sachdeva Harleen Sachdeva D S Rao

M(HR) M(HR) AGM(HR)
NTPC Conveyance Advance Rules Updated as on: 31.01.2012
Page: 1 of 17
NTPC CONVEYANCE ADVANCE RULES
1.0 SHORT TITLE
These rules shall be called "NTPC Conveyance Advance Rules".
2.0 ADMISSIBILITY
These rules shall be applicable to all full time employees of the Company except:
i) Lien holders
ii) Deputationists;
iii) Apprentices/trainees, whether engaged under Company's own training
scheme or under the Apprentices Act, 1961; and
iv) Muster roll, daily rated, casual, badli or substitute employees.
CHAPTER - I
3.0 SCOPE
3.1 The provisions of this chapter shall regulate the cases relating to the grant of
conveyance advance for purchase of motor cars (including jeeps), two-wheelers
by the eligible employees of the Company.
3.1.1 The provisions of this chapter shall also relate mutatis-mutandis the cases
relating to grant of conveyance advance for repayment of balance amount of
conveyance advance together with accrued interest thereon, directly by the
Company to the parent organization of such employees as joined/get absorbed in
the company from the Government Departments/ Public Sector Undertakings/
Statutory Corporations/ Quasi-Government Bodies.
4.0 ELIGIBILITY
4.1 The advance will be granted only to such employees as have completed at least
one year service in the regular establishment of the company and who have
been subscribing for at least one year either to the NTPC Provident Fund
Account or any other recognised Provident Fund Account.
NB : These rules came into force w.e.f. 7.8.1981.

Page: 2 of 17
Provided that for the purpose of computation of one year's service in respect of
the employees joining from Government Departments/Public Sector Under takings/
Statutory Corporations/Quasi Government Bodies, the earlier service rendered
by them in the regular establishment of immediate prior organisation before
joining NTPC, shall be taken into consideration subject to the condition that the
earlier service of an employee concerned was in a grade which would have made
him eligible for grant of advance for the type of conveyance admissible under
NTPC rules.
Provided further, that the above stipulation regarding minimum one year's
service shall not be applicable in respect of such employees of Government
Departments/ Public Sector Undertakings/Statutory Corporations/ Quasi-
Government Bodies as join the services of the Company and apply for an advance
for the purpose of repayment of the balance amount of conveyance advance
earlier taken from their parent organisations/ departments and interest accrued
there on.
4.2 An advance towards the purchase of a car including repayment of an advance

taken from an earlier organisation from which an employee has joined the
Company shall be granted only to such eligible employees.
4.3 An advance towards the purchase of a two-wheeler including repayment of an

advance taken from an earlier organization from which an employee has joined
the Company shall be granted only to employees as are in grade of W0 and above.
4.4 An employee who is otherwise eligible for grant of advance for the purchase of
a two-wheeler shall not be eligible for the advance if a vehicle of the
same/higher type is already owned and registered in his name, unless he
desires to sell off the same and utilize the sale proceeds for the purchase of
another similar/higher type of vehicle.
4.5 An employee who is otherwise eligible for grant of advance for the purchase of
a car shall not be eligible for the advance if a vehicle of the same type is
already owned and registered in his name, unless he desires to sell off the
same and utilise the sale proceeds for the purchase of another similar vehicle.
4.5.1 For the purpose of rules 4.4 and 4.5, a two-wheeler of any make/brand will be
deemed to belong to the same type; similarly, a car (including jeep) of any
make/brand will be deemed to belong to the same type
4.6 An employee will be eligible for the advance only if an earlier conveyance
advance sanctioned to him, if any, has been recovered in full and a minimum
period of 4 years reckoned from the date of drawl of the last advance has
elapsed. Provided that the above restriction of 4 years shall not apply in case of
purchase of a motorcar and where the earlier advance was drawn for the
purchase of a two-wheeler.
4.7 The advance will not be sanctioned to an employee who is to leave the
services of the company within 60 months of the grant of the advance either on
superannuation or otherwise.
Page: 3 of 17
4.8 An employee during his suspension period shall not be eligible for the advance.
5.0 AMOUNT
5.1 The maximum amount of advance for the purchase of a motor car for the first
time and subsequent occasions 19, to an employee shall be limited to the
following:
5.1.1 Actual cost of Motor Car or 90% of cost of Maruti Alto Std, whichever is lower for
workmen in W8 & above grades and supervisors 28
Actual cost of Motor Car or Rs. 3 lakhs (three lakhs) whichever is lower for
executives in the grades of E1-E4. 27
Actual cost of Motor Car or Rs. 5 lakhs (Five lakhs) whichever is lower for
executives in the grades of E5-E6. 27
Actual cost of Motor Car or Rs. 6.5 lakhs (Six lakhs fifty thousand) whichever is
lower for executives in the grades of E7 and above. 27
5.2 The maximum amount of advance for the purchase of a two-wheeler for first and
subsequent occasions 19 to an employee shall be limited to the following:
5.2.1 Rs 50,000/- or actual cost whichever is lower 28
5.3 The number of occasions on which advance can be granted to an employee shall
not exceed four each for two-wheeler and for car during his entire service,
subject to fulfillment of other conditions of these rules.
5.4 The anticipated price of the vehicle will include expenditure on items like spare
wheel together with a tyre and tube or pillion seat of a scooter, which have to be
necessarily purchased along with the scooter/ motorcycle and motor car. It shall
not, however, include the cost of accessories like radio in a car, plastic cover
etc. which are not essential items and are purchased by the customer of his
own volition and the insurance charges, road tax etc. payable for the vehicle
purchased. Registration money, wherever applicable, will be paid by the
employee in full.4
6.0 PROCEDURE
An employee, who satisfies the conditions of eligibility laid down herein, shall
apply for the advance through ESS.
7.0 DISBURSEMENT
7.1 On receipt of the sanction order by the employee concerned, he will be required
to execute an Agreement, in the prescribed proforma, to hypothecate the vehicle
in favour of the Company on a non-judicial stamp paper of the requisite value as
also a Surety Bond, in the prescribed proforma, from a confirmed employee of
the Company, who fulfils the following requirements :
Page: 4 of 17
7.1.1 His salary/wages is not less than two-third of that of the applicant.
7.1.2 He is not likely to superannuate within 12 months of the date of executing the
Surety Bond.
7.1.3 He has not stood surety in more than two cases of conveyance advance.
7.1.4 The employee applying for conveyance advance has not already stood as a
surety for him when he applied for conveyance advance.
7.1.5 He is working, to the extent possible, in the same division/office where the
applicant is working for the time being.
7.2 The applicant shall be required to get executed a Surety Bond from another
substitute surety in the event of the surety employee's leaving the services of the
Company before the applicant has hypothecated the vehicle in favour of the
Company.
7.3 The liability of the surety will continue so long as the vehicle is not hypothecated to
the Company or till the advance, in full (including interest thereon), is repaid to the
Company, whichever event happens earlier.
7.4 On receipt of the Agreement and Surety Bond in the concerned HR Department,
the dealing officer will get it vetted by the Legal Department. After the documents
are found to be in order, the same will be returned to the concerned HR
Department and a communication advising the concerned Accounts Department to
release the amount to the concerned individual will be issued whereupon the
amount will be released by the Accounts Department.

8.1 The sanction order for the advance shall remain valid for a period of four
months from the date of issue of the sanction order or the close of financial year
whichever is earlier.
8.2 The employee should purchase the vehicle within a period not exceeding 30
days from the date of drawal of the advance, failing which the entire amount of
advance along with the accrued interest thereon shall be refunded forthwith by
him to the Company. Provided, however, he may apply to the sanctioning
authority for extension of the aforesaid time limit by a period not exceeding 30
days and the authority in deserving cases may grant such extension of time. The
employee must complete the purchase of the vehicle within the extended period so
allowed to him.
NOTE8: In terms of the existing procedure for purchase of Maruti Vehicles, prescribed by
M/s Maruti Udyog Ltd., a Customer Registering for a Maruti Vehicle on or after
12.11.1990 can do so by depositing Demand Draft favouring M/s Maruti Udyog
Ltd. a/c 'Dealer Name" for the 'C' form Price of the vehicle. Considering the fact
that it normally takes more than 1 month for delivery of the Maruti Vehicle ever
Page: 5 of 17
after regn., it has been decided that in case of purchase of Maruti Vehicles, the
aforementioned clause 8.2 may be relaxed till 7 days after the date of invoicing of
the vehicle by the Dealer. Relaxation as above shall be allowed provided the
entire amount of conveyance advance after withdrawal has been deposited within
7 days of withdrawal favouring M/s Maruti Udyog Limited following their
prescribed procedure for purchase of Maruti vehicles. Interest on account of the
deposit accruing to the employee must necessarily be deposited with NTPC
within 7 days of delivery of the vehicle failing which the relaxation as granted
shall stand withdrawn and the Company shall be free to take action under relevant
provisions of the Conveyance Advance Rules.
NOTE9: It has been decided that the employee must only deposit the difference of
interest earned from M/s Maruti Udyog Ltd. and the interest changed by NTPC
on Conveyance Advance if the interest given by M/s Maruti Udyog Ltd. Is higher
than the interest being changed by NTPC. Accordingly there will be no need for
the employee to deposit the interest earned form M/s Maruti Udyog Ltd. if the
same is less than the interest being changed by NTPC as Conveyance Advance.
8.3 If the price paid for the vehicle is less than the amount of advance drawn, the
excess amount shall be refunded to the Company within seven days of the
purchase.
8.4 Immediately on the purchase of the vehicle and in no case later than 30 days from
the date of purchase of the vehicle, the employee shall submit the Deed to the
concerned HR Department, in the prescribed proforma on a non-judicial stamp paper
of the requisite value hypothecating the vehicle in favour of the Company. In
addition, he shall be required to submit to the concerned HR Department a stamped
receipt from the vendor/seller for the amount paid for the vehicle, registration book
as a token of evidence of the actual transfer of the ownership of the vehicle to the
employee and a comprehensive insurance policy insuring the vehicle for the
maximum permissible amount as allowed by the insurance agency for verification
and acceptance by the concerned HR department.18
8.5 The employee should keep the vehicle comprehensively insured for maximum
amount as allowed by insurance agency and renew it from time to time and he
should produce the receipts thereof annually or whenever called for to the
concerned HR Department for verification.18
8.5.1 At the time of taking the above policy, the employee shall write a letter, in the
prescribed proforma, to the Insurance Company notifying that the vehicle is
hypothecated to the Company.
8.5.2 To safeguard the company’s interest, there should be an endorsement in the Form
of certificate of registration that the vehicle is hypothecated to NTPC.18
8.6 An employee desiring to sell or transfer ownership of the vehicle to another
person during the period the vehicle is hypothecated to the Company, shall be
required to obtain prior permission of the sanctioning authority.
8.6.1 If the employee does not wish to purchase another vehicle after sale of the
existing one with prior permission, the balance amount due to the Company
shall be refunded within seven days of the sale/transfer.
Page: 6 of 17
8.6.2 If the employee wishes to purchase another vehicle with the sale proceeds of the
previous vehicle, subject to the approval of the sanctioning authority, he may do
so provided that the purchase is effected within 30 days of sale/transfer of the
previous vehicle subject to the following conditions:
i) the price of the vehicle is not less than the amount outstanding and in the
event of the price of the newly purchased vehicle being less than
the sale proceeds of the previous vehicle, the balance amount shall be
refunded to the Company within seven days;
ii) the second vehicle is comprehensively insured and hypothecated in

favour of the Company; and
iii) the employee continues to repay the advance at the same rate as was
being done earlier by him.
8.7 Notwithstanding anything contained hereinbefore, the employee shall be bound

to comply with any supplementary rules/orders which may be made
subsequently in this regard from time to time with a view to safeguarding the
Company's interest as well as proper and faithful observance of the provisions of
these rules.
8.8 Furnishing of false documents or breach of any of the terms and conditions
stipulated in these rules and/or any other supplementary rules/orders will render
the employee concerned liable to appropriate disciplinary action apart from his
being called upon to refund to the Company forthwith the entire advance drawn
by him together with accrued interest.
9.0 INTEREST
9.1 An advance granted under these rules shall carry simple interest from the date of
payment of the advance, the amount of interest being calculated on the balance
outstanding on the last date of each month.
9.2 The rate of interest shall be as below:
Type of Vehicle Rate of Interest (per annum)

Motor Car 7.5% 20
Two-wheeler 6.5% 20
9.3 Notwithstanding anything contained above, failure of an employee to faithful

observance of any of the terms and conditions attached to the advance sanctioned
will make him liable to pay the interest at the bank lending interest rate.
10.0 REPAYMENT
Page: 7 of 17
10.1 The advance granted to an employee under these rules together with interest
theron 17shall be repaid in full before superannuation/ separation from service of
the employee, by equal monthly installments, as indicated below.
10.1.1 In case of advance granted for the purchase of a motor car, within a period not
exceeding 12 years.
10.1.2 In case of advance granted for the purchase of a two-wheeler, within a period not
exceeding 6 years.
10.2 The amount of advance to be recovered from the employee shall be fixed in whole
rupees, except in the case of last instalment when the remaining balance,
including any fraction of a rupee shall be recovered.
10.3 Recoveries on account of interest will be effected only after the recovery of the
principal amount.
10.4 The ratio of number of instalments for recovery of principal and interest in case of
motor car advance shall be 2:1. The ratio of number of instalments for recovery
of principal and interest in case of two-wheeler shall be 4:1 & 6:1 respectively.17
10.5 Recovery of the advance granted under these rules shall commence from the
salary/wages of the month following that in which the advance is drawn.
10.6 The deed of Hypothecation shall stand cancelled after the advance with interest is
fully repaid to the Company and the same shall be returned to the employee duly
endorsed to this effect on the Deed within a period not exceeding 30 days thereof.
11.0 REPAYMENT TO SCHEDULED BANKS:
Conveyance advance shall also be allowed to employees seeking repayment of loan

taken from scheduled banks for the purchase of motor car (including jeep) or motor
cycle/scooter/moped as under:
11.1 The maximum amount of advance granted for this purpose shall be limited to the
amount of outstanding principal loan to the scheduled bank excluding interest
and penalty, if any, for pre-payment of loan to the bank, on the date of
application. This amount shall be further limited to the advance as admissible
under Rule 5.0 of Conveyance Advance Rules to an otherwise eligible employee
for the same type of vehicle for which loan taken from the scheduled bank.
11.2 If the sanctioned amount so arrived at para 11.1 above is less than the principal
amount outstanding with the scheduled bank, the employee shall first deposit the
difference amount with the bank. The employee shall also deposit the
outstanding interest and penalty, if any, for pre-payment of loan to the bank.
Thereafter he/she shall submit a certificate from the bank indicating the amount
of outstanding principal amount and indicating that all other outstanding interest
and penalty has been repaid by the employee.
Page: 8 of 17
11.3 The employee shall also be required to produce a certificate from the scheduled
bank that there shall be no objection for pre-payment of loan to them by NTPC
and that their deed of hypothecation will stand cancelled after the outstanding
loan has been paid and further that the employee concerned shall be free to
hypothecate the vehicle to NTPC. Thereupon, NTPC shall make the payment of
outstanding loan to the bank.
11.4 Repayment of outstanding principal to the scheduled bank shall be in lieu of

conveyance advance granted for the first time to an eligible employee under
Rule 5.0 of Conveyance Advance Rules and shall be a one-time dispensation.
11.5 Accordingly, in the sanction order, Surety bond and the Agreement, wherever
"for purchase of car/ scooter/ motor cycle / moped " is appearing shall be
replaced by "for repayment of outstanding loan to the scheduled bank i.e.
M/S_______ (Name of the Bank) toward purchase of car/two-wheeler".
11.6 Employee availing this facility shall have to fulfill all other terms and condition of
Conveyance Advance rules.
CHAPTER-II
Deleted 28
CHAPTER-III
1.0 GENERAL
1.1 These rules are framed entirely as a welfare measure and do not confer any right
or benefit on the employees not impose any obligation or liability, whatsoever, on
the Company and shall not be deemed to be any contract or condition of service
between the Company and any such employee.
1.2 The grant of advance under these rules shall always be subject to availability of
funds.
1.3 The power to interpret and administer the rules shall rest with the Chairman and
Managing Director of the Company whose decision shall be final and binding. The
Chairman and Managing Director is also empowered to make any supplementary
rules/orders to regulate the frequency/periodicity of the grant of advance to an
individual employee, in case so necessitated due to receipt of a comparatively
larger number of applications.
Page: 9 of 17
AUTHORITY:
1. CORPORATE PERSONNEL CIRCULAR NO.81/81 DT.31.8.1981.
2. CORPORATE PERSONNEL CIRCULAR NO. 168/85 DT. 30.4.1985.
3. CORPORATE PERSONNEL CIRCULAR NO.227/89 DT.6.3.1989.
4. CORPORATE PERSONNEL CIRCULAR NO.252/90 DT. 17.1.1990.
5. CORPORATE PERSONNEL CIRCULAR NO.253/90 DT. 17.1.1990.
6. CORPORATE PERSONNEL IOM NO.01: PERS:7(8) DT.14.3.1990.
7. CORPORATE PERSONNEL IOM NO.01:PERS:
7(8)/ 184 DT.13.12.1990
8. CORPORATE PERSONNEL IOM
NO.01:PERS:7(8)/ 200 DT.23.4.1991
9. CORPORATE PERSONNEL CIRCULAR NO.445/2000 DT.6.7.2000
12. CORPORATE PERSONNEL IOM NO.01:PERS:7(8)/384 Dt 1.8.2000.
13. CORPORATE PERSONNEL IOM NO.01:PERS:7(8)/388 Dt 4.9.2000.
14. CORPORATE PERSONNEL IOM NO.01: PERS:7(8)/407 Dt 2.5.2001.
15. CORPORATE PERSONNEL IOM NO.01: PERS:7(8)/417 Dt 24.8.2001.
16. CORPORATE HR CIRCULAR NO. 468/2001 dt. 22.6.2001
17. CORPORATE HR CIRCULAR No. 488/2002 Dated 17.05.2002
19. CORPORATE HR IOM No. 01:HR–Policy:simplification:523 Dated
08.04.2004
21. CORPORATE HR IOM No. 01:HR–Policy:7(8)/610 Dated 11.07.2005
25. CORPORATE HR IOM No. 01:HR-Policy:7(8)/687 Dated 12.05.2008
Page: 10 of 17
FORM 01
AGREEMENT
An agreement made this..........................day of..............................Two thousand

..................................BETWEEN Sh./Smt./K....................................s/d/w...................... of
Sh................................... ..........(hereinafter called the Borrower which expression shall include
his/her executors, heirs arid administrators) of the one part and the NTPC Limited, SCOPE Complex,
Core 7, Lodhi Road, New Delhi-110 003 (hereinafter called the Corporation which expression shall
include its successors and assignees) of the other part.
WHEREAS the Borrower has under the provisions of the Rules framed for the purpose by the
Corporation (hereinafter called the Rules and which expression shall include any amendment thereof
and additions for the time being in force) applied to the Corporation for a loan of Rs.................................
(Rupees................................................................................ only) for
the purpose of purchase of a Motor Vehicle and the Corporation has agreed to lend the said amount
to the Borrower on the terms and conditions hereinafter contained.
NOW IT IS HEREBY AGREED between the parties hereto that in consideration of the sum of Rs. paid
by the Corporation to the Borrower (the receipt of which the Borrower hereby acknowledged) the
Borrower hereby agrees with the Corporation (i) to pay the Corporation the said amount with interest
calculated according to the Rules by monthly deductions from his salary as provided for by the said
Rules and hereby authorises the Corporation to make such deductions and (ii) within one month from
the date of these presents to expend the full amount of the said loan in the purchase of a Motor Vehicle
or if the actual price paid is less than the loan to repay the difference to the Corporation forthwith
and (iii) to execute a document hypothecating the said Motor Vehicle to the Corporation as
security for the amount lent to the Borrower as aforesaid with interest in the form provided by the
said RULES AND IT IS HEREBY LASTLY AGREED AND DECLARED THAT if the Motor Vehicle
has not been purchased and hypothecated as aforesaid within one month from the date of these
presents or if the Borrower within that period becomes insolvent or quits the services of the
Corporation or dies, the whole amount of the loan and interest accrued thereon shall immediately
IN WITNESS whereof the parties have hereunto set their hands this day and year first before
written.
Signature & Designation of the Borrower

Deptt.
Emp. No.
Signed by the said Borrower in the presence of

1. Signature.......................................
Name.............................................
Address..........................................
........................................................
Page: 11 of 17
Occupation....................................
2. Signature...........................................
Name.............................................
Address.........................................
.......................................................
Occupation.....................................
Signed by.................................................................................... for and on behalf of NTPC Limited.
Signature and Designation of the Officer

for and on behalf of NTPC Limited.
In the presence of:

1. Signature.......................................
Name.............................................
Address..........................................
Occupation.....................................
2. Signature.......................................
Name..............................................
Address..........................................
........................................................
Occupation.....................................
Page: 12 of 17
FORM 02
SURETY BOND
KNOW ALL MEN THESE PRESENTS THAT I Shri/Smt./Km. ............................................ s/d/w of

Shri..................................................... resident of.............................................................. Permanent
employee in NTPC (hereinafter called "the Surety" which expression shall include my legal heirs,
representatives, executors) am held and firmly bound unto the NTPC Limited, SCOPE Complex,
Core No.7, Lodhi Road, New Delhi-1 1 0 003 (hereinafter called "the Corporation which expression
shall include its successors and assigns) in the sum of Rs.................................
(Rupees........................................................ only) together with accured interest to be paid to the
Corporation FOR WHICH PAYMENT TO BE well and truly made as set in below. I hereby bind
myself, my heirs, executors, administrators and representatives firmly by these presents and witness
my hand this..........day of.................... one thousand nine hundred and ninety...........................
WHEREAS Shri/Smt./Km.....................!.............s/d/w of Sh....................................................... r/o

.............................................................regular/permanent employee in the Corporation (hereinafter
called "the Borrower and due to retire on.......................... has applied to the Corporation for an
advance of Rs..................................... (Rupees..............................................only) for purchase of Car/
Motorcycle/ Scooter.
AND WHEREAS the Corporation has sanctioned an advance of Rs...........................................

(Rupees....................................................................................................................................only) vide its
sanction letter No. ..................................dated...............................under the Rules framed by the
Corporation to reguate the grant of advance of Corporation's employees or • the purchase of
Car/Motor cycle/Scooter (hereinafter referred to as the "said Rules").
AND WHEREAS the Borrower has undertaken to repay the said amount in monthly instalments
of Rs.................................................. (Rupees..................................................only).
AND WHEREAS the Borrower has further undertaken to hypothecate the Car/Motorcycle/
Scooter purchased with the said advance in favour of the Corporation and to observe the
provisions of the Rules.
AND WHEREAS in consideration of the Corporation having agreed to grant the aforesaid
advance to the Borrower, the Surety has agreed to execute the above bond with such
conditions as are hereunder written.
NOW THE CONDITION OF THE OBLIGATIONS is that, if the said Borrower, while employed in
the said Corporation or any other Company/Office, regularly pays or cause to be paid to the
Corporation the amount of the aforesaid advance owing to the Corporation by instalments until the
said sum of Rs................................................. (Rupees..............................only) shall be duly paid or
hypothecates to the company the Car/Motorcycle/Scooter purchase, whichever event happens earlier,
then this bond shall be void; otherwise the same shall remain in full force and virtue. BUT SO
NEVERTHELESS, that if the Borrower shall die or become insolvent or at any time cease to be
in service of the Corporation, the whole or so much of the said principal sum of
Rs............................together with interest thereon as shall then remain unpaid shall immediately
become due and payable to the Corporation and recoverable from the Surety in lumpsum by
virtue of this bond. It shall not be necessary for the Corporation to proceed against the Borrower
before proceeding against the Surety to recover the amount due under this Bond.
Page: 13 of 17
The obligation undertaken by the Surety under this Bond shall not be discharge or in any way
affected by any extension of time being granted to the Borrower or by reason of any other act
or forbearance or other acts of omission or commission on the part of the Corporation or any
other indulgence shown by the Corporation or any other matter or thing whatsoever which under
the law, would but for the provisions, have the effect of relieving the Surety.
Signed and delivered by the said....................................on the day, month and year first
above written.
Signature of the Surety

Designation.............................
Emp. No....................................
WITENESSES
1. Signature...................................................
Name.............................................
Address.....................................................
Occupation.....................................
2. Signature..........................................
Name...............................................'
Address..........................................
Occupation.....................................
Signed by Shri.................................................................................... in the N T P C Limited for an

on behalf of NTPC
Signature and
Designation of the
Officer for and on
behalf of NTPC
Limited
WITNESSES
1. Signature.......................................
Name.............................................
Address..........................................
Occupation.....................................
2. Signature.......................................
Name.............................................
Address..........................................
Occupation.....................................
Page: 14 of 17
FORM 03
DEED OF HYPOTHECATION
THIS INDENTURE MADE this......................................................day of................................... One

Thousand Nine Hundred and Ninety One BETWEEN Shri................................................. s/o
Shri............................... (hereinafter called "the Borrower" which expression shall include his heirs, legal
representatives, executors, and administrators) of the one part and NTPC Ltd., hereinafter called
"The Corporation" which expression' shall include its successors and assigns) of the other part.
WHEREAS the Borrower has applied for and has been granted as advance of
Rupees............................... (Rupees...............................................................only) which has been
drawn on ....................................................... to purchase a Motor Vehicle on the terms of the Rules
framed by the Cororation (hereinafter referred to as "the Rules" which expression shall include any
amendment thereof or additions thereto for the time being in force).
AND WHEREAS one of the conditions upon which the said advance was granted to the Borrower
was that the Borrower would hypothecate the said Motor Vehicle to the Corporation as security for
the amount lent to the Borrower with interest.
AND WHEREAS The Borrower has purchased with or partly, with the amount so advanced as
aforesaid the Motor Vehicle particulars whereof are set out in the schedule hereunder written.
NOW THIS INDENTURE WITNESSETH THAT in pursuance of the agreement and for the
consideration aforesaid the Borrower doth hereby convenant to pay to the Corporation the sum of
Rs........................................ (Rupees................................................................................. only) aforesaid
or the balance thereof remaining unpaid at the date of these presents by equal payments of
Rs........................ (Rupees............................................................) each of the last day of every month
and will pay interest on the sum for the time being remaining due and owing calculated according to
the said rules and Borrower doth agree that such payments may be recovered by monthly deductions
from his salary in the manner provided by the said rules and in further pursuance of the said
agreement, the Borrower doth hereby assigns and transfer unto the Corporation the Motor Vehicle,
the particulars whereof are set out in the schedule hereunder written by way of security for the said
advance and the interest thereon as required by the said Rules.
And the Borrower doth hereby agree and declare that he paid in full the purchase price of the
said Motor Vehicle and that the same is his absolute property and that he has not pledged and
so long as any money remain payable to the Corporation in respect of the said advance, will
not sell, pledge or part with the property in or possession of the said Motor Vehicle.
PROVIDED ALWAYS and it is hereby agreed and declared that if any of the said installments of
principal or interest shall not be paid or recovered in manner aforesaid within ten days after the
same are due or if the Borrower shall die or at any time ceases to be in the" services of the
Corporation or if the Borrower shall sell or pledge or part with the Property in or possession of the
said Motor Vehicle or become insolvent or make any composition or arrangement with this creditors
or if any person shall take proceedings in execution of any decree of judgement against the
Borrower the whole of the said principal sum which shall then be remaining due and unpaid
together with interest thereon calculated as aforesaid shall forthwith become due and payable AND
IT IS HEREBY AGREED and declared that the Corporation on the happening of any of the events
Page: 15 of 17
hereinbefore mentioned seize and take possession of the said Motor Vehicle and either remain in
possession thereof without removing the same or else may remove and sell the said Motor
Vehicle either by public auction or private contract and may out of the sale moneys retain the
balance of the said advance then remaining unpaid and any interest due thereon calculated as
aforesaid and all costs, charges, expenses and payments properly incurred or make in
maintaining, defending or realising his rights hereunder and shall pay over the surplus, if any, to
the Borrower, his executors, administrators, legal representatives or heirs PROVIDED FURTHER
that the aforesaid power of taking possession or selling of the said Motor Vehicle shall not
prejudice the rights of the Corporation to sue the borrower or his legal representatives for the
said balance remaining due and interest or in the case of Motor Vehicle being sold the amount by
which the net sale proceeds fall short of the amount owing AND the borrower, hereby further
agrees that as long as any moneys are remaining due and owning to the Corporation, he, the
borrower, will insure and keep insured the said Motor Vehicle against loss or damage by fire, theft or
accident with an insurance company to be approved by the Corporation and will produce evidence
to the satisfaction of the Corporation that the Motor Insurance Company with whom the said
Motor Vehicle is insured have received notice that the Corporation is interested in the Policy AND
the borrower hereby further agrees that he will not permit or suffer the said Motor Vehicle to be
destroyed or injured or to deteriorate in a greater degree than it would deteriorate by reasonable
wear and tear thereof AND further that in the event of any damage or accident happening to the said
Motor Vehicle the borrower will forthwith have the same replaced and made good.
THE SCHEDULE
Description of Motor Vehicle ___________________________________________
Makers Name ___________________________________________
Description ___________________________________________
No. of Cylinders ___________________________________________
Chasis No. ___________________________________________
Cost price ____________________________________________
Engine No. ____________________________________________
IN WITNESS whereof the parties have hereunto set their hands this day and year first before
written.
Signature .........................................................
Name................................................................
Designation......................................................
Emp. No............................................................
Signed by the said Borrower in the presence of

1. Signature.......................................
Full Name......................................
Emp. No.........................................
Occupation.....................................
Address..........................................
2. Signature.......................................
Full Name......................................
Emp. No.........................................
Occupation.....................................
Address..........................................
Page: 16 of 17
Signed by for and on behalf of N T P C Limited in the presence of

1. Signature........................................
Full Name......................................
Emp. No.........................................
Occupation....................................
Address..........................................
2. Signature.......................................
Full Name.....................................
Emp. No........................................
Occupation....................................
Address.........................................
Page: 17 of 17
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Personal Computer Advance Rules Updated as on: 31.01.2012
Page: 1 of 4
NTPC PERSONAL COMPUTER ADVANCE RULES
1.0 SHORT TITLE
These rules shall be called "NTPC Personal Computer Advance Rules".
2.0 SCOPE
The provisions of this chapter shall regulate the cases relating to the grant of Personal
Computer advance for purchase of a new Personal Computer (or a Laptop PC)5 and
other peripherals by the eligible employees of the Company.
3.0 ELIGIBILITY
3.1 The advance towards purchase of a new Personal Computer shall be granted only to all
regular employees who are in the grade of W1 and above, except for:
i) Lien holders;
ii) Deputationists;
iii) Apprentices/trainees, whether engaged under Company's own training scheme
or under Apprentices Act, 1961; and
iv) Muster roll, daily rated, casual, badli or substitute employees.
3.1.1 The advance will be granted only to such employees as have completed at least one year
service in the regular establishment of the Company and who have been subscribing for
at least one year either to NTPC Provident Fund Account of any other recognized
Provident Fund Account.
3.2 An employee will be eligible for the advance only if an earlier Computer Advance
sanctioned to him, if any, has been recovered in full and a minimum period of three (3)
years reckoned from the date of drawal of the last advance has elapsed.
3.2.1 In case of lump sum repayment of advance along with accrued interest, amount
outstanding upto the previous month shall be refunded for closure of loan. Interest for
remaining period of the month shall be recovered from salary of the succeeding month.
Accordingly second advance can be sanctioned in this situation.8
3.3 The advance will not be sanctioned to an employee who is to leave the services of the
Company within 36 months of the grant of advance either on superannuation or
otherwise.
3.4 An employee during his suspension period shall not be eligible for the advance.
____________________________________________________________________________
NB: These rules came into force with effect from 01.05.1998
Page: 2 of 4
4.0 AMOUNT T
4.1 The maximum amount of advance for the purchase of Personal Computer to an
employee shall be a maximum of Rs. 40,000/- (Rupees Forty Thousand only) 8
*Note: The "actual price/cost" includes cost of Printer, Modem, other peripherals
including software, Sales Tax, Insurance, but excludes Customs Duty. As such no
advance for payment of Customs Duty on Personal Computer shall be sanctioned.
4.2 The advance shall also be admissible for exclusive purchase of peripherals like Printers,
Modems, Multi-media kits, U.P.S., etc. to cover those executives who may be already
possessing Computers.
5.0 PROCEDURE
An employee, who satisfies the conditions of eligibility laid down herein, shall apply for
the advance through ESS.
6.0 TERMS & CONDITIONS
6.1 On purchase of the computer the employee shall give an online declaration certifying the
utilization of the advance amount within 30 days from date of drawl of advance. In case of
failure to give declaration within the specified period, the amount of advance shall be
recovered from the salary.8
6.2 If the employee does not wish to purchase another computer after sale of the existing
one with prior permission, the balance amount due to the Company shall be refunded
within seven days of the sale/transfer.
6.3 The advance shall not be sanctioned to executives in whose case total deductions from
the salary is more than seventy five per cent (75%) of the gross pay.
7.0 INTEREST
7.1 An advance granted under these rules shall carry simple interest from the date of
payment of the advance, the amount of interest being calculated on the balance
outstanding on the last date of each month. Recoveries on account of interest will be
effected only after the recovery of the principal amount.
6
7.2 The rate of interest to be charged on Computer Advance would be Six per cent (6%)
per annum.
8.0 REPAYMENT
Page: 3 of 4
8.1 The advance granted to an employee under these rules shall be repaid in full before
superannuation/separation from the services of the Company.
8.2 The advance for purchase of computer will be recovered in not more than 60 equal
monthly instalments commencing from the month following that in which the advance is
drawn. The interest will be recovered in not more than 12 equal monthly instalments
thereafter.
9.0 REPAYMENT TO FINANCIAL INSTITUTIONS:
If an eligible executive has taken loan for purchase of Personal Computer from any Bank
or Financial Institution, the Company may repay the loan alongwith interest directly to the
Bank or Institution at the time of release of Advance.
10.0 GENERAL
10.1 The Company reserves the right to modify, cancel and or amend any of these rules.
Authority:
1. Corporate Personnel Circular No. 381 / 1998 Dt. 1.5.1998

2. Corporate Personnel Circular No.457 / 2001 Dt. 2.3.2001
5. Corporate HR IOM No. 01: HR-Policy: Simplification:523 Dated 08.04.2004
7. Corporate HR IOM No. 01: HR-Policy: 7(8.1)/614 Dated 09.08.2005
Page: 4 of 4
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Scheme for sanction of advance for purchase Updated as on: 31.01.2012
of furniture/ household items Page: 1 of 3
SCHEME FOR SANCTION OF ADVANCE FOR PURCHASE OF

FURNITURE/ HOUSEHOLD ITEMS
1.0 Eligibility:
All employees in W1 & above category (excluding trainees and persons
appointed on contract basis) and who have more than one-year service left on
the date of application will be eligible to apply.
2.0 Purpose:
The purpose of the scheme is to grant an interest-free, recoverable advance to
employees for purchasing furniture/household items.
3.0 Amount:
The amount of advance admissible shall be one month’s Basic Pay and
prevailing Dearness Allowance as on the date of application.6
The application for subsequent advance may be entertained only after 5 years of
the drawl of first advance.
4.0 Recovery:
The advance drawn under the scheme shall be recoverable from salary in 60
equal monthly installment (excluding the month of drawl of advance), or till
superannuation or cessation of employment of the employee, whichever is
earlier.
5.0 Procedure:
5.1 The application for the advance shall be made through Employee Self Service
(ESS).
5.2 On drawl of Advance, the employee shall procure the Furniture/Household items
and give an online declaration certifying the utilization of the advance amount
within 60 days from drawl of advance failing which advance will be recovered
from the salary.5
Authority:
1. CORPORATION PERSONNEL CIRCULAR NO. 445/2000, DT. 6.7.2000.
5. CORPORATE HR CIRCULAR NO. 636/2008 DATED 09/06/2008
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Multi Purpose Advance Rules Updated as on: 31.01.2012
Page: 1 of 4
MULTI PURPOSE ADVANCE RULES1
1.0 Short Title:
These rules shall be called "Multi Purpose Advance Rules".
2.0 Eligibility:
All regular employees in the grade of W1 & above (excluding trainees and
persons appointed on contract basis).
3.0 Purpose:
The purpose of the Scheme is to grant an interest-free, recoverable

advance to employees to meet contingency requirements.
4.0 Amount:
The amount of advance admissible shall be one month's Basic Pay and
prevailing Dearness Allowance as on the date of application.9
4.1 The advance shall be interest free.
4.2 The advance shall be admissible only once in a calendar year.
5.0 Procedure:
Employee shall apply for the multi-purpose advance through Employee

Self Service(ESS).
6.0 Recovery:
Recovery of the advance shall be made from the salary of employee in

Page: 2 of 4
not more than 12 equal monthly installments. The first recovery shall
commence from the salary of the employee from the following month in
which advance is drawn.
7.0 GENERAL
7.1 These rules are framed entirely as a welfare measure and do not confer
any right of benefit on the employees nor impose any obligation or
liability, whatsoever, on the Company and shall not be deemed to be any
contract or condition of service between the Company and any such
employee.
7.2 The grant of advance under these rules shall always be subject to
availability of funds.
7.3 The power to interpret and administer the rules shall vest with the
Chairman and Managing Director of the Company whose decision shall
be final and binding. The Chairman and Managing Director is also
empowered to make any supplementary rules/ orders to regulate the
frequency/periodicity of grant of advance to an individual employee, in
case so necessitated due to receipt of a comparatively larger number of
applications.
7.4 The Company reserves the right to modify, cancel, add or amend any of
these rules.
Authority:
1. CORPORATE PERSONNEL CIRCULAR NO. 123/1984, DT. 15.02.1984.
Page: 3 of 4

Page: 4 of 4
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Children Higher Education Loan Updated as on: 31.01.2012
Scheme Page: 1 of 14
NTPC CHILDREN HIGHER EDUCATION LOAN SCHEME
1.0 Introduction:
The cost of higher education in India and abroad is very high. In order to assist our
employees in meeting the expenditure towards higher education courses being pursued
by their children, it has been decided to introduce the NTPC Children Higher Education
Loan Scheme.
2.0 Eligibility:
2.1 All employees who on the date of application of this loan have rendered not less
than 3 years of continuous service in the regular establishment of the company.
2.2 All eligible employees whose dependant children upto the age of 25 years (only
two) have secured admission / are currently pursuing Graduation / Post
Graduation / Professional courses from recognized / approved Universities /
Institutions both in India and abroad. However for benefit under any other rules
such as Medical Attendance and Treatment Rules ,the eligibility of dependency
for children shall be restricted to 25 years only.
2.3 On the date of application of the loan the employee should have at least 3 years
of service left before superannuation.
2.4 Employees placed under suspension shall not be eligible to apply for this loan.
2.5 In case of both spouses working in NTPC, the Children Education Loan shall be
sanctioned to any one of them subject to the overall ceiling limit as prescribed in
these rules.
3.0 Scope:
The NTPC Children Higher Education Loan shall be granted for pursuing the following
courses:
3.1 Higher Education Courses in India

All Graduate / Post Graduate / Doctorate /Professional Degree or Professional PG
Diploma /Diploma courses of recognized universities / institutions.
3.2 Higher Education Abroad

Full Time Graduate / Post Graduate / Doctorate / Professional Degree / Professional PG
Diploma/Diploma Courses of Recognized Foreign Universities / Institutions. The
management shall reserve the right to determine the status of recognition of the
institution from where the higher education course is being pursued .
3.3 No change of Educational Institution which was declared at the time of application for the
loan shall be allowed whether located in India or abroad.
4.0 Amount of Loan
4.1 Amount of NTPC Children Higher Education Loan shall be decided based on the
expenses involved in pursuing the course and repaying capacity of employees as under:
4.1.1 For Studies in India: The total ceiling on Children Education Loan shall be as under:
(i) 50 months salary of employees, or
(ii) 80% of total course fee amount, or
(iii) Rs 10 lakhs, whichever is least
4.1.2 For Studies Abroad: The total ceiling on Children Education Loan shall be as under:
(i) 50 months salary of employees, or
(ii) 80% of total course fee amount ,or
(iii) Rs 15 lakhs, whichever is least
4.2 The total ceiling on Children Education Loan is applicable only in respect of two
dependant children upto the age of 25 years. Employees may avail this loan only once in
respect of each of his/her two children within the prescribed ceiling as prescribed above
at 4.1.
5.0 Elements of Course Fee
The NTPC Children Higher Education Loan may be sanctioned to meet the following
expenses while the children of employees are pursuing these courses:
i) Admission Fee and Tuition Fee

ii) Hostel / Mess Charges

iii) Examination / Library / Laboratory fee
iv) Building Fund / any non refundable deposit
v) Cost of Books / Journals / Equipment / Instruments required for the course.
vi) Any other expenses / fees against which college / institution issues receipt.
6.0 Determining the Repaying Capacity of employees
6.1 The actual amount of loan to be sanctioned to an employee will be determined by the
monthly paying capacity of the employee which shall be taken as follows:
Length of Remaining Service Repaying Capacity

- Employees retiring / superannuating after 12 years 50% of wages / salary
- Employees retiring / superannuating after 8 years, but 60% of wages / salary
not later than 12 years
- Employees retiring / superannuating within 8 years 66-2/3% of wages / salary
6.2 No loan shall be granted to those employees in whose case the total deduction from the
salary amounts to more than 75% of gross pay.
6.3 In case an employee under suspension has been already sanctioned the loan previously,
and also had drawn the same in part, makes a request for release of balance advance /
subsequent instalments during the period of his suspension, the same shall be allowed in
terms of the provisions of the extant Rules.
6.3.1 Where an employee having been sanctioned the loan is subsequently placed under
suspension and has not drawn any amount / installment of the loan earlier sanctioned,
Children Higher Education Loan should not be released till such time his suspension
order is revoked and he/she resumes his/her duties.
7.0 Interest Rate

The rate of interest on NTPC Children Higher Education Loan shall be 7.5% per annum.
The advance shall carry simple interest from date of payment of advance, the amount of
interest being calculated on the balance outstanding on the beginning of each month.
8.0 Procedure for sanction of NTPC Children Higher Education Loan
8.1 Application for grant of loan shall be submitted in the prescribed format (Annexure-I) as
per the workflow designed in SAP.
8.2 The following documents in original should be submitted along with the application format
in the respective HR-EB Section.
i) Proof of Admission in the course of study in India / abroad

ii) Copy of the prospectus of the University / Institution from where the course is
being pursued.
iii) Fee structure of the course and its payment schedule.
8.3 The dealing officer shall scrutinize the application format along with the documents
submitted with reference to the conditions of eligibility and other requirements for
obtaining sanction of Competent Authority for grant of loan to the employee concerned.
The Competent Authority shall be an HR executive not below the level of E6.
8.4 On release of sanction order of the NTPC Children Higher Education Loan, the employee
shall submit the following:
i) Agreement Bond (Annexure–II) on non-judicial stamp paper of appropriate value

ii) Surety Bond (Annexure-III) from two NTPC Employees
8.5 The employee shall be required to utilize the loan amount within one month from the date
of drawl of loan, failing which the employee shall be called upon to refund to the
Company forthwith the entire loan drawn by him together with accrued interest at penal
rate of interest. The penal interest to be levied shall be 2% over and above the Prime
Lending Rate of State Bank of India. Relevant fee receipts in original giving a proof of the
payments made to the University / Institution shall also be submitted to the HR(EB)
Section within one month of utilization of the loan amount.
9.0 Disbursement of NTPC Children Higher Education Loan
9.1 The sanctioned loan shall be released in installments at the request of the employee and
as per the fee payment schedule of the college / university / institution directly to the
Educational Institution where the fees has to be paid. The charges on account of
conversion to foreign exchange in case of payment to a foreign university shall be borne
by the employee.
9.2 The second or subsequent Children Higher Education loan within the prescribed ceiling so
availed shall be treated as a fresh loan for the purposes of repayment.
10.0 SURETY
10.1 An employee of NTPC shall be eligible to stand a surety if ;

i) He / she has satisfactorily completed the period of probation if any;
ii) His / her salary / wages is not less than two-third of that of applicant
iii) He / she is not likely to superannuate within three years of executing the surety
bond
iv) He / she has not stood surety in more than two cases of NTPC Children Higher
Education Loan / House Building Advance
v) The applicant for NTPC Children Higher Education loan has not already stood as
the surety for him while he applied for HBA / Children Higher Education Loan
vi) He / she is working preferably in the same division / office where the applicant is
working
10.2 When a surety employee is likely to leave the employment of the Company or ceases to
be in the employment of the Company on account of resignation, retirement, death or for
any other reason before the borrowing employee has executed the deed of agreement or
has repaid the advance in full (including interest thereon), the latter shall arrange to get
executed a surety bond from another substitute surety, within one month of the
communication to this effect from the HR Department. Till the time a substitute surety is
arranged the employee shall not be released.
10.3 The liability of the surety will extend till the advance in full (including interest thereon) is
repaid to the Company.
11.0 REPAYMENT
11.1 The loan granted to an employee under these rules, together with the interest thereon,
shall be repaid in full before superannuation / separation from service of the employee by
way of monthly installments within a maximum period of 15 years; repayment of principal
amount in 10 years (120 installments) and the amount of interest in 5 years (60
installments). In case of death of an employee who has drawn this loan, the entire
outstanding loan along with accrued interest shall be waived off.
11.2 The amount of loan and interest thereon, to be recovered from the employee, shall be
fixed in whole, except in the case of last installment where the remaining balance,
including any fraction of rupee shall be recovered.
12.0 Commencement of Recovery

12.1 This loan shall be recovered from the pay of the month following that in which loan is
drawn.
13.0 GENERAL
13.1 Notwithstanding anything contained herein, the employee shall be bound to comply with
any supplementary rules / orders which may be made subsequently in this regard from
time to time with a view to safeguard the company's interest as well as to ensure proper
and faithful observance of the provisions of these rules. Furnishing of false certificates
or breach of any of the terms and conditions stipulated in these rules and / or any other
supplementary rules / orders will render the employee concerned liable to appropriate
disciplinary action apart from his being called upon to refund to the Company forthwith
the entire loan drawn by him together with accrued interest at penal rate of interest. The
penal interest to be levied shall be 2% over and above the Prime Lending Rate of State
Bank of India.
13.2 In the event of transfer of an employee from one unit / plant to another, the responsibility
of processing the Children Higher Education Loan in respect of the concerned employee
shall be of the unit / plant to which the employee concerned has been transferred.
13.3 The power to interpret, modify and administer the rules shall vest with the Chairman and
Managing Director of the Company whose decision shall be final and binding.
Authority:
3. CORPORATE IOM NO. 01:HR-POL/7(19.1)/722 DATED 25.03.2010
Annexure I
APPLICATION FOR NTPC CHILDREN HIGHER EDUCATION LOAN
1. Name:
2. Employee No:
3. Designation & Grade:
4. Department:
5. Basic pay and scale of pay as on the date of application:
6. Date of joining NTPC:
7. Completed years of service:
COURSE DETAILS FOR WHICH CHILDREN HIGHER EDUCATION LOAN IS SOUGHT
8. Name of course:
9. Institution/University conducting the course & its address:
10. Name of the Child who is going to pursue this course:
11. Recognition of Course by:
12. Amount of advance required:
13. Fee payment Schedule of the institution:
14. No. of installments in which repayment is proposed:
15. Details of employee giving surety:
a) Name:
b) Designation/Department:
c) Employee No.:
d) Place of posting:
e) Gross pay per month (Basic Pay + DA only):
f) Date of confirmation:
g) Year of retirement:
h) No. of cases in which he has already given surety:
(DECLARATION TO BE FURNISHED BY THE APPLICANT)
1.0 I have read and understood the Rules under which the loan will be sanctioned by the
Company and agree to abide by the conditions of the grant of loan prescribed by the
Company.
2.0 The details furnished in the application are true to the best of my knowledge and
belief.
3.0 I undertake to furnish a fresh surety bond from another employee in the event of
surety as mentioned above leaving the services of the Company before repayment of
this Children Higher Education Loan.
4.0 Neither I nor my surety is going to superannuate within next three years.
Date: Signature
FOR USE BY HR-EB SECTION
1. Certified that the employee is eligible for grant of the NTPC Children Higher Education
Loan.
2. The declarations given by him have been checked from the available records and found
to be correct.
3. Take home salary of the employee is not less than 25% of his gross pay.
Dealing Officer
Sanctioning Authority
Annexure II
AGREEMENT
This agreement made on this __________________ day of ______________ two

thousand ______________ between Sh. / Ms. ___________________ S/o / D/o / W/o of
Sh._____________________ (hereinafter called the "Borrower" which expression shall
,unless excluded by or repugnant to the context , be deemed to include his/her executors,
heirs and administrators) and Mr/Ms ______________________ s/o / d/o
___________________ r/o ________________________________ (hereinafter called
the student/beneficiary) of the one part and the N.T.P.C. Ltd., NTPC Bhawan, SCOPE
Complex, 7 Institutional Area, Lodi Road, New Delhi – 110003 (hereinafter called the
Company which expression shall include its successors and assignees) of the other part.
Whereas the Borrower has under the provisions of the Rules framed for the purpose by
the Company (hereinafter called the Rules and which expression shall include any
amendment thereof and additions for the time being in force) applied to the Company for
a loan of Rs._________ (Rupees___________________________________ only) for
the purpose of Children Education of his / her son/ daughter for_____ being conducted
by _____________________________Institute / University) in India / Abroad(write name
of country ___________________________________________(Name of Country) and
the company has agreed to lend the said amount to the Borrower on the terms and
conditions hereinafter contained.
(1) In consideration of the sum of Rs._______________

(Rupees_________________________________________ only – insert the amount of
first instalment ) paid by the Company to the borrower after execution of this agreement
for payment of fee and other expenses to the college / institution and the sum of
Rs._______________ (Rupees_________________________________ only – insert
balance amount to be paid) by the Company in accordance with the payment Schedule
of the educational institute or as provided in the said Scheme sanctioned with interest
calculated according to the said Rules in monthly deduction from the salary of the
borrower commencing from the month following that in which the first instalment is drawn.
.( a ) The borrower hereby agrees with the Company to repay the said amount of Rs.
________ (Rupees_______________________only)
(b) To utilize the loan amount for its purpose within one month from date of receipt of each
instalment.
(bb) The student hereby agrees that he/she will complete the course for which education loan
has been granted to the employee/borrower and also immediately on joining service,
inform the company of particulars of his or her salary and the employer with the address
in detail.
(c) And it is hereby lastly agreed that if borrower fails to utilize the loan for fulfillment of its
purpose or if the borrower becomes insolvent, the entire loan amount sanctioned along
with accrued interest thereon calculated at penal rate of interest shall immediately
(2) If the actual amount paid by borrower for payment of fee and other admissible expenses
to the college / institution is less than the amount received under these presents by the
Borrower, he / she shall repay the difference to the Company forthwith.
(3) In case of separation from service due to any reason (other than death), the borrower
shall deposit the outstanding principal amount of NTPC Children Higher Education Loan
along with interest accrued thereon in a lumpsum before the date of separation failing
which it will be recovered from payable terminal dues and / or from the student after
he/she takes up a gainful employment after the completion of the course at the discretion
of the Company.
IN WITNESS whereof the parties have hereunto set their hands this day and year first
before written.
Signature of the Borrower

Name
Designation
Emp.No.
Signature of the student

Name and address
Signed in the presence of
WITNESSES:
1. Signature: 2. Signature:
Name: Name:
Address: Address:
Occupation Occupation:
Signed by ________________________ for and on behalf of N.T.P.C. Ltd. in the

presence of:
Signature & Designation of the officer for and on behalf of NTPC Ltd.
WITNESSES:
1. Signature: 2. Signature:
Name: Name:
Address: Address:
Occupation Occupation:
# This agreement is required to be signed on a non judicial stamp paper of appropriate

value applicable in the state where this agreement is signed.
Annexure III
SURETY BOND
KNOW ALL MEN OF THESE PRESENTS that I ______________________________ s/o, d/o,

w/o Shri ___________________________, R/o __________________________ presently
employed as Regular permanent employee as _______________________ in NTPC Ltd.,
Deptt.____________ (hereinafter called "the surety") which expression shall include my legal
heirs, representative, executors) am held and firmly bound unto the NTPC Limited, NTPC
Bhawan, SCOPE Complex, 7 Institutional Area, Lodi Road, New Delhi – 110003 (hereinafter
called "the Corporation" which expression shall include its successors and assigns) in the sum of
Rs. _________ (Rupees ______________________ only) together with accrued interest to be
paid to the Corporation FOR WHICH PAYMENT TO BE well and truly made as set in below; I
hereby bind myself, my heirs, executors, administrators and representatives firmly by these
presents and witness my hand this _______ day of _________ two thousand________.
WHEREAS Shri ________________________ s/o Shri __________________________ resident

of _______________________________________________________________ at present
employed as permanent Employee in the Corporation (hereinafter called "the Borrower" and due
to retire on ______________ has applied to the Corporation for an advance of Rs.
________________ (Rupees ________________________________ only) for purposes of
Children Education of his / her son / daughter for pursuing the course ___________ from Institute
/ University in India / Abroad (Name of Country) ________________.
AND WHEREAS The Corporation has sanctioned an advance of Rs._____________ (Rupees

________________________________ only) vide its sanction letter No.
______________________ dt.___________ under the Rules framed by the Corporation to
regulate the grant of advance to Corporation's employees for the purposes of Children Education
of his / her son / daughter for pursuing the course _______________ from Institute / University in
India / Abroad (name of country)________________ (hereinafter referred to as the "said Rules").
AND WHEREAS the Borrower has undertaken to repay the said amount in __________ equal
monthly installments of Rs.___________________ (Rupees ___________________
___________ only).
AND WHEREAS in consideration of the Corporation having agreed to grant the aforesaid
advance to the borrower, the Surety has agreed to execute the above bond with such conditions
as are hereunder written.
NOW THE CONDITION OF THE OBLIGATION is that if the said Borrower shall while employed
in the said Corporation or any other Company / Office regularly pays or cause to be paid to the
Corporation the amount of the aforesaid advance owing to the Corporation by installments until
the said sum of Rs_________ (Rupees ______________________ only) shall be duly paid then
this bond shall be void, otherwise the same shall remain in full force and virtue. BUT SO
NEVERTHELESS, that if the Borrower shall become insolvent or at any time ceases to be in
service of the Corporation, the whole or so much of the said principal sum of Rs.____________
(Rupees ______________________________ only) together with interest thereon as shall then
remain unpaid shall immediately become due and payable to the Corporation and recoverable
from the Surety in lump sum by virtue of this bond. It shall not be necessary for the Corporation
to proceed against the Borrower before proceeding against the surety to recover the amount due
under this bond.
The obligation undertaken by the Surety under this bond shall not be discharged or in any way
effected by any extension of time being granted to the Borrower or by reason of any other act or
forbearance or other acts of omission or commission or the part of the Corporation or by any
other matter or thing, whatsoever which under the law, would, but for the provisions, have the
effect of relieving the Surety.
Signed and delivered by the said _____________________ on the ______ day of ________
20___ first above written.
____________________
(Signature of the Surety)
Designation
Emp. No.
WITNESSES:
1. Signature:
Name:
Address:
Occupation:
2. Signature:
Name:
Address:
Occupation:
Signed by Shri ____________________ in the NTPC Ltd. for and on behalf of NTPC.
WITNESSES:
1. Signature:
Name:
Address:
Occupation:
2. Signature:
Name:
Address:
Occupation:
# This bond to be signed on a non judicial stamp paper of appropriate value in the state, where,
this surety bond is to be executed.
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Generation Incentive Scheme Updated as on: 31.01.2012
Page: 1 of 20
GENERATION INCENTIVE SCHEME
Preamble:
The followings are the essential features of the modified Power Generation
Incentive Scheme which is enclosed as Annexure:-
1. The provisions of the scheme are applicable w.e.f. 1.4.2005.
2. Basic pay for the purpose of payment of Inc entive will be actual basic
pay (w.r.t. 1997 pay structure) and special pay, if any. However, basic
pay will not include any Dearness pay, DA, Personal Pay, Personal
Adjustment.
3. The Incentive payment will continue to be linked with the

performance para meter, the Equivalent Availability Factor %.
4. The incentive will be paid in two components i.e. monthly and

quarterly.
5. The employees, for the purpose of Incentive payment, will be

categorized into Direct(Group-A) and Indirect (Group-B/C) and the
maximum quantum of Generation Incentive payable to each
category/group in different stages of project will be as under :-
During O&M phase During Expansion/

Concurrent phase
Group-A Amount as Amount as per
(O&M employees) per performance-payment
performance- matrix as given in
payment matrix as scheme (para 7.2)
Group-B 85% of 85% of amount payable
(Common service amount to employees in Group-
employees) payable to A
Group-C N.A. 30% of amount payable
( Project Const. to employees in Group-A
employees)
Page: 2 of 20
6. The oil linked incentive/disincentive as applicable to only for

Operation & Maintenance employees in group-A, will continue to be
paid as per existing scheme.
7. In respect of employees who have been transferred from one project

to another after 1.4.2005, payment for the period where the
employee had worked at the transferor project will be made by the
project where he is presently working. For this purpose , the
transferor project should send the amount payable in respect of
employee transferred to other projects/units within a period of one
month of issue of circular.
8. The Scheme shall not be applicable for Tanda TPS for which a
separate scheme is in operation.
Page: 3 of 20
Annexure
GENERATION INCENTIVE SCHEME
1.0 SHORT TITLE
The Scheme shall be called "NTPC Power Generation Incentive

Scheme".
2.0 BASIC CONSIDERATIONS
2.1 The purpose of any Incentive Scheme is to motivate the

employees to give their best. In the case of a power plant, the
incentive plan also takes into account the maintenance
aspect of the plant while motivating employees to maximize
generation. Any Scheme which encourages maximization of
Generation only in the short term may be self defeating as it
leads to irreparable damage to plants and machinery because
of insufficient motivation to employee for the proper upkeep
and regular maintenance of the Plant. A successful Incentive
Scheme, hence, should strike a balance between short range
and long range plant requirements and should achieve a good
blend of the two in such a way as to optimize generation on a
sustained long range basis. Further, increase in Generation
may not lead to desirable results if increased costs are
allowed to eat away the substantial surplus as a result of
higher generation. From this point of view, it is desirable to
build the fuel costs and their impact on the economics of
generation into the scheme itself so that reasonable norms of
fuel consumption are maintained.
2.2 The following objectives have been considered in designing the

incentive scheme.
2.2.1 To keep the Generating station in readiness to deliver e

x-bus output expressed as % of rated installed capacity so
that the available resources are optimized based on the
merit order operation thereby bringing about an
overall economy in generation.
2.2.2 To maximize generation of ele ctrical energy through

Page: 4 of 20
optimum use of installed power plant capacity and

reduction of cost per unit of energy generated. Th e
factors recommended for payment of incentive are
easily measurable and have a direct co-relation to the
extent of achievement of th e above objectives.
2.2.3 To ensure easy understanding of the scheme by the

employees, smooth implementation and amenability to
simple unambiguous computations.
2..2.4 The pa rameters for payment have been determined to

encourage better maintenance for higher availability of
plant.
2.2.5 The quantum of incentive offered to employees has to b e

enough to motivate them to put in extra effort while at
the same time, ensuring that payments are consistent
in economic terms with the level of performance.
3.0 OBJECTIVES
With the above as background and apart from the general purpose of
promoting motivation, morale and the team spirit among the
employees, the followings are the principal objectives of the
Incentive Scheme:
a) To keep the Generating station in re adiness to deliver ex-bus

maximum output expressed as % of rated installed capacity.
b) Maximization of generation of Electrical energy through
optimum utilization of installed plant capacity and other allied
resources.
c) Reduction of cost per unit of energy generated. d)
Reduction in absenteeism.
4.0 APPLICABILITY
The Scheme covers all regular emp loyees of NTPC other than Tanda
TPS, directly or indirectly engaged in Generation of Electricity. The
Scheme will not be applicable to: -
a) Apprentices under Apprentices Act and Trainees b)

Casual or daily rated employees
Page: 5 of 20
5.0 RECOMMENDED FACTORS FOR INCENTIVE PAYMENT T
To achieve the twin objectives of availability of plant for generation

of power and cost reduction, a multi-factor scheme has been
designed incorpo rating the following factors:
i) Generation Incentive based on Equivalent Availability Factor

%:-
Payment linked with Equivalent Availability Factor (EAF%) will

be paid monthly and quarterly to eligible employees. The
EAF% for a station shall be w orked out as per formula given
below :
a) The station s where ABT is in operation, the E AF% shall

be calculated as under:
EAF(%) = Declared Capacity(%) / Availability(%), as

certified by concerned Authority.
H owever, in case the certification of DC is issue d in

terms of MU the EAF% will be calculated as under:
Declared Cap.(MU), as certified by the

concerned Authority
EAF(%) = x 100
Ex-bus Generation (MU) at installed
capacity
b) Stations where ABT is not in operation, EAF will include

shortfall in generation due to backing d o wn (base d on
t he certificate issued) on the instructions of
RLDC/REB/CEA and will be calculated as under:
Actual Gen.(MU)+Shortfall in Gen.

EAF(%) = due to backing down (MU) x 10
Generation (MU) at installed capacity
Page: 6 of 20
The responsibility of obtaining the relevant certificate

from the above authorities will be of the
concerned Project/Station. If capacity declared is
found to be wrong and penalty imposed on NTPC on
account of the false declaration, the amount of
penalty sha ll be recovered from the
incentive payable to employee in proportion to their
basic pay. The maximum amount of recovery will
be restricted to the total amount of Generation
Incentive paid in that month.
d) Based on the EAF of the station, the incentive will be
payable as per performance-payment matrix in para 7.2
below .
(ii) Oil Consumption linked Incentive:- Payment will be made

monthly only to the employees directly and exclusively
engaged in operation and maintenance of the plant as per
para 8.0 below.
6.0 GENERATION LINKED INCENTIVE BASED ON EAF %

The Generation Incentive Scheme based on EAF% will have
monthly and quarterly components of payment linked with the
corresponding performance levels as detailed below . There will be
graded increase in rate of Incentive for increase in EAF% above
70% EAF. The maximum Incentive will be payable at EAF of 90%
and above. The Performance Payment matrix showing monthly and
quarterly payments is given in the Clause 7.2. The capacity for the
purpose of computing EAF% shall take in to the account deration of
newly commissioned units during the first year as given in clause
7.1. The total payment linked with EAF% will be as under: -
a) At 70% EAF - incentive payment will be 7.5% of basic pay.
b) For EAF% above 70% there will be gra ded increase in
incentive payment for every 1% increase in EAF% with
Page: 7 of 20
maximum incentive equal to 30.0% of basic pay at 90% EAF.

The graded increase in rate of Incentive payment has been
made as per details given below:-
6.1 Monthly Incentive

6.1.1 The monthly incentive will be paid based on Equivalent
Availability Factor (EAF%) achieved during the month.
6.1.2 Performanc e -Payment Relationship
At 70% EAF, the incentive payable is 5.625% of basic
pay and there will be graded increase in Incentive rate
with maximum incentive equal to 22.50% of basic pay,
payable at 90% EAF.
6.2 Quarterly Incentive

6.2.1 The quarterly incentive will be paid once in three
months based on the average EAF% achieved during
corresponding period. The performance period for
payment of quarterly incentive will be as under:
1st quarter - April to June
2 quarter -
nd April to September
3 quarter -
rd April to December
4 quarter -
th April to March
6.2.2 Performance-Payment Relationship
At 70% EAF, the total incentive payable for the quarter,
including monthly component is 7.50% of basic pay and
there will be graded increase in Incentive rate with
maximum Incentive being 30.0% of basic pay payable at
90% EAF.
6.3 An illustration showing computation of monthly and quarterly

incentive ra tes are enclosed for reference.
7.0 CAPACITY AND PERFORMANCE -PAYMENT RELATIONSHIP
7.1 Capacity
Installed capacity will be taken as the basis for computation of
EAF%. When the capacity is de -rated/re -rated, the EAF will
be calculated on that basis. Review in capacity will be done
with the approval of Competent Authority . In case of newly
commissioned Unit, the capacity to be taken into account for
the computation of EAF % will be determined as follows:
Page: 8 of 20
a) Coal Stations
i) In the first two (02) months from the date of

commercial operation, it will be 60% of
installed/Ex-bus capacity.
ii) In the subsequent four (04) months, it will be 70%
of insta lled/Ex-bus capacity and thereafter, it will
be equal to 100% of installed/Ex-bus capacity.
b) Gas S tations
i) In the first month from the date of commercial

operation, it will be 60% of installed/Ex-bus
capacity.
ii) In the subsequent two (02) months, it will be 70%

of installed/Ex-bus capacity and thereafter, it will
be equal to 100% of installed/Ex-bus capacity.
c) For the purpose of calculating incentive rates, the EAF%

shall be rounded off to the nearest integer. Decimal of
0.5 and above will be rounded off to the next higher
integer while decimals below 0.5 will be ignored.
Page: 9 of 20
7.2 Performance Payment Matrix:
EAF(%) Incentive payable (% of Basic pay)

Monthly Quarterly Total
70 05.625 1.875 07.50
71 06.075 2.025 08.10
72 06.525 2.175 08.70
73 06.975 2.325 09.30
74 07.425 2.475 09.90
75 07.875 2.625 10.50
76 08.625 2.875 11.50
77 09.375 3.125 12.50
78 10.125 3.375 13.50
79 10.875 3.625 14.50
80 12.150 4.050 16.20
81 13.050 4.350 17.40
82 13.950 4.650 18.60
83 14.850 4.950 19.80
84 15.750 5.250 21.00
85 16.650 5.550 22.20
86 17.550 5.850 23.40
87 18.450 6.150 24.60
88 19.800 6.600 26.40
89 21.150 7.050 28.20
90 & above 22.500 7.500 30.00
8.0 INCENTIVE LINKED TO OIL CONSUMPTION FACTOR
The incentive will be payable monthly only if the Specific oil

consumption of the station is 2.00 ml/kwh or less in a particular
month. Similarly, there will be dis-incentive if the Specific oil
consumption of the station in any month is more than the 4.00
ml/kwh.
8.1 Performance Payment Table for Incentive- The
matrix of payments will be as under: -
Oil Consumption in Incentive as % of

ml/kwh monthly basic pay
Above 2.00 Nil
2.00 – 1.76 0.70
1.75 – 1.51 1.00
Page: 10 of 20
1.50 – 1.26 1.30

1.25 – 1.01 1.60
1.00 – 0.76 1.90
0.75 – 0.51 2.20
0.50 & below 2.50
8.2 There will be no incentive for oil consumption between 2.00

ml/kwh and 4.01 ml/kwh.
8.3 Dis -incentive for excessive oil consumption - The matrix for
dis-incentive with respect to excessive oil consumption will be
as under:-
Oil Consumption Dis-ince ntive as %

in ml/kwh of monthly basic pay
4.01 – 4.25 0.70
4.26 – 4.50 1.00
4.51 – 4.75 1.30
4.76 – 5.00 1.60
5.01 – 5.25 1.90
5.26 – 5.50 2.20
5.51 & Above 2.50
8.4 The total disincentive for excessive oil consumption for the
month will be subject to a maximum of 25% of total incentive
payable.
8.5 The above incentive on account of oil consumption will be

payable o n ly when the base level of generation i.e. 70% EAF
is achieved. If the EAF% in any month is less than 70%, there
will be no incentive/disincentive on account of oil
consumption.
8.6 For the purpose of generation linked incentive, the capacity

for computation of EAF% for a newly commissioned unit, is
derated to 60% in the first 2 months and to 70% in the
subsequent 4 months. The actual specific oil consumption will
be moderated in the similar manner during first six months.
This moderation will be carried ou t in the following way:
a) During first 2 months after = 60% of oil consumption

Page: 11 of 20
date of commercial operation (Moderating factor-

0.6)
b) During subsequent = 70% of oil consumption
04 months (Moderating factor-0.7)
c) After 06 months of = 100% of oil consumption
commercial operation (Moderating factor-1.0)
8.7 The specific oil consumption (x) of the station for the purpose
of oil linked incentive will be computed as follows:-
Σ Ci * Mf
x (ml/kwh) = ---------------------------------------
Total generation of station in MU
Ci = Oil consumption in K.Liter for Unit ì'

Mf = Moderating Factor for unit as given in
para 8.6 above.
8.8 There may be situation in a project when some of the units

may not have completed 06 months of commercial operation.
Under this situation, the calculation of station specific oil
consumption for the purpose of incentive shall be carried out
as per example given below:-
a) Total number of units - 5
b) No. of unit(s) months which have completed - 3 (Unit

06 of commercial operation I,II & III)
c) No. of unit(s ) which have completed 03-06 - 1 (Unit

months of commercial operation IV)
d) No. of unit(s ) which have completed less - 1 (Unit V)

than 03 months of commercial operation
e) Oil consumption of individual units :

Unit I C1 K.Liter
Unit II C2 K.Liter
Unit III C3 K.Liter
Unit IV C4 K.Liter
Unit V C5 K.Liter
Page: 12 of 20
f) Station specific oil consumption (x) for oil linked

incentive purpose will be:
C1+ C2 + C3+ 0.7*C4 + 0.6*C5
x = ----------------------------------------
Total generation of station in MU
The above station specific oil consumption `x' will then

be compared with the incentive/disincentive matrix
given above and incentive/disincentive will apply, as the
case may be.
8.9 The oil incentive payment is payable only to the employees in

Group-À'. The disincentive due to excessive oil consumption
will also be applicable to the employees in Group-À' only.
9.0. CLASSIFICATION OF EMPLOYEES FO R THE INCENTIVE

SCHEMES
9.1 For the purpose of payment of incentives under this scheme

the employees will be classified into the following groups:-
Group ‘A' : Eligible employees directly and exclusively
engaged in Operation & Maintenance of the
commissi oned unit or units including Auxiliaries
as specif ied in Para 9.2
Group ‘B' : All other eligible employees not covered under
Group À' above in respect of a station where all
units are declared under commercial operation.
This group will include employees as specified in
Para 9.2(i).
Group ‘C' : The employees posted in Civil Construction &
Equipment Erection department during
expansion/concurrent phase. This group will
include employees as specified in Para 9.2(ii).
9.2 Deptt./areas und er each group will be as under:

Deptts/Areas under Deptts/Area under Indirect Category
Direct Category (Group- (Group-B/C)
A)
Page: 13 of 20
Operations, Chemistry, (i) Group-B

Fuel Handling , EEMG, Head of Project, Commercial,
Fuel Transportation/ Plant Civil Mntce, R&M, T/ship
MGR, Maintenance Civil & Electrical Mntce., HR,
Planning, Mechanical, Autobase, Const. Workshop, EMG,
Page: 14 of 20
Electrical and C&I F&A, C&M, ETP, TS(P&S,FQA,FE),

Maintenance R&R, IT/Commn Safety. Tel.
(excluding mi nisterial Exchang e, Medical, Ash Utln.,
staff and drivers) Vigilance , TQM
All ministerial staff and drivers
including those posted in O&M.
(ii) Group-C
Erection & Civil Construction
Note:-
(i) The clarifications regarding any Department/Area not
covered above, its category for the purpose of incentive
payment will be obtained from Corporate HR Division.
Till suc h time, the matte r is clarifi ed the concerned
employee will be paid incenti ve of the i nd irect category .
(ii) The dep artment/a rea of po sting will be the basis for
category/group for the purpose of incentive. The
addition al area/function assigned, if any, will not
change incentive category/group of an individual
employee.
10.0 QUANTU M OF INCENTIVE
10.1 The Incentive rates indicated in the Performance Payment

relationship Matrix are to be applied on the Basic Pay for
corresponding period in respect of Equivalent Availability
Factor (%) both for Coal & Gas stations and in respect of Oil
Linked Incentive (para 8.0), for Coal stations only, on monthly
basic .
10.2 Th e generation incentive payment to empl oyees posted in

common service group i.e. indirect category (group-B) will be
as under:-
Direct Category Indirect

“Group – A ” Category
“Group – B”
100% of Incentive payable on EAF% as 85% of Group-'A'
indicated in the Perf.Payment Matrix. In rates indicated
addition employees under this category in Perf. Payment
would also be entitled for Incentive , as Matrix for factor
per Para 8.0, for Sp.Oil Cons p. of EAF(% )
Page: 15 of 20
10.3 Indirect Category Group-C during Expansion/Concurrent

phase:- The employees posted in Civil Construction &
Equipment Erection department will get 30% of
applicable rate of Generation Incentive of Group A.
10.4 The Generation Incentive payable during various stages of

project i.e. during O&M and concurrent phase/expansion
phase to all categories of empl oyees is given below as
illustration:
Stage/phase of the Generation Incentive Rate

Project/Station
Deptt/Areas O&M Service Erection & Civil
Function Construction
O&M Phase Group-A Group-B -
(a ll Units in (100%) (85%)
Commercial
operation)
Expansion/Concurren Group-A Group-B Group-C
t Phase (100%) (85%) (30%)
11.0 REDUCTION IN INCENTIVE PAYMENTS
11.1 In order to control the cost of generation and improve working

and performance of the power station, management in its
absolute discretion may introduce, from time to time, one or
more of the following factors for which reductions in incentive
rates will be made if the performance is below standard:
a) Control on auxiliary power consumption

b) Timely wagon unloading
c) Cleanliness
d) Excessive overtime payments
e) Any other relevant factor
11.2 The total deductions on account of all the above factors shall
not exceed 40% of the total incentive payable including
disincentive for oil consumption. Depending on the relevance
and requirements, the introduction/discontinuance and
extent of deduction may vary from station to station.
12.0 OTHER GENERAL CONDITIONS

Page: 16 of 20
12.1 The employees will be entitled to incentive payments on pro-

rata basis for actual period of attendance. The period of
training in India for a duration of not more than 15 days,
casua l leave and RH will be treated as attendance for the
purpose of incentive payment.
12.2 Th e a mount of Incentive earnings will neither be termed as

pay nor allowance, nor wages. Accordingly, this amount would
not count for any service benefits i.e. computation of House
Rent Allowance, Compensatory Allowance, cash
compensation, encashment of leave, pay fixation, Provident
Fund, Pension or Gratuity etc.
12.3 Employees may be transferred from one department/division

to another. In such cases their entitlement for incentive will
be determined as per the entitlement of the
department/division in which they are actually posted.
12.4 Relevant particulars and data relating to generation, oil

consumption, attendance etc., will be finalized on the basis of
records and accounts maintained by the Company.
12.5 The management reserves the right to review/modify the

scheme at its own discretion from time to time keeping in
view efficiency of the plant being increased/ improved through
installation of more or better equipment or by improving the
mechanical / process / technology / methods / systems and
procedures.
12.6 Computation of EAF% and specific Oil consumption (ml/kwh)

for the purpose of this will be made by HR in consultation with
F&A on the basis of certified data from Head of O&M, with the
approval of Head of Station/Project. At Regional Headquarter
in respect of EAF% will be done by Regional HR in
consultation with Regional F&A on the basis of certified data
provided by Regional OS/Commercial, with the approval of
Regional ED. Similarly, at Corporate Centre processing w.r.t.
EAF% will be done by Corporate HR in consultation with
Corporate Finance on the basis of certified data provided by
Corporate OS/Commercial or Regional Commercial/OS, with
the approval of GM(HR).
12.7 Generation Incentive payment to CC & RHqs employees

Page: 17 of 20
a) The Generation Incentive rate in respect of Corporate

Centre employees will be worked out based on the
weighted av erage on capac it y in commercial operation
of applicable incentive rate of the indirect category-
Group-B in each of the Station/Project of NTPC.
b) Similarly, the applicable Generation Incentive rates of

Region al Head qua rter employees will be worked out
bas ed on the w eigh ted aver age on c apaci ty in
commercial operatio n of applicabl e ince n tiv e rat e of the
indirect catego ry -Group-B in each of the pro jects w ith in
the respective regions.
--o--
Page: 18 of 20
Illustration for calculation of GI rates-Monthly and Quarterly components

Monthly M+Q Addl in Qtr. EAF Monthly M+Q Addl in Qtr.
Sl. (a) (b) Station -I (c) d=(c)-(b) (a) (b) Station-II (c) d=(c)-(b)
Month GI Rates GI Rates
EAF
1.1 April 86.00% 17.55% 74.00% 7.43%

1.2 May 86.00% 17.55% 73.00% 6.98%
1.3 June 84.00% 15.75% 71.00% 6.08%
1.4 Total GI paid (1.1-1.3) 50.85% 20.48%
1.5 1st Qtr(April-June) 86.00% 70.20% 19.35% 73.00% 27.90% 7.43

%
2.1 July 88.00% 19.80% 77.00% 9.38%
2.2 August 81.00% 13.05% 41.00% 0.00%
2.3 September 93.00% 22.50% 65.00% 0.00%
2.4 Total GI paid (1.1-2.3) 125.55% 37.28%

2.5 2nd Qtr (April-Sept) 86.00% 140.40% 14.85% 67.00% 0.00% 0.00
%
3.1 October 86.00% 17.55% 70.00% 5.63%
3.2 November 94.00% 22.50% 74.00% 7.43%
3.3 December 99.00% 22.50% 78.00% 10.13%
3.4 Total GI paid (1.1-3.3) 202.95% 60.45%
3 5 3rd Qtr (April - Dec) 89 00% 253 80% 50 85% 69 00% 0 00% 0 00%
Page: 19 of 20
4.1 January 90.00% 22.50% 74.00% 7.43%

4.2 February 100.00% 22.50% 80.00% 12.15%
4.3 March 95.00% 22.50% 81.00% 13.05%
4.4 Total GI paid (1.1-4.3) 321.30% 93.08%
5.0 4th Qtr (April -March) 90.00% 360.00% 38.70% 71.00% 97.20% 4.13%
6.0 Avg Inc in FY 30.00% 8.10%
N.B. Quarterly, Incentive will be payable only when total m onthly in centive paid in the quarter is less tha n the
minimum based EAF% of the quarter. If it is less than zero, it will be treated as zero.
Generation Incentive Updated as on: 31.01.2012
Page: 20 of 20
RECORD OF REVISIONS

No. Date
Revisions
D P Giri P K Senapati D S Rao

M(HR) M(HR) AGM(HR)
NTPC Incentive scheme for acquiring Updated as on: 31.01.2012
higher/additional qualifications Page: 1 of 11
NTPC INCENTIVE SCHEME FOR ACQUIRING

HIGHER/ADDITIONAL QUALIFICATIONS1
1.0 OBJECTIVE:
The NTPC Incentive Scheme for acquiring higher/additional qualifications has

been formulated with a view to encouraging employees to acquire higher/
additional qualifications so as to enable them to improve their knowledge and
professional competence for better and more efficient performance in their
respective functional areas. The scheme is intended to help the employees in
acquiring higher/additional professional qualifications primarily through part-time
or correspondence courses while continuing to perform their duties in the service
of the Company.
2.0 APPLICABILITY:
The Scheme shall be applicable to all employees and drawing pay in the regular
pay scales of the Company excluding the following :-
. i) Deputationists;
ii) Apprentices/trainees engaged under either Company's own training

scheme or Apprentices Act, 1961; and
iii) Muster roll, daily-rated, casual, badli or substitute employees.
3.0 ELIGIBILITY:
The incentive shall be admissible to the employees subject to fulfillment of the

following conditions of eligibility :
3.1 The employees must be on rolls of the Company on the date of commencement of
final examination.
3.2 The employee must obtain prior permission of the company before registering himself
with any Institution, College or University, except in cases where the employee
started the course before joining the Company.
3.3 The qualification should be higher/additional to the qualification(s) already

possessed and significantly relevant to functional area of responsibility. However, for
general/academic qualifications, as listed in Group 'E' of Annexure-I, all employees
will be eligible.
3.4 The expenses incurred by the employee for admission and/or pursuance of the
course of studies must not have been met, either in part or in full, by the
Company.
4.0 OTHER CONDITIONS:
4.1 If an employee, who has received the Incentive under the Scheme, leaves the
services of the Company within a year of the receipt of the incentive, he shall be
liable to refund the same to the company before his Resignation is accepted.
4.2 Request for grant of Incentive shall be made by the employee concerned within a
period of 180 days from the date of announcement of the results of the
examination(s).
4.3 Incentive under the scheme shall not be granted for more than three occasions
during the entire service of the employee with the company.
5.0 INCENTIVE:
5.1 On acquiring the prescribed qualification from a recognised

University/Institution/Body, an employee shall be eligible to the grant of a
lumpsum Cash Award as per the scale indicated at Annexure-I, in addition to the
examination fees.
In case of any doubt regarding the recognition or otherwise of a qualification, the

same shall be determined with reference to the approved practice in the
Government of India.
5.2 Examination fees referred to above, are in respect of final examination as well as
intermediate or part/section examinations. However, the fees shall not be
reimbursable more than once for the same examination.
6.0 PROCEDURE:
6.1 An employee desirous of claiming incentive under this scheme shall apply in the
proforma given in Annexure-II, through his Head of Department, to the Head of
HR, of the concerned Unit/Division, for obtaining prior permission of the Company
before registering himself with any Institution, College or University. The Head of
Department, after considering the merits of the case, should record his satisfaction
or otherwise that the qualification fulfils the requirements laid down in clause 3.3
above and indicate whether or not successful completion of the course will entitle the
employee to claim incentive under this scheme. The application will, then, be
processed in the concerned HR Department and put up to the General
Manager/Head of the Unit for his consideration and approval. Thereafter a
suitable communication will be issued to the applicant by the Concerned HR
Department.
With a view of enabling expeditious processing of the application, the same

should be submitted by the employee concerned at least 30 days before the last
date of enrolment for the course leading to the qualification to be acquired.
6.2 On successful completion of a prescribed qualification, the employee concerned

shall apply in the proforma given in Annexure-III, through proper channel, for the
grant of Incentive, to the Head of HR of the concerned unit/Division along with
original Mark Sheet from the appropriate Examination Authority. The application
will be processed in the HR Department and put up to the General Manager/Head
of the unit or any other Officer nominated by him for his consideration and
sanction of the Incentive. Thereafter, the sanction order will be issued by the HR
Department.
7.0 GENERAL:
7.1 In case of any doubt with regard to any provisions of the scheme and also in
respect of cases/matters not covered herein, the same should be referred to
corporate HR Division for decision/Clarification.
7.2 The powers to review list of qualifications, amount of cash awards and other
minor amendments/modifications to the scheme shall vest with the Chairman &
Managing Director.
7.3 Notwithstanding the provisions of this scheme, Management reserves the right to
transfer and/or assign and nature of work to an employee pursuing any course
under the scheme, depending upon exigencies.
AUTHORITY;
1. Corporate Personnel IOM No. 01 : Pers : 4(28) Dt. 16.9.1985
Replaced vide corporate Personnel circular No. 221/89 Dt. 27.1.1989.
2. Corporate Personnel Circular No. 238/89 Dt. 23.10.1989.
3. Corporate Personnel Circular No. 400/99 Dt. 1.1.1999
5. Corporate IOM No. 01: HR-Policy:4(28)/661 Dated 01.11.2006

ANNEXURE-I
LIST SHOWING THE PRESCRIBED QUALIFICATION AND

AMOUNTS OF CASH AWARDS
Group Qualifications Cash Award (Rs.)

A
i) Degree in Engineering/Technology/Computer
Science/Architecture/Medical Science/Business
Management/Administration/Personnel Management/Labour
Welfare/International trade from IIFT/Social Administration
(2years if full time and 3 years if part time)
ii) A.M.I.E. 9,000/- + examination fees

4
iii) CA/ICWA
iv) Final Examination of Institute of Company Secretaries of India

or Chartered Secretaries of UK
v) Associated membership of Institute of Chemists (India)
vi) MSW (Master of Social Work)
vii) MCA (Master of Computer Management)
viii) MCM (Master of Computer Management)
x) MIB (Master of International Business)

PG Degree in Mass Communication
xi)
MFC (Master of Finance & Control)
xii)
PG Course in Social Welfare Administration (TISS)
xiii)
Chartered Financial Analyst (ICFAI)
xiv)
M.Sc. (environmental Science)
(Courses from vi to xiv shall be of 2-3 years duration)

xv)
M.Tech. (Full Time: 1 ½ -2 Yrs)
xvi
M. Tech. (Part Time: 2 ½ -4 years)
B Degree in
7,000/- + examination fee 4
Journalism/ Horticulture/ Library & Information Science/
Marketing and Sales Management/ Materials Management/
Law (2 years if full time and 3 years if part-time)
PG Diploma in Labour Law, Company Law, Business Law,

PR, Computer Applications, Finance, Marketing, HRM,
Training & Development, Mass Communication
(Duration of the above courses shall be of 2 years 4)
BBA (Bachelor in Business Administration)
BSW (Bachelor in Social Work)
B.Sc. (Environmental Studies)

BCA (bachelor of Computer Applications)
(Duration of the above courses shall be 3 years)
C
i) Diploma in
Engineering/ Technology/ Computer Science/ Architecture/City 5,500/- + examination fee 4
Planning of Landscape Architecture/Medical Science/Materials
Management/Management/Business Administration Personnel
Management/Labour Welfare/Social Administration (1 year if full
time and 2 years if part time)
ii) Diploma in
Journalism/Horticulture/Library and Information 4,500/- + examination fee 4
Science/International Trade/Marketing And Sales
Management/Law/Training (2 years full time and 3 years
part-time) 4
iii) Vocational courses from ITI/NCTVT in technical areas of a

duration of not less than 2 years.
iv) National Certificate examination in supervision conducted

by National Productivity Council.
Diploma in Hospital Administration

(Duration 2 years) 4
Group Qualifications Cash Award (Rs.)
D Vocational Coursed from ITI/NCYVT etc. in technical

areas.
i) 3,500/- + examination fees 4

Of a duration of one year or more but less than two
years
2,500/- + examination fees 4
ii) For a duration of 6 months to one year
E General and Academic Qualifications
i) 3,500/- 4
Matriculation or equivalent
4,500/- 4
Bachelor’s degree in Science/Arts/Commerce
ii)
15,000/- 4
iii) Ph.D
NOTE:
a) All the above qualifications should be obtained from recognized Universities/ Institutions;
b) All correspondence course, for whatever, duration will be treated as part-time course.
c) Examination fee will be admissible only once, not for passing past examinations.
ANNEXURE-II
N T P C LIMITED
NEW DELHI
Application form for obtaining permission for acquiring higher/additional qualification

where the employee is desirous of claiming incentive on acquisition of the qualification.
1 Name:
2 Employee No:
3 Designation:
4 Department:
5 Scale of pay:
6 Date of appointment in the company:
7 Details of higher/additional
qualification proposed to
be acquired:
a) Qualification:
b) Duration of the course:
c) Name of the University/

Institution/College from
which higher/additional
qualification is
proposed to be obtained:
d) i) Whether course is by
correspondence or by
attending regular/
part-time classes, :
or
ii) If by attending part-

time classes, hours
of attendance:
iii) if the course is full-time,

state whether study leave
has been granted.:
e) Last date of enrolment to the

course (This application should be
submitted at 30 days before the last
date of enrolment.):
f) Amount of examination fees payable:

8. Details of any incentive

received under the existing
scheme.:
Certified that pursuit of the above course shall not affect performance of my
official duties.
Date : Signature of the Applicant
9. The qualification to be acquired is higher/additional to the qualification already possessed

and significantly relevant to the functional area of responsibility.
Permitted/Not Permitted Signature of the

Head of Department
Name:
Designation:
____________________________________________________________________________
(For use in HR Department)
1. Whether the qualification proposed :

to be acquired is additional/higher
than the qualification possessed for
the post held by the applicant.
2. Whether conditions stipulated in the :

scheme are satisfied by the
applicant.
3. a) Recommended/Not recommended :
b) If not recommended reasons :

thereof
Date: HR Officer/Sr. HR Officer
(For use by the approving authority)
Approved/Not Approved
Date : Signature of the

Approving Authority
Name :
Designation:
ANNEXURE-III
N T P C LIMITED
NEW DELHI
Application for grant of incentive for acquiring higher/additional qualifications
1. Name :
Employee No :
Designation :
Department :
Scale of pay :
Date of joining NTPC :
Date of enrolment to the course :
8 i) Whether prior permission for enrolment to :

the course leading to the higher/additional
qualification was obtained under clause
3.2 of the Scheme.
ii) Date of application for permission :
iii) Reference No. and Date vide which :

permission was accorded.
9. Details of examination fees paid
Rs._______
Date________
Receipt No.______
10 Date of announcement of Results :
11 Details of expenses, if any incurred by :

the Company on the course
Date : Signature of Applicant
Encl ; Original Mark Sheet

(For Use in HR Department)
Prior Permission for enrolment to the course for the above mentioned qualification/examination has
been obtained on____________
The employee had started the course prior to joining NTPC. A Cash Award of
Rs.________(Rupees___________________) and reimbursement of examination fees of
Rs.________________(Rupees__________________________) claimed may be sanctioned.
Date: HR Officer ./ Sr.HR Officer
Sanctioned payment of Rs. _____to Shri___________________________ Employee
No.___________towards Cash Award of Rs.____________________ and reimbursement of
examination fee of Rs.____________________________
Date: Signature of the

RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Incentive scheme for promoting small family Updated as on: 31.01.2012
norms Page: 1 of 13
INCENTIVE SCHEME FOR PROMOTING SMALL FAMILY NORMS1
1.0 OBJECTIVE:
The scheme is introduced with a view to encouraging the employees of the

Company to pursue small family norms, consistent with National Population
Policy.
2.0 SCOPE AND COVERAGE :
2.1 The Scheme will cover all full time employees of the Company other than lien
holders, deputationists apprentices/trainee master roll, daily rated, casual, badli
or substitute employees. Notwithstanding the above, lien holders and
deputationists will be entitled to the medical facilities as provided in this scheme
for the purpose of pursuing small family norms.
2.2 the incentive(s) will be admissible to the eligible employees (i) who themselves or
whose spouses undergo sterilisation operations; (ii) in case of female employees,
who take recourse to IUCD insertion; and (iii) in case of male employees, whose
spouses undergo such IUCD insertion.
3.0 ELIGIBILITY:
The incentive(s) shall be admissible to the employees subject to the fulfilment of

the following conditions of eligibility.
3.1 The employee must be within the reproductive age group. In case of a male
employee, this would mean that he should not be over 50 years of age and his wife
should be between 20 and 45 years of age. In the case of a female employee,
she must not be above 45 years of age and her husband must not be over 50 years of
age.
3.2 The employee should not have more than three living children to be eligible for
the incentive of special increment. However, there would be no such condition as.
to the number of living children for the grant of other incentive/benefits under the
scheme3.
3.2.1 Where a couple has twins after the birth of their first two children he/she will be
eligible for the grant of special increment, notwithstanding the fact that the number
of children becomes four.
NB : This scheme came into force with effect from 30.11.81. However, the financial
incentives came into force with effect from 4.12.79 for all such employees as were
norms Page: 2 of 13
on the rolls of the Corporation on the date of sterilisation operation, performed

not earlier than 4.12.1979.
3.3 Only one of the couple will be eligible for the grant of financial incentive(s) at their
option even when both of them undergo sterilisation operation. This is
notwithstanding the fact that both are working in the Company or one of them is
working either in a Government department/public sector
undertaking/autonomous body/local body or any other organisation where
similar incentive(s) are admissible. In such a situation the grant of incentive(s)
will be further subject to a certificate to the effect that the spouse of the employee
has not claimed and will not claim the same from the spouse's employer
organisation, duly endorsed by the employer wherever possible.
4.0 FINANCIAL INCENTIVES:
The following two kinds of financial incentives are admissible:
4.1 Cash (lump-sum):
A. For sterilisation operations :
Employee having
Less than 3 Employee having
children Three More than
children 3 children
Female employees Rs. 400 Rs. 150 Rs. 120

undergoing tubectomy
operation
Male employees/ spouses2 Rs. 200 Rs. 150 Rs. 120

of female employees
undergoing vasectomy
operation & female spouses
undergoing tubectomy
operation
B. For I.U.C.D. (Intra-Uterine Contraceptive Device) insertion : Rs. 10 to the

acceptor female employee or spouse of male employee (to be claimed
by the employee concerned).
norms Page: 3 of 13
4.1.1 The cash (lump-sum) incentive is inclusive of the incentive admissible, if any, under
the appropriate State/Central Government Schemes.
4.2 Special Increment:
A special increment would be allowed to the various categories of employees as

detailed below :
Category of employee Rate of Increment
1. Workmen employees in the Three annual

grade of W0-W7 10 Increments
2. Supervisors and workmen Two annual

employees in the grade of Increment
W8 and above 10
3. Executives 10 One annual

Increment
The rate of annual increment to be taken into account for the above purpose would
be the incremental rate next due at the time of grant of the incentive.
The above special increment would be treated as personal pay and would remain
fixed and paid to the employee as a separate element of pay, during his/her entire
service in the Company, irrespective of his/her change in pay/ rank for any reason
whatsoever.
NOTE : 5 (i) Consequent upon revision of pay scales for employees in executive,
supervisory and workman categories w.e.f.1.1.1987, it has been decided
that the rate of special increment granted for undergoing sterilization
operations under the Incentive scheme for promoting small family norms,
in respect of such employees who were already in receipt of the same prior to
1.1.1987 shall be revised w.e.f. 1.1.1987 to a amount equivalent to the
lowest rate of increment in the revised scales correspond to the pay scales
of the post against which the concerned employees had earned the special
increment in the pre-revised scales of pay.
(ii) As regards employees who undergo sterilisation operations on or after

1.1.1987, special increment under the aforesaid Incentive scheme
shallbe allowed at an amount equivalent to the value of increment due
subsequent to the date of sterilisation under the revised scales of pay, in
which the employees were drawing pay at the time of undergoing
sterilisation operations.
norms Page: 4 of 13
NOTE : 6 The aforesaid shall only apply in case of employees who were granted family
planning increments in NTPC under the NTPC Incentive Scheme for promoting
small family norms. In case of employees joining from the organisation where
family planning increment had been granted, the above principle would have to
the followed by the concerned organisations and that NTPC can only protect the
amount of family planning increment that had been granted by the other
organisation to the Employer concerned.
NOTE 7 : Consequent upon revision of Pay Scales for employees in workman category w.e.f.
1.1.1992, it has been decided that the rate of Special Increment granted for
undergoing sterilisation operations under the Incentive Scheme for Promoting
Small Family Norms, in respect of such employees in the workman category who
were already in receipt of the same prior to 1.1.1992 shall be revised w.e.f.
1.1.1992 to an amount equivalent to the lowest rate of increment in the revised
scales corresponding to the pay scales of the post against which the concerned
employees had earned the special increment in the pre-revised scales of pay 7.
NOTE 8: The Special Increment allowed to employees for undergoing sterilization operation
earlier to 31.12.96, will be revised w.e.f. 1.1.97 to an amount equivalent to 1/2/3
increments(s) at the minimum of the scale (at the relevant percents of the minimum of
the revised scales) corresponding to the pay scale of the post against which the
employee had earned the Special Increment in the pre-revised scale of pay. The other
terms and conditions in this regard will remain the same.
In respect of employees who become entitled to Special Increment on or after 1.197,

the rate of the same would be revised on the basis of the applicable revised rate
of increments.
NOTE 9 Special Increment allowed to employees for undergoing sterilization operation earlier to
01.01.2007 shall be revised w.e.f. 1.1.2007 to an amount equivalent to 1/2/3
increments(s), as applicable, at the minimum of the revised pay-scale corresponding to
the pay scale of the post against which the employee had earned the Special
Increment. The other terms and conditions in this regard shall remain unchanged.
In respect of employees who become entitled to Special Increment on or after

1.1.2007, the amount of the same shall be revised on the basis of the applicable
revised rate of increment on revised basic pay on the date of applicability. The
effective date shall continue to be the first day of the month following the date of
sterilization.
4.2.1 In case of an employee drawing pay at the maximum of/beyond the scale of pay held
by him/her, the annual increment referred to above would mean the last incremental
rate of the pay scale held.
4.2.2 If an employee qualifies for the special increment during leave period, the benefit
of increment would not be admissible to him during the leave period. However, if he
norms Page: 5 of 13
had qualified for the same before proceeding on leave, the special increment
would be taken into account for the computation of leave salary.
4.2.3 If an employee is deputed for training and he is allowed to draw the pay and
allowances of the post from which he proceeded for such training, the benefit of
special increment would be admissible to him during such training period.
4.2.4 If an employee qualifies for the special increment during the suspension period,
the same would not be taken into account for the purpose of computation of
subsistence allowance. However if he had qualified for the benefit before being
placed under suspension, the increment would be taken into account for the
computation of subsistence allowance payable to him.
4.2.5 If an employee qualifies for the special increment during the period of his
deputation/foreign service to another organisation, the rate of special increment to
be allowed in the form of personal pay would be equivalent to the amount of
increment to which he would have been entitled to but for his proceeding on
deputation/foreign service. However, no deputation allowance would be admissible
on such personal pay.
4.3 Debarring
4.3.1 If a male employee/the spouse of a female employee, having three living children
undergoes vasectomy operation at a time when his wife/the female employee was
pregnant, he/she would not be eligible for the special increment.
4.3.2 If a female employee/the spouse of a male employee undergoes hysterectomy

operation, she/he would not be eligible for the special increment.
4.3.3 If an employee/the spouse of an employee, who had undergone sterilisation

before the effective date of the scheme, undergoes sterilisation again after such
effective date due to the earlier operation turning out to be a failure, the
employee would not be eligible for the special increment.
4.4 Effective Date
4.4.1 The special increment would be admissible with effect from the first of the month
following the date of sterilization.
4.5 Procedure for grant of financial incentive(s)
4.5.1 An eligible employee may apply on the prescribed application form as at

Annexure-I, through proper channel, for the grant of the financial incentive(s) to
the Head of Personnel and Administration of the concerned unit/division along
with requisite certificate's) from the prescribed authority as mentioned in clause
6.0. The application will be processed in the concerned HR Department and put
up to the General Manager/Head of the Unit or any other officer nominated by
him in this behalf for his consideration and sanction of the grant of financial
norms Page: 6 of 13
incentive(s). Thereafter the sanction order will be issued by the concerned HR

Department.
4.6 The grant of the special increment will be subject to the condition that the
employee/spouse of the employee for whom the benefit has been claimed, if
takes resort to recanalisation for any reason whatsoever, the fact would be
reported to the forthwith. For this purpose, an undertaking as set out in Annexure-
I shall be obtained from the employee concerned before granting him the benefit
of special increment. In case of such recanalisation, the special increment shall
stand withdrawn from the date of recanalisation.
5.0 SPECIAL CASUAL LEAVE :
5.1 The employees/the spouses of the employees pursuing small family norms would
also be entitled to special casual leave as detailed hereunder :
Nature No.of days Remarks

(1) (2) (3)
1. Male employee 6 working Starting from

undergoing day at a the date of
vasectomy stretch sterilisation
Nature No. of days Remarks

(1) (2) (3)
2. Female employees
undergoing tube-
ctomy operation
a) Non-puer- 14 working -do-

peral days at a
stretch
b) Puer-peral Nil Will be covered

by the maternity
leave taken, due or
otherwise.
3. Spouses of male 7 working Starting from the
employees under days at a date of sterili-
going tubectomy stretch. Sation
norms Page: 7 of 13
operation (both
puer-peral &
non puer-peral)
4. Working supouses 7 working a) To be granted

(in NTPC) of day at a to the male
male employees stretch employee
undergoing tube-
ctomy operation b) From the date
(both puer-peral of sterilisa
& non-puer-peral)2 tion
5. Female employees One day For the date of

taking recourse insertion.
To IUCD insertion
NOTE2 : No special Casual Leave is admissible to the female employees whose

spouses, where working in NTPC or otherwise undergo vasectomy operation.
5.2 There is no objection to an employee combining the special Casual leave

with casual leave alone or other kind of regular leave as may be due to
him/her but not both (casual leave & regular leave).
5.3 In such circumstances where first vasectomy operation performed on a male

employee or the first tubectomy operation performed on a female employee/ the
spouse of a male employee was a failure and the concerned person has to undergo
a second sterilisation operation, the above benefits of special casual leave would
also be admissible for the second time provided the authorised doctor certifies to
the effect that the first operation was a failure and subject to countersignature of
such certificate by the Company's Authorised Medical Officer.
6.0 COMPETENT:
6.1 In order to be eligible for the benefits under this scheme, the sterilisation
operation/the insertion of IUCD must be conducted in and the certificate issued by
the Company's own dispensary/hospital or any Government hospital/clinic or any
other hospital/clinic notified (by name) by the management for medical
attendance and treatment of its employees. For this purpose, the term
"Government hospital" includes a military hospital, a hospital maintained by local
authority, a hospital run by railway administration/other public sector
undertakings and any other hospital with which the Central/State Governments
have arrangements for treatment of the government servants. Where this may not
be possible, such a certificate from a voluntary institution getting grants from the
Government of India/State Government for conducting the operations or any other
institution approved/recognised by the Central Government for the purpose, will
norms Page: 8 of 13
also be acceptable subject to the same being duly countersigned by a

(Government) Civil surgeon or district (Government) Medical Officer.
NOTE : An eligible employee who & whose undergoes sterilisation operation in a private
nursing home or a private hospital may also be allowed incentive for promoting
small family norms provided he/she produces certificate from private medical
practitioner/private hospital duly countersigned by a Civil Surgeon/District Medical
Officer/Authorised Medical Attendant/Medical Officer of Central Government
hospital to the effect that the concerned employee or his/her spouse has actually
undergone sterlisation on the date mentioned in the certificate4
6.1.1 In case of vasectomy operation the authority issuing sterilisation certificate must
also certify the complete absence of sperms and that the operation has been
completely successful, as per standard format enclosed at Annexure II.
7.0 MEDICAL FACILITIES :
7.1 The facility of sterilization operation/IUCD would be available free of cost of the
employees/their spouses in the Company's dispensary/hospital.
7.2 Where the facility cannot be availed of in the Company's

dispensary/hospital either due to lack of such facilities or due to non-existence of
such dispensary/hospital, the expenses incurred in connection with sterilisation
medical attendance and treatment under the relevant Medical Attendance Rules,
provided the facility is availed of in one of the hospitals institutions mentioned in
clause 6.0.
8.0 GENERAL:
In case of any doubt with regard to any provisions of the scheme and also in
respect of cases/matters not covered herein, the same should be referred to
Corporate HR Department for decision/clarification.
AUTHORITY:
1. Corp. Pers. Circular No. 88/81 Dt. 30.11.1981
4. Corp. Pers. IOM No. 01:Pers; 16(11) Dt. 29.6.1987
5. Corp. Pers. Circular No.275/91 Dt. 18.09.1991
6. Corp. Pers. IOM No.01:Pers:16(II)/230 dt. 15.12.92

norms Page: 9 of 13
7. Corp. Pers. Circular No. 338/95 dt. 19.09.95
8. Corp. Pers. Circular No. 444/2000 dt. 6.07.2000
9. Corporate HR IOM NO. 01: HR-Policy:16(11):453 dated 11.04.2002
ANNEXURE-I
REQUEST FOR GRANT OF FINANCIAL INCENTIVES FOR FOR PURSUING

SMALL FAMILY NORMS
(Vide Rule 4.5)
1. Name 2. Employee No.
3 Designation 4. Department
5. Scale of Pay 6. Basic Pay
7. Date of sterilization
Operation/insertion of I.U.C.D. .
8. Name of Doctor/Clinic/Hospital
(Certificate to be enclosed)
9. Sterilisation/insertion of IUCD
undergone by : self/spouse
norms Page: 10 of 13
10. Name of the spouse :

(To be indicated if the answer
at Serial No. 9 is spouse)
11. Age/Date of Birth:
a) Self
b) Spouse
12. No. of living children:
13. In case number of Yes/No

children is four, please
state if the last two
children were born as twins
DECLARATIONS
I certify that:
i) I/my wife Smt._________________ am/is not pregnant on this date;
ii) I/my wife Smt._____________________have/has not undergone hysterectomy

operation on medical grounds;
iii) I/my spouse have/has not undergone this sterilisation operation due to the earlier
sterlisation operation, undergone prior to 4.12.1979, turning out to be a failure;
iv) I/my spouse have/has not received any amount from any authority under any
State/Central Government Scheme, I/my spouse have/has received Rs.________
for undergoing this sterlisation operation from______
v) My husband/wife is not employed
vi) My husband/wife is employed in___________ but he/she has not and will not
claim any financial incentive from his/her organization for this kind of sterilisation
operation (to be supported by a certificate from the later's organisation, wherever
possible).
2.1 I solemnly declare that the information furnished by me in reply to the various items
indicated above is true to the best of my knowledge and belief.
It is, therefore requested that I may please be granted the financial incentive(s)
as admissible under the rules.
If I/my spouse have/has to take resort to recanalisation for any reason

whatsoever, I undertake to report the fact forthwith to the concerned HR
Department.
Date Signature:
Forwarded to the Manager (HR)/Unit Controlling Officer
Date: (Designation and Department)
(For use in HR Department)
1. The application has been scrutinised in terms of the rules and it is certified that:
a) the applicant fulfils all the eligibility conditions and other requirements of
the rules; and
b) the facts stated in the application are correct as per the official records.
2. It is recommended that the following financial incentive(s) may be granted to the

applicant.
a) Cash (lumpsum): Rs.
b) Special Increment: Rs.
Dated : Signature of HR Officer/

Senior HR Officer
The financial incentive(s) as proposed at 2 (a) and/or 2 (b) is hereby sanctioned to the
applicant.
Dated : Signature of Sanctioning

Authority
ANNEXURE-II
N T P C LIMITED (CORPORATE HR DEPARTMENT)
Proforma of the Certificate from the attending Doctor, to be submitted for

claiming the incentives for pursuing small family norms.
I, Dr._______________________________hereby certify that I have conducted

*Vasectomy/Tubectomy Operation/insertion of I.U.C.D. on Shri/
Smt.__________________________________________husband/wife of
Shri/Smt.__________________________________employed
as_________________in_________________at________________________on
_________________
2, A sperm count was undertaken on__________________________ and on

the basis thereof it is certified and the Vasectomy Operation has been
completely successful.
(Para 2 in the case of Vasectomy operation only).
*Delete words where not applicable.
Dated : Signature_______________
Name &
Designation
with Seal
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Incentive Scheme for National and All India Updated as on: 31.01.2012
Awards Page: 1 of 4
INCENTIVE SCHEME FOR NATIONAL AND

ALL INDIA AWARDS1
1.0 OBJECTIVE:
1.1 The Scheme is introduced with a view to giving recognition to employees of the
Company for their unique accomplishments in innovation, technology, work
performance, sports etc.
2.0 SCOPE & COVERAGE:
2.1 The Scheme will cover all full time employees of the Company, but shall exclude
lien holders, deputationists, apprentices/trainees, muster roll, daily rated, casual,
badli or substitute employees.
3.0 ELIGIBILITY:
3.1 The incentive under the scheme shall be admissible to only those employees who are
conferred a National/All India awards as specified hereunder.
3.2 Employees who have received the specified Award before the introduction of this
scheme shall also be eligible for the incentive under this scheme, provided the Award
has been conferred during his service in NTPC, from the date of the Award.
3.3 If an employee receives different awards during his service in NTPC, each will be
treated as separate award for the purpose of payment of incentive.
4.0 FINANCIAL INCENTIVE :
4.1 The employees who are awarded any of the specified National/All India awards shall
be granted one special increment from the date the award is actually conferred.
However the ‘Shram Ratna’ awardees shall be given two increments instead of one
from the month in which award is conferred.3
4.2 The rate of annual increment to be taken into account for the above purpose
would be the incremental rate next due at the time of grant of the incentive.
4.3 The above special increment would be treated as personal pay and would
remain fixed and paid to the employee as a separate element of pay, during
his/her entire service in the Company, irrespective of his/her change in pay/rank
for any reason whatsoever.
Awards Page: 2 of 4
4.4 In case of an employee drawing pay at the maximum of/beyond the scale of pay
held by him/her, the annual increment referred to above would be at the rate of
last increment earned by the awardee.
5.0 ENTITLEMENT:
5.1 The incentive under the scheme shall be admissible, if any one or more of the
Award as specified below are conferred on an employee:
1. Invention Promotion Scheme Award.
2. Jivan Raksha Award.
3. Prime Minister's Shram Award.
4. Arjun Award for Sportsmen.
5. S.S. Bhatnagar Award.
6. Homi Bhabha Award for excellent scientific work.
7. Indian Science Academy (INSA) Award.
8. Bharat Ratna.
9. Padma Vibhushan.
10. Padma Bhushan.
11. Padma Shri.
12. AshokChakra.
13. KirtiChakra.
14. Shaurya Chakra.
15. Sarvottam Jeevan Raksha Padak.
16. Uttam Jeevan Raksha Padak.
17. Fire Service Medal awarded by the President of India.
18. Lalit Kala Academy Award.

Awards Page: 3 of 4
19. Sangeet Natak Academy Award.
20 Sahitya Academy Award.
CMD shall be authority to decide addition to the above.
6.0 PROCEDURE:
6.1 It would not be necessary for an eligible employee to apply for incentive under
the scheme. It shall be the responsibility of the HR department of Project/Division
concerned to ensure that an employee who wins any of the awards specified in
the scheme is allowed the incentive as provided.
6.2 Director (HR) shall be the sanctioning authority in respect of all employees.
7.0 GENERAL:
7.1 In case of a doubt with regard to any provision and also in respect of
cases/matters not covered hereunder, the same should be referred to the
Corporate HR Division for decision/clarification.
7.2 The scheme can be amended, canceled or withdrawn without any notice and
without assigning any reason thereof, as may be decided by CMD.
AUTHORITY:
2. Corporate IOM No. 01/Pers/HR/362 dated 1999
4. Corporate HR IOM No. 01:HR-Policy:4(21)/4(27)/743 Dated 15.12.2010
Awards Page: 4 of 4
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Scheme for grant of Non-Monetary Incentive Updated as on: 31.01.2012
Page: 1 of 3
SCHEME FOR GRANT OF NON-MONETARY INCENTIVE1
1.0 OBJECTIVE:
With a view to encouraging and motivating employees towards productivity

improvement, it has been decided to introduce the Scheme as a means o:
recognition of work of exceptional or outstanding nature.
2.0 COVERAGE:
The Scheme shall cover and be applicable to all the regular employees of the
Company including probationers drawing pay in regular pay scales.
3.0 NATURE OF INCENTIVE :
The incentive would be in the form of commendation letters which would be of two
types, as under :
3.1 Project/Plant/Unit Certificate of merit; and
3.2 Corporate Certificate of Merit.
4.0 PROCEDURE:
4.1 The cases of the employees who prima-facie are adjudged suitable for the
commendation letters shall be considered at the project/plant/unit level by a
screening Committee consisting of all heads of Departments as members and the
General Manager/Unit Head as Chairman. The Committee shall go into the
details of each case and select those who merit special commendation While so
selecting the employees, the Committee would exercise due fairness and
objectivity and record the reasons in writing in each case. The employees so
selected shall be awarded the commendation letter in the form of a
Project/Unit/Plant Certificate of Merit by the General Manager/Head of the Unit
concerned.
4.2 The cases of those employees whose performance is rated as of highly exceptional
nature, may be referred with full facts and details to Corporate HR by the
Screening Committee for consideration of award of Corporate Certificate of
Merit. All such cases would be considered at Corporate Centre by a Screening
Committee, consisting of Chairman & Managing Director. Functional Directors
and Executive Directors, in the same manner as detailed at para 4.1 above.
Those who are considered suitable by the Committee would be awarded the
Page: 2 of 3
Corporate Certificate of Merit by the Chairman & Managing Director. Cases of

employees who are not adjudged as suitable for Corporate Certificate of Merit will
be referred back by the Corporate Screening Committee to the General
Manager/Head of the Unit concerned with the recommendation for award of
Project/Plant/Unit Certificate of Merit or such other recommendations as are
deemed fit by the Corporate Committee.
4.3 The commendation letters in the form of Certificates of Merit would be awarded to
the employees at a function to be suitably organised for this purpose at the Unit
level and Corporate level, as the case may be on occasions like Republic Day,
Independence Day etc.
4.4 Photographs of the employee-recipients of Certificates of Merit would be

published in the respective Project/Unit/Plant House Journals and Corporate
House Journal, as the case may be, accompanied with appropriate write-ups.
Details of all such cases where Certificates of Merit are awarded at the Unit
level should be sent to Corporate HR Division for information and record.
AUTHORITY:

Page: 3 of 3
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Long Service Award Scheme Updated as on: 31.01.2012
Page: 1 of 4
LONG SERVICE AWARD SCHEME
1.0 TITLE:
The Scheme shall be called the “NTPC Long Service Award Scheme”
2.0 OBJECTIVE:
The scheme has been formulated for rewarding the employees suitably in
recognition of their continuous service rendered by them for a specified number
of years, so as to further motivate them and strengthen their sense of
belongingness to the Company. 4
4
3.0 APPLICABILITY:
The Scheme shall be applicable to all employees appointed in the regular
payscales of the company. The deputationists and lien holders would be
governed in accordance with the provisions mentioned at para 3.1
4.0 ELIGIBILITY:
4.1 An employee shall be eligible for grant of awards under the Scheme on
completion of 15 years and 25 years of continuous service.
4.2 Continuous service, as above, shall mean uninterrupted service put in by an
employee in the Company and shall include:-
(a) Period of deputation in case of employees deputed to other
undertakings/organization; and
(b) Period of deputation/lien (in case of persons working in NTPC on
deputation from or holding lien in other organizations) in case they are
absorbed in the services of the Company.4
(c ) The training period of trainees recruited under the company’s own
training Scheme and absorbed in the company thereafter. However in
case of NTPC employees working in other organizations, not on
deputation but holding lien in NTPC, the period during which they worked
in other organization will not be counted for purpose of this scheme.4
Page: 2 of 4
5.0 An employee who has been awarded with a major penalty shall be debarred for
consideration under the Scheme for 2 years from the date from which the penalty
becomes effective and this period shall not be counted towards continuous
service for this scheme.4
5.1 Cases of employees under suspension or against whom disciplinary vigilance

proceedings are pending, the award would be kept pending the decision of
enquiry and/or disciplinary/vigilance proceedings and would be decided based on
the outcome of the enquiry and penalty awarded, if any. However if the employee
completes 15 or 25 years before the commencement of any disciplinary/vigilance
proceedings, but after the reference date of 31st March, he/she would be entitled
to receive the award.4
6.0 THE AWARD:
(a) On completion of 15 years of continuous service, the employees shall be

presented with a silver plaque weighing 110 gms.
(b) On completion of 25 years of service, the employees shall be presented
with a gold coin weighing 10 grams.2
In addition, a ‘Long Service Certificate’ shall also be presented to the

concerned employees.
7.0 PROCEDURE:
Continuous service for the purpose of grant of award, as above, shall be
reckoned as on 31st March of every Calendar year and presentation of the Long
Service Award on rendering 15 years of continuous service and 25 years of
continuous service shall be made in April / May each year. For this purpose, the
respective units shall organize functions for presentation of the awards.
It shall be the responsibility of the concerned HR department to prepare the list of

employees who shall be eligible for grant of Long Service Award.
7.1 The employees who have separated from the service of the company after
completion of 15 and 25 years of service without receiving their long service
Page: 3 of 4
award shall also be awarded the same at the time of separation, in their
respective farewell functions and it shall be the responsibility of concerned HR
Deptt and HOD to ensure distribution of awards to them.4
8.0 GENERAL:
Grant of any award under the Scheme is not a condition of service and can be
withdrawn anytime at the discretion of the Company.
Authority:
1. CORPORATE PERSONNEL CIRCULAR NO.450/2000 Dated:07.11.2000

3. CORPORATE HR IOM NO. 01:HR-POLICY:4(21)/538 DATED 20.09.2004
Page: 4 of 4
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Swarn Shakti Award Updated as on: 31.01.2012
Page: 1 of 5
NTPC SWARN SHAKTI AWARD
The goals and targets that any organization sets before it can be achieved only through
concerned efforts of all its employees working together as a cohesive whole. In a multi-
unit organization like NTPC healthy competitions between various Projects/Stations not
only motivate the employees to perform better but also bring about improvement in the
overall performance of the organization.
NTPC Awards were instituted with the objective of recognizing & rewarding the
Projects/Units for excellence in performance in the areas of Productivity, Safety,
Employee Relations, Rajbhasha, Protection & Improvement of the Environment, Health
Services, CSR & Community Development and Project management.
To keep abreast with the changing business scenario, the Award witnessed many
changes. From the year 2005 the Award was named as NTPC Swarn Shakti Awards
and is awarded in eight categories. Each Award comprises of the Trophy and a citation
to the Project/ Station adjudged the Winner & Runner Up in each of the eight categories.
1. PRODUCTIVITY AWARD
The Productivity Award is based on the performance of the Power Station of
NTPC. All the power stations of NTPC are eligible to compete for this Award.
The factors that are taken into account for determining performance are Plant
Load Factor, Plant Maintenance Target & Actual Achievement, Efficiency,
financial parameters including O&M cost, R&M budget, Energy audit etc.
2. SAFETY AWARD
The objective of the Safety Award is the extent to which the Projects / Stations
have built up safety consciousness, safety awareness and the level of safety
practices and safe working conditions in the project. There are two sub-
categories of safety awards viz for the Major Project and Minor Projects. The
factors that are taken into account are Frequency Rate of Accidents including
Page: 2 of 5
Fatal and Non Fatal, efforts made for creation of Safety Awareness, to increase
level of participation of employees in adopting safe practices to eliminate
accidents etc.
3. EMPLOYEE RELATIONS AWARDS

The Award is aimed to recognize and award the efforts made by the Project team
for maintaining good and harmonious industrial relations in the Project to
promote orderly development of sound industrial relations and to foster better
understanding between employees and the Management on the mutuality of
interests in the Project and eventually the Organization to build a cohesive team
of employees and Management with a feeling of brotherhood in order to improve
all round production and productivity. The evaluation is done on parameters like
Communication Meetings, Issues Resolved through Councils, Working of
Grievance Machinery and other relevant parameters.
4. PROTECTION & IMPROVEMENT OF ENVIRONMENT AWARD

The objective of the Award is to bring out competitiveness and awareness among
NTPC Power Stations for improvement in general environment; to recognize and
award the efforts made by the power station for protecting and improving the
environment in and around the power station and townships; to promote constant
surveillance for maintaining healthy environment which is so essential for life
systems; to encourage power stations to consciously and diligently adhere to all
norms and standards set by various authorities and legislations for maintaining
healthy environment for improvement in the working conditions of the employees
and for maintaining a clean and healthy society. The Assessment of the Award
is done on the basis of factors like air quality, water quality, ecological aspects
etc. Separate Awards are given for Coal Stations and Gas Stations.
5. RAJBHASHA AWARD
This award has been instituted to motivate the NTPC Projects to increase the
use of Official Language for communications purposes. The factors that are
Page: 3 of 5
taken into account are the location of the Project, the extent the Project has
made efforts to use the Official Language, the training programmes it has
organized and other efforts made for furthering the cause of Rajbhasha.
6. BEST HEALTH SERVICES AWARD

This Award has been instituted to assess the Quality of Medical Services
rendered by the Hospitals located at NTPC Projects and to promote healthy
competition amongst NTPC Hospitals thereby bringing continuous improvement
in the health care delivery system. The objective is to make our health care
system more efficient, more effective and to instill a sense of responsibility and
accountability in the minds of health-care providers. The factors like medical care
to patients, health promotion, disaster management plan, prevention of diseases
and occupational health are evaluated.
7. CORPORATE SOCIAL RESPONSIBILITY & COMMUNITY DEVELOPMENT

AWARD
This Award was introduced in the year 2005. The objective of the award is to
encourage operating stations to formulate effective community development
programmes covering larger population, to improve the efficiency of
implementing the community development programmes, to promote consultation
and the participation of the stakeholders and to recognize the efforts made by
stations in development of neighbouring community. The Award aims to assess
the performance of operating stations for the programmes/activities executed
under the CSR-CD policy for a given financial year with focus on process of
implementation as well as the results achieved. The station is evaluated
comprehensively on the basis of budget utilization, identification of
programmes/activities, funding arrangements, participation of stakeholders,
impact of the programmes, most outstanding programme, training on CSR,
monitoring & review and documentation & reporting.
8. PROJECT MANAGEMENT AWARD

Page: 4 of 5
The Project Management Award aims at giving recognition to the NTPC Project
that exhibits the best performance in Project Management during the year based
on all the important parameters namely adherence to project milestone,
budgetary control, adherence to quality requirements, safety, managerial control
and management of local environment. The project management award scheme
is meant to create healthy competition for better performance among the projects
and to create a holistic approach among the project team in management of the
ongoing projects.
OVERALL CHAMPION AWARD (ROLLING)

Overall Championship Trophy was introduced from the year 2007-08 and is
awarded to the project that has excelled in the maximum categories of Awards.
Page: 5 of 5
RECORD OF REVISIONS

No. Date
Revisions
Dharmendra Kumar P M Mathew A N Verma

SO(HR) M(HR) AGM(HR)
NTPC Reward System Updated as on: 31.01.2012
Page: 1 of 62
NTPC REWARD SYSTEM

1.0 Preamble:
1.1 NTPC believes in the power of People and it is the professional

philosophy of the management to create an enabling organisational
culture for people to demonstrate their creativity, initiative and involve
in holistic development, through recognition and celebration of
achievements.
1.2 Even the research shown that it is the people’s behaviour and commitment
that create excellence and drive business results. It is also well established
that behavior which gets rewarded gets reinforced.
1.3 Although NTPC has formulated many HR Policies for employees’ development
and growth, it was felt that there is still space for enhancing employees’
motivation and morale on a continuous and sustained basis.
1.4 Keeping the above in mind, a bouquet of special Rewards and

Recognition Schemes is evolved with an objective of reinforcing good
work and behavior of employees in order to achieve Organisational
excellence.
2.0 Objectives:
The objectives of the NTPC Reward System will be:
2.1 To recognize and reward employees behaviour for enhanced motivation
2.2 To create a culture of excellence through Value Actualisation and

demonstration of leadership
2.3 To create role models at all levels for emulation and inspiration
2.4 To foster and nurture a culture of recognition and celebration in NTPC
2.5 To encourage overall development of employees through involvement

in TQM initiatives and other Socio-Cultural activities.
2.6 To encourage involvement in Corporate Social Responsibility efforts.
2.7 To promote exhibition of human values and NTPC Core Values

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3.0 Rewards:
3.1 The various rewards included within the scope of the NTPC Reward
System are as under:
i) Thank You Slips
ii) Applause
iii) Appreciation letter
iv) STAR of the Month
v) Employee of the Year
vi) Vidhyut Awards
vii) Power EXCEL Awards
viii) PEARL Awards
ix) ACE Awards
x) Mentors Samman
xi) Manveeyata Puraskar
xii) Welcome Parties
xiii) Farewell Parties
3.2 The system for administering the above rewards and its presentation
is detailed in the Scheme.
3.4 The revised NTPC Reward System will come into force with
immediate effect.
4.0 Scope:
4.1 The NTPC Reward System will combine in itself the thirteen rewards
& recognition as mentioned above. The System shall in its scope
cover all Projects / Power Stations/Units/Regional Offices/Corporate
Center of NTPC and applicable to all regular employees on the rolls
of the Company subject to meeting specific conditions mentioned in
each Reward System.
5.0 Administration:
5.1 The nodal departments at different locations for administering the

System are:
5.1.1 At Projects / Stations - HR
5.1.2 At Regional HQs - HR

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5.1.3 At Corporate Centre – HR-EOC
5.2 Procedure for administration of different Rewards is detailed in the

Scheme
5.3 Rewards shall be made only, if, in the opinion of the committee of Judges
a recognition really becomes due. The verdict of the competent authority,
with respect to that particular reward, is final and binding. No disputes
will be entertained.
5.4 The NTPC Reward System is purely a voluntary System introduced by

Management for enhancing motivation & morale of the employees and
does not confirm any right or obligation
6.0 Design of the System:
6.1 In the schemes details of aims / objectives, procedural frame work

etc. of each of the eleven rewards have been provided.
6.2 In the entire system the words “Reward” & “Award” have been used as
complementary, with the same meaning, depending upon the context.
7.0 Review:
7.1 The Dire ctor (HR) is empowered to administer, interpret, clarify,

revise, amend or modify any or all the provisions of the NTPC Reward
System.
Auth ority:
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Details of NTPC Reward System
Level wise Location wise

S.No Name of the Reward
Applicability Applicability
01 Thank You Slips All Employees Unil Level
02 Applause All Employees Unit Level

All Employees up to
03 Appreciation Letter Unit Level
E7
04 STAR of the Month Non Executives Unit Level
Deptt. Level &
05 Employee of the Year Non Executives
Unit Level
06 Vidhyut Awards Non Executives Company Level
Power EXCEL Awards - Executives up to E6,

07 Unit Level
Power Executive Excellence excluding HODs
Awards
PEARL Awards -
08 All HODs Region Level
Performance Excellence Awards
for Regional Leadership
09 ACE Awards - All BUH & GMs Company Level

Awards for Corporate Excellence
10 Mentors Samman All Mentors Unit Level
All Employees upto
11 Manveeyata Puraskar Unit Level
E7
New appointees &
12 Welcome Transfer –in Unit Level
employees
All Superannuating
13 Farewell Unit Level
Employees
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THANK YOU SLIPS
i) Objective: To promote a culture of Thanks giving, acknowledgement of help

rendered by other employee(s) and appreciation of any thoughtful gesture /
help extended by an employee to another employee irrespective of level,
function, department & station.
ii) Applicability/ Eligibility: All employees
iii) Criteria: Any good work done by anyone in the department / group may be
appreciated through feel good slips / a card.
iv) Recognition: Employee who wants to recognize another employee for any of
the reasons mentioned above may leave a “Thank You Slip” on the desk of
such an employee or e-mail the same to him/her. This is an appreciation of
one employee by another towards realization of NTPC Core Value “Mutual
Respect & Trust”
v) Responsibility: The respective HRD executive shall arrange sufficient no of

Slips.
vi) HRD – CC shall create a standard Thank You Slip, which can be
replicated.(sample placed below)
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Dear ,
THANK YOU
Your Help was very timely &
supportive.
I am indeed grateful
Name:________ Signature:______
E.No.________ Dated:______
APPLAUSE
i) Objective: To appreciate a task well done / target achieved within stipulated

time by an individual employee or group of employees in a section/department.
ii) Applicability/Eligibility: Individual / group of employees within a section /

department
iii) Criteria: To recognize any initiative/job well done by subordinate/ group in

day-to-day functioning.
iv) Award: '

a. 'Standing applause'' is given to the Individual or the group of employees by
inviting to section/ departmental meeting
b. A list of people who have got applause in a particular month shall be displayed
on the notice board/Local Web Page for a period of 01 month.
v) Responsibility: Head of the dept/Sectional Head

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vi) Frequency of Applause: As frequently as possible. At least one applause in

each meeting /once a week.
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Appreciation Letter
Objective
To place on record good work done by an employee/group of employees for
recognition and motivation.
Applicability
All employees up to the level of E7
Responsibility to issue Appreciation letters
Category Responsibility to issue appreciation

All Non-Executives Concerned Group Head (Mgr/Sr. Mgr) in
consultation with HOD
E1 - E5 Head of the Department ( DGM / AGM)
E6 – E7 Business Unit Head (GM / ED)
Reward
Appreciation letter to the individuals/group of individuals shall highlight the

specific contribution/instance.
Periodicity
As frequently as possible. There is no limit on number of times an employee
could be appreciated for good work.
Process
The section or department that wants to appreciate the good work done by
its employee(s) may present a letter of appreciation as per Proforma – A1 in
case of individuals and Proforma – A2 in case of a member of a Team, duly
signed by the designated officer keeping in view the following guidelines.
• Specific job should be highlighted
• Should be issued within a week
• Copy to go to personal file
• Copy to HOD in case of Non-Executives
• Copy to BUH/ED/Functional ED in case of Executives depending up
on the location viz Project/Regional HQ’s/Corporate center.
• Quarterly report of appreciation letters by all HOD’s to HR in
units/ HR in Regional HQ’s / HR-EOC in CC.
Responsibility
The immediate reporting officer
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Proforma – A1
Letter of Appreciation
(individual)
Date:
Dear Shri / Smt./ Kum.
The following work done by you is noteworthy.
______(describe the specific contribution, with date of occurrence) __

_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
I appreciate the good work done by you. I hope that you will continue
to put in your sincere efforts in future also and spread the culture of
performance amongst others
With best wishes
Yours Sincerely
( )
To
Shri / Smt./Kum. _________________

Emp. No. __________________
Designation________________
Dept. / Sectn. _____________
Copy : BUH/RED/ED(Function)
HOD
Personal File
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Proforma – A2
Letter of appreciation
(as a team member)
Date:
Dear Shri / Smt./Kum.
The following work done by you, as a member of the team, is

noteworthy.
______(describe the specific contribution of the team as well as the

member, with date of occurrence) _______________________________
___ _________________________________________________________
_____________________________________________________________
_____________________________________________________________
I appreciate the good work done through team work by you. I hope
that you will continue to put in your sincere efforts in future also and
spread the culture of team work amongst others.
With best wishes

Yours Sincerely
( )
To
Shri / Smt./Kum. _________________

Emp. No. __________________
Dept. / Sectn. _____________
HOD
Personal File
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STAR of the Month
Objective
To recognise consistent good work done by the employees.
Applicability / Eligibility
All non-executives
Criteria
Non-Executive, who has shown consistent punctuality, discipline, customer
orientation, participation in TQM initiatives, team playing etc.
Number of Awards
01 award may be given by each department in a month to the deserving

employees. One employee may be entitled for more than one star of the
month award in a year.
Reward
¾ A small pin-up badge stating “STAR of the month” by HOD in

presence of team members.
¾ Name of the employee with the photo should be put on notice
boards.
Responsibility
Concerned Head of the Department
Periodicity
Once a month, to be awarded not later than 4th of the following month.
If during a month no employee is found suitable, the award may not be
given for the month.
Process
The concerned Head of the department shall evaluate the recommendations

received from the reporting officer in the format (Proforma – B) and choose
the best employee for the award. Each Departmental Head shall send the
particulars of the winning employee to the Head of HR in units & Regional
Hqrs / HR-EOC in CC, for records.
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Template of the badge for STAR of the Month Award
Size: 2 cm dia
Material: Plastic / Metal
Design Scheme: Base – Plain

Colour - White
Star – Size – fit to circle size
Embossed
Colour – Cerullian Blue
Holding system: Pin up type
Layout Scheme:
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Proforma – B
Star of the Month – Nomination Form

(for Non- Executive Employees)
Month
Name of the Employee: Employee No:
Designation: Section: Department
Max. Marks
S.No Parameter for Evaluation Remark
Marks Awarded
1.0 Punctuality & Regularity in attending Office
- (No. of days attended Office Minimum 80%
20
attendance, and on time etc.)
2.0 Discipline & Amenability to Rules

(Incident of early leaving without permission, 15
availability in work location etc.)
3.0 Customer Orientation

(Polite Behaviour, Courteousness in dealings, 10
Proper use of language etc.)
4.0 Participation in QC / Suggestion Scheme

(Level of Participation in QC, 20
No of Suggestions contributed,
Level of Participation in 5-S activities etc.)
5.0 Team Player 10
(Helps colleagues and other team members)
6.0 Critical/Exceptional Job done:
(give detailed description of the activity that 25
makes him eligible)
TOTAL 100
Reporting Officer Approving Authority (HOD)

Name & Designation Signature Comments Name &
Designation
Approved /
Not approved
Date : Signature of HOD:

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Employee of the Year
Objective
To recognize and reward exemplary performance for creating role models

and a performance culture.
Eligibility
Non-Executives, who have got a minimum of two “STAR of the month”
awards and four “Appreciation Letters” in a year
Criteria
Non-Executives, who exhibit outstanding all round contribution through

regular & active participation in various TQM initiatives, extra curricular
activities, demonstrate additional skills etc. as per the parameters stated in
Proforma- C
Rewards
Two level of awards at each location i.e. unit / region / CC
(a) Unit level – Position no. 1 and 2 based on selection of all

nominated employees from each department, for “Employee of
the Year” with a gift of Rs. 2,000/- each & an appreciation
letter (Proforma enclosed in Annexure C – 6)
(b) Departmental: All those who were nominated for the unit level
employee of the year award but did not qualify for the same
would be considered based on their position for “Department
Employee of the Year” award. There would be only one award
in this category for each department with a gift of Rs. 1000/- &
an appreciation letter (Proforma enclosed in Annexure C – 7)
i. An illustrative list of different departments applicable

to different Units/Projects/Stations/Regions/CC for the
purpose of this reward is enclosed at Annexure C-1 to C- 4
and also the norms for overall limit for no. of
Departments in different locations is enclosed at
Annexure C-5
ii. The recipients of Employee of the year at Unit level

shall be given a letter of appreciation conferring on them
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“Arun / Abha of the Unit” (e.g. Farakka Arun (for male

employees) and Farakka Abha (for female employees) as
the case may be.
Recognition
Category Award Responsibility

- Names with photographs of the - Concerned HOD
recipients of Employee of the Year
Departmental award shall be displayed on
Level Departmental Notice Board, House
journal etc.
- Winners of 1st and 2nd positions to be - Head of HR

given certificates on NTPC Raising Day
(7th Nov) and they should be seated in
Unit / Region/ VIP enclosure along with their families.
CC Level - Employees of the year to be sent on
visit to other organisations or one
week training at other places in the
region.
Periodicity - Annual (1st April to 31st March)

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Procedure
Level Procedure Approving Authority
The concerned HOD will forward the

Department first TWO names of the Non-Executive
BUH / Regional ED /
(Unit/Region/ employees based on the criteria stated
ED(CP)
CC) in Proforma - C to Head of HR for
consideration for Unit level Award.
All nominations of eligible employees

received from each department will be
evaluated by a committee of five HODs
as constituted by BUH / ED for the RHq.
based on the parameters stated in
Unit / Region Proforma - C. BUH / Regional ED
The recommendations of the
committee shall be put up to the BUH/
ED of the RHq. for his approval.
The awards shall be presented to the
winners on in public gathering.
All nominations of eligible employees

shall be sent to HR-EOC, which in turn
puts up the same to a committee of
five HODs as constituted by ED(CP) for
its evaluation based on the parameters
stated in Proforma - C.
Corporate
ED (CP)
Centre The recommendations of the
committee shall be put up to ED(CP)
for his approval.
The awards will be presented to the
winners in a public ceremony by
Director (HR) on NTPC Raising Day.
Maintenance - At Unit / Regional Level – HR

of Records - At Corporate Centre – HR-EOC
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Proforma – C
Employee of the Year – Nomination Form

(for Non- Executive Employees with 02 or more Star of the Month Awards & 04 or more
Appreciation letters)
YEAR: Department:
Employee 1st Employee 2nd Employee

Particulars
Name
E.No.
Designation
Section
Marks allotted
Maximum
SN Parameter
Marks
1st Employee 2nd Employee
TQM initiatives like QC, 5S,
1 10
Suggestion Scheme etc.
Knowledge and skill enhancement
2 like multi skilling, acquiring 10
qualifications, special training etc.
3 Community work 05
4 Sports activities 05
5 Cultural activities 05
Marks allotted for letter of
appreciation received during the
6 10
year (No. of Letters of Appreciation
multiplied by 02)
Marks allotted for STAR of the
month award received during the
7 20
year (No. STAR of the month
awards multiplied by 05)
8 Any other noteworthy achievement 05
9 TOTAL MARKS 70
Signature of the HOD

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Committee Recommendations
Marks Allotted Employee 1 Employee 2 Name & Signature of Members
1. Marks
obtained
[(Sl.1-8) out of
70]
2. Marks
awarded by
Committee
(Out of 30)
Grand Total
(Out of 100)
Remarks of Approving Authority Signature of Approving Authority

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Annexure – C1
Grouping of Departments / Sections for the purpose of Rewarding

For Thermal Power Projects/Stations
Department Sections Department Sections
TSD GM Sectt FINANCE

TS FINANCE
P&S
FQA HR
FE HR
SAFETY PR
VIGIL TRAINING
IT LEGAL
COMMUN RAJ BHASHA
TQM SIMULATOR
R&R
MTP
R&M MEDICAL
R&M -MECH MEDICAL
R&M - ELECT HOSP ADMN
MAINT PLNG NURSING ADMN
O&E SUPPORT
COMMERCIAL C&M
EMG CONTRACTS
ENERGY CONSER MATERIAL
STORE
FUEL MGT.
MECH MAINTENANCE
FUEL HANDLING ELECT MAINTENANCE
MGR C&I and Civil MAINTENANCE
CHP
T/s Admn. Group
OPERATION OPERATION T/S CIVIL MAINT
CHEMISTRY T/S ELECT. MAINT
TOWNSHIP MAINT
HORTICULTURE &
CONST&ERECTION SANITATION
CIVIL CONST
MECH-ERECTION NOTE: The list is only illustrative, BUH may
Page: 20 of 62
C&I ERECTION use his discretion to club different Departments

ELECT ERECTION / Sections with in the prescribed number as
given in Annexure - C-5
Annexure – C-2
Grouping of Departments / Sections for the purpose of Rewarding Employee of

the Year
For Gas & Hydel Power Stations
Department Sections Department Sections
TSD GM Sectt Services

TS FINANCE
P&S HR
FQA PR
FE TRAINING
SAFETY LEGAL
VIGIL RAJ BHASHA
IT HORTICULTURE
COMMUN SIMULATOR
TQM R&R
CIVIL CONST T/S CIVIL MAINT
MECH-ERECTION T/S ELECT. MAINT
C&I ERECTION TOWNSHIP MAINT
ELECT ERECTION MEDICAL
HOSP ADMN
MTP NURSING ADMN
R&M CONTRACTS
R&M -MECH MATERIAL
R&M - ELECT STORE
MAINT PLNG
O&E SUPPORT OPERATION
COMMERCIAL CHEMISTRY
OPERATION
EMG & MAINT MECH MAINTENANCE
PLANT CIVIL MAINT. ELECT MAINTENANCE
ENERGY CONSER C&I MAINTENANCE
FUEL HANDLING
NOTE: The list is only illustrative, BUH may use his discretion to club different
Departments / Sections with in the prescribed number as given in Annexure - C-5
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Annexure – C- 3
Grouping of Departments / Sections for the purpose of

Rewarding Employee of the Year
For Regional Offices
Department Sections
Technical P&S
ENGG
OS
PROJ. MONTG
NEW PROJ
COMMERCIAL
EDP&COMMN
VIGILANCE
INSPECTION SERVICES
ALL INSPECTION OFFICES
Non-Technical HR
F&A
C&M
The list is only illustrative, Regional ED may use his discretion to

club different Departments / Sections with in the prescribed number
as given in Annexure - C-5
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Annexure – C-4
Grouping of Departments / Sections for the purpose of Rewarding

For Corporate Centre
S.no Department Sections

CMD&Directors' Sectt, CP,CMG, Corp.
1 Core functions Vigilance,Comml
2 HR Scope HR, Mtnce,Medical,Corp.Comm
3 EOC HR,Services,Proc,T/S,Rajbhasha,O&M, etc.

4 PMI PMI - HRD
5 Finance Scope Scope- Finance,Legal,Co.Secy.
6 EOC EOC- Finance, IT& Commn.

7 OS OS,R&D & CENPEEP, Fuel Management
PROJ. ENGG ED(Engg),PE(Mech.),PE(Elect.),PE(C&I),

8 TRTF,Env.Engg
NP Group,CSD,Cost Engg.,ES Doc Serv.,Print
9 Engg.Serv. Room,QA&I,Core
Hydro,Hydro,PC,PEM,Spl.Task force
10 CC&M JVC,SPV,EMG,R&R,SAFETY,AUH, APDRP
The list is only illustrative, HR-EOC at CC may use its discretion to club
different Departments / Sections with in the prescribed number as given in
Annexure - C-5
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Annexure – C-5
OVERALL LIMIT FOR NO. OF DEPARTMENTS IN DIFFERENT LOCATIONS
Max.No. of Departments in each of the area in different Units/Stations/Projects/Offices

Station/Project Thermal Gas Hydel Region CC
Capacity
O&M Non-O&M O&M Non-O&M O&M Non-O&M Technical Non-tech.
Upto 1000MW 6 4 3 2 3 2 2 1 10
Upto 2000MW 8 6 - - - - - - -
More than
10 6 - - - - - - -
2000MW
Illustrative lists, grouping different departments/sections are given in Annexure C-1 to

C-3 for the purpose of convenience. However, Regional EDs / BUHs may exercise
Note 1:
their discretion in deciding the groupings of depts., within the overall limits
prescribed in the above table, to suite their specific needs
Note 2: O&M includes Construction and Erection Departments also
Note 3: Annexure C- 4 is applicable for Corporate Centre only

Page: 24 of 62
Proforma – C 6
(Employee of the Year)
I am pleased to confer on you the “Employee of the Year Award”

for the year ______, for demonstrating Core Values, active
involvement in various TQM and HR initiatives, your contribution in
various community work, sports & cultural activities while fostering
a culture of team work and innovation in the Organisation.
I am sure you will continue to involve yourself in such activities and

contribute actively for Organisational excellence.
With best wishes to you and your family
Yours Sincerely,
( )
BUH/RED/ ED (CC)
To
Shri / Smt./ Kum. _________________

Emp. No. __________________
Location _____________
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Personal File
Page: 26 of 62
Proforma – C 7
(Departmental Employee of the Year)
I am pleased to confer on you the “Departmental Employee of the

Year Award” for _____________ department for the year ______,
for demonstrating Core Values, active involvement in various TQM
and HR initiatives, your contribution in various community work,
sports & cultural activities while fostering a culture of team work
and innovation in the Organisation.

Yours Sincerely,
( )
BUH/RED/ ED (CC)
To
Shri / Smt./ Kum. _________________

Emp. No. __________________
Location _____________
Page: 27 of 62
Personal File
Page: 28 of 62
VIDHYUT AWARDS
Objective
To recognize & reward meritorious Non executive employees from amongst

the entries of Shram Awards to Government of India
The entries for Shram awards submitted to Govt. of India, but were not
awarded.
Criteria
Such of those entries, which did not get Shram Award, would be considered
for this award.
Reward
- Letter of appreciation ( proforma D-1) under the signature of Director (HR)
- Cash Rewards
Rank of Award Nos. of the The different recipients of

the Value (Rs.) Awards Vidhyut Awards shall be called:
Award
1st 15,000.00 01 Vidhyut Jyothi
2nd 10,000.00 02 Vidhyut Punj
3rd 7,500.00 05 Vidhyut Kiran
* The Reward is to be equally shared amongst members, in case of a group being

winner. Reward amount to be decided by internal committee and the amount
shall be less than the cash amount given for Shram Awards in that year.
Responsibility - Corporate HR Division, HR-ER Group
Periodicity - Annual (1st April to 31st March)
Process
Page: 29 of 62
1. Selection : At Corporate Office, the committee (in the level of E7A /

E8) consisting of Corporate OS, HR & Finance who evaluates the
nominations sent for Shram award, shall also evaluate all non awarded
cases after declaration of the Prime Minister’s Shram Awards. The
committee will rank the projects as 1st, 2nd and 3rd positions for the
purpose of cash award. The proposals will be evaluated by the
committee as per the criteria prescribed in Proforma – D and send the
proposal after fixing the monetary reward to be given to the awardees
for the approval of competent authority. The monetary reward, so
fixed, shall not be more than the cash reward given for PM Shram Awards in
that year
2. Distribution of Award : To be done by respective BUH on NTPC raising

day i.e. 7th November, based on the format sent by Corporate HR-ER.
3. Publicity : Photographs to be put on Notice Boards and in News letters.
Approving authority: Director (HR)

Page: 30 of 62
Proforma – D
VIDHYUT Award – Evaluation Form

(For Non-Executives recommended for Shram Award but not awarded by GOI only)
Year
Name Brief of the Saving Details (Rs.) Type of Savings Nos of Ranking
of the Innovative Employees
Project Idea involved
Total Foreign One time Recurring
Saving Exchange
Committee Comments and Signature of the

Recommendation Signature of Members Approving Authority Dir(HR)
(Shall include Amount
recommended as cash
reward)
Page: 31 of 62
Proforma – D-1
Letter of Appreciation for Vidhyut Award to be issued on the DO letter of

the signing Authority
Date:
Dear Shri / Smt./Kum.
I am pleased to confer on you the Vidhyut ( Jyothi/ Punj/ Kiran )

award for the year ______, for your exemplary work in ______
___________ ______.
I am sure you will continue to show the commitment and zeal for
Organisational excellence.
Yours Sincerely,
( )
Director (HR)
To
Shri / Smt. / Kum._________________

Emp. No. __________________
Location _____________
Page: 32 of 62
Personal File
Page: 33 of 62
Power EXCEL Awards
Objective
To recognize excellence in discharging official duties & demonstration of
NTPC core values.
Applicability/Eligibility
All executives upto E6, excluding HODs
Criteria
a) -Innovations and improvements in his area of work.
- Contribution towards group efforts
- Demonstrates Core Values at work and during interactions
b) -Should have received at least one 'Appreciation Letter' or
Manveeyata Purskar
Reward
- These awards shall be given under the name POWER EXCEL awards (Power
Executives Excellence Awards)
- Training in India ( upto 7 days as per choice of the executive.)
- Letter of appreciation under the signature of BUH/GM (Proforma E-1)
- A cash Reward of Rs. 5,000/- each to the winners will be presented
NO. OF
LOCATION CATEGORY REMARKS
AWARDS
3 Gas projects to
E1-E4
PROJECT / have one only
STATION
E5-E6 3 Gas projects to
have one only
E1-E4 01
REGIONAL
OFFICE:
E5-E6 01
E1-E4 03
CORPORATE
CENTRE
E5-E6 03
Hydro E1-E4 01
Page: 34 of 62
Projects,
JVs & E5-E6 01
Subsidiaries
Responsibility
Concerned HOD will initiate the proposal for consideration by the

committee consisting of five (05) HODs nominated by BUH/ED. Head of TSD
would be the coordinator for the above committee.
Periodicity - Annual, i.e. Financial Year.
Procedure
The selection would be based on the nominations made by HODs against the
criteria as mentioned above. Each department may nominate two names,
one uptoE4 level and another at E5-E6 level, in Proforma-E.
The committee constituted by BUH/ED would evaluate all the nominations

based on the criteria set in Proforma-E and award marks out of a maximum
of 20 marks and recommend the name of executive(s) for “Power EXCEL
Award” to Approving Authority.
The head of HR/HR-EOC as the case may be, would compile all the data
pertaining to these awards.
The awards shall be finalized by end of April every year and presented in
SMC at units, HOD meeting at Regional Hqrs and special meeting at CC.
Approving authority
The approving authority for different locations would be as under
LOCATION CAGTEGORY
PROJECT / Head of Project /

STATION Station
REGIONAL
Executive Director
OFFICE:
CORPORATE
Executive Director (CP)
CENTRE
Page: 35 of 62
Publicity
Name and photographs to be published on Notice boards and newsletters

Page: 36 of 62
Proforma – E
Power EXCEL Award – Nomination Form
(for Executives upto E6 level)
Year Category O&M / Non O&M/ Region Hq / C.C
Name of the Employee: Employee No

Designation: Department
Marks
Max.
S.No Parameter for Evaluation Remark award
Marks
ed
Innovativeness & Improvements in his area of
1.0
responsibility. 10
2.0 Contribution towards effectiveness of the

Group activities
- Sharing Responsibility 10
- Active participation
- Inter department co-ordination
3.0 Demonstration of Core Values

- At work place & Social life
Courteousness in dealings 10
- Customer HR-EOC, displaying positive
attitude
Initiative taken / Critical incidence
4.0 10
(Please describe)
5.0 TQM Activities:
- Promotion of 5-S, QC activities 10
- Participation in QIT, Benchmarking, etc.
6.0 Knowledge Management
a) Acquisition of M.Tech, MBA or any other
professional qualification
b) Acquisition of IT skills/7 days training
completion 15
c) Participation in NOCET/PC/Quiz etc.
d) Contributing articles in
Horizon/Powerscan/Newsletter/Being a
faculty in training etc.
7.0 Extracurricular activities
10
-Sports/Culture, recreation, community
development etc.
8.0 Nos of appreciation letters received during the 5
year
Page: 37 of 62
TOTAL MARKS OBTAINED 80
Recommendation of HOD Signature of HOD
Committee recommendations
Marks Total Marks obtained Comments Signature of Members
1. (Sl.1-8)
(out of 80)
2. Marks awarded
by Committee
(Out of 20)
Grand Total
(Out of 100)
Recommendation of Approving Authority Signature of Approving Authority

Page: 38 of 62
Proforma – E-1
Letter of Appreciation for Power EXCEL Award to be issued on the DO letter

of the signing Authority
Date:
I am pleased to confer on you the Power Excel Award for the year
______, for demonstrating Core Values, active involvement in
various TQM and HR initiatives and your contribution in fostering a
culture of team work and innovation in the Organisation.

Yours Sincerely,
( )
BUH/RED/ ED (CP)
To
Shri / Smt./ Kum. _________________

Emp. No. __________________
Location _____________
Page: 39 of 62
Personal File
Page: 40 of 62
PEARL Awards
(Performance Excellence Awards for Regional Leadership)
Objective
To recognise excellence in leadership & demonstration of NTPC core values
Applicability /Eligibility
All HODs and E7 & E7A at units & Regioanl Hqrs and at CC.(Excluding Head
of Project / Station)
Criteria
- Exhibition of Leadership qualities
- Achieving Excellence in his area of responsibility
- Demonstration of Core values
- Implementation of Strategic initiatives in HR, TQM, Cost control
measures, Corporate Social responsibility etc.
- Encouraging Creativity, innovation
Reward
- The awards shall be given under the name PEARL (Performance Excellence
Awards for Regional Leadership)
- Upto 10- days training of his choice in India & a cash award of Rs.10,000/-
to each award winner
- Appreciation Letter under the signature of Concerned ED (Proforma –F-1)
- Copy to be place in personal file/ PAR file.
Responsibility
Page: 41 of 62
RED
ED (HR) corporate Center
Periodicity - Annual (Financial Year)
Procedure
The selection would be based on the nominations made by BUH of Projects
and Regional Headquarters against the criteria as mentioned above. Each Unit
may nominate two names and Regional Headquarter one name in the
Proforma-F.
Committee consisting of ED of the region and all BUH of the region would
evaluate the nominations received based on the criteria mentioned in the
said Proforma and award marks out of a maximum marks of 20 to select two
from the region for the award.
At corporate centre each GM may nominate in Proforma – F, name of

E7/E7A meeting the criteria. A Committee consisting of D (HR) as chairman
and ED(CP), ED(F), ED(Engg) & ED(OS) as members will evaluate the
nominations received based on the criteria mentioned in the said Proforma
and award marks out of a maximum marks of 20 to select two for the
Award.
The awards shall be distributed in the RMC before June at Regional hqrs and
at CC in a Special meeting by June.
Publicity
Names and photographs on Notice boards and in NTPC News letters
Approving authority
Region: Executive Director
Corporate Centre: Director (HR)

Page: 42 of 62
Proforma – F
PEARL Awards– Nomination Form

(For HODs of units , RHqs and CC)
Year Unit / Location
Name of the HOD: Employee No:

Designation: Department:
Marks
Max.
S.No Parameter for Evaluation Remark awar
marks
ded
1.0 Exhibition of Leadership Qualities
- Assuming responsibility
- Subordinate Development (Training, Job
Rotation etc.) 25
- Motivational Ability
- Delegation and Empowerment
- Support to Cross functional efforts
2.0 Excellence in his area of responsibility
- Timely & Quality Decisions 15
- Commitment to Orgnl. Goals
- Inter department co-ordination

- Should be a Role model for Others 15
- Measures taken in the dept. for actualization
of Core Values
4.0 Implementation of Strategic initiatives
- In HR (like Mentoring, DC, getting trained as
Assessor etc.
- TQM (like 5-S, Benchmarking, PC, QC etc.) 15
- Cost control measures
- Introduction of new systems
- Encouraging Creativity & Innovation in Deptt.
Assuming Leadership role
5.0
- in Socio Cultural events
- Activities of Corporate Social Responsibility 10
- Participative forums
- Communication meeting with Employees
TOTAL 80
Recommendation of BUH / GM Signature of BUH / GM

Page: 43 of 62
1. (Sl.1-5)
(out of 80)
2. Marks awarded
by Committee
(Out of 20)
Grand Total
(Out of 100)
Recommendation of Approving Authority Signature of Approving Authority

Page: 44 of 62
Proforma – F1
Letter of Appreciation for PEARL Award to be issued on the DO letter of the

signing Authority
Date:
I am pleased to confer on you the Performance Excellence Award

for Regional Leadership (PEARL) for the year ______, for
demonstrating Leadership qualities in practicing and promoting Core
Values and encouraging various TQM and HR initiatives.
I am confident, you will continue to lead your team for achieving

Organisational excellence.
Yours Sincerely,
( )
RED/ Director (HR)
To
Shri / Smt. / Kum._________________

Emp. No. __________________
Location _____________
Page: 45 of 62
Personal File
Page: 46 of 62
ACE Awards
(Awards for Corporate Excellence)
Objective
To recognize excellence in leadership & demonstration of NTPC Core Values
Applicability/Eligibility
All Heads of Project/Stations

GMs in Regions and Corporate Centre
Criteria
Following parameters shall be considered for evaluating the award
Parameters Indicators
Introduction of new initiatives to
enhance productivity
Excellence in Strategic Leadership Reduction in Project / Station cost
Establishing business linkages with
Corporate Plan etc.
Implementation of TQM initiatives

Excellence through innovation, creativity, HR initiatives
knowledge management
Cost control measures etc.
Demonstration of Core Values as a

Core Values and Corporate social Role Model
responsibility Facilitating attitude
Implementation of CSR policy
Reward
- These awards shall be given under the name ACE Awards (Awards for
Corporate Excellence)
- up to 07 days of Training Abroad and a cash reward of Rs.15,000/- each to

the winners
Page: 47 of 62
-Letter of Appreciation to be presented in ECM by CMD/Special functions

In Delhi (Proforma –G-1)
Responsibility - ED (HR)
Procedure
The selection would be based on the nominations made from concerned ED of
the Region against the criteria as mentioned above. Each Region may
nominate one name in the Proforma-G.
At corporate centre each ED may nominate a General Manager in Proforma –

G, meeting the criteria.
A committee of Functional Directors with CMD as Chairperson will evaluate

the nominations received based on the criteria mentioned in the said
Proforma and award marks out of maximum marks of 20 to select one
General Manager from Corporate and two BUH / GM from all Regions /
Project/Station/Unit/ for the award.
Approving authority - Chairman and Managing Director
Publicity
Coverage in NTPC Corporate house journal

Page: 48 of 62
Proforma – G
ACE Award- Nomination Form
(For BUH / GMs)
Year Unit / Region /CC
Name of the BUH/GM Designation
Employee No Location
Max Marks
S.No Parameter for Evaluation Remark
Marks awarded
1.0 Strategic Leadership
- Establishing business linkages with
corporate plan
- Introduction of New Initiatives to
enhance productivity 25
- Communication Ability
- Subordinate Development
- Risk taking ability
- Entrepreneurship
2.0 Excellence in innovation & creativity
- Improvement of productivity
- Empowerment 15
- New strategic initiatives
- Winning of awards by project/stations
teams in NOCET/PC/QC/NCYM etc.
- Should be a Role model for Others 15
- Measures taken for actualization of
Core Values
4.0 Initiative taken
- In HR, TQM, Safety, IT, benchmarking 15
- Reduction in project / station cost
- Introduction of new system
Cultural Leadership role
5.0
- Vibrancy in Township socio cultural
events
10
- Activities of Corporate Social
Responsibility
TOTAL 80
Recommendation of Executive Director* Signature of Executive Director

Page: 49 of 62
* This should be supported by a write-up by ED.
1. (Sl.1-5)
(out of 80)
2. Marks awarded
by Committee
(Out of 20)
Grand Total
(Out of 100)
Remarks of Approving Authority Signature of Approving Authority

Page: 50 of 62
Proforma – G-1
Letter of Appreciation for ACE Award to be issued on the DO letter of the

signing Authority
Date:
Dear Shri / Smt. / Kum.
I am pleased to confer on you the Award for Corporate Excellence

(ACE) for the year ______, for demonstrating Core Values, excellent
Strategic initiatives, Leadership qualities and in fostering a culture
of creativity and innovation for various TQM and HR initiatives.
You have set yourself as a role model for others to emulate. I am

confident, you will continue to demonstrate strategic leadership
qualities for achieving Organisational excellence.
Yours Sincerely,
( )
Chairman and Managing Director
To
Shri / Smt. / Kum._________________

Emp. No. __________________
Location _____________
Copy : RED/ED(Function)
Page: 51 of 62
Personal File
Mentors Samman
Objective
To recognise the active services of mentors in socio cultural integration of

mentees with the company’s environment.
Applicability
All mentors who have been attached with current batch of ETs for
mentoring.
Reward
- A letter of appreciation – as per Proforma – H
- A token gift/memento of Rs. 1000/-
- To be awarded on 5th Sept.
Responsibility
Unit Head of HR is responsible for implementation
Approving authority: Business Unit Head

Page: 52 of 62
Proforma – H
Letter of appreciation – Mentors Samman
Date:
We are proud of your contribution towards the socialization of young

Executive Trainees into our culture. We in NTPC attach extreme
importance to mentoring process which enables the new comers to
smoothly get adapted to our socio-cultural environment.
We take this opportunity to wish you and your family all happiness and
continue to look forward for your support in grooming youngsters in the
Organisation
With best wishes
Yours Sincerely
( )
Business Unit Head
To
Shri / Smt. / Kum. _________________

Emp. No. __________________
Dept. / Sectn. _____________
Copy : HOD
Personal File
Page: 53 of 62
Manveeyata Puraskar
Objective
To recognise good values exhibited by employees in official & social life. This
shall include Human Values, Core Values (COMIT) of the Company for creating
role models in the company.
All employees upto E7 are eligible for this award.
Criteria
Should have exhibited an exemplary Value
Reward
Appreciation Letter (Proforma – I)

A Gift of an amount upto Rs. 1000/- based on the merit of the case.
No. of cases is left to the discretion of BUH/GM/ED at all locations
Periodicity Should be done immediately upon noticing such behaviour or

on reporting of such event by employee or by others.
Page: 54 of 62
Proforma – I
HT TH
Letter of appreciation – Manveeyata Puraskar
Date:
The following contribution of yours towards the good cause of society

is noteworthy.
______(describe the specific contribution, with date of occurrence) __

_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
I appreciate the good human values demonstrated by you. I hope that

you will continue to exhibit such exemplary values in future also and
spread the culture among all.
With best wishes
Yours Sincerely
( )
BUH/GM/RED/ED(Function)
To
Shri / Smt. / Kum._________________

Emp. No. __________________
Dept. / Sectn. _____________
Copy :
HOD
Page: 55 of 62
Personal File
Page: 56 of 62
Welcoming
HT TH
Objective
To welcome new joinees/transfer-in’s for their socialisation .
Applicability / Eligibility - All Employees
Periodicity - Within one week of the joining of an employee
Procedure
- Welcome letter, as per Proforma – J
Get-together for the new joinees / Transferees shall be hosted as per the
following procedure
Category of
Letter to be issued Get-together at
the Responsibility
by work place
Employee
Non - All employees Concerned

Concerned HOD
Executives of the Section Group Head
All employees
Executive Concerned
Concerned HOD of the
upto E5 Group Head
Department
BUH- at units All HODs with
E6 and above - BUH -at units
Concerned HOD
ED’s –at - ED’s –at
Regions/CC regions/CC
Page: 57 of 62
Proforma – J
HT TH
Welcome to …unit/region name..
Date:
Dear Colleagues
Affix Photograph of the

Employee
It gives me a great pleasure to welcome Shri/Smt. / Kum.___________,

Designation________, who joined our ____________ from
____________ on ________. Shri /Smt. / Kum. __________ has joined
NTPC in the year________ as ____________ and worked in __________,
_________, (places).
He loves (hobbies)_______________________.
We look forward to a long and fruitful association with him/her. We

also welcome ___________________(name of the
spouse)____________, __________(children) and wish a pleasant stay
with us.
With best wishes
Yours Sincerely
( BUH / HOD/ DGM )

Distribuition:
1. Concerned Employee
2. All HODs
3. Department Notice Board
Page: 58 of 62
4. Personal File.
Page: 59 of 62
Bidding Farewell
HT TH
Objective
To bid farewell to an employee on his/her Retirement
Applicability / Eligibility - All Employees
I. On attaining the age of Superannuation OR

II. Voluntary Retirement Scheme (VRS)
Periodicity - On the day of Retirement of the employee
Reward Procedure
- Letter from BUH/ED highlighting his/her association with Organisation, as

per Proforma – K
- A Gold coin weighing 10 grams
- Get-together with employees of the concerned department, all HODs and
BUH
Category of
Letter to be issued Get-together at
the Responsibility
by work place
Employee
Non - All employees Concerned

Concerned HOD
Executives of the Section Group Head
All employees
Executive Concerned
Concerned HOD of the
upto E5 Group Head
Department
BUH- at units All HODs with
E6 and above - BUH -at units
Concerned HOD
ED’s –at - ED’s –at
Regions/CC regions/CC
Page: 60 of 62
Proforma – K
HT TH
Thank You for your Contribution
Date:
Dear Shri / Madam
On the day of your retirement from the services of NTPC, I would like
to appreciate your services and the contribution made by you since
your joining in the year_______. Your association with NTPC would be
fondly remembered by us. I hope that you would have also enjoyed
your stay with us and I am sure that you would be carrying pleasant
memories with you.
I, on behalf of my self and the Organisation, wish you and your family
sound health and happiness.
With regards
Yours Sincerely
( BUH /ED )
To
Shri / Smt./Kum. _________________

Emp. No. __________________
Dept. / Sectn. _____________
Page: 61 of 62
Page: 62 of 62
RECORD OF REVISIONS

No. Date
Revisions
Disha Awasthi Prem Chand Rakesh Prasad

DM(HRD) DGM(HRD) DGM(HRD)
Award Scheme for Articles published in Updated as on: 31.01.2012
Horizon Page: 1 of 5
AWARD SCHEME FOR ARTICLES PUBLISHED IN HORIZON
1.0 INTRODUCTION:
Horizon is our in house management journal of power professionals brought out

by Corporate HRD, PMI. It has been in circulation for the last six years with four
issues being published per annum. The articles published in this journal cover
various aspects of management literature, book reviews, quizzes & crossword,
humor quotations, snapshots etc.
2.0 OBJECTIVES:
2.1 To develop writing skills among NTPC employees and their dependant family
members.
2.2 To encourage innovative thinking by motivating employees and their dependant

family members for writing articles for Horizon.
2.3 To encourage sharing of knowledge and wisdom amongst employees and their
dependant family members.
2.4 To recognize valuable / remarkable contributions made in the journal.
2.5 To enhance the quality and quantity of articles to be published in Horizon.
3.0 ELIGIBILITY:
All the employees on the regular rolls of NTPC and their dependant family
members whose articles are published in Horizon in a particular year are eligible
under the given scheme.
4.0 GUIDELINES FOR CONTRIBUTION OF ARTICLES IN HORIZON

MANAGEMENT JOURNAL:
4.1 Articles should be in the area of management theories and practices, new systems
and practices, management research findings.
4.2 New areas of interests like IT management, Internet, e-learning, Change

Management, BPO etc.
4.3 Focused articles on Indian Power Sector & Companies, Global Power Companies
and Practices.
4.4 Case studies on Business Strategy of Power Companies worldwide, besides on

HR, Finance, Restructuring, M&A etc.
4.5 Articles should be the original work of the author. Or in case of reproducing articles
protected by copyright, necessary permission etc. may be obtained. Due
acknowledgement of author / source should be made.
4.6 The length of the article should be between 1500 – 2500 words and a synopsis of
the article should be provided for use in content.
5.0 PROCEDURE FOR SENDING ARTICLES FOR PUBLICATION IN HORIZON:

5.1 An article within the purview of the guidelines as stated above at 3.0 may be
emailed to horizon__ntpc@indiatimes.com or posted to Editor (Horizon), Corporate
HRD, PMI.
5.2 Contributors are also requested to send their passport size photograph.
5.3 Honorarium of Rs. 1000/- shall be payable to each article published.
5.4 The articles which are published in Horizon between January and December in a
particular year will be considered for the purpose of award for that particular year.
5.5 The entire process would be coordinated/ administered by CC-HRD Group.
6.0 CRITERIA OF EVALUATION OF ARTICLES FOR GRANT OF AWARDS:
6.1 Out of the total number of articles published in a year, the authors of the three best
articles would be selected as per the criteria laid down in the scheme for the
purpose of award.
6.2 The articles will be judged by a panel of judges consisting of 2 editorial board
members, 2 sr. executives and an external member to be identified from time to
time.
6.3 The articles will be judged based on criteria like originality, research undertaken,
presentation, content, adherence to guidelines for contributing articles to Horizon,
etc.
6.4 The decision of the judges will be final and binding.

7.0 AWARD:
7.1 The winners of 3 best articles selected will be awarded as under:

Category Amount
First prize Rs 5000
First runner up Rs 3000
Second runner up Rs 2000
7.2 A certificate for writing an award winning article for Horizon shall also be granted.
8.0 GENERAL:
8.1 The amendment/modification of Horizon Award Scheme would be undertaken with

the approval of Director (HR).
Authority:
Corporate HR Circular No. 618/ 2007 Dated 20.07.2007
RECORD OF REVISIONS

No. Date
Revisions

NTPC Limited Section:0610_01
NTPC Incentive Scheme for acquiring Updated as on: 31.01.2012
proficiency in Hindi, Hindi Typing and Hindi Page: 1 of 12
Stenography
NTPC INCENTIVE SCHEME FOR ACQUIRING PROFICIENCY IN

HINDI, HINDI TYPEWRITING AND HINDI STENOGRAPHY1
1.0 OBJECTIVE:
The NTPC Incentive Scheme for acquiring proficiency in Hindi and Hindi
Typewriting/Stenography has been formulated with a view to encouraging non-
Hindi knowing employees to acquire working knowledge of Hindi and to enable
the employees who possess working knowledge of Hindi to acquire proficiency in
Hindi Typewriting and Hindi Stenography respectively.
2.0 APPLICABILITY: 4
Applicable to all employees appointed in prescribed pay scales in the Company.

The employees working in Hindi Section will not be eligible. 4
3.0 - ELIGIBILITY:
Incentive scheme for acquiring proficiency in Hindi : 4
3.1 The incentives shall be admissible to the employees subject to their fulfillment of
the following conditions of eligibility (i), (ii), (iii) to be read together.
(i) employees to be non-Hindi speaking
(ii) they have not passed matriculation/Intermediate/Degree or equivalent

examination with Hindi as a compulsory/additional/elective subject or the Pragya
Examination under Hindi Teaching Scheme of Government of India or an
equivalent examination conducted by a voluntary Hindi Organisation recognised
for this purpose by the Govt. of India.
Those non-Hindi speaking employees who have passed matriculation or

equivalent examination with Hindi as a compulsory subject from non-Hindi
speaking states by obtaining less than 50% marks in Hindi are also eligible for
grant of incentives under the scheme.
(iii) employee while in service has passed specified exams as per the existing
scheme detailed below:
S.N. Employees eligible for Examination which they should not already
Stenography
passing the examination have passed

1. Prabodh Primary(class V)or an equivalent or higher
exam under any other scheme of Hindi will not be eligible.. H
(iv) Those employees who are getting incentive
2. Praveen Middle (class VIII)or an equivalent or higher
exam
3.3 3. Pragya Matriculation or an equivalent or higher exam
Incentive scheme for acquiring proficiency in Hindi typing and
stenography 4
Incentives for learning Hindi Typewriting and Hindi Stenography and passing the
prescribed examination thereof shall be admissible to only those employees who
have to do typing work i.e. Assistants/Typists and those who are working in the
Secretarial cadre i.e. Steno-typists/ Stenographers/Personal Assistants/Private
Secretaries/Executive Secretaries respectively provided they have passed
Matriculation examination with Hindi as one of the compulsory/additional/elective
subjects or Pragya examination under the Hindi Teaching Scheme or any other
equivalent examination recognised by Govt. of India for this purpose. 4
3.4 Incentives shall be admissible to the employees for passing the prescribed
examinations by either attending classes in the Training Centres or through their
own efforts i.e. as Private candidates.
The employees who were appointed against posts for which knowledge of Hindi of
the requisite standard or Hindi Typewriting or Hindi Stenography has been
prescribed as essential qualification shall not be entitled to grant of incentives for
passing the concerned examination. 4
3.5 Employees posted at places where Training Centres for imparting training in Hindi
exist may pass the examination by attending the classes organised at such
Training Centres. However, at places where there are no Training Centres or where
arrangements for training in the concerned course do not exist, the employees
posted at such places may pass the examinations through their own efforts as
private candidates. 4
3.6 Employees should normally obtain prior permission of the Company for pursuing
the course and acquiring the qualification. This will, however, not apply to such
employees who might have started the course even before joining the Company.
Further this condition can be relaxed on the merit of the case for which a reference
to the Corporate HR will be necessary. 4
4.0 INCENTIVES:
An employee who fulfills the eligibility and other conditions mentioned

Stenography
hereinbefore shall be entitled to grant of following incentives :
4.1 Monthly Payment3:
On passing the Hindi examinations, an employee shall be entitled to grant of a

monthly payment for a period of 12 months at the rate of one increment in his pay
scale, subject to his acquiring minimum percentage of marks as indicated at
Annexure-I. However, if an employee whose mother tongue is other than Hindi
qualifies the examination for Hindi Stenography, by securing the minimum
specified qualifying marks, he shall be granted the monthly payment for a period
of 12 months at the rate of twice his increment in his pay scale and for the next
12 months at the rate of One increment in his pay scale3.
4.1.1 The above monthly payments would be made to the employee as a separate
element for the specified duration; and shall not count as pay for any other
purpose.
4.1.2 The payment shall be granted to the employee from the first of the month
following that in which the result of the examination passed is declared.
4.1.3 The rate of increment to be taken into consideration shall be the one next due at
the time of grant of the incentive. However, in case of an employee drawing pay
at the maximum of his pay scale, the increment shall mean the last incremental
rate of his pay scale.
Provided, further, that in case where the normal date of increment or the effective
date of promotion coincides with the effective date of grant of Monthly Payment,
the rate of increment to be taken into account shall be the increment next due
after drawal of increment on the normal date or fixation of pay in the next higher
pay scale, in case of promotion, as the case may be.
4.2 Cash Award:
On passing the Hindi examination(s) by securing specified percentage of marks, an

employee shall also be entitled to grant of Cash Award. The amount of Cash
Award shall be as per the scale indicated at Annexure-II.
4.3 Lump sum Award:
An employee who passes the examination (s) through his own efforts i.e. as a private
candidate, shall be granted a lump sum award at the scale indicated at Annexure-III,
in addition to monthly payment and/or cash award, if otherwise admissible. This
award is admissible merely on passing the Hindi examination(s) i.e. irrespective of
the percentage of marks obtained.
Stenography
4.4 The above incentives shall be granted only if the employee passes the examination
within a period of 15 months from the date of his first appearance in that
examination.
5.0 PROCEDURE:
An eligible employee on successful completion of the Hindi examination(s) shall

be required to file a claim through ESS. The workflow would be through HR to
F&A (offcycle). The employee would submit the evidence in support of the claim
to HR for verification and approval in ESS. 5
The amount of incentive payable on completion shall be paid once on completion

of all formalities as a lumpsum amount with no recovery in case the employee
separates from the company due to any reason. 5
6.0 OTHER FACILITIES :
6.1 The employee pursuing the concerned course for acquiring proficiency in Hindi or
Hindi Typewriting/Stenography shall be provided with text books, prescribed, if
any, under the prescribed Scheme, free of cost.
6.2 Examination fee, if any, payable for appearing in the examination shall be
reimbursed to the employees in full, subject to production of documentary
evidence etc. provided that this reimbursement shall not be admissible in case of
the employees who appear in the examination as private candidates.
6.3 The employees shall be granted Special Casual Leave for the days of actual
appearance in the examination(s) and in case of travel to outstation, for the
minimum period spent on journey to and from the place of examination.
6.4 The employees shall be entitled to TA/DA or Local Traveling Expenditure, as the
case may be, as per their entitlement under Traveling Allowance Rules, for
appearing in the Hindi examination(s). The number of days for which Local
Traveling Expenditure in case of examinations involving local journey will be
allowed are the days of actual appearance in the examinations. In case of
examinations involving travel to outstations, TA/DA etc. shall be regulated as per
the relevant provisions of TA Rules subject, however, to the condition that in case
the absence of the employee from his Headquarters is for more than 24 hrs.,
Daily Allowance for the intervening days (i.e. other than the day of departure and
arrival) will be admissible for the days of actual appearance in the examination
including Sundays/Holidays, if any, falling between the examination days only.
7.0 GENERAL:
In case of any doubt with regard to any provisions of the Scheme and for cases
Stenography
not covered herein the same should be referred to Corporate HR for

decision/clarification.
AUTHORITY:
2. Corporate Personnel IOM No. 01 : PERS : 4(27) Dt. 10.8.1987.
3. Corporate Personnel Circular No.332/95 Dt.12.7.95.
7. Corporate HR IOM No. 01:HR-Policy:4(21)/4(27)/743 Dated 15.12.2010
ANNEXURE-I
LIST INDICATING THE MINIMUM PERCENTAGE OF

MARKS FOR VARIOUS CATEGORIES OF
EMPLOYEES FOR GRANT OF MONTHLY PAYMENT
Sl. No. Examination Category Minimum

percentage
of Marks
1. Prabodh All Employees 55% or more
2. Praveen -do- -do-
3. Pragya -do- Pass Marks
4. Hindi Typewriting Workman -do-
5. Hindi Stenography Executive/ -do-

Supervisory/
Workman
Stenography
ANNEXURE-II
LIST INDICATING THE MINIMUM PERCENTAGE OF
MARKS AND AMOUNT OF CASH AWARD FOR
VARIOUS HINDI EXAMINATIONS3
SI.No. Minimum Percentage Amount of Cash Award

of Marks (Rs.)
A. FOR LEARNING HINDI PRABODH/PRAVEEN/PRAGYA 6
1. 70% or more 800/- 1200/- 1200/-
2. 60% and above but below 70 % 400/- 800/- 800/-
3. 55% and above but below 60% 200/- 400/- 400/-
B. FOR LEARNING TYPEWRITING
1. 97% or more 600/-
2. 95% & above but below 97% 400/-
3. 90% & above but below 95% 200/-
C. FOR LEARNING HINDI STENOGRAPHY
1. 95% or more 600/-
2. 92% and above but below 95% 400/-
3. 88% and above but below 92% 200/-
ANNEXURE-III
LIST INDICATING AMOUNT OF LUMP SUM AWARD ON

PASSING DIFFERENT HINDI EXAMINATION
Stenography
Sl.No. Examination Amount (Rs.) 6
1. Prabodh 1000/-
2. Praveen 1000/-
3. Pragya 1200/-
4. Hindi Typewriting 800/-
5. Hindi Stenography 1500/-

Stenography
ANNEXURE-IV
REQUEST FOR GRANT OF FINANCIAL INCENTIVES ON PASSING

THE HINDI/HINDI TYPEWRITING/HINDI STENOGRAPHY
EXAMINATION, UNDER THE HINDI TEACHING SCHEME
(Vide Rule 5.0)
1. Name of the Employee :

(in block letters)
2. Employee No. :
3. Designation :
4. Department :
5. Scale of Pay :
6. Mother Tongue :
7. a) Name of the Examination Passed :
b) Date(s) of examination :
c) Date of declaration of the

results :
d) Percentage of marks obtained :
8. Whether passed the examination in first attempt? If not, the date(s) of first
appearance in the examination :
9. a) Whether the examination

passed by :
i) Private Study :
b) When did you receive training for

the said course in the classes run
by Hindi Teaching Scheme (If you
had received training earlier also,
please give details) :
Stenography
10. Whether passed :
i) Matriculation or an equivalent or
higher Exam, conducted by a
Board/University/Private Body etc.
with Hindi as a subject in any form
(like regular, elective optional,
additional etc.) or part of Higher
Secondary Examination viz. in
Class IX or X as a medium of
examination; or :
ii) Middle (Class VIII) Exam, with

Hindi as a subject or medium of
examination; or :
iii) Primary (Class V) Exam, with Hindi

as a subject or medium of
Examination; or :
iv) Any other Exam, in Hindi

conducted by a Govt. Agency ora
private Body etc., if so, please give
details of the examination passed :
11. Whether you had previously received

training in Hindi Typewriting or Hindi
Stenography from an institution recognised
by the Government or had passed any
test there from ?If so, please give details. :
12. Whether paid any Examination Fees

for appearing in the examination
passed ? If so, give details
(viz.receipts etc.)
DECLARATION
I declare that the particulars given above are true to the best of my knowledge and
belief. I undertake to refund the Monthly Payment and/or Cash Award and/or
Lumpsum Award, If I am not found eligible for the same and/or in case any of the
above information is found to be false or incorrect. I also understand that
disciplinary action may be taken against me for attempting to receive Monthly
Payment and/or Cash Award and/or Lumpsum Award by making an inaccurate
statement of facts.
Stenography
Dated : Signature of the applicant
Forwarded to the Head of HR Department
Dated : Controlling Officer

(Designation and Department)
FOR USE IN HR DEPARTMENT
1. The application has been scrutinised in terms of the rules and it is certified that:
a) the applicant fulfils all the eligibility conditions and other requirements of
the rules; and
b) the facts stated in the application are correct as per the official records; and
c) the applicant has secured the percentage/marks as prescribed under

these rules.
2. It is recommended that:
i) the following financial incentives may be granted to the applicant:
a) Monthly Payment : Equal in amount to one

Increment/two increment(s) at
the rate of Rs.______/ month for
a period of 12 months/ 24 months.
b) Cash Award : Rs._______
c) Lump Sum Award : Rs._______
ii) The Examination Fees of Rs.________paid by the applicant for appearing in the
said examination may be reimbursed to him.
Dated: Signature of HR Officer

Stenography
The financial incentives (including reimbursement of Examination Fees)* as

proposed at para 2 above is/are hereby sanctioned to the applicant.
Date : Signature of the

*Delete if not applicable.

Stenography
RECORD OF REVISIONS

No. Date
0610_01-Record of 0 13.02.2012 Provision Added
Revisions

M(HR) M(HR) AGM(HR)
NTPC Incentive Scheme for original noting/ Updated as on: 31.01.2012
drafting in Hindi for official work Page: 1 of 4
NTPC INCENTIVE SCHEME FOR ORIGINAL NOTING/ DRAFTING

IN HINDI FOR OFFICIAL WORK
1.0 Objective: 3
To encourage employees to do original noting, drafting and other work in Hindi
2.0 Applicability: 3
All employees in the prescribed pay scales of the company except Hindi
Stenographers/Typists/PS/PA and employees of Hindi section
3.0 Cash Award2:
The following Cash Awards2 will be given to the participants every year according
to the work done by them in Hindi and will be given independently for each unit of
NTPC:
First Prize (3) . - Rs. 750/- each
Second Prize (4) - Rs. 500/- each
Third Prize (5) - Rs. 250/-each
Consolation Prizes (10) - Rs. 150/-each
4.0 CRITERIA FOR AWARDING PRIZES:
4.1 For facilitating assessment a total of 100 marks will be allotted. Out of this 70
marks will be earmarked for the quantum of work done in Hindi and 30 for the
quality of noting and drafting in Hindi:
4.2 Eligibility: An eligible employee who writes 10,000 words in a Financial Year with
2500 words in each quarter. 3
4.3 The competitors whose mother tongue is Tamil. Telegu, Kannada, Malyalam,
Bengali, Oriya or Assamese may be given additional weightage upto 20%.The
exact weightage to be given to such an employee will be determined by the
Assessment Committee. While doing so the committee will also keep in view the
standard or work of those officers/employees who otherwise rank higher to
him/her.
4.4 The competitors will maintain a record of the words written by them every day in
the attached proforma. Each week’s record will be verified and countersigned by
the next higher officer. If section head himself keeps a record then it won’t be
necessary for employee to maintain such record. At the end of one financial year
every competitor will submit the record to his/her work done in Hindi to the
Assessment Committee through the countersigning officer. If countersigning
officer or section head himself keeps an overall watch and account of the work,
then this would not be necessary and he would furnish details.
5.0 COMPOSITION OF ASSESSMENT COMMITTEE:
The assessment Committee will be as under:3
CC: SM/DGM(HR) + Head Rajbhasha + SM/DGM(of any other deptt.),

recommendations of this committee to be approved by GM(HR).
Region: HOHR+ Hindi Officer + SM/DGM(any other deptt.), recommendations

of this committee to be approved by RED.
Project: HOHR + Hindi Officer + SM/DGM(any other deptt.), recommendations .of

this committee to be approved by GM(Proj).
After approval, Head Rajbhasha may notify the reward through a written
communication to the concerned employee. The award may be given during the
Hindi Diwas celebrations.
AUTHORITY:
1. Corporate personnel Circular No. 186/86 Dt. 27.3.1986.
2. Corporate Personnel Circular No.362/97 dated 5.11.97
ANNEXURE
Weekly Statement of the Original Hindi work done by Shri/Smt./

Km.______________for the week ending______________.
Sl.No. Date Total No. of No. of words No. of words Signature

Files, Regi- used for used for of Senior
sters etc Noting & other works Officer
on which Drafting in done in (Once
work done Hindi Hindi (give in week)
in Hindi brief details)
(1) (2) (3) (4) (5) (6)

RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Incentive Scheme for giving dictation Updated as on: 31.01.2012
in Hindi Page: 1 of 3
NTPC INCENTIVE SCHEME FOR GIVING

DICTATION IN HINDI
1.0 OBJECTIVE:
The NTPC Incentive Scheme for giving Dictation in Hindi has been formulated
with a view to encourage all Executives to give dictation in Hindi.
2.0 ELIGIBILITY:
All executives of the Company in Corporate Centre, Projects/stations & Regions

who have been provided secretarial assistance or who generally give dictation.
The executives of Hindi section will not be eligible. 3
3.0 INCENTIVES:
3.1 An Incentive of Rs.1000/- will be given to an Executive who gives the maximum
number of dictations in a financial year, at Corporate Centre /each Region, each
Project / Station. 3
3.2 There will be two awards - one for Executives who have declared their home
town in Regions 'A' & 'B’ and the other for those who have declared their home
town in Region 'C1.
4.0 PROCEDURE:
4.1 The Executives who participate in the Scheme will be required to maintain a
record of dictation given by them in Hindi in a financial year, as per the enclosed
proforma. The record will be countersigned on a weekly basis by reporting
officer. GM and ED would be self certifying officers. 3
4.2 The Executives will be required to submit the duly filled proforma to the
concerned Hindi Cell in the project / station / Region /Corporate Centre in the
month of April every financial year for the dictation given during the preceding
financial year. 3
4.3 Awards will be given on the recommendation of an ‘Assessment Committee’

comprising of representatives from HR, Hindi and PR to be constituted by
GM(HR) for Corporate Centre/HOHR for Projects / RHOHR for Region. 3
The Assessment committee will submit the recommendations to Head of Project/

Station/ Regional ED/ ED(HR),CC, as applicable. 3
Head , Rajbhasha Group shall notify the names of awardees who would be given
awards on Hindi Diwas Functions organized every year in September at
Corporate Centre / Region / Project / Station. 3
5.0 GENERAL:
The Scheme will be operated on a financial year basis.
AUTHORITY:
1. Corporate Personnel Circular No. 334/95 dt. 21.087-1995
PROFORMA (SPECIMEN)
PROFORMA FOR MAINTAINING RECORD OF HINDI DICTATION GIVEN UNDER THE NTPC
INCENTIVE SCHEME FOR GIVING DICTATION IN HINDI
S No. Date No. of words File No. Remarks/Comments

dictated in Hindi
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Grant of Incentive to stenographers, typists, Updated as on: 31.01.2012
computer operators, PS/PA for doing work in Page: 1 of 3
Hindi in addition to English
GRANT OF INCENTIVE TO STENOGRAPHERS, TYPISTS, COMPUTER

OPERATORS, PS/PA FOR DOING WORK IN HINDI IN ADDITION TO
ENGLISH 3
1.0 Objective: This scheme has been formulated with a view to encourage stenographers ,
steno typists , computer operators , PS/PA for doing official work in Hindi , in addition to
English. 3
2.0 Eligibility: 3
The scheme is applicable to stenographers, steno typists, computer operators , PS/PA ,
who know English , shorthand/typing and are actually doing their official work in Hindi , in
addition to English. This scheme is applicable to the employees of the above category
who are appointed in the prescribed pay scales in the company but excludes the
employees of Hindi section.
Those employees who are getting any incentive under any other Hindi incentive scheme
will not be eligible under this scheme.
3.0 INCENTIVE:
The incentive is applicable to stenographers, steno typists ,computer operators , PS/PA ,

who know English , shorthand/typing and are actually doing their official work in Hindi , in
addition to English. Out of these only those would be entitled who possess the requisite
prescribed qualification in Hindi shorthand/Typing and in addition to English , do at least
180 notes /letters/drafts in a quarter of a financial year in Hindi. 3
The incentive under this scheme is Rs. 300/- per month for those stenos/typists who are
working on computer. In case of other employees this amount is Rs. 250/-per month.4
4.0 PROCEDURE:
The employee shall claim through ESS on a quarterly basis for the previous quarter. In
the workflow it will go to his/her reporting officer who will certify the work done. Thereafter
the workflow shall directly go to F&A for payment. A hard copy of the claim alongwith
supporting documents and certification given by reporting officer to be submitted by the
employee to designated Hindi Officer.4
5.0 GENERAL
The Hindi Incentive allowance will not be treated as pay and will not count for any
purpose.
_____________________________________________________________________________
These rules came into effect from 1.3.1988.
AUTHORITY:
1. Corporate Pers. Circular No. 212/88 Dt. 5.8.1988
2. Corporate Pers. Circular No. 364/97 Dated.5.11.93
N T P C LIMITED
CERTIFICATE
Monthly Statement of Hindi Noting/drafting/ letters

work done by a Stenographer/Typist
Name : Shri/Smt/Km.____________________for the month____________
Date Type of work/file Quantum of notes Number of - words

Signature of Officer
No./ Reference – / drafts / letters in
In charge
Brief details Hindi
Signature of Employee Signature of Head of Department
Employee No.:_________
Designation _______
Department :________
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Award scheme for articles published in Hindi Updated as on: 31.01.2012
language in NTPC newsletter Page: 1 of 3
AWARD SCHEME FOR ARTICLES PUBLISHED IN HINDI

LANGUAGE IN NTPC NEWSLETTER1
1.0 OBJECTIVE:3
The scheme has been formulated with a view to encourage the employees for
writing articles in Hindi language published in NTPC official
journals/newsletters/magazines.
2.0 APPLICABILITY:
The scheme shall be applicable to all employees of the company for grant of
awards for articles published in Hindi language in NTPC official journals /
newsletter/ magazines. The employees of Hindi sections will not be eligible for
award under this scheme.3
3.0 ELIGIBILITY: 3
Articles published in Hindi in NTPC Newsletter /journals on any subject (except

reports on Hindi activities) shall be considered for grant of awards under this
Scheme. The word article shall include composition , essay , memoir , poetry ,
short stories etc.
4.0 AWARDS:
The awards shall be admissible once in a year as under:
1st Prize Rs. 500/-

2nd Prize Rs. 300/-
3rd Prize Rs. 200/-
Apart from the above, encouragement prizes of Rs. 100/- can also be granted at
the discretion of the Evaluation Committee.
5.0 PROCEDURE: 3
The assessment Committee may be constituted by GM(HR) at CC/ HOHR at

Project/ RHOHR in Region consisting of representatives from HR, Hindi and PR.
The recommendations of the Committee would be approved by ED(HR) at CC /
GM of Project / RED as applicable based on proposal from HR Group.
The assessment committee shall hold its meetings in May every year to decide
upon the awards for previous financial year.
The awards shall be notified by Head Rajbhasha to concerned individuals and

their HODs.
The awards shall be given during Hindi Diwas functions held in September every
year.
AUTHORITY:
1. Circular No. 1/90 Dt. 3.7.1990.
2. Corporate Personnel IOM No. 01:Pers:4(27)/173 Dt. 3.7.1990

RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Incentive Scheme for writing books on Updated as on: 31.01.2012
professional subjects in Hindi Page: 1 of 4
NTPC INCENTIVE SCHEME FOR WRITING BOOKS ON PROFESSIONAL

SUBJECTS IN HINDI 2
1.0 OBJECTIVE:
This scheme has been formulated with a view to encourage employees to write original
books on professional subjects in Hindi
2.0 APPLICABILITY: 2
All regular/retired employees of the company, except the employees working in Hindi
sections in various NTPC projects/stations/Offices etc. Retired employees to include
employees separating under VRS.
3.0 AWARD:
The awards under this scheme are as under: 3
First prize Rs. 60,000/-
Second prize Rs.40,000/-
Third prize Rs.25,000/-
Consolation prizes (5) Rs.10,000/- (Each)
4.0 The books should be on areas of various professional disciplines e.g technical, project,
operation, commercial, finance, HR, legal, CS,C&M,CP, R&D etc. Books having material
in part/full from NTPC manuals/Official documents would not be eligible. 2
5.0 The books should be original work of the employee/retired employee. The
translation of books published in languages other than Hindi is not covered.
Book to have at least 30,000 words.
Book written or published not earlier than previous financial year only will be eligible. 2
6.0 Awards will be given on the recommendation of an Assessment Committee comprising of

professionals in the field of the subject on which book has been written, AGM/DGM(HR)
and Head of Rajbhasha Group who would be the convenor of the committee. Nomination
& approval of recommendations of this committee to be done by ED(HR). 2
7.0 Corporate Rajbhasha group shall buy 200 copies of the books recommended by the
Assessment Committee for distribution in Ministry of Power, GOI. Rajbhasa department,
Parliamentary Advisory Committee on Hindi, NTPC projects/stations etc.
The price of the book may be mutually agreed between publisher, assessment
committee, and a SM(Fin) nominated by ED(Fin). Final approval to be accorded by
ED(HR) ICWF.
Head Rajbhasha shall coordinate this. 2
8.0 Procedure:
The employee who desires to participate in the scheme will be required to send their
applications in the enclosed proforma to Corporate Rajbhasa group through proper
channel.
Retired employees shall send their applications directly to Corporate Rajbhasa group.
9.0 Two copies of the books should be sent along with each application.
10.0 Employees may send any number of applications but the award shall be given for only
one book,
11.0 The last date for receipt of applications by Corporate Rajbhasha group shall be 30th
June of each year.
Head, Rajbhasha Group will obtain approval on the recommendations of Assessment

Committee from Competent Authority by the end of July. 2
12.0 Head, Rajbhasha shall notify the award through a written communication to the individual
concerned and his HOD. Award shall be given on Hindi Diwas function. 2
AUTHORITY:
1) Corporate personnel Circular No. 359/97 dt. 24.7.97

2) Corporate HR Circular No. 582/2005 Dated 14.11.2005
3) Corporate HR Circular No. 655/2009 Dated 25.03.2009
NTPC incentive Scheme for writing books on Professional subjects in Hindi (year----------)
1) Name of the writer

2) Designation or previous designation (retired employees)
3) Name of the book
4) Subject of the book
5) Name of the Publisher, address and year of Publication
I hereby certify that __________________ book is an original creation written by me/published in
the year____________. I was an employee of NTPC in ______________(for retired employees
only)
Date: Signature of writer

RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Incentive Scheme for use of Hindi in Updated as on: 31.01.2012
official work Page: 1 of 3
NTPC INCENTIVE SCHEME FOR USE OF HINDI IN OFFICIAL WORK
1.0 OBJECTIVE
The Scheme has been formulated with a view to encourage the employees for use of Hindi in day
to day work in the office and help them acquire proficiency in working in Hindi.
2.0 APPLICABILITY
All employees of the company having working knowledge of Hindi except the employees of Hindi
section shall be eligible for grant of incentive under the Scheme. If some other executive is
assigned the job of Hindi section in addition to his present responsibilities, he shall also be
eligible for grant of incentive under the scheme.
2.1 As per Rule 10(4) of Official Language Rules, 1976, an employee would be considered as having
working knowledge if:-
a) He/She has passed Matriculation or equivalent or higher examination with Hindi as a subject.
b) He/She has passed Pragya examination organized under the Hindi Teaching Scheme or has
passed a lower examination determined by the Government for any special category of posts.
c) He/She has passed any other examination notified by the central Government for this purpose.
d) He/She declares that he/she has acquired working knowledge of Hindi.
3.0 ELIGIBILITY
3.1 Employees writing 3 notes/letters in Hindi per day or 180 notes/letters in Hindi per quarter shall
be eligible for incentive under the scheme. The notes/letters should contain at least 90% of words
in Hindi, which should be 50 words or more in Hindi.
3.2 Employees performing their ‘day to day official work’ in Hindi shall also be eligible for incentive.
Day-to-day official work shall mean writing at least 7500 words in a quarter.
Note: Employees making entries into logbooks and registers shall also be eligible for incentive under
the scheme on fulfillment of requisite standard.
4.0 INCENTIVE
If an employee does requisite work in Hindi every quarter, he/she shall be eligible for following
incentive amount:

-Rs. 750/- per quarter, if the employee is in Non-executive category.
- Rs. 1200/- per quarter, if the employee is in Executive category.
5.0 PROCEDURE
Employee claiming the incentive under this Scheme shall submit the claim in the prescribed proforma
after certification by controlling officer, within a period of 10 days of the end of every quarter. Employee
will certify in the enclosed format that “Above details submitted by me are true to best of my knowledge
and belief. In case any information is found to be incorrect, I promise to refund entire incentive amount
received by me. I am aware that disciplinary action can be taken against me if I receive incentive on the
basis of incorrect details.” Controlling officer not below the level of E5 will examine the claims with due
diligence.
5.1 A committee will examine all the claims submitted under this Scheme which shall be constituted as per
following details. Hindi Officer shall be responsible for conducting the meeting of this committee:
Project/Station Region Corporate Centre
Head: Nominated by Head of Head: Nominated by RED Head: Head of Rajbhasha

Project (Executive at the level of (Executive at the level of DGM
DGM & above) & above)
Member: Hindi Officer and Member: Hindi Officer and Member: Departmental Head,
concerned Departmental Head concerned Departmental Head DGM(HR-EB), SCOPE/EOC
5.2 In case Rajbhasha Officer is not posted in a Project/Station, the executive who has been given the
responsibility of Rajbhasha shall also be the member of this committee. If such an executive is not
there, Head of Project/Station shall nominate any other executive as the member of this committee.
5.3 The Committee shall examine all the claims and details of works in Hindi and shall recommend for the
grant of incentive within 15 days.
5.4 Executives at the level of GM & above can claim for the incentive on the basis of self-certification.
AUTHORITY:
2. Corporate IOM No. 01/HR-Policy/4(27)/747 Dated 23.03.2011

RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)

Performance and Competence for Excellence Updated as on: 31.01.2012
Page: 1 of 58

Performance and Competence for Excellence

(PACE)
(Performance Management System)
Policy Manual
1

Page: 2 of 58

Note:
This policy has been issued by the management of NTPC for internal purposes only. No part
of this document is to be copied or circulated to external entities in either paper or electronic
form without the express written permission of the Director, Human Resources of NTPC. The
management further reserves the right to make any changes to this policy or to withdraw it
either in entirety or in parts at its sole discretion.
The PACE system has been made online since 2010 for all levels.
2

Page: 3 of 58

CONTENTS
SNo. Topic Page

1 Introduction to Performance Management System (PMS) 5
1.1 Philosophy of Performance Management System 5
1.2 Objectives 5
1.3 Applicability 5
2 PMS Cycle 5
2.1 Performance Assessment year 5
2.1.1 PMS Calendar 6
2.2 PMS Process 6
2.2.1 Performance Planning 6
2.2.2 Mid Year Review 6
2.2.3 Annual Assessment 7
2.2.4 Normalisation 7
2.2.5 Feedback, Coaching and Counselling 7
2.2.5.1 Feedback 7
2.2.5.2 Coaching and Counselling 7
3 PMS Linkage with Other HR systems 8
3.1 Linkage with Training and Development system 8
3.2 Linkage with Rewards System 8
3.3 Linkage with Career Development System 9
4 The PMS Form 9
4.1 Performance Planning 9
4.1.1 Identifying KPAs 10
4.1.2 Identifying KPA constituents and measures 11
4.1.3 Identifying Functional/Technical Competencies 12
4.1.4 Identifying Executive/Managerial Competencies 12
4.2 Mid Year Review 12
4.2.1 Mid Year Assessment 13
4.2.2 Alteration of KPAs during Mid‐Year Review 13
4.2.3 Submission of PMS forms after Mid‐year Review 13
4.3 Annual Assessment 14
4.3.1 Re‐submission of PMS forms for Annual Assessment 14
4.3.2 Guidelines for Annual Assessment of KPAs 14
4.3.3 Guidelines for Assessment of Functional/Technical Competencies 14
4.3.4 Guidelines for Assessment of Executive/Managerial Competencies 15
4.3.5 Assessment of Core Values 15
4.3.6 Guidelines for Assessment of Potential 15
4.3.7 Guidelines for Completing the Special Achievements Section 16
4.3.8 Summary of Scores 16
4.3.9 Guidelines for Completing Individual Training and Development Plan 17
3

Page: 4 of 58

5 Roles and Responsibilities 18
5.1 Role of Executive 18
5.2 Role of Reporting Officer 18
5.3 Role of Reviewing Officer 18
5.4 Role of PMS Officer 19
CONTENTS
SNo. Topic Page

6 Normalisation Process 19
6.1 Key Elements of the Normalisation Process 19
6.2 Output from the Normalisation Process 19
6.3 Performance Result 20
6.4 Normalisation Steps 20
7 Communication and Feedback of Scores 22
8 Administration of PMS 22
8.1 Transfers 24
8.1.1 Executive and/or reporting officer transferred during assessment year 24
8.1.2 Executive promoted during the year 24
8.2 Non‐Compliance with PACE cycle/Scheme of Negative marking 25
8.3 Procedure of Negative Marking 25
9 Audit of PMS 26
9.1 Guidelines 26
9.2 Role of Audit Team 26
9.2.1 Audit of Target Setting 26
9.2.2 Audit of Mid‐Year Review and Annual Assessment 26
9.2.3 Audit of Normalisation Process 26
9.3 Composition of the Audit Committee and Submission of Report 27
9.4 Audit by Corporate HR 27
10 General 27
11 APPENDICES 27
11.1 Useful Guidelines for carrying out PMS 27
11.2 Tips for Reporting Officer to conduct Assessment Meeting 28
11.3 Tips on providing feedback 28
11.4 Tips for implementing PMS 29
12 ANNEXURES 30
12.1 Distribution of Marks 30
12.2 Rating Scale for Assessment of Competencies 30
12.3 Rating Scale for Potential Assessment 30
12.4 Normalisation Process 31
12.4.1 Examples to illustrate the normalisation process 31
12.5 Format of Invitation to Executive to Participate in PMS Process 37
12.6 Final Score Feedback Form 38
4

Page: 5 of 58

12.7 PMS Audit Format 39
12.8 Formation of Cross‐Functional Team (CFT) 39
12.9.1 Executive/Managerial Competencies 40
12.9.2 Potential Competencies 40
12.10 Glossary 41
12.11.1 Timelines for Appeal, Examination of Appeal & Communication to 42
Appellant (E1‐E5)
12.11.2 Timelines for Appeal, Examination of Appeal & Communication to 43
Appellant (E6 & above)

5

Page: 6 of 58

PERFORMANCE AND COMPETENCE FOR EXCELLENCE (PACE)

1 Introduction to Performance Management System (PMS)
1.1 Philosophy of Performance Management System
To build a culture of performance by aligning individual and organizational objectives
and encouraging open communication and continuous feedback.
1.2 Objectives
• To accomplish the overall organisational vision and mission by linking individual
performance to company objectives
• To cascade company’s strategic goals to individual level
• To promote professional excellence
• To encourage two‐way communication between the executive and the reporting
officer and bring about transparency in the performance assessment process
• To evaluate the potential of the executive to assume higher responsibilities in the
organisation
• To provide a source of talent for meeting the organisation’s growth requirements
through a process of mapping the competencies and potential of executives
• To translate future skill requirements of the organization into individual development
plans
• To identify high performers and recognise them through rewards and incentives, and
• To facilitate fulfillment of individual aspirations

1.3 Applicability
• PMS is applicable to all executives of NTPC (E1‐ E7A)
• Executives who join NTPC on deputation or those retaining lien while in service of
• NTPC are also covered by this scheme
• Executives who join in the middle of the PMS cycle (see next section), but have served
• for a minimum period of three months
• NTPC executives who are on secondment or are lent on service to subsidiaries and
joint ventures with NTPC management.

2 PMS Cycle
2.1 Performance Assessment year
Performance assessment years have been set up as follows:
For E6 to E7A: The performance assessment year commences from 1st April of each
year and continues until 31st March of the following year
For E1 to E5: The performance assessment year commences from 1st January of each
year and continues until 31st December of the same year.

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2.1.1 PMS Calendar
Stages of PACE E1 to E5 E6 to E7A
Performance Planning 1st to 25th January 1st to 25th April
Mid Year Review 1st to 15th July 1st to 15th October
Annual Assessment 15th Dec to 7th Jan 1st to 25th April
Normalization 15th to 31st January 1st to 25th May
Communication of scores 7th February 31st May
Appeal 12th February 5th June
2.2 PMS Process
The PMS process is broadly divided into the following stages
• Performance Planning
• Mid Year Review
• Annual Assessment
• Normalisation
• Feedback, Coaching and Counselling

2.2.1 Performance Planning
Performance Planning is the process of:
• Defining expectations i.e. the work to be done, the results/targets to be achieved and
skills/competencies needed to achieve these objectives
• Setting “Measures” and “Targets”, determining priorities and weightages of results to
be achieved
• Identifying and allocating appropriate resources (such as manpower, tools, training,
budget etc.) to enable the executive to achieve the targets
While defining work objectives and measures, it is necessary to ensure that:
• Goals/ Targets/ Objectives are SMART (Specific, Measurable, Agreed, Realistic and
Time bound)
• Results are substantially within the executive’s control
• Measures relate to results
• Data is available for measurement
• Agreement on mutually agreeable and achievable performance targets is arrived at
after sufficient discussion between reporting officer and executive has taken place.
2.2.2 Mid Year Review
Performance management is not an event but an ongoing process. Mid year reviews
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help in the following ways:
• Reinforcing good performance in time
• Updating the status of targets i.e. progress review
• Identifying areas for “mid‐course” correction
• Revisiting KPAs and goals, if necessary
• Assessing resource and skill requirements affecting the individual’s performance
• Discussion and feedback on functional competencies, managerial competencies,
potential competencies and core values actualisation
• Providing early warnings of non‐performance, i.e. avoiding year end surprises
2.2.3 Annual Assessment
The objectives of Annual Assessment are to:
• Discuss and arrive at an assessment of performance with respect to agreed targets
• Assess the competencies, potential and core values actualisation by the individual
• Agree upon improvement plans and development needs for the individual.

2.2.4 Normalisation
The objectives of the Normalisation System in PMS are to:
• Ensure parity and integrity by minimizing variation in rating by different reporting
officers across various departments and locations
• Enhance objectivity and transparency in the appraisal system
• To view individual performance from the perspective of organizational achievement.
2.2.5 Feedback, Coaching and Counselling
• In order to make PMS an open system and to enhance development orientation
across the organization; feedback, coaching and counselling are essential
components.
• Communicating the final performance results of the executive and providing
developmental feedback are critical to this process.

2.2.5.1 Feedback
Providing feedback on performance presents the following benefits:
• Creates transparency making PMS more acceptable to individuals
• Reinforces good performance on time
• Enables development of coaching and mentoring relationship between reporting
officer and executive
• Ensures that organizational objectives are achieved to an acceptable standard and in
an acceptable form

Providing performance feedback is a delicate matter and the reporting officer should
create suitable conditions for providing performance feedback in the most effective
manner. (Refer to page 28 for tips to reporting officers on conducting effective
appraisal meetings.) In general:
• Feedback should be focused on the specific performance actions and not on the
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personality of the executive
• Feedback should be generated after reviewing all achievements and issues
throughout the assessment period and not focused on isolated incidents
• Feedback calls for maintaining a log of critical incidents occurring during the
assessment period for recording both achievements and failures with details, as an
aid to memory during performance discussions with the executive
• Feedback be given as regularly as possible so that enough opportunities are created
for executive to bridge performance gaps through self‐development.

2.2.5.2 Coaching and Counselling
Coaching is an on‐the‐job approach to help individuals to develop and raise their skills
and levels of competence. Coaching typically consists of:
• Making executives aware of how well they are performing and their present level of
knowledge and skill
• Providing guidance to individuals to enable them to complete their work satisfactorily
• Motivating individuals to learn new skills and develop themselves
• Facilitating individuals to raise their level of contribution and achievement.

Counselling in the PMS context essentially is a process by which executives can receive
assistance in sorting out issues and related to current and future responsibilities and
aspirations. Therefore, reporting officers are required to encourage individuals to plan
for their own self‐development. The process of counselling is through:
• Recognition and understanding of existing strengths
• Empowering, i.e. enabling the individual to recognize their own problems and
expressing the same.
• Facilitating action through guidance and expertise, i.e. facilitating the process
whereby the individual evaluates alternatives and formulates action plans to achieve
the most suitable course of action

• Helping individuals to take ownership of the outcomes of their chosen action.
Coaching and counselling together act as a feedback mechanism for the individual on
his/her performance. It is often used by reviewer/reporting officer to communicate the
areas for development and improvement to the executive.

3 PMS Linkage with Other HR systems
Performance Management has much wider implications than purely improving
individual performance in the given year. PMS provides the basis for achieving a
number of fundamental aims of HR strategy for the organisation as mentioned below.

3.1 Linkage with Training and Development system
• PMS lays strong emphasis on continuous learning and development. The two‐way
communication between reporting officer and executive creates an environment of
trust and self‐learning
• PMS is the basis for the organization to maintain data on an individual’s skill gaps,
take necessary action to meet the training needs, use it for foreign
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training/assignments and company sponsorship of long‐term educational programs
etc.
• PMS would also provide the means to determine the collective level of competencies
and strengths available within the organization as well as gaps for planning for
organisational development initiatives.
• Learning and development initiatives fundamentally rest with the individual with the
organization facilitating the same through creating a learning environment and
providing suitable opportunities etc. The executive would be responsible for making
use of the same to the maximum extent possible.

3.2 Linkage with Rewards System
PMS is a tool for rewarding successes/achievements and contribution of individuals to
motivate them to continuously strive for excellence in their respective responsibilities.
• It would provide inputs to the organisation’s Rewards programmes.
• PMS results will be used to identify high performers for the purpose of rewards and
recognition.
• Additionally, it would be used to aid counselling for improving performance and
dealing with consistent non‐performance.

The detailed processes and systems are outlined in the Rewards Policy.

3.3 Linkage with Career Development System
• PMS results of the executives would be used as one of the inputs in the Career
Development System. It would provide inputs for assessing an individual’s readiness
for higher responsibility and career advancement.
• PMS input would also help in decisions relating to job rotation and placement in
special assignments commensurate with demonstrated potential. The detailed
processes and systems relating to this are outlined in the Career Development Policy.

4 The PMS Form
The PMS form is divided into following parts
SNo Topic E1‐E3 E4‐E7A
1 Performance Planning and Assessment Part I Part I
a Dashboard of Key Performance Areas (KPAs) Part IA Part IA
b Details of KPA Part IA Part IA
c Mid Year Review Part IB Part IB
2 Competency Assessment Part II Part II
a Functional/ Technical Competencies Part IIA Part IIA
b Executive/Managerial Competencies Part IIB Part IIB
3 Core Values Part III Part III
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4 Potential Competencies ‐ Part IV
5 Special Achievements Part IV Part V
6 Total Marks Part V Part VI
7 Individual Training and Development Plan Part VI Part VII
4.1 Performance Planning
(Refer to Parts I and II of PMS form)

Performance Planning is to be done through a process of discussion between the
executive and the reporting officer to arrive at the performance targets for the Key
Performance Areas (KPAs). It shall be the responsibility of the reviewing officer to
ensure that KPAs identified have sufficient “stretch targets” cascaded down to achieve
individual excellence.

The reporting officer shall not be below the rank of Manager (E5).

• In the beginning of the assessment year, the concerned HR department shall circulate
the relevant PMS forms to the reporting officers for Performance Planning with the
respective executives.
• The reporting officer will then send the PMS form to each executive reporting to him
with a covering letter inviting him to participate in the performance planning process
indicating time and venue and requesting the executive to complete the relevant
sections of the form prior to the meeting. See page 37 for format of invitation letter.
• In the PACE system, same level reporting is allowed

4.1.1 Identifying KPAs
1. The table entitled “Dashboard of the Key Performance Areas” (Part IA) is a summary
of the detailed KPAs to be filled up by the executive after discussion with reporting
officer in the subsequent pages of the PMS form.
2. At the beginning of the year, relevant KPAs are identified using the KPA Directory as
a reference tool. KPAs may be enhanced or modified depending upon the
business/functional plans for the relevant year as well as the specific role of the
individual after discussions with the reporting officer.
• The KPA Directory as given in the PACE CD shall be used as a reference
directory only. KPAs as suggested under the directory shall be customized,
before finalisation, to suit the assigned role.
• For target fixation, performance planning process shall follow the approach of
top to bottom. BUHs/ EDs/ Functional Heads shall ensure that the target taken
by concerned HODs captures all the section/ areas of work of their
subordinates.
• It shall be the responsibility of concerned HOHRs/ Head of Technical Services to
circulate internal draft MOU/ Government MOU, which are available by
November/ December every year, to all other HODs.
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• Target fixation for E1‐E5, under Performance Planning, shall be carried out
using draft MOU targets of respective locations. Any change in the targets in
the final MOU shall be incorporated in the KPAs during the mid‐year review.
• Target fixation, at all the levels, shall be carried out keeping target under
internal MOU as Intermediate target, while the Stretch targets shall be slightly
more stringent than the Internal MOU.
3. The KPAs should be cascaded in an open and transparent manner with each
reporting officer sharing his/her KPAs and targets with all the executives reporting
to him/her.
4. The KPAs thus identified are written down in the column provided for “KPA Index”
in the table in Part IA.
5. Total marks to be allocated to each item in the KPA index is agreed between the
reporting officer and the executive and assigned accordingly.
6. The marks provided in the KPA Directory are indicative only and may be modified in
consultation with the reporting officer.
7. The column for “Marks Obtained” is filled up only at the end of the assessment
year.
8. Norms for KPAs
i. KPA measure can only be one of the three viz., Percentage (%), Time & Number
(Nos.).
ii. The number of KPA indices should not be more than eight and the number of
constituents of KPAs should not exceed thirty in all including the common
indices.
iii. Each KPA should carry atleast 3 marks
iv. No KPA constituents should have marks in decimals such as 3.5 or 4.5
v. E1 to E4 executives shall have only one common index – Development Index
(Development Index means Æ any effort by the individual contributing
towards professional and organizational development such as QC, PC, NOCET,
AIMA, ISO, 5‐S, paper presentation, innovations, teaching assignments, etc)
vi. E5 to E9 executives to have atleast two common indices out of four (HRM
Index, Special Project Index, Cost Optimization Index & CSR Index)
vii. Norms for Common Indices
Level Total KPA Marks Minimum Marks for Common Indices
E1 to E3 100 06 (Development Index only)
E4 100 07 (Development Index only)
E5 100 15
E6 100 18
E7 to E9 100 20
9. Definition of different levels of targets
• Base Target: Is the minimum acceptable level of performance in order to obtain a
score on the KPAs
• Intermediate Targets: Internal MOUs targets shall be considered to be
intermediate targets.
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• Stretch Targets: Level of difficulty built into the target which requires extra effort
than the intermediate target, for achievement
4.1.2 Identifying KPA constituents and measures
1. Once the KPAs are identified, their constituents, measures and targets are also
identified from the KPA Directory. These are agreed upon between the reporting
officer and the executive at the beginning of the assessment year.
2. The table entitled “Details of KPA” provides for detailing the constituents of the KPA
index agreed upon. These are filled under the column “Constituents of KPA”.
3. The measures identified for each constituent are written down in the column
provided for “KPA Measures” A single constituent may have more than one
measure, if necessary.
4. Total Marks to be allocated to each of the KPA constituents are agreed between the
reporting officer and the executive. These are filled against the relevant KPA
constituent. The sum of the marks provided to the KPA constituents should be
equal to the Total Marks allocated to the KPA Index.
5. The constituents, measures and marks provided in the KPA Directory are guidelines
and may be modified by the reporting officer in consultation with the executive (the
changes may be aligned as per business/functional plans, focus areas, priorities of
the management, unit / department level goals etc.).
6. Each KPA constituent has three levels of targets which is to be decided jointly by the
reporting officer and executive:
• The “Stretch Target” indicating a degree of difficulty built into the target requiring
extra efforts for achievement of the same, such as controllability, skill
requirement, innovation and so on
• The “Intermediate Target” indicating a performance expectation based on efforts
and skills at a generally acceptable level. Internal MOUs targets shall be
considered to be intermediate targets.
• The “Base Target” indicating the minimum acceptable level of performance in
order to obtain a score on the KPA.
7. At the beginning of the year, the reporting officer and the executive sign off the
agreed KPA targets in the space provided in Part IA of the PMS form.
8. After the targets are agreed, the relevant column in the table is filled.
9. At this time, the reporting officer and the executive discuss in detail the
identification and allocation of the various resources required by the executive
(manpower, budget, tools, training etc.) to achieve the targets.
10. The columns for “Actual Targets Achieved” and “Marks Obtained” are filled at the
end of Assessment Year.

4.1.3 Identifying Functional/Technical Competencies
1. Functional competencies are those that are required for success in a particular
function or job and typically involve demonstrating technical/functional
knowledge/skills/expertise.
2. In the beginning of the year, the reporting officer in consultation with the executive
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identifies the functional competencies applicable for the executive from the
Functional Competency Directory. The Functional Competency Directory provides
functional/technical and cross‐functional competencies for executives at various
levels and across various departments.
3. The competencies thus identified are written in the column provided for in the
table (Part II A of the PMS form). At least five competencies (including functional
and cross‐functional) must be identified.
4. The reporting officer and executive sign off the functional competencies in the
space provided in Part IIA of the PMS form at the beginning of the year.

4.1.4 Identifying Executive/Managerial Competencies
1. Executive/Managerial Competencies are those that are essential for the business to
achieve its strategy and typically involve behavioural descriptors.
2. A set of executive/managerial competencies is provided in Part IIB of the PMS form.
3. Descriptions of each competency as applicable to a particular level are available in
the PACE Handbook to this policy document.
4. Six competencies are to be assessed of which three have been identified as
mandatory for that level.
5. The reporting officer and the executive need to identify three additional
executive/managerial competencies from the given set of optional competencies at
the beginning of the year by placing a tick mark (√) against those that the executive
would be evaluated on at the year‐end. These competencies are to be chosen
based on the responsibilities and demands of the executive’s current job. The
remaining optional competencies should be crossed out (X) for clarity.
6. The chosen optional competencies should be directly and significantly related to the
executive’s areas of responsibilities.
7. The total executive/managerial competencies on which the executive will be
assessed would thus be six.
8. The reporting officer and executive sign off on the executive/managerial
competencies in the space provided in Part IIB of the PMS form at the beginning of
the year.

4.2 Mid Year Review
(Refer to Part IB of the PMS form)
1. The concerned HR department shall resubmit the PMS forms to the reporting
officers for Mid‐year Review with the respective executives.
2. The reporting officer will send the PMS form to each executive reporting to him
with a covering letter inviting him to participate in the Mid Year review indicating
time and venue and requesting the executive to complete the relevant sections of
the form prior to the meeting. See page 37 for format of invitation letter.
3. The reporting officer and executive jointly review the performance in the Mid Year
Review as per the schedule mentioned in the PMS Calendar.

4.2.1 Mid Year Assessment
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1. The executive completes the self evaluation section where he/she highlights
achievements to date. Further, he/she indicates roadblocks and issues faced as well
as efforts made by him/her to overcome them including help/assistance obtained
from the reporting officer.
2. The reporting officer records progress and performance in the space provided for
“Comments of Reporting Officer”. The comments should include feedback on KPA
progress, functional competencies, managerial competencies, potential
competencies and core values actualisation.
3. Both the reporting officer and executive set aside some time to discuss the
achievements and issues highlighted by the executive. The Mid‐year Review is an
important opportunity for the reporting officer to provide feedback on the
performance to date.
4. The reporting officer and executive sign off Part IB of the PMS Form as an
agreement to the amendments and comments in the Mid Year Review.

4.2.2 Alteration of KPAs during Mid‐Year Review
1. New PMS form is to be used only if changes need to be made to the KPAs,
measures, weightages, marks or targets. In such a case, all the KPAs need to be re‐
filled as per the guidelines of 4.1 above.
2. The reasons for change need to be cited at the end of the section.
3. The KPAs may be changed under the following circumstances:
a. There is a significant change in the roles and responsibilities of the executive
b. There are changes in the strategic business objectives of NTPC that directly
impact the KPA or the specific KPA loses relevance, as in the following cases:
• Un‐anticipated projects
• Abandonment of projects as per corporate directives
• Situations completely out of the control of the executive such as accidents,
terrorism and other emergency situations.
4. It is strongly advised not to be lenient in changing KPA targets, marks or weightages
and to strictly follow the guidelines before making such changes during the Mid‐
year Review
5. After consultation with the Reviewing Officers regarding the need and rationale for
mid‐year alteration, the changes to the KPAs would be signed‐off by the reporting
officer and the executive in the space provided in the PMS form. This is particularly
relevant for changes made in KPAs of executives in E1‐E5 since their PMS cycle is
different.

4.2.3 Submission of PMS forms after Mid‐year Review
1. After completion of Mid‐year Review, the completed PMS forms shall be submitted
to the concerned HR by the reporting officer within the deadlines set in the
calendar.

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4.3 Annual Assessment

4.3.1 Re‐submission of PMS forms for Annual Assessment
1. The concerned HR shall trigger the process of completion of Annual Assessment
through resubmission of PMS forms to all reporting officers.
2. The reporting officer will send the PMS form to each executive reporting to him
with a covering letter inviting him to participate in the Annual Assessment
indicating time and venue and requesting the executive to complete the relevant
sections of the form prior to the meeting. See page 37 for format of invitation
letter.

4.3.2 Guidelines for Annual Assessment of KPAs
(Refer to Part IA of PMS form)
1. The Annual Assessment starts with the “Details of KPA” table in Part IA.
2. The Actual Target achieved by the executive against the KPA constituent is written
by the executive in the column “Actual Target Achieved”.
3. Depending upon whether the target achieved is “Stretch”, “Intermediate” or “Base”
level, the marks are proportionately indicated in the “Marks Obtained Column” by
the reporting officer. Pro‐rata calculation for marks to be awarded is to be carried
out based on the exact/actual target achieved as shown in the example below.

Example:
KPA Constituents KPA Weighta Target Performance Actual Marks

Index of KPA Measur ge of Stretch Intermediate Base Target Obtained
(Marks) e Constitu 100% 80% 60% Achieved
ents
Cost Reduction in % 20 5% & 3% & 2% & If 6% 20 (100%
(20) department reductio above above but above of 20)
overheads n below 5% but If 3% 16 (80% of
below 20)
3% If 2% 12 (60% of
20)
If 2.5% 14 (70% of
20)
Calculated
prorate
If 1.5% 0 (below
base)
4. The marks obtained under each KPA constituent add up to the total score for a KPA
Index. These scores are written down in the summary table under the head
“Dashboard of the Key Performance Areas” by the reporting officer.
5. The total marks for this section are calculated as per the formula provided in the
PMS form.

4.3.3 Guidelines for Assessment of Functional/Technical Competencies
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(Refer to Part IIA of PMS form)
1. The reporting officer rates the executive on each functional/technical competency
which had been identified and recorded in the form at the beginning of the year.
2. The competencies are assessed on a ten‐point scale with 1 being minimum and 10
being the maximum on a continuous scale as indicated in the PMS form. Description
of the scale is found in the PACE Handbook
2. The aggregate marks are arrived at by adding all marks scored for the different
competencies.
3. The reporting officer and executive sign off Part IIA of the PMS Form as an
agreement on the assessment of the Functional Competencies for the executive.

4.3.4 Guidelines for Assessment of Executive/Managerial Competencies
(Refer to Part IIB of PMS form)
1. The reporting officer shall discuss each of the mandatory and the optional (as
selected at the beginning of the year) managerial competencies with the executive
and assign the rating on the form.
2. The competencies are to be evaluated on a ten‐point scale with 1 being minimum
and 10 being the maximum on a continuous scale as indicated in the PMS form by
referring to the detailed behavioural descriptors for each managerial competency
as given in the PACE Handbook
3. The aggregate marks are arrived at by adding all marks scored for the six managerial
competencies.
4. The reporting officer and executive sign off Part II B of the PMS Form as an
agreement on the assessment (rating) of the Managerial Competencies for the
executive.

4.3.5 Guidelines for Assessment of Core Values
(Refer to Part III of PMS form)
Adoption of the company's Core Values in business dealings is an essential duty of
executives at all levels.
1. All executives have a major role in the actualisation of Core Values by being ‘Role
Models’ in observing and practicing them and thereby leading by example.
2. Value actualisation is assessed by observing the demonstrated behaviour of the
executive in day‐to‐day business dealings.
3. NTPC Core Values and the indicative observable behaviour are provided in the PACE
Handbook.
4. Core Values assessment is to be done at the end of the year on a ten‐point scale
with 1 being minimum and 10 being the maximum on a continuous scale as
indicated in the PMS form.
5. At the year‐end, the reporting officer shall discuss each of the value descriptions
with the executive and indicate the rating on the PMS form.
6. The aggregate marks are arrived at by adding all marks scored for different core
values.
7. The total marks obtained for the section is calculated by using the formula
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provided.
8. The reporting officer and executive sign off Part III of the PMS Form as an
agreement on the assessment on Core Values of the executive.

4.3.6 Guidelines for Assessment of Potential
(Refer to Part IV (E4‐E7A) of PMS form)
1. Potential appraisal helps in understanding the extent to which the executive is
demonstrating competencies of higher levels.
2. Evaluating these competencies will help in appreciating the preparedness/suitability
of the executive for higher responsibilities along the hierarchy.
3. The prescribed potential competencies for a particular level are printed in the PMS
form for the particular level.
4. The desired behavioural descriptors for each potential competency are provided in
the PACE Handbook.
5. The competencies are evaluated annually on a ten‐point scale with 1 being
minimum and 10 being the maximum on a continuous scale as indicated in the PMS
form during the year‐end assessment.
6. The reporting officer shall discuss each of the competencies with the executive and
plot the rating on the form.
7. The aggregate marks are arrived at by adding all marks scored for different
competencies.
8. At the end of the assessment year, the reporting officer and executive sign off Part
IV (E4‐E7A) of the PMS Form as an agreement on the assessment on the potential
appraisal of the executive.

4.3.7 Guidelines for Completing the Special Achievements Section
(Refer to Part VI (E1‐E3)/ V (E4‐E7A) of PMS form)
1. Special Achievements of the executive during the year are to be recorded in this
section.
2. These achievements could be handling of emergency situations, process
improvements, mentoring, in‐house training faculty, winning awards, representing
NTPC, writing white papers, office bearer of NTPC councils/forums/committees,
suggestions made, participation in cross‐functional teams, professional circles,
NOCET, representing NTPC is competitions like quiz, management games, acquiring
additional qualifications etc., acquiring special competencies etc. that are not
covered by the executive’s KPAs.
3. After highlighting these achievements, the reporting officer and the executive sign
off on this section.

4.3.8 Summary of Scores
(Refer to Part V (E1‐E3)/VI (E4‐E7A) of PMS form)
1. At the end of the assessment year after completing each of the parts of the PMS
form, the reporting officer summarizes the total of each part of PMS form in the
column “Marks Obtained” in Part VA (E1‐E3)/ VIA (E4‐E7A) of the form.
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2. The “Total Marks Obtained” is the sum of marks obtained in each section of the
PMS form.
3. The PMS form duly signed by the executive and the reporting officer is then
submitted to the Reviewing Officer 1 for discussion, comments and approval.
4. The Reviewing Officer 1 shall go through the performance of the executive in
totality as finally brought out by the reporting officer indicating details of marks
obtained under each section: Performance, Competencies, Core Values and
Potential, before offering comments if any.
5. If Reviewing Officer 1 feels the necessity of reviewing the appraisal of the executive,
then there should be a detailed discussion with the reporting officer on each of the
components of the PMS form.
6. After arriving at a fair decision and accounting for the views of reporting officer, the
Reviewing Officer 1 may offer comments and rationale for changing the scores in
the relevant column under Part VB (E1‐E3) /VIB (E4‐E7A) of the form.
7. After discussion and mutual consent, the reporting officer and Reviewing Officer 1
will duly sign the PMS form and send the same to Reviewing Officer 2.
8. Reviewing Officer 2 shall also be a member of the PMC and shall ensure a normal
distribution pattern in the assessment of executives working in his domain prior to
the final assessment done by the PMC. Every level of assessment shall be done after
discussion and consultation with the immediately next lower level of reviewing
officer / reporting officer. Sectional Head, if any, in the hierarchy before the second
level review shall also be required to sign the report. The detailed second level of
review location wise & level wise is indicated below in tabular form.
Second Level of Review (Pre‐PMC Review)
Location Level 2nd Review level (Pre‐PMC Review)
Project/ Plants E1‐E4 Head of the department / member of the PMC
Project/ Plants E5 Head of Plant/ Project to review
RHQ E1‐E4 Same as in the case of Plant/ Project
RHQ E5 Regional ED to review
CC E1‐E4 Head of the department / member of the PMC
CC E5 Head of the department / member of the PMC of
minimum E8 level.
All locations E6 Head of the department / member of the PMC of
minimum E8 level
All locations E7/E7A ED of Region / Functional ED to review
9. The completed PMS form of the executive is sent to the HR department who will
convene the Performance Management Committee for normalisation (see next
section).
10. If the PMC member himself is the reporting officer, the report need not be sent to
any authority above the PMC level for review i.e., cases of E1 to E4 reporting to
GM/ED or E5/E6 reporting to ED need not be sent to any higher authority above the
level of PMC.
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4.3.9 Guidelines for Completing Individual Training and Development Plan
(Refer to Part VI (E1‐E3) or VII (E4‐E7A) of PMS form)
PMS provides the opportunity to capture the developmental needs of the executive in
the
Individual Development Plan. The ratings (of previous year) in the functional and
managerial competencies provide the basis for identifying the training and
development needs of the executive.
1. The development needs identified should be such that they facilitate the executive
in immediate performance.
2. The reporting officer should identify specific competency gaps based on
competency assessment and potential assessment (Parts II and IV (E4‐E7A),
respectively) and suggest developmental initiative/training and time frame for the
same.
3. Individual Training & Development Plan as agreed between the executive and the
reporting officer is to be filled at the beginning of the assessment year.
4. After receipt of completed PMS forms, the concerned HR would arrange all the Part
VI (E1‐E3)/VII (E4‐E7A) forms and send the same to:
a) HRD/EDC group in respect of units
b) HRD group in Regional HQ/subsidiaries/JVCs
c) PMI in respect of Corporate Centre
5. The concerned HRD/EDC/PMI would use these forms as an input for them to
develop the training calendars and design appropriate training programmes for the
following year.

5 Roles and Responsibilities
5.1 Role of Executive:
• The executive shall fill out appropriate portions of the form, attend the PMS meetings
at all stages (performance planning, mid‐year review and annual assessment) and be
prepared to have an open and frank discussion about his/her performance.
• The PMS aims at creating amity and convergence of individual and organisational
goals and it should be taken in that spirit.
• The executive is required to show the necessary flexibility and adaptability to the
organisational needs and display system discipline through adherence to all PMS
requirements.

5.2 Role of Reporting Officer
• The reporting officer shall cascade the KPAs based on MoU targets to the executives
reporting to him in a fair and achievable manner with necessary stretch for individual
excellence.
• The reporting officer should set up performance planning, mid‐year review and
annual assessment meetings with all the executives reporting to him within the
specified periods as per the PMS calendar.
• The reporting officer shall maintain a brief log of all critical incidents occurring within
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his scope of work as an aid to memory while completing the mid year review, annual
assessment and giving feedback to the executive.
• The reporting officer shall carry out the PMS scoring of all executives reporting to him
in an objective manner and such that the scores are distributed in a manner requiring
minimum adjustment and/or normalisation by either the reviewing officer or the
Performance Management Committee.
• In the event of change of KPAs, measures, targets etc., the reporting officer is
required to obtain clearance from Reviewing Officer prior to making the change.

5.3 Role of Reviewing Officer
• The reviewing officer shall go through PMS forms for all executives under his purview
and ensure that the reporting officer has been objective and unbiased in his scoring
of various executives, particularly with respect to the sections relating to
Competencies, Values and Potential
• Where required, the reviewing officer may recommend some changes to the scores
after carrying out a detailed discussion with the respective reporting officer
• The reviewing officer shall also carry out an integrity check to ensure that the scores
awarded to all the executives under his/her purview are distributed in a manner
requiring minimum normalisation by the Performance Management Committee.
• Where an executive has a grievance against the reporting officer regarding the PMS
process, the reviewing officer shall intervene and settle the grievance in a fair and
objective manner.
• The reviewing officer shall also be responsible for ensuring “stretch targets” for
executives under his charge.
• The Reviewing Officer shall cascade the KPAs in an open and transparent manner with
each reporting officer by sharing his KPAs and targets.

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5.4 Role of PMS Officer
• A PMS Officer would be designated for each location (plant/ project/ region/
corporate)
• The PMS Officer would be responsible for implementing PMS as well as for periodic
administration, follow‐up, tracking and analysis of PMS activities as per schedule in
his/her respective location.
• To ensure collection, collation and forwarding the Individual Development Needs
forms to the concerned EDC/ Regional HRD/ PMI.

6 Normalisation Process
6.1 Key Elements of the Normalisation Process
• Executives would be normalised within a cluster with a population of at least 15
executives.
• Depending upon the level, location and the number of executives in the given
level/function, executives would be normalised either at the plant, Regional
Headquarters or Corporate Centre level.
• The composition of clusters at each grade would be notified by Corporate HR from
time to time.
• In respect of executives on secondment/lent to subsidiaries/JVCs, normalisation
would be done in respective entities.
• Normalisation would be done by the Performance Management Committees
comprising cross‐functional members specifically set up for the purpose.
• The Performance Management Committees would be the highest level of decision‐
making body for PMS for the respective level and cluster as the final accepting
authority.
• Constitution of the clusters and Performance Management Committees has been
defined as part of the PMS policy.
• Clusters for purposes of Normalization are notified vide CHRC No.: 544/2005 dt.
31.01.05. The powers to reconstitute the Clusters for purposes of Normalization is
assigned to a committee consisting of ED (HR), CC, one Regional ED and one ED of a
Corporate Function. This committee shall be constituted every year with the approval
of Director (HR) and shall examine the issue of reconstitution of Clusters well in
advance of the normalization exercise mentioned in the PACE calendar. The
reconstituted Clusters shall come into effect after approval of the recommendations
of the committee by the CMD.
6.2 Output from the Normalisation Process
At the end of the process, all executives within a cluster would be categorized into the
following categories:
• Top 30% of the cluster
• Middle 65% of the cluster
• Bottom 05% of the cluster
The post normalized scores of performance shall be used for different HR sub‐systems
by prescribing appropriate criterion to be decided as per requirements. Employee
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whose performance is evaluated in bottom 5% three times consistently shall be
considered for premature retirement under CDA Rules and Procedure for compulsory
retirement (Corp. HR Circular No. 506/2003 dated 9.5.03).

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6.3 Performance Result
The performance scores finalized by the Performance Management Committee and the
categorization at the end of the normalization process are final except in case where
the Appellate Authority as per Clause 8.4 after due examination feels that there is merit
in the appeal.
6.4 Normalisation Steps
1. The Performance Management Committee (PMC) should normalise the
performance of executives within a cluster in the context of the overall
performance of the unit/department vis‐à‐vis the targets laid out in the MOU, unit
plans and functional plans for the year to ensure that individual performance
assessments are in alignment with overall unit/department achievements against
targets.
2. The Performance Management Committee plots the distribution of the scores for
the cluster to determine whether there is any skewing towards higher or lower
scores in any of the departments vis‐à‐vis the other departments within the cluster.
3. Checks are made for data incompatibility resulting in skewing of scores. The data
integrity checks could be on the following areas:
• KPA Targets
o Whether targets have been set at equally challenging levels across
departments
o Whether “stretch targets” are truly stretch within a department
• Competencies
o Whether ratings have been very generous
o Whether competencies (functional/technical or managerial) have been
assessed reasonably i.e. at “Meets Expectations” level.
o Whether too many executives in a department have been overrated (or
underrated) on competencies (exceeds expectations)
o Whether certain executives have been overrated (or underrated) consistently
on all the functional and managerial competencies
• Core values
o Whether too many executives in a department have been overrated (or
underrated) on core values
on all the core values.
• Potential
o Whether too many in a department have been overrated (or underrated) on
potential competencies
on all the potential competencies
4. After checking the integrity of the above data, PMC makes suitable adjustments in
the scores in the relevant sections of the concerned individuals.
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5. If the reviewing officer is not part of the PMC, then if required, the Committee may
call the reviewing officer to discuss the scores or evaluation carried out for a
particular executive.
6. The final scores and the reasons for adjustments, (if made), are documented in the
PMS form in the section provided. The specific reasons for change in scores which
are 5% or more than those awarded by the reporting officer will be recorded
7. After the above steps, executives within each cluster will be categorised into Top
30% of the cluster, Middle 65% of the cluster and Bottom 05% of the cluster. The
normalisation process would be iterative until the above categorization is achieved.
8. The consolidated list of executives categorized as above for each cluster together
with the final score for each employee will be signed by all members of the
respective Performance Management Committee.
9. The concerned HR would facilitate the entire process of normalisation in the role of
a convenor.
10. Individual PMS forms of executives would be signed by concerned member of the
function of the respective Performance Management Committee (PMC) after
making entries of the final score and comments of Performance Management
Committee.
11. Place of Normalization in case of transfer: The PACE reports of executives who have
been transferred during the course of an assessment year shall be normalized at the
place of posting where he/she is working as on the last date of the relevant
assessment cycle.
That is, in case of:
E1‐E5: 31st December and
E6‐E7A:31st March of the assessment year.
The normalized scores of all such cases of transfer (along with PACE Scores of last 5
years) of every unit shall be scrutinized by a committee consisting of Head of P&M
and Head of HR at the regional level and GM(CP) and GM(HR) at the Corporate
level.
In case based on the scrutiny it is found that the concerned executive has been
discriminated against on account of such transfer, then the details of such cases
shall be put up for review (along with records of previous years’ performance) in
the following manner:
In case of Intra‐Region Transfer:
E1‐E4: Concerned Regional Executive Director
E5/E6: Director (HR)
In case of Inter‐Region Transfer:
E1‐E4: Donor & Recipient Executive Directors
E5/E6: Director (HR)
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Any change of score as decided by the above mentioned authorities shall constitute
the final performance score of the concerned executive in the relevant cluster.
11.1The Regional HR/A&P Group at CC (as the case may be) has to collect data on all
transfer cases, constitute a committee and decide as to the case of discrimination.
For this purpose, the following shall constitute discrimination ‐
a. >=5% change from normalized score from immediately preceding assessment
year
b. Performance category change from immediately preceding assessment year, e.g.
if a person was in top bracket in 2006 & brought down to middle in 2007, then it
should be considered a case of discrimination.
c. Any other reason apparent on the face of the record in terms of remarks of
Reporting Officer, Reviewing Officers, PMC, etc.
d. Once all the cases are screened/shortlisted for consideration of the decision
making authority, the scores of 5 years should also be presented for checking
consistency or otherwise of scores.
7. Communication and Feedback of Scores
1. After the process of normalisation of the scores is completed, the Performance
Management Committee hands over all the PMS forms to the respective HR
department.
2. HR then consolidates final scores, performance categorys and the feedback from
the Performance Management Committee for all executives.
3. HR prepares a summary sheet of scores, performance category and feedback from
Performance Management Committee for the executives under each reporting
officer along with the individual Feedback forms, duly filled (see page 38 for format)
and sends the same to the reporting officers. The reason for change in score as
recorded by PMC as per para 6.4 (6) along with the final score awarded by PMC
shall be communicated to the individual executive.
4. The concerned reporting officer signs off the individual feedback forms as per the
summary sheet provided by HR and hands over the same to the executives in order
to communicate the final score, performance category and the feedback.

8. Administration of PMS
1. Executive Directors and General Managers will facilitate implementation of PMS by
monitoring progress, removing any difficulties or roadblocks and ensuring
completion of assessments and submission to HR as per the dates provided in the
PMS calendar for their respective Units /Departments/Regions.
2. The concerned business unit head/ functional head should cascade his KPAs to the
executives reporting to him based on MOU targets for that year with suitable
stretch targets to ensure organisational excellence. This process may be finalised in
an SMC meeting/ departmental or group heads meetings as the case may be, which
is to be held in the second half of March of each assessment year.
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3. The primary responsibility for filling up the PMS form and setting the process in
motion rests jointly with the reporting officer and the executive as per the time
frame provided.
4.Any difficulty or difference that may rise between the reporting officer and the
executive in the process of implementation of the system would be sorted out
through the intervention of the Reviewing Officer 1 first and then by Reviewing
Officer 2. In case of grievance on the individual performance scores finalized by
Performance Management Committee (PMC), the grievance can be directly put up
to an appellate authority (ies).
4.1 Guidelines for Appeal in the PACE system
(i) In case of grievance on the individual performance scores finalized by the
performance management committee (PMC), the grievance can be directly put
up to an appellate authority (ies) which is one level above the PMC with a copy
to concerned HR. However, only such cases where change of marks is equal to
or more than 5% of that awarded by the Reporting Officer shall be eligible for
appeal.
(ii) Respective Appellate Authority (ies) and the timelines for appeal, examination
of appeal & communication to appellant are as per table given overleaf PACE –
Appeal Form. The concerned HR as given against respective levels &
locations/departments shall coordinate all the related activities.
(iii)The scores given by the appellate authority (ies) shall be final and the
categorization of the aggrieved employee (s) shall accordingly be adjusted in
the respective cluster (which was earlier normalized) without altering the
performance categorization/ performance bucket and scores of other
executives in the same cluster.
(iv) The timelines for appeal, examination of appeal & communication to appellant
along with appeal form provided in page 42 & 43.
5. If any executive does not participate in performance planning and the subsequent
processes despite being given ample opportunity to do so, the Reporting Officer
can, during annual assessment give only the final marks (including part‐wise marks)
on single sheet (part for total marks in the present PMS form). The movement of
the form in such cases shall remain same as in normal case i.e., Reporting Officer ‐
Reviewing Officer 1 – Sectional Head – Reviewing Officer 2 ‐ PMC.
6. In the event of the creation of a new role or department, the concerned HR
department will develop KPAs and Functional Competencies for that particular
role/department in consultation with the respective head of department. Also, if for
an existing role, new competencies/KPAs are required to be added, the concerned
HR department would compile the same in consultation with the respective head of
department. Such new roles or competencies defined should be validated with
Corporate HRD.
7. The key role for the HR department in the PMS administration is to:
• Issue PMS forms as per the PMS calendar
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• Collect forms as per schedule
• Monitor adherence to dates
• Highlight non‐compliance/exceptions to top management
• Send copy of Individual Training and Development Plan to concerned HRD/ EDC /
PMI
• Convene Performance Management Committee meetings
• Consolidate feedback, final scores and performance category of all executives
• Prepare “Final Score Feedback Form” for each executive and provide to
respective reporting officers.
8. The responsibility across various levels and locations for PMS administration lies
with the PMS Officers, so designated at each Plant, Region and Corporate.
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9. Convening responsibility of the Performance Management Committees is as
provided in the table below:
Level Location Member Convenor

E1‐E5 For Plant Head – Plant HR
For Region Head‐RHQ HR
For Corporate Centre Head ‐ (Appraisal &
Promotion Group)
E6 For Plant & Regional Headquarters Head‐RHQ HR
For Corporate Centre Head ‐ (Appraisal &
Promotion Group)
E7 & E7A For Plant, Regional Headquarters & ED (HR)
Corporate Centre
For all Executive For NTPC Subsidiary/JV under NTPC Concerned Head of HR
Levels management
8.1 Transfers
8.1.1 Executive and/or reporting officer transferred during assessment year:
a. If the executive or the reporting officer has spent less than 3 months of the
assessment year prior to transfer from the department, then no assessment needs
to be carried out for the executive for that period by that reporting officer.
Fresh KPAs will have to be issued by the new reporting officer in the new
department/location and these will form the basis of the executive’s annual
assessment for that year, which will be done solely by the new reporting officer.
The total score for normalisation will be provided by the new PMS form only and
the normalisation cluster would be based on the executive’s new position.
b. If the executive or the reporting officer has spent more than 3 months of the
assessment year prior to transfer from the department, then an assessment must
be carried out for the executive duly signed off by the reporting officer for the
relevant period followed by a review of the same by the Reviewing Officer.
Fresh KPAs will have to be issued by the new reporting officer and the executive’s
annual assessment for that year will comprise both the old as well as the new PMS
forms, duly signed off by the respective reporting officers.
The total score for normalisation will be provided by both the PMS forms
proportionate to the amount of time spent in each department. The normalisation
cluster would be based on the executive’s new position.

8.1.2 Executive promoted during the year:
a. Executives promoted during the assessment year would be issued new PMS forms, if
promotion is accompanied by change in role‐band or change of job responsibility or
transfer.
b. If an executive is promoted within the same role band and continues to remain in
the same department under the same reporting officer with substantially the same
responsibilities and KPAs, then the existing PMS format will continue to be used. At
the end of the year, he is assessed on the same KPAs and the total score for
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normalisation purpose is also derived from it.
The executive will be normalised in the cluster applicable after promotion. If some
responsibilities are added as a result of promotion, the same can be incorporated in
the PMS format during the Mid‐Year Review.
c. If an executive is promoted along with a change in role band, then a fresh PMS form
will have to be filled appropriate to the role band and fresh KPAs will need to be
agreed upon.
Furthermore, the executive will be normalised in a cluster as per his new grade and
function.
The total score for the year would be calculated using the same 3‐month minimum
service principle as in point 8.1.1 above.

The respective HR departments have to ensure that PMS forms are filled and signed
off if an executive has served for a minimum period of 3 months either in the
location or under a particular reporting officer or within a role band. The release
order for the executive/reporting officer will be issued subject to the fulfillment of
this. Thereafter, HR needs to coordinate with the other HR departments where the
executive has been transferred to communicate the proportionate weightage of
total score to be used for calculating the final score.

8.2 Non‐Compliance with PACE Cycle/ Scheme of Negative Marking (Withheld till further
orders)
Non‐ compliance with PACE calendar shall entail deduction of overall PACE scores of
executives responsible for adherence to calendar. The detailed guideline for deduction
of marks is as follows:
Scheme of Negative Marking
Grade Performance Mid-Year Annual Normalization Communication Total
Planning Review Assessment of Scores
ED 5 1 2 5 2 15
GM 5 1 2 5 2 15
HOD 3 2 2 1 2 10
Sectional 2 2 2 - 2 8
Head
Reporting 2 1 1 - 1 5
Officer
HOHR for 2 2 2 - 2 8
HR
HOHR for all 2 1 2 1 1 7
functions
8.3 Procedure of Negative Marking
8.3.1 Exception Report shall be sent to Regional Headquarters for E1‐E6 level executives and
to CC for E7 and above executives in Form No. 4 of PACE Administration Toolkit.
8.3.2 PACE Audit for each phase, as per PACE policy, shall be conducted within a week from
the deadlines.
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8.3.3 Audit Reports shall specifically mention the name of the executive liable for negative
marking.
8.3.4 PMS Audit committee shall consist of members as specified in the PACE policy and also
a regional/ CC nominee.
8.3.5 Regional/ CC PMC shall enforce the recommendation of PACE Audit Committee
regarding negative marking
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9 Audit of PMS
9.1 Guidelines
To achieve the objectives of the PMS, an audit procedure has been put in place to
ensure
that all users follow PMS guidelines consistently.

9.2 Role of Audit Team
The audits are to be carried out on a sample basis across plants, regions Corporate
Centre
using the format provide as per PACE Audit Manual or any format issued by Corporate
HRD from time to time.

9.2.1 Audit of Target Setting
The key role of the audit team shall be to ensure that
• The reporting officer is at a minimum level of E5
• The KPAs have been appropriately cascaded down at each level with appropriate
balancing and sufficient stretch targets to achieve individual and organisational
excellence
• There is parity in the targets for executives of a particular level having similar roles
and responsibilities
• The KPAs have been set with data backup and support
• The optional competencies which are set are in line with the executive’s role and
grade
• The KPA target setting has been discussed between the appraiser and appraise
• Interdepartmental targets have been set accurately with appropriate linkages to
smoothen the process of achieving individual targets

9.2.2 Audit of Mid‐Year Review and Annual Assessment
The key role of the audit team will be to ensure that
• Changes made to the Targets and KPA during the Mid‐year Review reflect the
departmental/plant needs
• The overall scores for the KPA targets are in line with the departmental
outcomes/results for the year with sufficient “stretch” targets
• The calculation of marks in each section of the PMS has been done accurately
• The data of a cluster/large department follows a natural curve with differentiation
between top performers (30%), middle (65%) and bottom performers (05%).
• The reporting officers have followed the principles of evaluation and reasonably
avoided rating biases while evaluating a group

9.2.3 Audit of Normalisation Process
The role of the audit team shall be to
• Ensure that the principles of normalization have been followed
• Review the final list of executives who form the top 30% and ensure that their
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performance scores indeed accurately reflect the highest performance level within
the cluster that they are taken from and the departments that they belong to.

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9.3 Composition of the Audit Committee and Submission of Report
The audit team and the submission of the audit report to the concerned authority shall
be as under. The report should only highlight the exceptions and non‐compliance issues
to enable suitable action to be taken.
Area Audit Team Report Submitted to

Plants • Head of O&M Head of HR for the
• Head of Technical Services respective Region
• Head of HR
Regions • Head of OS Corporate HRD
• Head of P&S/P&M
• Head of HR
Corporate Centre • Nominated member from Corporate HRD
Corporate Planning (from
MoU group)
• Nominated member from
concerned function
• Nominated member from HR
• All nominated members will
not be below the level of
DGM
9.4 Audit by Corporate HR
Corporate HR reserves the right to conduct sample checks at any location for PMS
policy and system adherence at their sole discretion.

10 General
The powers to modify, cancel, add or amend any of the provisions of the PMS policy at
any time rests with the CMD of NTPC.

11 APPENDICES
11.1 Useful Guidelines for carrying out PMS
The following checklist must be used to ensure completion of all PMS activities:

Performance Planning Mid‐ Year Review Annual Assessment
9 KPAs and constituents to be 9 Performance progress to be 9 Marks to be given for target
identified and written in the discussed (KPAs, achieved against KPAs
PMS form Competencies, Potential and 9 Summary of KPA marks to be
Source: KPA Directory Core values) filled in dashboard
9 Three levels of Targets to be set 9 Self evaluation to be 9 Competencies to be rated
9 Functional/Technical discussed and documented 9 Core values to be rated
Competencies to be identified 9 Fill New Form if changes in 9 Potential to be rated
and written KPAs 9 Summary of scores
Source: Competency 9 Comments of reporting 9 Sign off by the executive and
Directory officer to be documented reporting officer
9 Optional Executive/ 9 Sign off by the executive and
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Managerial identified and reporting officer
ticked in the PMS form
9 Discuss and fill Individual
Training and Development plan
9 Sign off by the executive and
reporting officer
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11.2 Tips for Reporting Officer to conduct Assessment Meeting
There are eight simple steps that a reporting officer must follow in order to conduct an
effective assessment meeting:
1. Control the atmosphere: Be prepared, create trust and understanding by putting
the executive at ease. Avoid interruptions while the executive is communicating.
2. State the purpose of the discussion: Discuss the advantages of the discussion
including:
a. Assessment of progress towards goals
b. Identification of ways to improve performance
c. Identification of current or potential problems
d. Improvement in communication
3. Ask for the executive’s opinion: Ask executive to discuss what he/she has written in
self‐appraisal. Ask clarifying questions, if needed. Listen carefully and attentively.
Keep an open mind. Control your emotions or defensive reactions.
4. Present your assessment: Speak in detail, giving factual information. Be open,
candid and specific, giving both good news and bad news.
5. Build on executive’s strengths: This will lay the groundwork for a positive approach
for future performance. Specifically:
a. Ask the executive to name his/her strengths
b. Share your opinion of the executive’s strengths
c. Recap the strengths you have discussed and relate them to specific future goals
d. Focus on performance and not the person
e. Be aware of not focusing too much on recent events; take the entire year’s
performance into consideration.
6. Ask for executive’s reaction to your assessment: Be prepared for executive’s
disagreement on your assessment. He/she may also feel unhappy or emotionally
upset. Stay open and do not react in a defensive manner. Resist the temptation to
gloss over serious issues.
7. Discuss specific goals: Set specific future goals for performance as well as training
and development needs. Discuss career progression at this stage and the steps to
be taken to achieve the same.
8. Close the discussion: Plan for a good ending. Summarize the discussion and discuss
the scheduled next steps.

11.3 Tips on providing feedback
1. Provide feedback on actual events
2. Describe, don’t judge
3. Refer to specific behaviour
4. Select issues and restrict to those.
5. Focus on aspects of performance that the individual can improve upon.
6. Provide positive feedback

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11.4 Tips for implementing PMS
The most objectively designed performance management system in the world can fail if
it is not implemented with care and caution. Some common issues of PMS
implementation can be successfully avoided by following some of the simple tips
mentioned below:

What To Do Steps
Ensure frequent communication • Ensure frequent two‐way communication between
reporting officers and executives
• Take active steps to remove obstacles limiting executive
performance
• Create an atmosphere where executives are encouraged to
ask questions and clarifications
• Ensure that executive’s perceptions of performance match
the reporting officer’s
Mutually agreed‐upon goals • Share and communicate goals received from top
management for your unit/department
• Involve executives in goal‐setting
• Document them so that there is a common understanding
of what is expected
Evaluate your own performance first • Take time to evaluate your own performance first
• Get feedback from others (peers and superiors) to see how
well you are creating an achieving atmosphere for your
executives
Document performance between appraisal • Document examples of superior performance or attitude
meetings • Document failures to achieve and poor behavior
• Avoid effect of the most recent event (halo effect or horn
effect)
Prepare yourself and the executive for the • Set a date, time and place after consulting with executive
discussion • Ensure that executive is aware of the purpose of the
meeting
• Show the same professional courtesy that is awarded to
any business associate
• Give the executive the opportunity to ask clarifying
questions prior to and during the meeting
Conduct the meeting successfully • Control the environment and do not allow interruptions
• Put the executive at ease
• Plan your opening remarks
• State the purpose of the discussion and the information
being used (e.g. statement of goals, written
documentation, peer feedback etc.)
Ask for executive’s opinion • Ensure that executive does most of the talking
• Ask open ended questions that start with ‘Tell me how.’,
‘Why do you think…’, and so on that provide an executive
to open up and talk at greater length
Be open, candid and specific • Present your assessment openly, clearly and rationally
• Be prepared to present the facts and rationale if
challenged
• Give both good and bad news
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• Discuss executive accomplishments
• Focus on performance, not personality
Close the discussion in a professional manner • Ask for executive’s impression on how the meeting went
• Thank the executive
• Explain the follow‐up steps

12 ANNEXURES

12.1 Distribution of Marks

Level KPA Functional/ Managerial Values Potential Total
Technical /Executive Competencies
Competencies Competencies
E1 to E3 80 10 5 5 ‐ 100
E4 75 10 5 5 5 100
E5 65 10 10 5 10 100
E6 to E7A 50 10 15 15 10 100
12.2 Rating Scale for Assessment of Competencies

Evaluation Level of Competency Description for assessing Functional and Managerial
Competencies

1‐4 Needs Development Is able to demonstrate the competency on some occasions on
the job. Displays some of the behaviours as indicated for the
managerial competency. There are specific areas of
development for which training interventions are required
5‐6 Meets Expectations Is able to demonstrate the competency effectively on almost all
occasions on the job with minimum supervision and training
intervention. Displays all behaviours as indicated for the
managerial competency. Is prepared to develop higher levels of
the competency
7‐8 Moderately Above Is able to demonstrate the competency at a significantly higher
Expectations level than that required to carry out the assigned job on several
occasions and though not an expert in the competency, has the
potential to be one and can be developed with minimum
training.
9‐10 Significantly Exceeds Besides demonstrating the competency effectively required for
Expectations the specific level, is viewed as an internal expert in this
competency. Peers seek his opinion across the unit/company in
his domain. Uses current expertise/behavioural capability to
provide coaching, guidance and transferring knowledge to
subordinates and peers by conducting training programs.
Represents the organization’s capability to external agencies
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12.3 Rating Scale for Potential Assessment

Evaluation Level of Competency Description for assessing Functional and Managerial
Competencies

1‐4 Needs Coaching and Is a learner and has not yet demonstrated the behaviour/skill
Development required for the competency as per description and requires a
high degree of coaching and guidance to do so
5‐7 Somewhat Demonstrates Demonstrates some of the behaviours of the relevant
Competency competency as per description with minimal coaching and
guidance
8‐10 Always Demonstrates Repeatedly and characteristically demonstrates all behaviours of
Competency relevant competency as per description without much coaching
and guidance and is a role model for others

12.4 Normalisation Process

12.4.1Examples to illustrate the normalisation process

Example‐1
Assume that the size of the group to be normalised upon is 20 with the following
distribution of scores:

Table 1
Department Executive Total Score (out of max 100 points)
X E1 76
X E2 67
X E3 77
X E4 87
Y E5 92
Y E6 67
Y E7 77
Y E8 78
Z E9 91
Z E10 87
Z E11 86
Z E12 88
Z E13 74
P E14 78
P E15 92
P E16 65
P E17 78
Q E18 85
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Q E19 83
Q E20 82
Average Score 80.5
The committee needs to analyse the above inputs provided to them using the following
steps:
1. Determine the range of the distribution: In the above case it is 27 (65‐92).
2. Compare the mean and the median: The above range has a mean score of 80.5 and
a median of 80. Since the mean and the median are almost the same, it suggests
that the above range is evenly distributed on either side of the mid‐point.
3. Examine the distribution of scores within each department. See department‐wise
sorting in Table 2.

Table 2
P E15 92
P E14 78
P E17 78
P E16 65
Q E18 85
Q E19 83
Q E20 82
X E4 87
X E3 77
X E1 76
X E2 67
Y E5 92
Y E8 78
Y E7 77
Y E6 67
Z E9 91
Z E12 88
Z E10 87
Z E11 86
Z E13 74
4. It can be observed that while most departments have rated executives according to
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a normal distribution, the executives in department Q are all clustered together.
However, here it is not much of a concern as the cluster is quite close to the
mean/median and is not causing much skewing of the distribution.
5. Compare the top and bottom scores awarded across departments to check whether
extreme high or extreme low scores are being awarded in any particular
department and investigate the reasons for the same. See Table 3.

Table 3
Department Top Score Bottom Score Comment
P 92 65
Q 85 82 High “Bottom score”
X 87 67
Y 92 67
Z 88 74

6. Sort the scores of the entire population in descending order to divide the
distribution into 3 broad performance “buckets”: Top 30%, Middle 65% and Bottom
05%.
7. In the above case, out of 20 executives, there should be 6 Top executives, 13
Middle executive and 1 Bottom executives. See Table 4.

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Table 4
Department Executive Total Score (out of Performance “Bucket”
max 100 points)
P E15 92 Top
Y E5 92 Top
Z E9 91 Top
Z E12 88 Top
X E4 87 Top
Z E10 87 Top
Z E11 86 Middle
Q E18 85 Middle
Q E19 83 Middle
Q E20 82 Middle
P E14 78 Middle
P E17 78 Middle
Y E8 78 Middle
X E3 77 Middle
Y E7 77 Middle
X E1 76 Middle
Z E13 74 Middle
X E2 67 Middle
Y E6 67 Middle
P E16 65 Bottom
8. Check to ensure that executives with same score are in the same bucket.
9. Observe whether a large percentage of executives in the “Top” or “Bottom” buckets
are from any one (or few) particular department(s). If so, probe the reasons for the
same. In the case above, 60% of the “Top” bucket is from department Z while no
executives from departments Q are represented, which may need to be probed.

Example‐2
Assume same size of group with the scores being distributed as provided in Table 5:

Table 5
X E1 88
X E2 81
X E3 93
X E4 91
Y E5 92
Y E6 93
Y E7 87
Y E8 84
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Z E10 91
Z E11 90
Z E12 89
Z E13 88
Z E9 91
P E14 78
P E15 91
P E16 82
P E17 89
Q E18 90
Q E19 82
Q E20 82
87.6

Using the same steps as in the earlier example:
1. Range of the scores is 15 (78‐93) that indicate that the scores are much more
closely clustered together.
2. Mean is 87.6 while median is 89.5. As the median is higher than the mean, it
indicates that there is skewing towards the higher end of the range.
3. The distribution of scores within each department can be seen in Table 6. In
general, scores are skewed towards the higher side and this is most glaring in
department Z.
This could be an area where the Performance Management Committee needs to
examine the high ratings within this department.

Table 6

P E15 91
P E17 89
P E16 82
P E14 78
Q E18 90
Q E19 82
Q E20 82
X E3 93
X E4 91
X E1 88
X E2 81
Y E6 93
Y E5 92
Y E7 87
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Y E8 84
Z E9 91
Z E10 91
Z E11 90
Z E12 89
Z E13 88

4. The comparison of the top and bottom scores of each department can be seen in
Table 7. The range of scores in department Z is too narrow with a very high
“Bottom” score. The “Bottom” score in department P is comparatively low.

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Table 7
Department Top Score Bottom Score Comment
P 91 78 Comparatively low
“Bottom”
Q 90 82
X 93 81
Y 93 84
Z 91 88 Extremely high
“Bottom” and narrow
range

5. After sorting the scores of the entire population and determining performance
buckets, it is observed that 35% of the population will fall into the “Top”, 60% into
the “Middle” and 05% into the “Bottom”. Clearly, this distribution requires
normalisation. See Table 8.

Table 8

Department Executive Total Score (out of Performance “Bucket”
Performance max – pre‐normalisation
100 points)
X E3 93 Top
Y E6 93 Top
Y E5 92 Top
P E15 91 Top
X E4 91 Top
Z E9 91 Top
Z E10 91 Top
Q E18 90 Middle
Z E11 90 Middle
P E17 89 Middle
Z E12 89 Middle
X E1 88 Middle
Z E13 88 Middle
Y E7 87 Middle
Y E8 84 Middle
P E16 82 Middle
Q E19 82 Middle
Q E20 82 Middle
X E2 81 Middle
P E14 78 Bottom

6. As 4 executives have the score of 91, they would all be treated equally in terms of
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placement in the bucket.
7. Of the 7 executives rated as “Top” prior to normalisation, departments X, Y and Z
have 2 executives each while department P has one executive.

Having made all the critical observations, the Performance Management Committee
should consider the following factors for carrying out normalisation:
a. Whether competencies have been assessed using uniform norms across
departments
b. Whether target setting has been carried out rationally. Although it may be difficult
to downgrade executive scores on this post‐facto, this can be used to upgrade
executive scores in departments where the targets were set at levels far higher
levels than those of the other departments. Furthermore, it would still provide
feedback towards goal setting for the relevant department in the following years.
Based on the above analysis, the Performance Management Committee may decide to
downgrade E9 to a score of 90, thus fulfilling the PMS norms.

The final PMS output from the performance management committee would appear as
shown in Table 9.

Table 9
Departmen Executive Total Score Performance Normalised Performance
t (out of “Bucket” – pre‐ Score “Bucket” – post‐
Performance normalisation normalisation
max 100
points)
X E3 93 Top 93 Top
Y E6 93 Top 93 Top
Y E5 92 Top 92 Top
P E15 91 Top 91 Top
X E4 91 Top 91 Top
Z E9 91 Top 90 Middle
Z E10 91 Top 91 Top
Q E18 90 Middle 90 Middle
Z E11 90 Middle 90 Middle
P E17 89 Middle 89 Middle
X E1 88 Middle 88 Middle
Y E7 87 Middle 87 Middle
Y E8 84 Middle 84 Middle
P E16 82 Middle 82 Middle
X E2 81 Middle 81 Middle
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P E14 78 Bottom 78 Bottom

12.5 Format of Invitation to Executive to Participate in PMS Process

Inter Office Memo

From: Name of Reporting Officer To: Name of Executive

Date: Copy To:
Sub: Performance Management System
You are requested to attend a meeting regarding the following aspect of the
Performance Management System for the current year (tick one):

• Performance Planning
• Mid Year Review
• Annual Assessment

The meeting will be held on date at time at venue. Please come prepared for the
discussion.

(Signature of Reporting Officer)

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12.6 Final Score Feedback Form

NTPC Limited
Performance Management System – Final Score
Assessment Year _______
Name (Shri/Ms) Employee No.
Level Department & Section
Location
Final Score Performance Category (√)
Part I Top 30%
Part II
Middle 65%
Part III
Bottom 5%
Part IV
Total
Feedback/Comments
By PMC Any Other
Reporting Officer Signature of PMS Officer
Name
Emp. No.
Signature
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Date of Communication Date sent to
of score Rep. Officer
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12.7 PMS Audit Format
The PACE audit format shall be as per the PACE Audit Manual (issued by Corporate
HRD on 6th September, 2006) or as per the format issued by Corporate HRD from time
to time.
12.8 Formation of Cross‐Functional Team (CFT)
All locations / units of NTPC Ltd., JVs and Subsidiaries, shall constitute a Cross
Functional Team (CFT) – also called the PACE Cell – for the purpose of facilitating the
effective implementation of PACE as well as for enabling the process of performance
planning in particular.
The CFT shall consist of the following members
a. An officer of Technical services – P&S deptt of the level of E5/E6
b. Head of HR of the Unit
c. An officer of the level of E5/E6 to be nominated by GM/BUH of the unit
d. PACE officer of the HR deptt. of the unit
Incase of Corporate Centre, the CFT/PACE cell shall consist of the following members:
a. An officer of Corporate Planning deptt. of the level of E5/E6
b. An officer of Corporate Monitoring group of the level of E5/E6
c. Group Head of E7/E7A level of Corporate HR‐PMS Group
e. PACE officer of CC
Besides, every department of CC shall nominate one executive not below the level of
E6 to coordinate with the above PACE Cell of CC for effective implementation of PACE
system in their respective department and performance planning, in particular.
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12.9.1 Executive/Managerial Competencies
SNo Executive/Managerial Competencies E1-E5 E6-E7 E7A

1 Analytical Ability M
2 Learning M
3 Team Player M
4 Communication Skills M
5 Managerial Effectiveness M
6 Team Building M
7 Decision Making M
8 Business Attitude M
9 Leadership M
10 Vision and Strategic Thinking
11 Resource Management and Administrative Ability
12 Interpersonal Skills
13 System Orientation
14 Innovation and Creativity
15 Adaptability
16 Empowering and Motivational Ability
17 Cost Consciousness
18 Quality Consciousness
Total 08 11 11
M – Mandatory Competencies, Other shaded boxes – Optional Competencies of which 3 need
to be selected for assessment
12.9.2 Potential Competencies
E4 & E5 E6-E7 E7A
Leadership Leadership Change management
System Orientation System orientation Networking and relationship

management
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Resource Management and Resource management and Coaching and counseling
admin ability admin ability
Team Building Business Attitude Vision and Strategic Thinking
12.10Glossary

Term Description
Annual Assessment The part of the Performance Management System where performance
for the assessment year is reviewed, scores are assigned, feedback is
given
Assessment year For E1 to E5: 1st January to 31st December
For E6 to E7A: 1st April of each year to 31st March of the following year
Cluster A set of departments /functions that are considered together for the
purpose of normalisation
Coaching On‐the‐job approach to help individuals to develop their skills and levels
of competence
Competency, Skills required for success in a particular function or job which typically
Functional/ Technical involve demonstrating technical/functional knowledge at a particular
level
Competency, Skills essential for a business to achieve its strategy and are typically
Executive/Managerial demonstrated through behaviour
Competency, Fixed set of 3 competencies defined for each level which are necessary
Mandatory for success at that level
Competency, Potential Skills that demonstrate capability of executive for taking on higher levels
of responsibilities
Core Value Shared belief or principle of NTPC which guides behaviour directed
towards achievement of organizational mission and vision
Counselling Process by which executives can receive assistance in arriving at decisions
appropriate to their career aspirations
Dashboard Set of KPA indices appropriate for a particular position
Executive Executive whose performance is being assessed
KPA Key Performance Areas or critical indicators of performance
KPA Directory A guidebook of KPAs applicable for various functions and levels along
with indicative constituents and weightages
KPA Index A set of related KPAs achieving a common objective
Mid‐Year review Assessment held during the middle of the assessment year to enable
reporting officer to provide timely feedback and review KPAs, relative
weightages, measures, targets for the balance of the year
Normalisation A process whereby the performance of executives within a
cluster is categorized into top 30%, middle 65% and bottom 05%
Performance A committee of senior executives, typically DGMs and above, responsible
Management for normalisation of performance within a cluster. The committee would
Committee ensure parity of performance scoring by minimizing variation in ratings by
different reporting officers within that cluster
Performance Instrument to set the process of assessment of the job‐related results
Management System achieved including competencies, potential and core values by executive
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in a given period of time
Reporting Officer Executive carrying out the performance assessment of one or more
subordinate executives
Reviewing Officer The executive higher up the hierarchy than the reporting officer whose
responsibility within the context of PMS is to ensure that the reporting
officer carries out a fair and timely appraisal of all
executives within his scope of responsibility
Special Achievement Successful realization or completion of one‐time activities not planned for
at the beginning of the year
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12.11.1 Timelines for Appeal, Examination of Appeal & Communication to
Appellant (E1-E5)
SN Level Location/ PMC Schedule Time Appellate Time period Commn to Concerned
Department Schedule for period Authority for Appellant (s) HR
Commn. for (ies) Examination
of Score appeal & Decision
by Appellate
Authority
(ies)
1 E1-E4 Stations 15-31st 7th Feb 12th Regional Within 5 Within 8 Regional
Jan. Feb. ED days from days from HR
last date of last date of
appeal (By appeal (By
17th Feb) 20th Feb
2 E1-E4 RHQ/CC 15-31st 7th Feb 12th Director -do- -do- CC-HR
Jan. Feb. (Oprn.) + (Appraisal
JVs/Subsidiaries Director &
(HR) Promotion
Group)
3 E5 Engg., TS (P&S, 15-31st 7th Feb 12th Director -do- -do- -do-
FES, FQA), QA&I, Jan. Feb. (Tech.) +
Cons. Wing, IT, Director
APDP(R&M) (Proj.)
Construction, 15-31st 7th Feb 12th Director -do- -do- -do-
Erection, New Jan. Feb. (Tech.) +
Projects (RHQ), Director
CMG, PSG, Project (Proj.)
Coordination,
Project Monitoring
O&M, OS, CBE, FM, 15-31st 7th Feb 12th Director -do- -do- -do-
CM&CW, GS, EMG, Jan. Feb. (Oprn.) +
AUD, AFFOR., Director
CENPEEP, CEETEM, (Proj.)
ET, R&D
Commercial, NBD 15-31st 7th Feb 12th Director -do- -do- -do-
Jan. Feb. (Oprn.) +
Director
(Comml.)
C&M, CP, HR, PR, 15-31st 7th Feb 12th Director -do- -do- -do-
CSR, R&R, Medical, Jan. Feb. (HR) +
PMI, Corp. Director
Communication, (Proj.)
Safety, NTPC
Foundation
Finance, Legal, 15-31st 7th Feb 12th Director -do- -do- -do-
Company Secretary Jan. Feb. (Comml)
+
Director
(Fin.)
E1-E5 Vigilance 15-31st 7th Feb 12th CMD -do- -do- -do-
Jan. Feb.
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* Executives (E5) posted in JVs/Subsidiaries are normalized as per functional cluster as
shown above and shall submit appeal accordingly.
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12.11.2 Timelines for Appeal, Examination of Appeal & Communication to
Appellant (E6 & above)
SN Level Location/ PMC Schedul Time Appellate Time period Commn to Concerned
Department Schedule e for period Authority(i for Appellant (s) HR
Commn. for es) Examination
of Score appeal & Decision
by Appellate
Authory(ies)
1 E6 C&M, CP 1st – 25th 31st May 5th CMD Within 5 Within 8 CC-HR
May June days from days from (Appraisal
last date of last date of &
appeal (By appeal (By Promotion
10th June) 13th June Group)
Engg., TS (P&S, -do- -do- -do- Director -do- -do- -do-

FES, FQA), QA&I, (Tech.) +
Cons. Wing, IT, Director
APDP(R&M) (Proj.)
Construction, -do- -do- -do- Director -do- -do- -do-

Erection, New (Tech.) +
Projects (RHQ), Director
CMG, PSG, Project (Proj.)
Coordination,
Project Monitoring
O&M, OS, CBE, FM, -do- -do- -do- Director -do- -do- -do-
CM&CW, GS, EMG, (Oprn.) +
AUD, AFFOR., Director
CENPEEP, CEETEM, (Tech.)
ET, R&D
Commercial, NBD -do- -do- -do- Director -do- -do- -do-

(Oprn.) +
Director
(Comml.)
HR, PR, CSR, R&R, -do- -do- -do- Director -do- -do- -do-
Medical, PMI, Corp. (HR) +
Communication, Director
Safety, NTPC (Proj.)
Foundation
Finance, Legal, -do- -do- -do- Director -do- -do- -do-

Company Secretary (Comml)
+ Director
(Fin.)
Vigilance (all -do- -do- -do- CMD -do- -do- -do-

locations)
2 E7 & All Locations -do- -do- -do- CMD -do- -do- -do-
above
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* Executives (E6) posted in JVs/Subsidiaries are normalized as per functional cluster as
shown above and shall submit appeal accordingly.
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RECORD OF REVISIONS

No. Date
Revisions
Siddhartha Mandal T M Devi Rakesh Prasad

M(HRD) SM(HRD) DGM(HRD)
58

Statement of Company Policy regarding Promotion of Updated as on: 31.01.2012
Employees in Workman Categories Page: 1 of 16

STATEMENT OF COMPANY POLICY REGARDING PROMOTION OF EMPLOYEES
IN WORKMAN CATEGORIES1
1.0 OBJECTIVE
The objective of the company's Promotion Policy for employees in the Workman categories is to
provide keeping in view the organizational requirement, adequate growth opportunity consistent
with merit and suitability.
2.0 CLUSTERIZATION OF GRADES16
The grades in workman category shall be grouped into the following three clusters:
Grades Clusters
W0-W2 and extended grades W3-EG and Cluster-A
W4-EG
W3-W6 and extended grades W7-EG & W8- Cluster-B
EG
W7-W11 & SG Cluster-C
Note: EG is Extended Grade
3.0 GENERAL PRINCIPLES
The following factors will be taken into account in promotion from one grade to the next higher
grade:
3.1 Channel of Promotion (COP)
All the functional areas / disciplines will be suitably grouped into well defined channels of
promotion (COP) taking into account the nature of duties and other relevant considerations and
the promotions will be effected strictly in accordance with the channels so laid down (as shown in
Annexure-I as an illustration). The COP charts will also indicate the test, interview, minimum
qualification and relevant experience if any, which will be required for promotion to a certain
grade.
3.2 Movement within cluster16
Vacancy shall not be a constraint for movement / promotions to grades within a particular cluster.
Accordingly, workmen shall be promoted to next higher grade within the cluster on fulfilling the
prescribed eligibility period and prescribed minimum performance level.


3.2.1 Minimum performance level for promotions within the cluster17
The minimum performance level i.e. the minimum performance appraisal rating marks for
promotions withion the cluster for DPC-2009 and onwards till further notification in this regard
shall be as under :
Cluster Grades * Minimum performance

From To appraisal rating marks
A W0 W1 20
W1 W2 20
B W3 W4 20
W4 W5 20
W5 W6 20
C W7 W8 20
W8 W9 23
W9 W10 23
W10 W11 23
W11 SG 23
* However, promotion to next higher grade shall also be subject to the condition that workman is
not rated “unsatisfactory” in any of the performance appraisal reports considered for promotion.
3.2.2 Minimum performance appraisal rating marks in case of SC / ST candidates in Cluster A & B (W0
to W5) and W7 shall be 17 in place of 20 marks and 20 in place of 23 marks in Cluster C (W8 &
above).18
3.2.3 The dispensation allowed to SC / ST candidates shall also be allowed to physically challenged
employees in Group C & D.18
3.3 Movement across clusters16
Promotions from one cluster to another i.e. from W2 to W3 and W6 to W7 shall be subject to
vacancy, qualifying test / interview as prescribed in applicable COP and applicable terms and
conditions.
3.4 Eligibility Period16
The eligibility period i.e. the minimum length of service required to be rendered by an employee in
his existing grade for being considered for promotion to next higher grade shall be as follows :
Grades Eligibility Period

W0 8 years
W1 8 years


W2 5 years
W3 4 years
W4 4 years
W5 4 years
W6 4 years
W7 4 years
W8 3 years
W9 3 years
W10 3 years
W11 3 years
3.4.1 However, all workmen on regular rolls in W0 grade on 1.1.2007, on completion of 4 years of
service in W0 grade, shall be considered for promotion to W1 subject to their fulfilling other
criteria as per extant promotion policy, with effect from DPC-2010.19
3.4.2 Workmen after completing one (1) year in W10 grade shall become eligible for promotion /
placement to E1 grade in executive category, in specified COPs only. The same will be subject to
vacancy, possession of prescribed qualification, qualifying Test & Interview and fulfilling other
conditions of the extant promotion policy. List of afore-mentioned specified COPs, alongwith pre-
requisites for such promotion / placement, is enclosed as Annexure II.14&19
3.4.3 Counting of period of Extra-Ordinary Leave (EOL) for promotions
Such cases may be dealt with in line with provisions of NTPC Pay Fixation Rules circulated vide
Corporate Personnel Circular No. 105/83 dt.8.2.83. Clause 9.0 of the rules provide, interalia, how
the period of Extra Ordinary Leave should be treated for the purpose of drawal of increment,
which is as follows :
"9.1 (ii) EOL on account of illness or for prosecution of higher scientific and
technical/professional studies duly supported by a medical certificate from an authorised medical
officer of the Company in case of illness and by a certificate from the Head of Division that the
higher scientific and technical/professional studies are in the interest of company's work in case
of leave for prosecution of such higher studies will count for the purpose of drawl of increment.
technical/ professional studies will also count for increment provided it is for less than 3
months…..."
The period of eligibility for the purpose of promotion will be computed in terms of clause of 9.1
and 9.3.3 of the aforesaid rules in case of employees proceeding on EOL.
3.5 Departmental examination


Workmen in the grades of W10 & above in COPs specified at Annexure II will also be eligible to
appear in the departmental examinations for engineering equivalent qualification (DEEQ) and
professional qualification (DEPQ) to enable them to acquire the relevant qualification required for
promotion / placement to E1.
3.6 Performance Appraisal Rating Marks17
3.6.1 Performance appraisal rating marks for workmen in grades upto W7 shall be as under :
Grades Marks
OS VG Good S US
W0, W1 & W2 6 5 4 3 0
W3, W4, W5, 7.5 6 5 4 0
W6 & W7
OS – Outstanding, VG – Very Good, S – Satisfactory, US - Unsatisfactory
3.6.2 Performance appraisal rating marks for workmen in W8, W9, W10, W11 and SG grades shall be
as under:
Performance Appraisal Rating Marks

Outstanding 10
Very Good 8
Good 7
Satisfactory 6
Unsatisfactory 0
3.6.3 In case of promotions from W3 to W4, W4 to W5, W5 to W6, W6 to W7 and W7 to W8 grades,

performance appraisal ratings of the last four (4) years shall be considered. In case of promotions
from W0 to W1, W1 to W2 and W2 to W3, performance appraisal rating marks of the last five (5)
years shall be considered. In case of promotions to grades W9 & above in workman category,
performance appraisal rating marks of the last three (3) years shall be considered.
3.7 Seniority
3.7.1 The seniority lists of the employees in various grades/channels will be prepared and up-dated from
time to time by the concerned HR Department in accordance with the rules framed for this purpose.
3.7.2 Carry forward of Seniority at the time of inter / intra unit transfer 4&9
3.7.2.1 While issuing communication regarding approval of the request transfer of the concerned non-
executive duly approved by the Competent Authority for transfer from one project to another, an
undertaking is to be obtained from the employee that he will be placed at the junior most position


in his trade/grade at the new place of posting so that the promotion prospects/ seniority of the
employees of his trade/grade at the new place of posting, is not affected.
3.7.2.2 Wherever there is a request from any employee for transfer, the employee must be intimated
about these provisions clearly and his acceptance obtained so that there is no grievance later
raised by him on account of his not being aware of these guidelines. For the purpose of clarity
and after seeing the date of entry into grade of existing junior most employee in the trade, the
transferred employee may also be informed of the date w.e.f while his service in the grade will be
counted for the purpose of promotion to next higher grade.
3.7.2.3 Both in case of inter-unit and intra- unit transfers (irrespective of whether the transfer is inter-
departmental or intra-departmental) the employees will be allowed credit for the entire period of
service put in by them in a grade, if the transfer is effected at the initiative of management. In
case the transfer is due to an employee's own initiative, full credit for the entire period of service
put in by him in a grade will be allowed subject, however, to the condition that at least one year's
service in the unit/post to which he is transferred will be necessary before he is considered for
promotion.
3.8 Confidential/Merit Rating Reports
Confidential Forms/Merit Rating Reports in respect of each employee will be maintained on the
prescribed forms, to be written at the end of every financial year. Such reports may, however,
also be asked for at any time other than the annual reports mentioned above at the discretion of
the management. These reports will be kept in the custody of the concerned HR Department.
3.9 Test/Interview/Qualification Bar
In addition to fulfilling the other eligibility conditions, an employee must possess the requisite
qualifications, prescribed, if any, for the next higher post against which he is to be considered for
promotion. Similarly, he must qualify in the test (s) and interview, if any, laid down for
consideration for promotion to the next higher post.
3.10 Reservation for SC/ST
The directives of the Central Government/Company with regard to the reservation of posts for
Scheduled Caste / Scheduled Tribe candidates in the matter of promotion, issued from time to
time, will also be kept in view while effecting the promotions of the employees.
3.11 Debarring
3.11.1 No employee whose latest confidential/merit rating report, whether annual or special, is adjudged
as 'Adverse' will be considered for promotion.


Note : Adverse entries, if not communicated within a period of six months may be ignored
unless non-communication of the adverse entries within the specified period of six months can be
explained by valid reasons. HR Deptt. must ensure timely communication of adverse entries in
the CR's received.
3.11.2 No employee under suspension or against whom disciplinary or vigilance proceedings have
been initiated shall be promoted until he is unconditionally reinstated or exonerated. In case of
unconditional reinstatement or exoneration, he will be allowed promotion with retrospective effect,
but the financial benefit accruing due to the promotion will be allowed with effect from the date his
promotion order is issued and no arrears will be payable on this account unless specifically
mentioned otherwise in the promotion order.
3.11.3 No employee under suspension or a ga ins t whom decision has been taken to charge sheet, or
where the charge sheet has been issued or where a criminal case is pending against him shall be
promoted until he is unconditionally reinstated or exonerated. In case of unconditional
reinstatement or exoneration, he will be allowed promotion with retrospective effect, but the
financial benefit accruing due to promotion will be allowed with effect from the date his promotion
order is issued and no arrears will be payable on this account unless spec i fi ca ll y mentioned
otherwise in the promotion order. (However, in respect of those employees who have been
recommended for promotion by DPC and in whose case decision to issue charge sheet has not
been taken by the Competent Authority, order of promotion be issued in normal course.
3.11.4 The cases of employees against whom disciplinary proceedings are pending or contemplated
but are otherwise eligible for consideration for promotion shall also be considered by the CPC
along with all other cases. The recommendations of the CPC, including 'unfit for Promotion' will
be kept in a sealed cover. The cover will be so superscribed 'Findings regarding suitability for
promotion to the grade/post of .................................. in respect of Shri.......................................... not
to be opened till the conclusion of the disciplinary case/criminal prosecution against
Shri................. The proceedings of the CPC need only co n tai n the note 'The findings are
contained in the attached sealed cover'. The same procedure will be followed by the subsequent
CPCs convened till the disciplinary case/criminal prosecution pending against the employee
concerned is finally concluded.
3.11.5 In the event of delay in the conclusion of the disciplinary proceedings / criminal prosecution, the
delay not being attributable to the charged employee, and the disciplinary proceedings / criminal
prosecution against the employee concerned are not concluded even after the expiry of two
annual CPCs from the date of the meeting of the first CPC which kept its findings in respect of the
employee in the sealed cover, the Appointing Authority may review the case of the employee,
provided he is not under suspension, and consider and order promotion of employee on adhoc
basis, provided his case was recommended by CPC keeping in view the totality of the case, the
availability of vacancy etc. The order of promotion should make it clear that the promotion is
purely on adhoc basis, till further orders and it confers no right on the employee for regular
promotion and that the Competent Authority reserves the right to cancel / revoke the adhoc
promotion or to revert, at any time the employee to the post from which he was promoted on
adhoc basis, without any formal proceedings.


3.11.6 On conclusion of disciplinary cases/criminal prosecution etc., the promotion of the employee will
be regulated as under :
3.11.6.1If the employee concerned is finally acquitted and is fully exonerated, the sealed cover
recommendation shall be opened and in the event the employee was recommended for
promotion by the Committee, the promotion shall be made effective from the date as would
otherwise have been announced as if there were no proceedings against him. The financial
benefits accruing due to promotion will be allowed from the date of promotion order and no arrear
will be payable on this account, unless specifically mentioned otherwise in the promotion order.
3.11.6.2 If any penalty is imposed as a result of the disciplinary proceedings or if he is found guilty in the
criminal prosecution against him, the findings of the sealed cover shall not be considered. His
case for promotion may be considered by the next CPC in the normal course and having regard
to the penalty imposed on him. Such employee shall, however, not receive promotion during
currency of the punishment. Where adhoc promotion has been given, it will be cancelled/
revoked.
4.0 PROCEDURE
4.1 Written Test / Trade-Test/Interview, wherever prescribed, of the candidates fulfilling all the
eligibility conditions as mentioned herein before will be conducted once15 in a year in the same
order. The number of eligible candidates to be trade tested will be limited to three times the
number of anticipated vacancies and all these who qualify in the test will, be allowed to appear
for an interview before the Departmental Promotion Committee, the test will be conducted by a
Committee comprising of General Manager's nominee, representative of the Head of Department
where the vacancy exists/ is likely to occur, an officer of the Training Department and HR
Officer/Senior HR Officer as nominated by the concerned Head of HR. Where, in addition to
Trade Test and Interview, the candidates are required to appear for written test also, the number
of eligible candidates to be called for the Written Test should be limited to four/five times the
number of anticipated vacancies. Out of those who qualify in the Written Test, the number of
candidates to be called for Trade Test and/or interview will be limited to three times the number of
anticipated vacancies.
4.2 The relative weightage for the different factors will be as follows :
4.2.1 For promotions within the cluster17
CR Report / Merit Rating – 30 marks.
4.2.2 For promotions across clusters i.e. from W2 to W3 and from W6 to W7
Grade Seniority – 30 marks.

CR Report / Merit Rating – 30 marks.
Test, Trade Test & Interview – 40 marks.
Total – 100 marks.


4.3 Based on the seniority position, the Merit-Rating/Reports and results of the test/interview, the
position of the candidates for promotions across clusters i.e. from W2 to W3 and from W6 to W714
and E1 will be arranged in order of merit by the Committee. The qualifying marks will be 50% in
each of the items in respect of which the candidates are evaluated. However, the qualifying
marks for SC/ST candidates will be 40% in each of the items assessed.
4.3.1 Based on the above mentioned criteria, the panel of the successful candidates will be drawn up
by the Committee on which every member of the Committee will affix his signature. Thereafter the
panel will be put up for the approval of the competent authority who will be the General Manager
of the concerned project/unit in all cases of promotions to non-executive posts. Approved panel in
respect of a DPC will be operated against sanctioned vacancies for that DPC only14.
4.4 The approved panel as well as the concerned papers/documents will be kept in the custody of the
concerned HR Department, and the promotion orders in respect of the successful candidates will
be issued by the concerned HR Department as per the vacancies. The effective / standard date
of promotion will be 1st July of every year for all workmen found suitable for promotion by the
DPC.13 In case of promotions from W2 to W3 and from W6 to W7,20 the promoted employees will
be placed on probation for a period of six months, which may be extended wherever necessary.
If the performance of an employee during such probation including the extended period is not
found satisfactory, he shall be reverted to the lower post and then shall not be considered for
promotion for one year from the date of his reversion.
5.0 EXTENDED GRADES16
The existing system of Service Linked Placement Scheme (SLPS) stands discontinued on
introduction of Extended Grades with effect from 1.7.2009. The designations in the Extended
Grades and existing SLPS grades shall be the applicable designations of the grades suffixed by
“EG”.
5.1.1 Existing workmen under SLPS shall after redesignation remain in the existing grades. However,
workmen in W3 under SLPS shall after redesignation be allowed to go upto “W4-EG” on
fulfillment of applicable terms and conditions. The eligibility period shall be considered from the
date of placement in W3 under SLPS.
5.1.2 However, workmen in W2 under SLPS shall be deemed to be in W2 grade with effect from date
of placement in W2 pay-scale under SLPS and shall be accordingly redesignated.
5.2 As shown at Clause 2.0 above, there shall be two “Extended Grades” in both Cluster-A and
Cluster-B, namely “W3-EG” and “W4-EG” in Cluster-A and “W7-EG” and “W8-EG” in Cluster-B.
5.3 Workmen not promoted to the next higher cluster from Cluster-A or Cluster-B on account of
vacancy constraint and / or not meeting the qualifying requirements shall be placed in Extended
grades “W3-EG” or “W7-EG” respectively on completion of six (6) years in the respective pre-
placement grades i.e. W2 and W6 respectively. Subsequently, such workmen shall be placed in


“W4-EG” or “W8-EG” on completion of 6 years in the pre-placement extended grade. However,
further placement in extended grades shall not be allowed.
5.3.1 On placement in the extended grades i.e. “W3-EG” / “W4-EG” / “W7-EG” / “W8-EG”, pay-fixation
shall be done as per pay-fixation rules applicable in case of promotion.
5.3.2 Placement in the extended grades shall be further subject to the condition that the latest
performance appraisal rating is not “Unsatisfactory”.
5.4 If workmen in the extended grades acquire the qualifying requirements for promotion to the
relevant cluster, they shall be laterally placed in the existing grade in the next Departmental
Promotion Committee (DPC). Vacancy shall not be a constraint for such lateral placement from
extended grade to regular grade and designation shall be the applicable designation of the
regular grade.
5.4.1 Promotion benefit shall not be admissible in cases of lateral placement from extended grade to
regular grade.
6.0 FAST-TRACK CAREER GROWTH14,15,19,20
6.1 Technical Areas
6.1.1 On acquiring Degree in Engineering or equivalent qualification in relevant disciplines (Mechanical,

Electrical, Civil, Electronics / Instrumentation etc.), workmen in W8 and above grades will be
eligible for consideration for appointment to E1 grade against open advertisement / internal
circular and those in W7 & below grades will be considered for placement in W8 at the time of
DPC.
6.1.2 On acquiring Diploma in Engineering qualification in relevant disciplines (Mechanical, Electrical,

Civil, Electronics / Instrumentation etc.), workmen in W6 grade with at least 1 year experience in
the grade will be considered for placement in W7 grade at the time of DPC and those in the
grades of W5 & below will be considered for placement in W6 grade at the time of DPC and
further on completion of 1 year in W6 grade will be considered for placement in W7 grade in the
next DPC.
6.1.3 On acquiring ITI qualification in relevant trades like Fitter, Electrician, Instrumentation etc.,
workmen in W2 grade with at least 1 year experience in the grade will be considered for
placement in W3 grade at the time of DPC and workmen in the grades of W2 and below will be
considered for placement in W2 grade at the time of DPC and further on completion of 1 year in
W2 grade will be considered for placement in W3 grade in the next DPC.
6.2 Non-Technical Areas
In selected Channels of Promotion (COPs), as detailed below :
6.2.1 Assistant (Accounts)-F&A


6.2.1.1 Workmen in above COP, having or acquiring CA / ICWA or duly recognized MBA with Finance
qualification of at least 2 years duration in case of full-time course and 3 years duration in case of
part-time or correspondence course, shall be eligible for fast track career growth as under :
(i) Workmen in W8 and above grades shall be eligible for consideration for appointment to E1
against open advertisement / internal circular subject to vacancy and qualifying test & interview.
(ii) Workmen in W7 and below grades shall be considered for placement in W8 at the time of
DPC.
6.2.1.2 Workmen in above COP, having or acquiring CA (Inter) / ICWA (Inter) or B.Com with duly
recognized Diploma / PG Diploma in the area of Finance of at least 1 year duration in case of full-
time course and 2 years duration in case of part-time or correspondence course, shall be eligible
for fast-track career growth as under :
(i) Workmen having at least one year service in W6 grade shall be considered for placement in
W7 grade at the time of DPC.
(ii) Workmen in the grades of W5 & below shall be considered for placement in W6 grade at the
time of DPC and further on completion of one year in W6 shall be considered for placement in W7
grade in the next DPC.
6.2.2 Assistant (General)-HR
6.2.2.1 Workmen in above COP, having or acquiring duly recognized MBA with HR / Post Graduate
Degree / Diploma in the area of IR / PM / HR / Social Work of at least 2 years duration in case of
full-time course and 3 years duration in case of part-time or correspondence course, shall be
eligible for fast-track career growth as under :
DPC.
6.2.2.2 Workmen in above COP, having or acquiring Graduate qualification with duly recognized Diploma
/ PG Diploma in the area of IR / PM / HR / Social Work of at least 1 year duration in case of full-
time course and 2 years duration in case of part-time or correspondence course, shall be eligible
for fast-track career growth as under :
6.2.3 Assistant (Materials) / Storekeeper-C&M


6.2.3.1 Workmen in above COP, having or acquiring Degree in Engineering / duly recognized MBA or
Post Graduate Degree / Diploma in Materials Management of at least 2 years duration in case of
full-time course and 3 years duration in case of part-time or correspondence course, shall be
eligible for fast-track career growth, as under :
DPC.
6.2.3.2 Workmen in above COP, having or acquiring Diploma in Engineering / Graduate qualification with
duly recognized Diploma / PG Diploma in the area of Materials Management of at least 1 year
duration in case of full-time course and 2 years duration in case of part-time or correspondence
course, shall be eligible for fast-track career growth, as under :
6.2.4 Steno-Typist / Secretarial
6.2.4.1 Workmen in above COP, having or acquiring duly recognized MBA / Post Graduate Degree /
Diploma in Management / Office Administration of at least 2 years duration in case of full-time
course and 3 years duration in case of part-time or correspondence course, shall be eligible for
fast-track career growth, as under :
DPC.
6.2.5 All qualifications prescribed above should be duly recognized by UGC / AICTE / DEC / State
Government / Central Government and should be obtained from an Indian Institute / University.
This may be verified by the concerned project / region before extending the benefit of fast track
career growth in the above COPs.
6.2.6 As a special one-time dispensation, workmen in possession of MBA / NIPM / PGDBM of two
years duration, obtained through part-time / correspondence from recognized Institutions, as on


29.5.2009 i.e. the date of issuance of CHRC No. 659/2009 notifying the Fast-Track Career
Growth Scheme for employees in workman category in non-technical areas, shall be considered
for appointment under the said notified Fast-Track Scheme, subject to fulfilling other terms and
conditions.
6.3 Above placements will be subject to fulfilling other requirements of promotion policy.
6.4 Pay-fixation in all such cases shall be done as per Clause 7.1 of Pay-Fixation Rules, applicable to
cases of promotion.
7.0 APPEAL
An employee aggrieved due to his non-promotion may take recourse to the prescribed Grievance
Procedure for redressal of the same.
8.0 GENERAL
The policy shall be reviewed after two years of its operation. The management, however,
reserves the right to modify, cancel, add or amend any of these rules at any time.
Authority:
1. Corporate Personnel Circular No.94/82 Dt. 4.5.1982

2. Corporate Personnel IOM No.01:Pers:7(2) Dt. 26.11.1986
3. Corporate PersonnelIOMNo.0l:Pers: 12(72) Dt. 22.12.1986
4. Corporate Personnel IOM No.01:Pers:4(24) Dt. 12.2.1988
5. Corporate Personnel IOM No.0l:Pers:7(13.2) Dt. 3.2.1989 & 14.G.I991.
6. Corporate Personnel IOM No.01:Pers:4(24)/178A Dt. 22.10.1990.
7. Corporate Personnel Circular No.330/95 dt. 30.05.95
8. Corporate Personnel Circular No.335/95 dt. 24.08.95
9. Corporate Personnel IOM No.01:Pers:4(24)/265 Dt. 12.07.95
10. CC IOM 01: Pers: HR: Pol: 372 dt. 21.3.2000
11. CC IOM 01: Pers: HR: Pol: 372 dt. 19.4.2000
12. CC IOM 01: HR: ED: 01. 011 / 441 dt. 26.2.2000
13. Corporate HR Circular No. 511/2003 dated 8.8.2003.
17. CC IOM 01:HR:ER:Wages:215/710 dated 24.08.2009.
18. CC IOM 01:HR:ER:Wages:215/710 dated 10.09.2009.
20. Corporate IOM 01:HR: Wages:32 dated 11.07.2011.


Annexure-II
Specified channels for promotion / placement from workman to executive category (E1)
S.N. Trade Area Requirement of Qualification, Test &

Interview
1. Operator Operation (O&M) DEEQ / Diploma in Engineering + Test +

Interview
2. Technician (Mech / Elect / Mntc (O&M) DEEQ / Diploma in Engineering + Test +

C&I) Interview
3. Work Assistant Equipment Erection DEEQ / Diploma in Engineering + Test +

Interview
4. Work Assistant Civil Const. / Mntce. DEEQ / Diploma in Engineering + Test +

Interview
5. Technician Workshop DEEQ / Diploma in Engineering + Test +

Interview
6. Technician Auto Base Mntce. DEEQ / Diploma in Engineering + Test +

Interview
7. Operator Print Room Diploma in Printing Technology or

equivalent + Test + Interview
8. Technician (NDT) QA / Inspection DEEQ / Diploma in Engineering + Test +

Interview
9. Lab Assistant Chemistry / MGR / QA BSc (Chem) + Test + Interview
10. Assistant (Accounts) Finance & Accounts Departmental examination equivalent to

Professional Qualification + Interview
11. Assistant (Materials) / Materials Management Departmental examination equivalent to

Storekeeper Professional Qualification / (Graduate +
Diploma in Materials Management) /
DEEQ / Diploma in Engineering + Test +


Interview
Interview
12. Assistant General Departmental examination equivalent to

Professional Qualification / Post-
Graduate Diploma in Personnel
Management + Test + Interview
13. Steno-Typist Secretarial Graduate + Written Test + Interview
14. Draughtsman Design / Planning DEEQ / Diploma in Engineering + Test +

Interview
15. Operator IT Departmental examination equivalent to

Professional Qualification + Interview
16. Staff Nurse Medical BSc (Nursing) / Nursing Diploma +

Certificate in Hospital Administration +
Test + Interview
17. Pharmacist Medical Graduation + Diploma in Hospital

Administration + Test + Interview
18. Technician (X-Ray) Medical Graduation + Diploma in Hospital

19. Lab Technician Medical Graduation + Diploma in Hospital

20. Gangman / Trolleyman MGR (Track Mntce) DEEQ / Diploma in Engineering + Test +
Interview
21. Assistant (Library) Library B.Lib / (Grad + Dip in Library Sc.) + Test
+ Interview
22. Assistant (Hindi) Hindi PG in Hindi with English as a subject in

Graduation + Test + Interview
23. Assistant (Horticulture) Horticulture BSc (Agriculture) + Test + Interview
24. Assistant (PR) PR Graduation + PG Diploma in PR /

Journalism + Test + Interview
25. Assistant (Training) Training DEEQ / Diploma in Engineering + Test +

Interview


Interview
26. Assistant (Safety) Safety DEEQ / Diploma in Engineering /

(Graduate + Diploma in Safety) + Test +
Interview
27. Assistant (Sect) Company Secretariat Graduate with ACS + Test + Interview
28. Sociologist Sociology MSW + Test + Interview
Note :
i) DEEQ – Departmental examination for Diploma in Engineering equivalent qualification.
ii) Employees who qualify Departmental examination are not required to appear for the test.


RECORD OF REVISIONS

No. Date
Revisions
Chandramauli S J Chandramauli S J D S Rao

SM(HR) SM(HR) AGM(HR)

Statement of Company Policy regarding Updated as on: 31.01.2012
Promotion of Employees in Supervisory Page: 1 of 7
Categories
STATEMENT OF COMPANY POLICY REGARDING PROMOTION OF

EMPLOYEES IN SUPERVISORY CATEGORIES
1.0 Objective
The objective of the Company's Promotion Policy for employees in the supervisory
categories is to provide, keeping in view the organisation requirement, adequate growth
opportunity consistent with merit and suitability.
2.0 General Principles
The following factors will be taken into account in promotion from one grade to the next
higher grade.
2.1 Promotions will be effected only against vacant sanctioned posts.
2.2 Channel of Promotion: All the functional areas disciplines will be suitably grouped into
well defined channels of promotion taking into account the nature of duties and other
relevant consideration and the promotions will be effected strictly in accordance with the
channels so laid down (as shown in Annexure as an illustration). The channel of
promotion charts will also indicate the test, interview and minimum qualification and
relevant experience if any which will be required for promotion to a certain grade.
2.3 Eligibility Period: The eligibility period for promotion in various grades to available posts
in respective next higher grades will be three years.
Note2 : Counting of period of Extra Ordinary Leave for promotion : Till such time the
service rules of the company in this regard are finalised, such cases may be dealt within
line with such provisions of the NTPC Pay Fixation Rules circulated vide Corporate
Personnel Circular No. 105/83 dt.8.2.1983. Clause 9.0 of the Rules provides, inter-alia,
how the period of Extra Ordinary leave should be treated for the purpose of drawl of
increment which is as follows :
“9.1 (ii) EOL on account of illness or for prosecution of higher scientific and
technical/professional studies duly supported by a medical certificate from an authorized
medical officer of the company incase of leave for prosecution of such higher studies; will
count for the purpose of drawl of increment.
EOL taken on account of reasons other than illness or prosecution of higher scientific and
technical/ professional studies will also count for increment provided it is for less than 3
month....
Period of eligibility for the purpose of promotion will be computed in terms of clause 9.1
and 9.3.3 of the foresaid rules in case of employee proceeding on EOL.
Categories
2.4 Seniority: The seniority lists of the employees in various grades/channels will be
prepared and updated from time to time by the concerned HR Department in accordance
with the rules framed for this purpose.
Note3 : Both in case of inter-unit and intra unit transfers (irrespective of whether the
transfer in interdepartmental or intradepartmental), the employees will be allowed credit
for the entire period of service put in by them in a grade, if the transfer is effected at the
initiative of management. In case the transfer is due to an employee's own initiative, full
credit for the entire period of service put in by him and a grade will be allowed subject,
however, to the condition that at least one year's service in the unit/post to which he is
transferred will be necessary before he is considered for promotion.
While issuing communication regarding approval of the request transfer of the concerned
non-executive duly approved by the Competent Authority for transfer from one project to
another, an undertaking is to be obtained from the employee that he will be placed at the
junior most position in his trade/grade at the new place of posting so that the promotion
prospects/seniority of the employees of his trade/grade at the new place of posting, is not
affected.
Wherever there is a request from any employee for transfer, the employee must be
intimated about these provisions clearly and his acceptance obtained so that there is no
grievance later raised by him on account of this not being aware of these guidelines. For
the purpose of clarity and after seeing the date of entry into grade of existing junior. most
employee in the trade, the transferred employee may also be informed of the date w.e.f
while his service in the grade will be counted for the purpose of promotion to next higher
grade.
2.5 Confidential/Merit Rating Reports : Confidential Forms/Merit Rating Reports in respect

of each employee will be maintained on the prescribed forms, to be written at the end of
every financial year. Such reports may, however, also be asked for any time other than
the annual reports mentioned above at the discretion of the management. These reports
will be kept in the custody of the concerned HR Department.
2.6 Test/Interview/Qualification Bar: In addition to fulfilling the other eligibility conditions, an

employee must possess the requisite qualifications prescribed, if any, for the next higher
post against which he is to be considered for promotion. Similarly, he must qualify in the
test (s) and interview, if any, laid down for consideration for promotion to the next higher
post.
2.7 Reservation for SC/ST : The directives of the Central Government/Company with regard
to the reservation of posts for Scheduled Cast/Scheduled Tribe candidates in the mater
of promotion, issued from time to time, will also be kept in view while effecting the
promotions of the employees.
2.8 Debarring:
2.8.1 No employee whose latest confidential/merit rating report, whether annual or special, is
adjudged as 'Adverse' will be considered for promotion.
Categories
2.8.2 No employee under suspension or against whom decision has been taken to charge
sheet, or where the charge sheet has been issued or where a criminal case is pending
against him shall be promoted until he is unconditionally reinstated or exonerated. In
case of unconditional reinstatement or exoneration, he will be allowed promotion with
retrospective effect, but the financial benefit accruing due to promotion will be allowed
with effect from the date his promotion order is issued and no arrears will be payable on
this account unless specifically mentioned otherwise in the promotion order. However, in
respect of those employees who have been recommended for promotion by DPC and in
whose case decision to issue chargesheet has not been taken by the Competent
Authority, order of promotion be issued in normal course.
2.8.3 The cases of employees against whom disciplinary proceedings are pending or
contemplated but are otherwise eligible for consideration for promotion shall also be
considered by the CPC along with all other cases. The recommendations of the CPC,
including' unfit for Promotion’ will be kept in a sealed cover. The cover will be so
superscribed 'Findings regarding suitability for promotion to the grade/post of……..in
respect of Shri.............................. not to be opened till the conclusion of the disciplinary
case/criminal prosecution against Shri................................................ the proceedings of
the CPC need only contain the note “The findings are contained in the attached sealed
cover'. The same procedure will be followed by the subsequent CPCs convened till the
disciplinary case/criminal prosecution pending against the employee concerned is finally
concluded.
2.8.4 In the event of delay in the conclusion of the disciplinary proceedings/criminal prosecution, the
delay not being attributable to the charged employee, and the disciplinary proceedings/criminal
prosecution against the employee concerned are not concluded even after the expiry of two
annual CPCs from the date of the meeting of the first CPC which kept its findings in respect of
the employee in the sealed cover, the Appointing Authority may review the case of the
employee, provided he is not under suspension, and consider and order promotion of employee
on adhoc basis, provided his case was recommended by CPC keeping in view the totality of the
case, the availability of vacancy etc., The order of promotion should make it clear that the
promotion is purely on adhoc basis, till further orders and it confers no right on the employee for
regular promotion and that the Competent Authority reserves the right to cancel/revoke the
adhoc promotion or to revert, at any time the employee to the post from which he was promoted
on adhoc basis, without any formal proceedings.
2.8.5 On conclusion of disciplinary cases/criminal persecution etc., the promotion of the

employee will be regulated as under
(a) If the employee concerned is finally acquitted and is fully exonerated, the sealed cover
promotion by the Committee, the promotion shall be made effective from the date as
would otherwise have been announced as if there were no proceedings against him. The
financial benefits accruing due to promotion will be allowed with effect from the date of
promotion order is issued and no arrear will be payable on this account, unless
specifically mentioned otherwise in the promotion order.
Categories
(b) If any penalty is imposed as a result of the disciplinary proceedings or if he is found guilty
in the criminal prosecution against him, the findings of the sealed cover shall not be
considered. His case for promotion may be considered by the next CPC in the normal
course and having regard to the penalty imposed on him. Such employee shall, however,
not receive promotion during currency of the punishment. Where adhoc promotion has
been given as at 2.8.4 above will be cancelled/revoked.
3.0 Procedure
3.1 Written Test/Trade Test/Interview, wherever prescribed, of the candidates fulfilling all the
eligibility conditions as mentioned hereinbefore, will be conducted once in a year in the
same order. The number of eligible candidates to be trade tested will be limited to three
times the number of anticipated vacancies and all those who qualify in the test will be
allowed to appear for an interview before the Departmental Promotion Committee. The
test will be conducted by a Committee comprising of General Manager's nominee,
representative of the Head of the Department where the vacancy exists/is likely to occur,
an officer of the Training Department and HR Officer/Senior HR Officer as nominated by
the concerned Head of HR.
Where, in addition to Trade Test and Interview, the candidates are required to appear for
Written Test also, the number of eligible candidates to be called for the written test should be
limited to four/five times the number of anticipated vacancies. Out of those who qualify in
the Written Test, the number of candidates to be called for Trade Test and/or Interview will be
limited to three times the number of anticipated vacancies.
3.2 Departmental Promotion Committees for selecting candidates for promotion to various
grades/posts will be constituted by the authority competent to approve the selection panels
(General Manager).
Meeting of the Departmental Promotion Committee for promotion of Supervisors will be

held once in a.year.
The eligibility of supervisors for consideration for promotion to the next higher grade will
be determined as on 1st of April with grace period of 1 month i.e those who complete the
eligibility period as on 30th April will come under the zone of consideration for promotion.
Supervisors who are found suitable for promotion by Departmental promotion Committee
will be considered for promotion
effective from the dates as mentioned below:
I) Supervisors who complete the eligibility period together with grace period as on
preceeding 31st July will be considered for promotion w.e.f 1st January of the following
year.
II) Supervisors who complete the eligibility period together with grace period as on 30th April
will be considered for promotion w.e.f 1st April of that year.
3.3, The promotions will generally be based on seniority- cum-merit and the relative
weightage for the different factors will be as follows :
Categories
Seniority................................................30 marks
CR Report/Merit Rating......................…..30 marks
Test, Trade Test & Interview.....................40 marks
Total......................................................100 marks
In cases where no test and/or interview is involved, the total maximum marks will be 60.
The merit rating reports for the last three consecutive years will be taken into account for
the above purpose.
3.4 Based on the seniority position, the merit rating/CR Reports and results of the
test/interview, the position of the candidates will be arranged in order of merit by the
Committee. The qualifying marks will be 50% in each of the items in respects of which
the candidates are evaluated. However, the qualifying marks for SC/ST candidates will
be 40% in each of the items assessed.
3.5 Based on the above mentioned criteria, the panel of the successful candidates will be
drawn up by the Committee on which every member of the Committee will affix his
signature. Thereafter the panel will be put up for the approval of the competent authority
who will be the General Manager of the concerned project/unit in all cases of promotions
to non executive posts.The panel thus approved will be valid for a period of six months
which can be renewed by the General Manager for a period not exceeding six months.
3.6 The approved panel as well as the concerned papers/document will be kept in the custody
of the concerned HR Department, and the promotion orders in respect of the successful
candidates will be issued in the following manner :
3.6.1 The orders of promotion of all non-executives will be issued by the concerned Heads of
Department. Accordingly, following executives will sign the promotion orders :-
(a) At Projects/Regions Concerned DGM
(b) At Corporate Center Concerned GM/AGM
In case executives of the above mentioned level are not available in the department, the
senior most executive of the department will sign the promotion order.
3.6.2 The promoted employees will be placed on probation for a period of six months, which
may be extended wherever necessary.
If the performance of an employee during such probation including the extended period is
not found satisfactory, he shall be reverted back to the lower post and he shall not be
considered for promotion for one year from the date of his reversion.
4.0 Appeal
Categories
An employee aggrieved due to his non-promotion may take recourse to the prescribed
Grievance Procedure for redressal of the same.
5.0 General
The policy shall be reviewed after two years of its operation. The Management, however,
reserves the right to modify, cancel, add or amend any of these rules at any time.
Categories
RECORD OF REVISIONS

No. Date
Revisions

Promotion of Executives Page: 1 of 12
STATEMENT OF COMPANY POLICY REGARDING PROMOTION OF

EXECUTIVES
1.0 Scope & Coverage
1.1 This Statement of Company Policy will be applicable to all NTPC personnel on the regular rolls
of the Company in the following executive grades:
GRADE PRESENT PAY SCALE (1.1.2007)
E1 20600 - 46500
E2 24900 - 50500
E2A 24900 - 50500
E3 29100 – 54500
E4 32900 – 58000
E5 36600 – 62000
E6 43200 – 66000
1.2.1 The policy Statement will not be applicable to executives who are appointed in a grade
for a limited tenure, superannuated persons reappointed in the Company's service and to
other executives appointed on a purely casual or temporary basis.
1.3 Executives in whose cases a clause in the terms of appointment explicitly provides for
eligibility for consideration for promotion after completion of a specified period of service
in the grade in which the executive initially joins the Corporation, will be excluded from
the purview of this Policy Statement.
1.4 Executives who are on deputation to NTPC or who retain lien on the service of the parent
organisation will not be covered by this Policy Statement.
2.0 Philosophy & Objectives
2.1 NTPC as a company subscribes to the philosophy of generating growth from within, and
in pursuance thereof, endeavors to achieve synchronisation of the organisation with the
aspiration for growth and development of the individual employees.
2.2 NTPC hereby declares that it will be the Company's general policy to look within the organisation
for suitable persons with the requisite skill, expertise, merit and suitability for filling up the senior
executive positions.
2.3 Notwithstanding anything stated above NTPC will take recourse to lateral entry at all
levels from outside to the extent considered necessary to ensure infusion of new blood
and fresh outlook brought in by specialized/experienced personnel from other reputed
organisations from India and abroad with a view to sustaining the vigor and vitality of
NTPC as a leading and progressive organisation.
2.4 The basic induction level into the executive cadre in NTPC is E2A grade to which entry
will be largely / through the Company's Executive Trainee Scheme, but it will be ensured
that such induction will not impair the growth opportunities for the meritorious and
talented executives in E-2 grade.
2.5 In order to facilitate the fulfillment of the growth expectations, NTPC will strive to create
and sustain an environment conducive to efficient and effective functioning of the
executives in their roles and responsibilities and to provide the necessary scope and
facilities for development of technical and managerial skills and capabilities through
training, job rotation, opportunity to serve in the field, job enlargement and job
enrichment. Executives are expected to avail fully of the developmental opportunities, as
mere reliance on length of service may not be sufficient to meet fully their growth
aspirations.
2.6 Consistent with and subject to the above principles and Company philosophy, NTPC lays
down herein its Promotion Policy for the executives and managerial Personnel with the
following as the objectives :
2.6.1 To motivate and enthuse executives and managers for better and more effective
performance by rewarding them with promotion to positions of higher responsibility
commensurate with their merit and ability and contribution towards the achievement of
the organizational goals and objectives.
2.6.2 To lay down clear and unambiguous principles to regulate promotion of executives to
available higher positions consistent with the requirements of the Company.
2.6.3 To ensure uniformity, consistency and fairness in the promotion of Company executives
as between various disciplines, projects and establishments of the Company.
2.6.4 To communicate to the executives the requirements of performance, merit and other
conditions prerequisite to promotion and the events and circumstances which might
disqualify them from being promoted.
3.0 General principles
3.1 Promotion of executives to positions in next higher grades will be on the basis of merit,
efficiency, grade service and suitability. In view of the fact that such merit, efficiency and
suitability can be meaningfully determined on the basis of assessment of performance
and potential over a reasonable period, there shall be a minimum period of service in a
grade to be called "Eligibility Period" and only those Executives who complete the
minimum period so prescribed will be ' eligible for consideration for promotion to the next
higher grade.
3.1.1 The promotions to the grade of E5, E6 & E1 will be subject to notified vacancies.
However, vacancy may not be a constraint for promotions up to E4 grade.
3.2 Wherever limited applicability of seniority is provided in this policy, such seniority will be
determined with reference to one or more of the following factors:
3.2.1 Length of service in a grade from the date of joining inclusive of seniority weight age if
any or from the date of promotion in NTPC.
3.2.2 Merit position in the selection panel where date of joining is the same or the merit position
in Corporate Promotion Committee minutes where date of promotion is the same.
3.3 Cases of eligible personnel in the executive cadre may be taken up for consideration for
promotion at any time depending upon the availability of vacancies and exigencies of
work. Promotions will take effect from the date of assumption of charge of the higher post
or the date of issue of order or any prospective or retrospective date as may be specified
in the promotion order. However, to enable promotions being effected ,in a Planned and
rational manner and to ensure that anomalies and unavoidable widening of inter-se
differences are kept down to the minimum, promotions of executives to available
vacancies in grades upto and including E-6 will normally be made effective from standard
date/dates.
The standard dates and other matters relating to eligibility date etc. shall be regulated as
under :-
a). Meeting of the Corporate Promotion Committee for promotion of executives will be held
once in a year. The eligibility of executive’s upto and including the grade of E6 will be
determined as on 1st of April with grace period of one month. i.e. those who complete the
eligibility period as on 30th April will come under the zone of consideration.
b). Executives in the grade of E5 and below, who are found fit for promotion by the
Corporate Promotion Committee will be considered for promotion effective from the dates
as mentioned below :
(i) Executives who complete the eligibility period together with the grace period as on
preceding 31st July will be considered for promotion from 1st January preceding the
CPC proceedings.
(ii) Executives who completed the eligibility period as on 30th April (inclusive of grace
period) will be considered for promotion from 1st March.
c) However in the case of promotion of executives from the grade of E6 to the grade of E7,
the promotion will normally be effective from the date of issue of the promotion orders
3.4 It would be essential to clear a departmental examination of standard equivalent to

bachelor in engineering for any executive who possesses only diploma in engineering
qualification, to be promoted beyond the grade of Deputy Manager. This condition will be
relax able by CMD only in exceptional cases where knowledge and performance of an
individual is adjudged by a committee duly constituted for this purpose to be equivalent to
a degree in engineering and CMD is satisfied that such relaxation is justified.
3.5 Those Doctors who do not possess post-graduate degree such as MD/MS can, at the
most, be promoted upto the level equivalent to Deputy Manager (Grade - E4). This
condition will be relax able by CMD only in exceptional cases where knowledge and
performance of an individual is adjudged by a Committee duly constituted for this
purpose to be equivalent to a post-graduate degree such as MD/MS and CMD is satisfied

that such relaxation is justified.
3.6 For consideration of Executives in the grade of E6 for Promotion to E7, Field Exposure is
considered desirable except in cases of Specialisation / Expertise which are required to
meet the organizational needs.
4.0 Appraisal System- Basis for assessment of merit and suitability :.
4.1 The Performance Appraisal System in operation for the executives of the Company, as
modified from time to time, will generally provide the basis for determination of merit,
efficiency, potential and suitability of executives and Managers for positions of higher
responsibility in the appropriate higher grade as relevant.
4.2 The appraisal year will be the calendar year for executives in the grades upto and
including E5. For E6 and above, the appraisal year will be the financial year from 1st April
to 31st March. Where more than 6 months of the appraisal year have elapsed at the time
of consideration of an executive for promotion, a Special Performance Report for the part
year will be obtained and taken into consideration along with the Reports of the previous
years. Once the special report is followed and replaced by the usual annual report, the
special report will no longer be taken into consideration.
4.3 Performance Appraisal Report for any period of less than 6 months in an appraisal year
will not be taken into consideration for the purpose of promotion. However, where two or
more reports, are written in any appraisal year by reason of an executive being posted
under different reporting/countersigning officers, a single rating for the year will be
determined by the Corporate Promotion Committee.
4.4 Where the case of an executive comes up for consideration for promotion before he
completes the prescribed eligibility period on account of a "seniority weight age" granted
to him as a part of the terms of his initial appointment, the rating given in the first
appraisal report in NTPC, if for a period of 6 months or more, will be deemed to be the
appraisal rating of the earlier years' reports which .are to be taken into consideration in
accordance with this policy statement.
4.5 The Appraisal System will be on a 5 point scale, i.e. "Outstanding", "Good", "Average",
"Below Average" and Unsatisfactory", as defined in the Appraisal formats. The Final
overall evaluation by the "Moderation Committee" will be taken into consideration for the
purpose of aggregation, and marks will be allotted to various ratings for promotion at all
levels as follows:
Rating For Promotion upto E4 level For Promotion from E4 to E5

& above
Outstanding 8 10
*Good 6 8
*Average 4 6
*Below Average 2 4
*Unsatisfactory 0 0
5.0 Eligibility Period:
5.1 The eligibility period for consideration of executives in the grade as mentioned below for
promotion to the next higher grade shall be as under:
Executives in the grade of Eligibility Period
E2 1 Year
E1, E2A,E3 and E4 3 Years
E5 and E6 4 Years
It is on completion of the minimum period of service in the grade as prescribed above, as

on 30th April (inclusive of the grace period of one month ) that an executive will become
eligible for consideration for promotion to the next higher grade.
(Accordingly, the eligibility period, wherever referred in Corporate Personnel Circular

No.302/93 dated 11.06.1993 stands modified as above).
5.2 In the case of promotions of executives in the pay scales of E5 and E6 , normal period of
eligibility will be Four years, but keeping in view the special requirements of the
organisation in this fast expanding phase when it may be considered desirable to fill
vacancies in higher grades with executives from within rather than resorting to recruitment
from outside, the eligibility period may be relaxed at the sole discretion of the Chairman &
Managing Director upto a maximum of six months in exceptional cases.
5.3 There will be a grace period of a maximum of one calendar month for the purpose of
determination of the eligibility period as above.
5.4 While computing the length of service, rendered by an executive in his existing pay scale,
the seniority weightage granted to him in that pay scale, if any, as laid down in the terms of
initial appointment, will be taken into account.
5.5 Counting period of Extra Ordinary Leave for Promotions:
5.5.1 EOL on account of illness or for prosecution of higher scientific and technical/professional
studies duly supported by a medical certificate from an authorized medical officer of the
company in case of illness and by a certificate from the Head of Division that the higher
scientific and technical/professional studies are in the interest of the company's work in
case of leave for prosecution of such higher studies; will count for the purpose of drawl of
increment.
technical/ professional studies will also count for increment provided it is for less than 3 months…
6.0 Constitution & Role of Corporate, Promotion Committee (CPC).

6.1 CMD shall have the powers to constitute Corporate Promotion Committee (CPC), as
considered appropriate by him, from time to time.
Note: The CPC constituted under Clause 6.1 of the executives promotion policy, for
promotions for E4 to E5 and E5 to E6 will also include the Regional Head of HR,
not below the level of AGM, as a member.
6.4 The CPC shall take into consideration the Performance Appraisal Reports including
Special Performance Report, if any, for the last One / Three/Four years, as the case may
be, depending upon the eligibility period prescribed at Para 5.1 above.
6.5 While considering promotions to the grades of E5, E6 & E7, after taking into account all
relevant factors, the CPC will award upto a maximum of 15 marks (for promotion to E5
grade) and 20 marks (for promotion to E6 & E7 grade) to each eligible executive, keeping
in view;
a) The desirability of according special recognition to experience and performance in the field
consistent with the Company's priorities;
b) The need to ensure uniformity, consistency and equitability.
c) Potential and suitability for the specific job position to which he is to be promoted:
d) General conduct, personality and sense of involvement and commitment to the organisation;
and
e) The upward or downward trend in the appraisal ratings. In case of upward trend, the CPC
might consider awarding higher marks as compared to the cases where there has been a
down-ward trend, other things remaining equal.
6.6 The marks secured by each eligible executive from the Performance Appraisal Reports,
Grade Service and marks awarded by CPC (wherever applicable) will be aggregated.
Those executives who have been found suitable for promotion will be ranked in order of
merit. Where aggregate of marks is the same, they will be ranked in order of seniority.
6.7 Subject to fulfillment of the principles, minimum criteria and other conditions as laid down
herein and subject to other relevant rules and orders in force in the Company, the CPC
will recommend for approval of the Chairman and Managing Director or any delegated
authority, a panel of names of eligible executives, ranked in order of merit, who are
considered suitable for promotion to specific appropriate positions in the next higher
grades. Where the Chairman and Managing Director himself is the Chairman of the CPC,
the said panel will be deemed to have been approved. The panel so approved will
constitute the basis and authority for promotion of executives to the appropriate higher
grade.
6.8 HR Department will provide all necessary support to the CPC, including constitution and
convening of meetings of CPC, recording of minutes, furnishing of information and
records, analysis and report on the Appraisal Ratings, available vacancies etc.
7.0 Criteria and Conditions for Promotion and Disqualification from Promotion :
7.1 Factors which are to be taken into account for determining suitability for promotion of an
executive and the weightage there for shall be as under:
(a) Promotion of executives from the grades of E1 to E2, E2A to E3 and E3 to E4 :
Factors Maximum Marks
(i) Performance Appraisal 30 Ratings (for last 3 years)

(ii) Grade Service 15
---------------------------------------------------------------------------------------
TOTAL 45
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The marks for Performance Appraisal Ratings will be as given in Para 4.5.
The marks for Grade Service will be as under :
Grade Service Marks
3 Years 8
4 years 10
5 years & above 12
6 years & above 15
The 'Qualifying Marks' for 'promotability' will be 28 (Twenty eight).
(b) Promotion of executives from the grade of E2 to E2A
(i) Performance App- 10

raisal Rating (for last year)
--------------------------------------------------------------
TOTAL 15
-------------------------------------------------------------
The marks for Performance Appraisal Rating will be as given in Para 4.5.
The marks for Grade Service will be as under:

Grade Service Marks
1 year 2
2 years 3
3 years & above 5
The 'Qualifying Marks' for 'promotability' will be 8 (Eight).
(c) Promotion of executives from the grade of E4 to E5
(i) Performance Appraisal 30

Ratings (for last 3 years)
(iii) CPC 15
----------------------------------------------------------------------------
TOTAL 60
----------------------------------------------------------------------------

Grade Service Marks
3 years 08
4 years 10
5 years 12
6 years & above 15
The 'Qualifying Marks' for promotability' will be 45 (Forty Five)",
(d) Promotion of executives from the grades of E5 to E6 and E6 to E7
(i) Performance Appraisal

Ratings (for last 4 years) 40
(iii) CPC 20
---------------------------------------------------------------------
TOTAL 80
---------------------------------------------------------------------
Grade Service Marks
4 years 12
5 years 14
6 years 17
7 years & above 20
The 'Qualifying Marks' for 'promotability' will be 60 (Sixty).
7.2 No employee whose Performance Appraisal Report for. the last year or Special Appraisal
Report, if any, is 'Unsatisfactory' will be considered for promotion.
7.3 No employee under suspension or where the charge sheet has been issued or where a
criminal case is pending against him shall be promoted until he is unconditionally
reinstated or exonerated. Incase of unconditional reinstatement or exoneration, he will be
allowed promotion with retrospective effect, but the financial benefit accruing due to
promotion will be allowed with effect from the date his promotion order is issued and no
arrears will be payable on this account unless specifically mentioned otherwise in the
promotion order. :
7.3.1 The cases of employees against whom disciplinary proceedings/criminal prosecution on

serious allegations of corruption, bribery or similar grave misconduct including moral
turpitude, fraud etc. are pending but are otherwise eligible for consideration for promotion
shall also be considered by the CPC along with all other cases. The recommendations of
the CPC, including 'unfit for Promotion’ will be kept in a sealed cover. The cover will be so
super scribed 'Findings regarding suitability for promotion to the grade/post of………..in
respect of Shri.................. not to be opened till the conclusion of the disciplinary
case/criminal prosecution against Shri................................................. The proceedings of
the CPC need only contain the note The findings are contained in the attached sealed
cover'. The same procedure will be followed by the subsequent CPCs convened till the
disciplinary case/ criminal prosecution pending against the employee concerned is finally
concluded.
7.3.2 In the event of delay in the conclusion of the disciplinary proceedings/criminal

prosecution, on serious allegations of corruption, bribery or similar grave misconduct
including moral turpitude, fraud etc. the delay not being attributable to the charged
employee, and the disciplinary proceedings/criminal prosecution, against the employee
concerned are not concluded even after the expiry of two annual CPCs from the date of
the meeting of the first CPC which kept its findings in respect of the employee in the
sealed cover, the Appointing Authority may review the case of the employee, provided he
is not under suspension, and consider and order promotion of employee on adhoc basis,
provided his case was recommended by CPC keeping in view the totality of the case, the
availability of vacancy etc. The order of promotion should make it clear that the promotion
is purely on adhoc basis, till further orders and it confers no right on the employee for
regular promotion and that the Competent Authority reserves the right to cancel/revoke
the adhoc promotion or to revert, at any time the employee to the post from which he was
promoted on adhoc basis, without any formal proceedings.
7.3.3 On conclusion of disciplinary cases/criminal prosecution on serious allegations of

corruption, bribery or similar grave misconduct including moral turpitude, fraud etc. the
promotion of the employee will be regulated as under:
i. If the employee concerned is finally acquitted and is fully exonerated, the sealed cover
promotion by the Committee, the promotion shall be made effective from the date as
would otherwise have been announced as if there were no proceedings against him.
However, whether the concerned employee will be entitled to any arrears of pay for the
period of notional promotion preceding the date of actual promotion and if so, to what
extent, will be decided by the Competent Authority by taking into consideration all the
facts and circumstances of the disciplinary proceedings criminal prosecution on serious
allegations of corruption, bribery or similar grave misconduct including moral turpitude,
fraud etc. Where the authority denies arrears of salary or part of it, it will record its
reasons for doing so. The financial benefits for the period of notional promotion will not be
paid unless specifically mentioned otherwise in the promotion order.
ii If any penalty is imposed as a result of the disciplinary proceedings or if he is found guilty

in the criminal prosecution against him, the findings of the sealed cover shall not be
considered. His case for promotion may be considered by the next CPC in the normal
course and having regard to the penalty imposed on him. Such employee shall, however,
not receive promotion during currency of the punishment. Where adhoc promotion has
been given as at 7.3.2 above will be cancelled/revoked.
7.4 In case of transfer on Promotion, the promotion will be effective from the standard date or
notified date, provided the concerned executive joins at the new place of posting within a
period of not more than two months from the date of issuance of the promotion order
failing which the promotion will be regulated as under :
a) The promotion order would stand automatically withdrawn and cancelled and his / her
case for promotion to the next higher grade will be considered afresh by the next CPC, as
per policy. The salary payable to the executive will not be disbursed from the unit he / she
has been transferred from on promotion on completion of two months unless the
executive specifically gives in writing that he / she is forgoing his / her promotion.
b) In case the executive has been transferred on promotion and he / she joins his / her new
place of posting, he / her should continue to be posted at new place of posting for a
minimum of three years before making a request for transfer. After joining the new place
of posting if the executive seeks a transfer to any other place of his / her choice within a
period of three years of posting on promotion then his / her case may be considered for
the same subject to his / her reversion to the pre-promoted post / grade.
8.0 Probation
8.1 All Executives promoted to the grades of E6 & E7 shall be placed on probation for a
period of one year from the date of assumption of charge in the next higher grade. The
period of probation may be extended at the discretion of the Competent Authority but will
not be extended by more than one year save for exceptional reasons to be recorded in
writing.
8.2 Every executive promoted to the higher grade, will be issued a formal order of
confirmation on satisfactory completion of the probationary period or the extended period
of probation, as may be applicable. The executive will be deemed to be on probation until
so confirmed in writing within one month from the date of completion of the probationary
period or the extended period of probation. Non-compliance of this stipulation will not,
however, result in automatic confirmation of the executive concerned.
8.4 If during the probationary period or extended period of probation, the performance of the
executive is not found satisfactory or upto the standard required for the promoted post,
the executive shall be reverted back to the pre-promotion grade. After reversion, the
employee will not be considered for promotion to the higher grade for a period of one
year from the date of reversion.
9.0 Reservation for SC/ST
The directives of the Central Government with regard to the reservation of posts
Scheduled Caste/ Scheduled Tribe candidates in the matter of promotion will be
kept in view while effecting promotions of executives.
10.0 General
The Management reserves the right to modify, cancel, add or amend any of the
provisions of the policy at anytime.
RECORD OF REVISIONS

No. Date
Revisions

Employee Development Scheme Updated as on: 31.01.2012
Page: 1 of 7
EMPLOYEE DEVELOPMENT SCHEME1
1.0 OBJECTIVE:
The Employee Development Scheme is introduced with a view to provide

opportunities and extend facilities to the willing employees for self learning and
acquiring school level academic qualifications to enhance their level of
awareness, knowledge, communication skills and competence, and also to
facilitate career development.
2.0 SCOPE AND COVERAGE :
The provisions of this scheme will be applicable to all employees in the workmen
category who are desirous of obtaining school-level qualifications for their self-
development.
3.0 THE SCHEME :
The company will provide opportunities and facilities to employees to obtain

following school-level qualifications:
i. Qualification equivalent to Matric
ii. Qualification equivalent to Class VIII
4.0 FOR ACQUIRING EDUCATIONAL QUALIFICATIONS EQUIVALENT TO MATRIC

:
4.1 Open School Scheme of Central Board of Secondary Education (CBSE)
CBSE has a viable time-tested, self-learning programme in the form of a self-

contained instructional lessons, especially designed for working adults in the
form of Open School. The company will facilitate the willing employees to take up
studies under this Open School Scheme of CBSE, which will be co-coordinated
by the Employees Education Committee to be constituted by Project General
Manager.
4.1.1 Under the scheme, any employee with basic skills in reading, writing and
arithmetic with competence equivalent to Class-V is eligible to register.
4.1.2 Those employees who have passed and acquired competence equivalent to
Class- VIII will be eligible to appear for matric on registration.
Page: 2 of 7
For those who are below Class-VIII, the CBSE Open School Scheme provides
for a Bridge Preparatory Course which covers the syllabi of Classes-VI to VIII, in
a period of six months, so as to make them equivalent to class-VIII learners,
thereby providing them with ability to cope adequately with the Matric level
course.
4.1.3 Registration for these courses is done twice during a year, in May and November.
4.1.4 A minimum of 8 months for secondary course and 15 months for Bridge course
should elapse before attempting any examination.
4.1.5 For those who have a competence equivalent to Class- Vlll level, the courses
include English, Hindi, Social Science, Maths, Science, Home Science etc. of
which five are to be attempted, including one language.
4.1.6 The medium of instructions is Hindi/English.
4.1.7 The student is allowed to appear in 5 various subjects together or in as many

papers at a time as he wishes, subject to the condition that he/she completes the
course in a maximum period of 5 years, with maximum number of chances to pass
not exceeding nine.
4.1.8 CBSE Open School uses distance teaching methods and instruction is provided
through printed lessons.
4.1.9 Contact sessions are provided through a network of Resource-cum-Study

Centers(RCSC) being run by CBSE under its open school scheme in selected
places in the country. RCSC, however, may be set up in the area/project by
CBSE where a particular project has an enrollment of at least 150 learners or
more. These RCSCs with their appointed/accredited Coordinator will supervise
the entire implementation of the programme.
4.1.10 Where number of learners enrolled at a time is less than 150, the company may
facilitate for organising such RCSC through schools in the township. For
Regional offices, Corporate Centre and other such establishments, the willing
employees may avail of CBSE's own RCSC in nearby areas.
4.1.11 Functions of RCSC/Accredited School:
The functions of accredited schools/Resource-cum- Study Centers, as the case

may be, would be as follows
a. They will take on the role of Liaising Agents' between the CBSE Open
School and target learners
Page: 3 of 7
b. Registration of candidates: Twice a year in May/November
c. Distribution of instructional materials
d. Personal contact programmes

The total coverage and syllabus of the course as prescribed by CBSE
Contact sessions will be conducted for 1-1/2 Hours per day for 4days in a week. In case
required, the sessions may be repeated twice a day, in the morning and in the evening, to
facilitate employees working in the shifts. Instructors would be selected by the accredited
schools from amongst their teaching staff.
e Organising practical, if any
f. Assessing the assignments and providing feedback to the learners about their
performance.
g. Maintaining necessary records.
h. All formalities relating to examinations
i. Acting as Examination Centers.
j. Forwarding examination forms, taking the requisite fee etc.
4.1.12 CBSE appoints examination Centers at places where they have RCSC or where a
minimum of at least 50 students are to take the examinations. In the absence of the
above, the learners will have to take up examination at the nearest appointed center/state
capitals.
4.2 Open School arrangement of State Education Board :
Wherever the requirement, as felt by the project management, is to conduct instructions

and examinations in Regional language concerned of the area, and where the State
Education Deptt./State Education Board has introduced an Open School Scheme, it may,
in consultation with the Employees' Education Committee (EEC), coordinate
arrangements on similar lines as provided for under the Open School Scheme of CBSE.
5.0 FOR ACQUIRING EDUCATION QUALIFICATION EQUIVALENT TO CLASS-VIII:
5.1 Facilities to the willing employees will be extended to take up studies under a scheme to
be operated by a school in the township appointed for this purpose by the Employees'
Education Committee.
5.2 The syllabus, structure of examinations, system of evaluation/assessment will be

stipulated by the Appointed School in line with the syllabus/system as prescribed by the
respective State Education Board.
Page: 4 of 7
5.3.1 An employee who has passed Class-V or has competence equivalent to Class-V can register.
5.4 Functions of the Appointed School:
i. Registration of learners
ii. The syllabus, structure of the test, system of evaluation and qualifying
marks will be stipulated by the school and would be in line with the
system prescribed by the respective State Education Boards.
iii. Organising personal contact sessions as required. The timing for the
programme would be such as to facilitate participation of employees
working in shifts and will be decided by the ECC.
iv. Preparation and distribution of instructional material
v. Maintaining necessary records
vi. All formalities relating to conduct of examination.
vii. Procuring sufficient copies of text books and keeping the same in the
school library for issue to the learners who are registered for this scheme.
viii. The school will issue the necessary certificate to the candidates who have
passed the Class-VIII examination.
6.0 EMPLOYEE EDUCATION COMMITTEE:
The Project General Manager will constitute an Employees' Education Committee (EEC).
It will be the responsibility of EEC to administer and implement this scheme, keeping in view
its objectives.
The committee will consist of :-
1. General Manager Chairman
2. Representatives (of Finance and O&M) to be Members

nominated by GM
3. Two workers to be nominated by Workmen's Members

Union
Page: 5 of 7
4. One Supervisor to be nominated by Supervisory Members

Associations
5. An executive of HR Deptt Secretary
NOTE (Wherever there are no Unions/Supervisory Associations, the nominations from the
Workers and Supervisors will be made by the General Manager).
7.0 FACILITIES TO BE EXTENDED BY NTPC:
i. Infrastructure facilities like building/class rooms, furniture etc. in one of

the existing school buildings. In addition the teaching aids, stationery etc.
as required by RCSC/Appointed School will be provided by the
Company.
ii. Honorarium to Faculty Members/Instructors for conducting contact

sessions @Rs.50/- per session (60 Mts.) wherever not paid by CBSE or
SEE under this scheme.
iii. Expenses towards registration fee and tuition fees for the course under
CBSE/SEB to the extent of 50% to the employee for first two attempts,
thereafter the learners will be required to bear full amount.
iv. Wherever a school is appointed by the company for the purposes of this
scheme, appropriate administrative charges, if any, to be determined by
the Project General Manager will be paid by the Company.
8.0 GENERAL:'
8.1 The employees desirous to avail of opportunities under this scheme can attend
contact sessions wherever necessary/available only after their working hours.
Wherever an employee/learner is required to appear for exams of for other
commitments or leave station of duty as may be required under the scheme, he
shall apply for leave as may be due in his credit.
8.2 The scheme is framed entirely as a welfare measure to provide opportunities and
facilities to employees on voluntary basis for acquiring higher school-level
academic qualifications for career development, and does not confer any right to
the employees nor imposes any obligation or liability, whatsoever, on the
company and shall not be deemed to be a condition of service between the
company and any such employee.
8.3 Acquiring of qualifications under this scheme will not entitle the employee for
incentive under Companies' Incentive Scheme for acquiring higher qualifications.
Page: 6 of 7
8.4 The management of NTPC reserves the right to amend, alter or withdraw a part
or whole of the scheme at any time without any notice and assigning any reason
thereof.
AUTHORITY:
1. Corporate Personnel IOM No.01: MD:EDS Dt.4.11.1988
Page: 7 of 7
RECORD OF REVISIONS

No. Date
Revisions

Scheme for acquiring qualifications required for Updated as on: 31.01.2012
promotions of employees from S4 to E1 Page: 1 of 5
(Non-Technical)

SCHEME FOR ACQUIRING QUALIFICATIONS REQUIRED FOR PROMOTIONS OF EMPLOYEES IN
THE SUPERVISORY GRADE OF S4 TO THE EXECUTIVE GRADE OF E1 (NON-TECHNICAL)
1. OBJECTIVES
1.1 To provide growth opportunities to the employees in the supervisory categories who
do not possess the requisite qualifications to join the executive cadre of the Company.
1.2 To ensure that the high quality and standards of the executive cadre of the Company
are maintained.
2. COVERAGE
2.1 The Scheme will cover all eligible supervisory employees of the Company in the grade
of S43.
2.2 Supervisory employees in the grade of S4 who do not have the necessary
professional qualifications (as in Annexure-I) will be required to pass the examination
prescribed in the Scheme in their respective area of work, before they can be
considered for promotion to Executive posts.
2.3 These examinations will be conducted in the following areas:
a) HR
b) Finance & Accounts
c) Material & Contracts
d) EDP4
3. ELIGIBILITY
3.1 All Supervisory employees in S4 grade who do not possess requisite qualification for
being eligible to be considered for promotion/placement to El grade.
3.2 The Scheme shall not cover employees on deputation with the Company from other
organisations and also those who have gone on deputation from NTPC to other
organisations.
3.3 No employee whose latest Annual Assessment Report is adjudged as "Adverse" will
be considered for the purpose of the Scheme.

(Non-Technical)

3.4 Employees who already possess the prescribed qualifications required for promotion to the
executive cadre as per Annexure-I, shall not be covered under the Scheme.
3.5 All other conditions which debar an employee for promotion (as spelt out in para 2.8 of
the Statement of Promotion Policy for Employees in the Supervisory Category) will be
applicable for purposes of non- eligibility under the Scheme.
4. PROCEDURE
4.1 Employee shall have to pass the prescribed examination in their respective areas of work
4.2 The examination will qualify the candidate to be called for interview. All eligible
employees may register with the Corporate HR Division with reference to the notification
issued by them and appear for the examination. The number to be called for the
interview will be subject to actual vacancies available in the concerned area. The number
to be called for the interview will be limited to three times the number of anticipated
vacancies. In case the number that has qualified is more than three times the number of
anticipated vacancies the basis for calling them for interview would be their seniority in
the grade. Those not called for interview may be called in future depending on vacancies
and by application of the above principle.
4.3 The selection made in course of the interviews will be as per the number of vacancies,
however, who have qualified the examination if not selected for interview need not
appear for the examination again. Those not selected may again appear for the interview.
4.4 The papers and detailed syllabus for examination are given in Annexure-1. The
examination will consist of one common paper and four papers under their respective areas
viz. HR, Finance & Accounts, Contracts & Materials and EDP.
4.5 In order to qualify, an examinee must obtain 45% (40.5% for SC/ST candidate(s)in
individual papers and 50% (45% for SC/ST Candidates) in aggregate. In case. an
examinee clears one or more papers, he/she gets exemption in that paper subject to the
condition that the entire examination is cleared in five attempts in a total period of 8
years, failing which he/she will be required to re-appear in all papers as a fresh
candidate.5'6
5. GENERAL
5.1 The Scheme shall be operated centrally by the Corporate HR Division which all
prescribe the necessary syllabus, recommended readings and set question papers.
5.2 Depending on the need the management may notify the test structure and syllabus for
other areas of work on similar lines from time to time.

(Non-Technical)

5.3 Management reserves the right to modify the Scheme together with the test structure,
weight age, syllabus etc.
AUTHORITY:
1. CORPORATE PERSONNEL CIRCULAR NO. 119/83 DT. 4.10.1983

2. CORPORATE PERSONNEL CIRCULAR NO. 134/84 DT. 31.5.1984
3. CORPORATE PERSONNEL IOM No. Ol/PERS/HRD/DE-90 Dt. 30.7.1990
4. GM (P&A)'s Note No. 01 :Pers : HRD dt. 26.9.90
5. CORPORATE PERSONNEL IOM No. Ol/PERS/HRD/94 Dt. 21.12.94
6. CORPORATE PERSONNEL IOM No. Ol/PERS/HRD/95 Dt. 31.5.95
ANNEXURE-I
PROFESSIONAL QUALIFICATIONS IN HR FINANCE &

ADMINISTRATION MATERIAL AND CONTRACTS
RECOGNISED FOR PROMOTIONS TO EXECUTIVE CADRE2
Function Qualifications
HR 1. Post Graduate Degree/Diploma recognised by the

Government of India, of not less than two years duration
with papers on HR / Personnel Management, Industrial
Relations, Labor Laws, Organizational Behavior, etc.
2. Recognised Post Graduate Degree/Diploma in Business

Administration of not less than two years duration, with
specialization in HR / Personnel Management.
3 Recognised Degree in Law (LLB) taken after graduation

(for executive positions in Legal Group)
4. Recognised Post Graduate Diploma in Tourism and Hotel

Management of riot less than two years duration (only for
Administration).
5. Recognised Diploma in Journalism (only for PR

Department)
Finance & Accounts 1. Final examination of the Institute of Cost and Works
Accountants/Chartered Accountants of India
2. Final examination for Management Accountancy
conducted by the Institute of Cost and Works Accountants
of India.

(Non-Technical)

administration of not less than two years duration with
specialisation in Finance.
4 SAS
Contracts and
Materials Management 1. Recognised Post Graduate Diploma in Materials
Management awarded by the Indian Association of
Materials Management of not less than two years
duration.

Administration of not less than two years duration with
specialisation in production/operations Management/
Materials Management.
3. Diploma in Engineering.

(Non-Technical)

RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)

NTPC Scheme of Facilities for Higher Updated as on: 31.01.2012
Studies Page: 1 of 8
NTPC SCHEME OF FACILITIES FOR HIGHER STUDIES1
The NTPC Scheme of "Facilities for Higher Studies" covers the following
two categories:
i) Company sponsorship for Higher Studies,
ii) Grant of Study Leave for Higher Studies.
The terms and conditions attached to each Scheme are as under:
1.0 COMPANY SPONSORSHIP:
1 .1 Eligibility
This applies to all regular employees of the Company but excludes

Trainees/ Apprentices/those employed on
contract/deputation/temporary/casual basis. Employees who are under
suspension or against whom any disciplinary proceedings/vigilance cases
are pending/ contemplated may not be considered for the sponsorship.
1.2 Entitlements:
(a) For Company sponsorship within India :
The period of sponsorship, generally will not exceed one year and
approved by D(HR). In exceptional circumstances sponsorship
beyond one year may be approved by CMD.
i) The normal entitlement as on duty will be protected excepting

Incentive payment (construction/generation) and/or any other
Ex-Gratia payment/Reward etc. for the period of the Study.
ii) The employee will normally be expected to stay in the

accommodation available with the Institution where study is
under-taken. However, if any accommodation is not provided
by the Institute, payment of HRA, in lieu, may be sanctioned
upto the following limits.
(1) 'A' class cities : - 12.5% of the pay

in all 'A' class cities
15% of the pay in all A-1 class

of cities.
2) Other Places: - 7.5% of normal rates applicable to

employees posted in such places.
NB : This Scheme has come into effect from 3.5.1989.
Payment of HRA as above is subject to production and verification of

House Rent Receipts and other normal rules regarding payment of HRA.
iii) The, employees will be paid TA as per the Rules of the Company laid
down from time to time for journeys between the place of duty and the
place where the course is to be attended by them at the time of joining
and on re-joining duties, on its completion.
iv) Examination fees and other charges, if any, of the Institute, will be borne
by the Company.
v) An out-of-pocket Allowance, as considered necessary by CMD, may be

given for the duration of the course.
(b) For Company Sponsorship outside India
The period of sponsorship as well as the entitlement during this period will be
determined by CMD, with reference to the merits of each case.
1.3 Other conditions (for both in India and outside India)
i) No salary or allowance is admissible for the period during which the employee
interrupts his studies, unless expressly approved by the competent authority.
ii) Accepting of part time employment, scholarship, honorarium or any other

allowance/payment from any outside agency without prior sanction of the
competent authority is prohibited. Any such authorized payment so received
during the period will normally be adjusted against employee's entitlements from the
Company; in addition to any other action, as Company may deem fit.
iii) The employee is allowed to retain the Company accommodation provided to him for
the duration of the course, subject to the conditions that his family physically stays
in the accommodation provided. 'Family' for this purpose will include only his direct
dependents i.e. spouse and own children. Entitlement of HRA will also remain
protected subject to the above conditions.
Bond
i) The employee is required to execute a Bond to serve the Company as

per the Table below :
Sl. Length of Service Period of Bond Amount of

No. immediately after Bond (Rs.)
the completion
of the course.
A. Within India
- Less than 3 months Nil 25,000/-
- 3 months & above but 1 years 50,000

less than 6 months
- 6 months & above but 2 years 75,000

less than 1 year
- 1 year and above 3 years 1 Lakh
B. Outside India
- Upto 2 weeks Nil 25000/-
- More than 2 weeks but 1 years 1 Lakh

upto 6 weeks
- More than 6 weeks but 2 years 1.5 Lakh

upto 12 weeks
- More than 12 weeks but 3 years 1.75 Lakh

upto 24 weeks
- More than 24 weeks 4 years 2 Lakhs
ii) In case the employee leaves the service of the Company during the
period of the course itself, the entire bond amount will be recoverable
from him.
iii) If, however, he leaves the service of the Company during the bond
period after the completion of the course, the bond amount will be
payable by him, as per the Rules of the Company, as in vogue from time
to time. If he joins a Public Sector Undertaking/ Government service with

the Company's concurrence, the bond may be transferred.
iv) The bond amount for sponsorship Courses to IIMs, IITs etc. shall be
decided on case to case basis.
v) Further if long term advance such as HBA, Conveyance and Computer

have been sanctioned to an employee who is proceeding on study leave
/company sponsorship, it should be ensured that surety has been
created in respect of each advance.
vi) In case of all other advances they should be refunded to company in

case the company sponsorship/ study leave period is for more than one
year in India and more than 24 weeks outside India.
1.5 Procedure
i) All proposals for Company sponsorship shall be examined and processed

by Corporate HR Division.
ii) The Competent authority for sponsoring the employee to a course shall
be as notified from time to time.
1.6 Benefits of Service
The employee will be entitled to normal service benefits including CPF and gratuity
for the approved period of sponsorship. The period will also count for eligibility for
promotion.
2.0 STUDY LEAVE:
2.1 Eligibility
(a) Study Leave is admissible to any regular employee of the Company,

excluding a trainee/apprentice, who:
i) Has rendered a minimum of three years service inclusive of

training/apprenticeship period in the Company. In the case of
deputationists who are subsequently absorbed in the Company, the period
of deputation will be taken into account for this purpose.
ii) Is not due to retire within 5 years of the date on which he is expected to
return to duty after the completion of the course.
iii) Is not employed on a contract/deputation/ temporary or casual basis.
iv) Is not under suspension and no disciplinary proceedings/vigilance cases

are pending against him.
(b) Study Leave is admissible for a course that:
i) Is conducted in India. (Grant of Study Leave for course abroad, can also
be considered, if the course is not available is India).
ii) Has a direct and close connection with the sphere of duties of the
employee.
iii) Leads to the award of recognized Post-Graduate Degree/Diploma or

Doctorate.
2.2 Period of Study Leave
i) Study Leave is admissible for a maximum period of 3 years during the

entire service of the employee, subject to the exigencies of work.
ii) This leave is not debited to the regular leave account of the employee.
2.3 Entitlements
i) The employee will not be entitled to any pay or allowances during the
period of Study Leave.
ii) The employee is entitled to the benefit of continuity of service for CPF and
Gratuity and if the employee chooses to contribute to his Provident Fund
account during Study Leave period, the Company will make a matching
contribution as per Rules framed from time to time.
iii) During the Study Leave period, the employee shall not be considered for
promotion, However, the period will count for eligibility for promotion. The
employee will be considered for promotion as per the company policy of the
rejoining duties on expiry of study leave. The duration of study leave
availed without completing the study will not be reckoned for purpose of
eligibility for promotion or for earning increments. The employees will also
not be eligible for grant of Study Leave again.
iv) The study leave will not be considered for the purpose of earning any
kind of leave.
2.4 Other Conditions:
i) Acceptance of any part time scholarship, honorarium or any other

payment during this period without prior approval of the competent
authority is prohibited.
ii) The employee is required to vacate the company accommodation provided

to him, if any, within 3 months of his proceeding on Study Leave, failing
which market rent will be charged.
2..5 Bond:
i) The employee is required to execute a Bond to serve the Company for a

period of 3 years immediately after completing the course. In case of
default, he is liable to pay to the Company a sum of Rs. 50,000/- as Bond
Money.
ii) In case the employee leaves the services of the Company during the
period of study leave itself, the entire bond amount is recoverable from
him. The entitlement of gratuity and provident fund in such cases will be
dealt with in accordance with the Rules of the Company from time to time.
iii) If, however, the employee leaves the service of the Company during the
bond period, the bond amount will be payable by him, as per the Rules of
the Company, as in vogue from time to time. If he joins Public Sector
undertaking/Government Service with the Company's concurrence, the
bond may be transferred.
2.6 Procedure
i) The employee will apply through proper channel to his Head of

Unit/Project/Division for permission to join the course as soon as an
advertisement/ notification is issued by the concerned Institutions in the
prescribed format. This will be examined by the Head of
Unit/Project/Division and forwarded to the concerned HR Department with
recommendations for onward transmission to Corporate HR Division,
wherever possible, a copy of the application form prescribed by the
institution must also be attached.
ii) The sanctioning authority for study leave shall be as notified from time
to time.
iii) On completion of the Course, the employee shall submit to the

sanctioning authority a certificate/ degree/paper in support of his having
passed the examination, which should also indicate the dates of
commencement and completion of the course, with the remarks, if any, of
the authority in charge of the course.
iv) In case the employee fails to complete the course satisfactorily, rejoining
the service of the company will require" specific approval of the Director
(HR).
3.0 GENERAL:
3.1 The Chairman and Managing Director shall have powers to make changes in
procedure and amendments/modifications of these Rules.
3.2 In case of any doubt regarding any provisions of these Rules, the matter will be
referred to Corporate HR Division for a decision.
AUTHORITY:
2. Corporate Personnel IOM No. 01/Pers./4(35)/349, dt. 6.4.99.
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Scheme for Job Rotation and Career Growth Path Updated as on: 31.01.2012
Page: 1 of 5

SCHEME FOR JOB ROTATION AND CAREER GROWTH PATH
1.0 Objectives:
1.1 To provide exposure to employees in various activities and functions to enable them
to gain a rich experience before they assume higher responsibilities.
1.2 To ensure an effective match between the employees competencies and strengths
and the role assigned.
1.3 To provide job enrichment.
2.0 Coverage:
2.1 All regular executives on the rolls of the company.
3.0 Principles:
3.1 To ensure that job rotation is done in a planned manner and it does not cause any
dislocation of work, model career growth paths have been developed and are
annexed. These growth paths have to be mapped for each executive.
3.2 An executive of E2 /E2A should be rotated in a minimum of three sections/areas in

his discipline before he reaches the level of E5. He should remain in one section for a
minimum of 2 years.
3.3 As far as possible, for all new recruits inducted at the level of E1/E2/E2A the first
posting should normally be in shift Operation or in Erection during construction stage.
3.4 At the level of E4/E5 an executive needs/requires to be made a team leader of 1

section as far as possible.
3.5 At the E6 level the executive needs/requires to be made Head of at least 2/3 sections
or a Head of an area as far as possible.
3.6 An executive should preferably have had exposure to at least 3 areas/sections before
he reaches the level of E5. However, in certain areas, where expertise needs to be
developed this will not be a constraint.
3.7 Through rotation it may also be ensured that no executive is posted in one area for
long (e.g. CHP, Ash Handling etc.). A mix of posting to and from such areas may be
kept in view while drawing up the career paths. It may also be ensured that the
specialized skills of executives in technical areas is not frittered away by mere job
rotation. The growth paths provide for growth in one area for executives who need to
develop as experts in a particular area. For such executives retention in one area may
be for a longer period say, 8 to 10 years.

Page: 2 of 5

3.8 Rotation for an executive is to be done based on the Career Path which has been
mutually decided by the individual and his superiors.
3.9 While deciding the career path there is a need to ensure that all executives are rotated
uniformly except in some exceptional cases on health grounds. An executives aptitude
and his individual competencies should also be kept in view.
3.10 Change in area/function as envisaged in the growth path does not necessarily imply
transfer from one project/station to another. Rotation can be planned in various areas
within the same plant itself. However, if the management decides in the interest of
work or on request of an executive even transfer from one project to another may be
considered.
4.0 Procedure:
4.1 The career path discipline wise will be filled up by the HOD for each executive in
consultation with him/her. This will ensure that the career paths so developed in a
section matches both the individuals needs and the work requirements. In specific
cases where the HOD deems it fit he may chalk out a career path other than those
suggested in the model career paths, in the same format.
4.2 The completed career paths after discussions with the HOD should be forwarded to
the HR department. HR will consolidate the individual plans and the date of rotation to
ensure that the movement of executives from one department to another is smooth
and that no gaps are left in any department in terms of work requirements.
4.3 The consolidated plans will be shared by the Head of HR in the Site Management
Committee for appreciation of General Manager and the HODs.
4.4 The job rotation orders, implementation and monitoring of movement will be done by
project HR for all executives upto the level of E5. A gist of the same will be
communicated to the Regional Head of HR for appraisal/appreciation of Regional
ED. The career paths of executives of E6 level and above will be drawn as above in
consultation with the General Managers/HODs concerned. The career paths of
these executives shall be forwarded to Corporate HR group through regional ED and
will be implemented and monitored centrally from Corporate HR keeping in view the
long term plans for development of future leaders within the company. Orders for
rotation will be issued once a year in April by Project HR Department upto E4 level,
Regional HR Department for executives at E5 level and by CC for executives at E6
and above levels.
4.5 The rotation orders issued and the status of implementation would be sent by the
projects/stations for all executives upto E5 to Corporate HR group.
4.6 Based on the career path chosen by an executive suitable training inputs have to be
planned and provided especially to executives who may choose areas of work with
which they may not be very familiar with.
4.7 Wherever inter region transfer is necessary as part of the job rotation exercise
Corporate Centre will process the cases on advice of the project/station HR

Page: 3 of 5

Department. Similarly, where intra region transfer is to be done the concerned
Region will process the case.
4.8 Monitoring may be done for executives who joined the company as executive
trainees to ensure their proper and balanced growth and development.
4.9 The individual career paths filled up may be reviewed and fresh path drawn after a
period of three years.
5.0 Tenure Posting:
5.1.0 Objectives
5.1.1 To derive the benefits from the skills and experience of executives to be gainfully
utilised in staff functions.
5.1.2 To give exposure in various functions for overall development.
5.2.0 Principles
5.2.1 Tenure postings will be done only for executives in the levels of E3 to E6.
5.2.2 The normal tenure assignment will be of three years only extendable by one year.
Thus total period shall not exceed four years.
5.2.3 The executive will either revert back to his parent department or move to another
department based on his career path after completion of his tenure posting.
5.2.4 If an executive performs well and is willing to be absorbed in the department where
he has been posted on tenure basis, such absorption may be allowed after
examination on a case to case basis by Corporate HR.
5.3.0 Functions identified for Tenure Postings
* Resettlement and Rehabilitation

* Technical training and PMI
* HR
* Corporate Planning
* Joint Venture Cell
* Vigilance (Technical Examination)
* Public Relations
* Energy Conservation
* Environment Management Group
* Ash Utilisation and Marketing
6.0 General:
The powers to review, modify/amend the provisions of the scheme shall vest with
Director (HR).
Authority:
CORPORATE PERSONNEL CIRCULAR NO. 397/98 dated 12th October, 1998

Page: 4 of 5

Career Path

Page: 5 of 5

RECORD OF REVISIONS

No. Date
Revisions



Scheme for Acquiring Energy Auditor Updated as on: 31.01.2012
Certificate (BEE) for NTPC Executives Page: 1 of 5
SCHEME FOR ACQUIRING ENERGY AUDITOR CERTIFICATE (BEE)

FOR NTPC EXECUTIVES
1.0 Preamble:
The Energy Conservation Act, 2001, makes its mandatory for Energy Intensive
industries (including electricity generating power stations) to get Energy Audit
conducted by an Accredited Energy Auditor.
In order to comply with the provisions of the Energy Conservation Act and to
develop an in-house pool of Certified Energy Managers / Accredited Energy
Auditors, it has been decided to introduce a Scheme for acquiring Energy Auditor
Certificate from Bureau of Energy Efficiency for NTPC executives.
2.0 Objective:
To enable eligible NTPC executives to successfully qualify the National Certificate

Examination for Energy Managers and Energy Auditors conducted by Bureau of
Energy Efficiency, Government of India.
3.0 Eligibility:
All Engineers including Engineering Executive Trainees on the rolls of the

corporation possessing any one of the following qualification are eligible to apply
for the certificate examination.
(i) Graduate Engineer (B.E./B.Tech) or equivalent with 3 years of work

experience.
(ii) PG Engineer (ME/M Tech) or equivalent with 2 years of work experience.
(iii) Graduate Engineer with PG Degree in Management or equivalent with 2

years of work experience.
4.0 Procedure:
4.1 Procedure for application in respect of Engineering Executive Trainees.
4.1.1 On release of the advertisement inviting application for National Certification

Examination for Energy Managers and Energy Auditors by the Bureau of Energy
Efficiency, PMI shall issue a circular inviting Engineering Executive Trainees
to apply for the same. Copies of this circular shall be displayed by the respective
EDCs in various units of NTPC.
4.1.2 Interested EET shall submit a written application to the head of respective EDC.
After scrutinizing the application w.r.t. eligibility criteria, the EDC head shall
forward the same to respective Regional Head of HR (RHOHR).
4.1.3 All EETs whose applications are forwarded to the respective RHQs shall have to
appear for a screening test to be conducted at the respective RHQ in consultation
with PMI. The screening test shall be conducted at PMI and RHQs
simultaneously at the time of Mid term appraisal of EETs.
4.1.4 The test material for the screening test shall be prepared by PMI in consultation
with NPC and subsequently it may be developed inhouse.
4.1.5 The shortlisted candidates from the screening test i.e. who are ranked the top 20
shall be given class room coaching of a maximum of 2 weeks at respective RHQs
by Qualified Auditors from NTPC
4.1.6 The shortlisted candidates shall register for the certificate examination individually
and deposit the necessary fee, which shall be reimbursed by the Company for
clearing the examination in the first attempt. In case EET is not able to clear the
exams in the first attempt, the company shall reimburse 90% and 80% of the total
fee for second and third attempts.
4.1.7 The expenditure incurred by EET’s for appearing in the examination at allotted
test centers shall be reimbursed by the company.
4.1.8 Since EETs are inducted afresh and normally do not have a prior work
experience, they shall have to appear for the viva-voce exam conducted by BEE
after gaining a work experience of 3 years in case of EET’s with Graduate

qualification / 2 years in case of EET’s with PG qualification on completion of
training in NTPC.
4.1.9 In case an EET who has cleared the written examination wishes to leave the
services of the organization before the viva-voce examination, the fee reimbursed
by the Company towards registration and application for the examination and the
cost of coaching imparted to the EET shall be recovered from the candidate.
4.2 Procedure for application in case of other Engineers.
4.2.1 On release of the advertisement inviting application for National Certification

Examination for Energy Managers and Energy Auditors by the Bureau of Energy
Efficiency, each unit of NTPC shall select a maximum number of 5 eligible
executives with the approval of Project GM to appear for the first time for this
examination, each year.
All eligible executives from CEETEM group and a maximum of 2 eligible

executives each from other related groups of CC/RHQ shall also be selected with
the approval of concerned ED to appear for this examination each year.
4.2.2 In case any of the selected executive is not able to clear any of the 4 papers of
this certification in the first attempt, he / she shall not be allowed a second
attempt. All those candidates who are able to clear at least one paper in the first
attempt shall only be allowed to reappear for the remaining papers. The company
shall reimburse 90% and 80% of the total fee for second and third attempts.
4.2.3 In case the selected candidates require coaching / training towards preparation
for this examination, the respective units may deal with the matter at their end with
the approval of respective Regional ED / Project GM.
4.2.4 The expenditure incurred by executives appearing in the examination at the

allotted examination centers shall be borne by the company.
5.0 General:
5.1 The names of employees who obtain the certification of Energy Auditor / Energy
Manager from BEE shall be forwarded to CEETEM group for maintaining a
database of certified Energy Managers/ Accredited Energy Auditors in NTPC.
5.2 In case if any clarification relating to any provision of the scheme, the same
should be referred to PMI/CEETEM Group.
5.3 Management reserves the right to modify / withdraw / amend any of these
provisions.
Authority:
1. Corporate HR IOM No. 01:HR-Policy:7(35)/599 Dated 03.03.2005
RECORD OF REVISIONS

No. Date
Revisions
Harleen Sachdeva Harleen Sachdeva D S Rao

M(HR) M(HR) AGM(HR)
Scheme for facilitating NTPC Employees with ITI Updated as on: 31.01.2012
qualification to acquire Diploma in Engineering Page: 1 of 4

SCHEME FOR FACILITATING NTPC EMPLOYEES WITH ITI QUALIFICATION TO
ACQUIRE DIPLOMA IN ENGINEERING
1.0 Preamble
With a view to upgrade the skill levels of employees in non-executive cadre and to help them in
their career growth by appropriately placing them in upcoming sites of NTPC as per requirement,
a Scheme for facilitating employees with ITI qualification to acquire Diploma in Engineering has
been introduced.
2.0 Scope
2.1 To identify and notify Govt./Govt approved institutions offering Diploma courses approved
by the Distance Education council or the State Board of Technical Education, where
employees may be allowed to enroll for the programme.
2.2 To provide financial assistance for meeting the expenditure towards admission/course
fee and examination fee.
2.3 To specify the procedure for availing the assistance under the Scheme.
3.0 Coverage
3.1 All non-executive employees in the grade of W6 & above and who possess ITI
qualification shall be entitled to apply for benefits under the Scheme.
3.2 Such employees upto the age of 55 years 2 may be considered.
4.0 Process of Notifying the Institutes:
4.1 Concerned HR Deptt of the Project/Office, through its Training group shall scan the
institutes nearby the Project/Office, that provides quality education/inputs while awarding
Diploma, recognized by Distance Education Council or the State Board of Technical
Education, and identify any one with the approval of Regional ED. The requirement of
employees of CC will be met by NCRHQ.
4.2 While selecting the institutions, issues like proximity to the Project/Office, course duration
(preferably 3 years), course fee, course content, willingness of the institute to reserve
seats for NTPC employees and/or to a lot seats on preferential basis, and other relevant
factors will be taken into consideration by RHQs.


4.3 The tie-up shall be with Govt. or Govt. approved Institution for Engg Courses in
disciplines such as Electrical, Mechanical, Civil or C&I. The Diploma course to be
approved by the Distance Education Council or the State Board of Technical Education.
4.4 The courses shall be through distance education with few contact classes, primarily on
evening/weekly offs to ensure that day to day working by concerned employee is not
affected.
4.5 The names of selected institutions will be notified by the RHQ for the information of all
employees. The notification shall specify the eligibility criteria, fee structure, duration and
other details.
5.0 Process of taking admission in these institutes
5.1 Selection may be based on Test/Interview to be conducted by the Institute.
5.2 In respect of Institutions where seats have been reserved for NTPC under
preferential/special arrangements, NTPC may allot such number of seats to employees of
various stations within the Region.
6.0 Providing financial assistance to employees taken admission through due process:
6.1 Total annual fee for the course is to be restricted to Rs 15000/- per year. Accordingly, fee
beyond Rs 15000/- will be borne entirely by the employee concerned. On the fee upto Rs
15000/-, employees to bear first 30%. Remaining part of annual fee restricted to Rs.
10500/- will be subsidized by NTPC.
6.2 At the time of scheduled payment of annual fee, the Company will pay the total
fee(limited to Rs 15000/- for every academic year) including the share to be borne by the
respective employee. The employee’s share will be recovered from the salary of the
employee in ensuing 12 equated monthly installments. Annual fee for this purpose would
cover tuition fee, exam fee and academic fees.
6.3 The above financial assistance shall not cover expenditure incurred by an employee for
re-admission, exam fee for repeating the papers etc.
6.4 If an employee desires to avail the benefits under the Incentive Scheme of acquiring
additional qualification in lieu of the above assistance, he may be permitted to do so.
7.0 General:


7.1 On successful completion of the course, the employees who have acquired the Diploma
qualification shall be required to be posted to various sites of NTPC as per requirement of
the Company.
7.1.1 In case any employee discontinues the course; remains unauthorisedly absent
from classroom contact programmes, assignment, exams or fails to successfully
complete the course due to any reason other than death, major accident/ailment
resulting in permanent disability, would be liable to pay the total payment made
by NTPC in respect of the employee to the Institution where the employee is
pursuing the Diploma course.3
7.1.2 The sponsored employee will cease to be student if he or she discontinues

employment in NTPC. In such a case the total payment made by NTPC will
become recoverable.3
7.2 Notwithstanding the provisions of this scheme, Management reserves the right to transfer
the employee or to alter the nature/location of work of the employee pursuing any course
under the scheme, depending upon exigencies.
7.3 Grievances, if any, in the implementation of the Scheme will be settled at the level of
RHOHR of concerned Region, whose decision shall be final.
7.4 All RHQs are required to provide an MIS on employees sponsored under the Scheme to
Corporate Industrial Engineering Group on annual basis.
8.0 Date of Operation
8.1 The scheme will be in operation from the academic session 2004-2005.
Authority:
2. Corporate IOM NO. 01: HR-Policy:4(35)/637 Dated 02.03.2006
3. Corporate IOM NO. 01: HR-Policy:4(35)/651 Dated 30.06.2006


RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)

Scheme for certification Program for Project Updated as on: 31.01.2012
Management Professionals Page: 1 of 8
Scheme for Certification Program for

Project Management Professionals
1.0 Preamble:
NTPC has been promoting continuous upgradation of competencies of

executives to enable them to effectively discharge their present roles and
also prepare them to take up higher responsibilities. This commitment of
our organization has built organizational capabilities to cope with change
in business environment and take upon challenges with ease.
To enhance the project management competence of selected executives
the company is introducing a certification scheme for becoming a Qualified
Project Management Professional. In India this certification is accorded by
International Project Management Association (IPMA), through its Indian
affiliate Project Management Association (PMA).
2.0 Objectives:
2.1 To enhance the project management competence of executives by

exposing them to an internationally acknowledged certification
programme.
2.2 To impart professional qualification at par with international standards.
2.3 To improve the shared understandings of the processes required to execute

projects on time, on scope and within budget
2.4 To enable standardization of organizational project management processes

and procedures vis –a –vis global standards.
2.5 To strengthen their knowledge and skills for better control and monitoring
of projects.
2.6 To build a strong pool of globally certified professionals in executing

projects.
3.0 The Certification Programme:
International Project Management Association (IPMA), a federally structured

association of 36 member countries that are primarily from Europe has
developed the 4 Level Certification (4LC) programme in project management.
This has been adopted by all the member associations of IPMA including India
The IPMA 4 Level Certification model
Level Target Basis of Titles Awarded /

Population Assessment Certification
IPMA Level –D: International
Project Managers/
D Team Members
Knowledge (K) Project Management Association
level-D
CPMP: Certified Project
C Project Leaders K+ Experience (E)
Management Professional
DPMP: Distinguished Project
B Project Directors K+E+Attitute (A)
Manager / Programme Manager
International K+E+A+
IRPD:Internationally
A Programme International
Recognised Project Directors
Directors Experience
The globally recognized IPMA’s 4 level Certification scheme is administered

only through Project Management Association, the national association of
project management professionals in India. PMA has adopted the 4 Level
certification to be followed in India as this scheme gives due weight age to
the experience and knowledge of Project Management professionals.
Presently only IPMA D-level certification is offered by PMA. The IPMA-D level
certification exam is held twice a year - in the month of May/June and
November/December every year. The next higher levels certification “C”,
“B”, & “A” will be started by PMA in subsequent years.
4.0 Eligibility:
4.1 Bachelor’s degree in Engineering in any discipline with 5 years of working

experience in NTPC as an executive. Preference will be given to executives
who have had prior experience in managing projects of different types in
areas like planning, monitoring, project management, construction,
erection etc.
4.2 The executives opting for the certification should have at least 5 years
service left for superannuation
5.0 Process of selection and registration

5.1 Executives meeting the eligibility criteria and willing to appear for the
certification examination need to apply in the prescribed form (enclosed at
Annexure-II) by 31st January for appearing in the examination to be held in
May / June and by 31st July for appearing in the examination to be held in
November/December. Although only IPMA D –level certification is being
offered by PMA at present but the selection process would remain same for
each of the higher level of certifications i.e. C, B, A for selection.
5.2 The applicants would be short listed by Corporate Monitoring Group and
Corporate HRD based on the eligibility criteria as mentioned in para 4.0
and relevance for each executives and the performance for the last 5
years. The names of the short listed executives would be forwarded to
PMA for registration in batches of up to 20 executives.
5.3 The executives short-listed by CMG would be intimated and would then
apply for the certification course with PMA. For applying, the executives
need to visit the site pma@vsnl.com and complete all the formalities
5.4 The selection of the examination center should be nearest to the place of
posting of each executive.
5.5 The examination fee per candidate registered is Rs.10,000.00. This fee will
be shared in the ratio of 70:30 between NTPC and the concerned
executive.
5.6 The employee’s share i.e, 30% of Rs.10,000.00, which works out to be
Rs.3, 000.00 will be initially paid by the company and the recovery of this
amount will be done from the salary of the concerned employee in
subsequent six months , commencing from the next month in which the
executive applies for registration of the examination with PMA.
5.7 The company’s share of 70% of the examination fee will be payable only for
the first time and shall not be payable for re-registration/ reappearances
for the certification course.
6.0 Preparatory Inputs / Training:
6.1 Upon registration PMA will give a set of the syllabus, sample questions and
some reference material free of cost. A candidate can prepare on his own
as per the syllabus from the material supplied plus various reference books
mentioned.
6.2 However, in order to facilitate the candidates to get better exposure and
understanding of certification examination, PMI in collaboration with PMA
will organize a 3 day classroom-training programme for the candidates
7.0 General terms and conditions:
7.1 The scheme is introduced under NTPC Scheme for higher studies in India
and other terms and conditions indicated in this circular.
7.2 The examination structure, reading material, evaluation etc. would be

determined by PMA and the executives would be governed by the academic
rules and regulations of the Professional body.
7.3 The Management reserves the right to amend, modify or suspend the
operation of this scheme.
7.4 Director(HR) is the competent authority for any interpretation,

amendment, and modification etc, of the scheme.
_______________________________
Annexure
Application for Certification Program for

Project Management Professional from PMA
S.No. of the
application
To,
The Head of HR
Regional Head Quarter
Region ___________
Through: Proper Channel
Dear Sir,
Sub: Application for Certification Program for

Project Management Professional from PMA
In response to circular No ______________ dated_________, I wish to apply for the

certification program for project management professional from Project Management
Association. I do not possess any such or equivalent certification. My bio-data is as below:
Personal Details:
(Kindly fill the details in block letters)
Name Employee No.
Designation Grade
Date of Birth Date of entry in
the present grade
Department Unit
DOJ_NTPC DOJ_Unit
Qualifications (starting from the latest up to graduation):
S.N Course Institution Specialisation Year Marks Whether

obtained NTPC
Sponsored
1.
2.
3.
4.
Experience with NTPC starting from Executive cadre:
Unit Post held Grade From To
1.
2.
3.
4.
5.
Undertaking:
1. I have read the terms and conditions of the circular and all are acceptable to
me without any condition.
2. I also undertake to abide by all terms & conditions of PMA and administrative
orders / instructions issued by NTPC / PMA in this regard from time to time.
3. I will also abide by academic guidelines w.r.t. conduct and discipline required
to be observed while undertaking the certification program from PMA
4. I understand that in the event of any failure to abide by the above, I am liable
for action as per PMA and/or NTPC rules and regulations.
Date Signature of
the candidate
Place Emp. No.
Phone Office E-mail ID

No Resi.
For office use only at unit/project level

1 Executive is meeting all the eligibility conditions as per the circular.
2 Executive is not meeting all the eligibility conditions as per the circular.
Signature of the dealing officer: ____________________________

Date: ___________________
Application meeting the eligibility conditions is forwarded in duplicate to:

Sr. Officer (HRD), CC – PMI, NOIDA
RECORD OF REVISIONS

No. Date
Revisions
Jasleen Kaur Prem Chand Rakesh Prasad

O(HRD) DGM(HRD) DGM(HRD)
NTPC Open Competition for Executive Updated as on: 31.01.2012
Talent Page: 1 of 7
NTPC OPEN COMPETITION FOR EXECUTIVE TALENT
OBJECTIVES
1.0
To develop general management skills among junior/ middle level executives
To encourage creativity and innovative thinking
To enhance presentation skills
To encourage teamwork and build spirit
ELIGIBILITY
2.0 The competition is open to all executives up to Senior Managers. Any number
of teams can enter but executives in the same team should belong to the same
project/unit/office.
2.1 The competition will be on an annual basis.
PROCEDURE
3.0 The theme of the competition in a particular year would be decided in the
beginning of the year by CMD/ Committee of Directors. It would be of general
nature, not necessarily limited to the Company or any particular area of work/
specialization. However, the theme would be of topical interest and relevant to
business management.
3.1 The theme would be notified through Circular inviting entries, in all the
projects/units/offices of the Company. The competition would have a three-tier
structure, with the entries initially being evaluated/judged at the unit level. The
winning teams from each unit would compete at the regional level, to pick the
winner in each region. Corporate Centre would also be treated as a unit for
purposes of NOCET, and each RHQ including its subordinate offices would
also be treated as a distinct unit. Finally, the regional winners and the winner
from Corporate Centre would compete at CC in the last phase of the contest.
UNIT LEVEL
4.0 The unit-level notification would stipulate the last date for entries, upto which
teams may register for the competition. Each team would be required to make
written and oral presentations on the theme of the competition. They would
have to submit the written presentations (4000-5000 words) within two weeks of
registering. The presentation should preferably be based on ideas and
innovative approach backed by analysis of data from pertinent sources,
including organizational examples wherever applicable. The teams would be
given a copy of Guidelines/Format for Presentation (Annexure-I) and Evaluation
Criteria (Annexure-II) after registering.

Talent Page: 2 of 7
4.1 The presentations would be evaluated by a Panel of Judges formed at the unit
level consisting of not less than three and not more than five persons. The
General Manager/Project Incharge would be a member of the Panel which
would also have representation from management institutions and professional
managers from outside NTPC. The written presentations would be evaluated
and the final scores compiled before the oral competition.
4.2 Subsequently, the teams would be required to make oral presentations before
the Panel of Judges. Each team will be given total 30 minutes for the oral
presentation as well as the discussion. The first 15 minutes will be used for
presentation by any member of the team and the subsequent 15 minutes for
discussion with the Panel of Judges and the team members. It is desirable that
all the team members should participate in making the presentation.
4.3 Based on the final scores in the oral and written competitions, the Panel of
Judges will declare the best team from each unit, who will participate in the
Regional contest. The best team from CC will however compete only with the
Regional winners in the final phase of the competition.
REGIONAL LEVEL
5.0 The best teams from each unit will compete at their respective Regional HQ's
to pick the winning team from each Region. For purposes of the Regional
competition, each Region will form a fresh Panel of Judges, whose members
will be selected as at unit level. The competing teams will have the freedom to
modify their original presentations, should they wish to, within the overall
guidelines. The evaluation criteria would remain the same.
COMPANY LEVEL
6.0 The winning teams from each Region and the winner from CC will compete
before a fresh Panel of Judges at Corporate Centre. The panel will be chaired
by CMD, and may include a representative from Government also, in addition
to those from academic and professional fields. As at the Regional level, the
competing teams would have the freedom to modify/ alter their original unit/
Regional level presentations, should they wish to. The method/format for
evaluation would remain the same. The wining team would be declared in the
Presentation Ceremony immediately after evaluation of the oral presentations,
and felicitated at a dinner function on the same day.
AWARDS
7.0 Each member of the team winning the Company level competition will receive a
cash prize of Rs. 5,000/- each and a certificate/scroll of honor. The team will also
be awarded a Running Shield/Trophy of suitable design, which would be handed
over to the team winning in the subsequent year by the Team leader in the
Presentation Ceremony of the subsequent year. The runner- up team will receive
a cash prize of Rs. 2500/- each and a certificate. All other participants will receive
a certificate.

Talent Page: 3 of 7
An award for the second runner up team at Company Level has also been
decided apart from the winner and runner-up teams. However, this may not be
given on a yearly basis but would be decided by the judges every year on merits.
Whenever, it is decided to award the second runner-up, it will carry a cash prize
of Rs. 2000/- each as well as a certificate.
7.1 The members of the winning team of unit level competitions of NOCET are
presented a token award in the form of books.
7.2 Each member of the winning teams in the Regional level competitions will
receive a cash prize of Rs. 2,000/- and a certificate.
7.3 Suitable publicity would be arranged for the winners of the unit/ Regional level
competitions through the House Journals. The winning team at Company level
would feature in the CC House Journal "NTPC News", and would also be
interviewed in the video magazine "Power Vision."
GENERAL
8.0 The entire competition would be coordinated/ administered by PMI/ HR Cells at

RHQ's/ Project Centers.
8.1 For participating in the Regional/ Company level competitions, the teams would
be treated as on official tour.
Authority:
1. CORPORATE PERSONNEL CIRCULAR NO. 429/2000 Dated: 01.01.2000

2. CORPORATE HR IOM NO. 01:HR-POLICY:7(41)/702 Dated 25.03.2009
Annexure - I

GUIDELINES FOR PRESENTATIONS
I. WRITTEN PRESENTATION
1. The written presentation should be typed on bond paper, and should be

between 4000 to 5000 words. Charts, diagrams, etc., may be included to
support any research work or data collection. The team should also send an
abstract of their presentation in not more than 500 words.
2. Each team is required to submit 5 copies of their written presentation.
3. Use of font – Arial, size – 12, line spacing – 1.5, margins – 1" each side

Talent Page: 4 of 7
• Contents of the report (sequence to be followed for report):
a. Title page –
Theme:
Team members: 1. Name, Designation (Department) (Team Leader)
2.
3.
4.
Unit:
No. of words:
Date of submission:
Signature of Team Leader or a member:
b. Index
c. Executive Summary
d. Introduction to the topic
e. Details of the research work
f. Analysis of data
g. Findings
h. Recommendations
i. Roadmap for implementation
j. Conclusion
k. References
l. Annexure (including questionnaire, glossary of terms/abbreviations used, details of the team
members etc.)
II. ORAL PRESENTATION
1. Each team will get a total of 30 minutes for the oral presentation as well as the
discussion. The first 15 minutes will be used for presentation by any member of
the team and the subsequent 15 minutes will be used for discussion with the
Panel and the team members. It is desirable that all the team members should
participate in making the presentation.
2. The teams should bring main findings and points in their presentations before
the Judges.
3. OHP/Computer Projection system would be provided at the venue of the oral

presentations.
4. The decision of the Panel of Judges will be final

Talent Page: 5 of 7
ANNEXURE III
SCHEDULE OF COMPETITION
ACTIVITY TO BE DONE BY MONTH
1. Deciding theme of competition CMD/Dirs. with February
input from PMI/Corp. HR
2. Issue of Circular & registration PMI/Reg. HR Cells/ March
of entries Project Trg. Centers
3. Receipt of written presentations, -do- April
Formation of Panel of Judges, Unit
-level competition
4. Regional-level competition Reg. HR cells May/June
5. Company-level competition PMI/Corp. HR August
ANNEXURE-IV
EVALUATION CRITERIA

Talent Page: 6 of 7
TEAM CRITERIA NAME OF THE

TEAM
WRITTEN Max
1. Presentation of Format of Report 10
2.Originality & Creative Thinking 30
3. Accuracy 0f Content and Extent Of Research 30
Sub Total 70
ORAL
1. Clarity and Substance of Presentation 30
2. Ability to Communicate and Respond to Questions Effectively From 30

the Judging Panel
3. Team Work in Presentation 30
4. Contribution to Effective Managerial Thinking and Performance 40
Sub Total 130
TOTAL 200

Talent Page: 7 of 7
RECORD OF REVISIONS

No. Date
Revisions


System of Mentoring ANKUR in NTPC Updated as on: 31.01.2012
Page: 1 of 10

SYSTEM OF MENTORING ‘ANKUR’ IN NTPC
1.0 INTRODUCTION
1.1 NTPC is a growing organization adding generating capacity and also setting up
businesses in new areas like hydro, distribution, coal mining, R&D, power trading
etc. A number of new executives are joining the organization largely at E1 to E4
level. These executives are from varied backgrounds having no experience or
some experience in government, public and private sectors.
1.2 Mentoring System was launched in NTPC with a view to guide and direct the new
entrants during their vital and formative years in the organization.
1.3 Mentoring is a reciprocal and collaborative learning relationship between two

individuals who share mutual responsibility and accountability for helping a
mentee work towards achievement of clear and mutually defined learning goals
and assimilate and adapt to the organization culture.
1.4 The mentors are experienced executives in the organization who act as friend,
philosopher and guide and integrate the new joinees with the systems and values
of the organization and also counsel the young executives on a regular basis.
2.0 OBJECTIVES OF MENTORING SYSTEM IN NTPC
2.1 To remove apprehensions and difficulties faced by a newly joined executive in

the organization.
2.2 To enable the newly joined executives to assimilate and adapt to the culture and
environment of the organization.
2.3 To provide mentor-mentee the opportunity to develop a mentoring relationship

that will further strengthen and inspire personal and professional success.
2.4 To provide mentees the opportunity to gain broader perspectives about the
organization, its values, norms, expectations, acceptable behaviours.
2.5 To provide useful guidance to mentees to enable them to carve out a career path
for themselves.
2.6 To assimilate them into NTPC systems and practices quickly in order to enable
them to contribute effectively and optimally utilize their potential.
2.7 To enhance self confidence in them and make them feel proud of NTPC.

Page: 2 of 10

3.0 MENTOR
3.1 Mentor is a fairly senior level person (preferably at the level of E5 & above) who
has served substantial number of years of service in NTPC and who is well
versed with the working environment, systems & practices of the organization.
3.2 An executive who is having good performance track record and demonstrating a
positive outlook should preferably be considered as mentor.
3.3 A mentor may be from the same function but not be having any reporting
relationship with the mentee.
3.4 However, In case such a person is not available within the function/ department,
persons from other functions/department having overall knowledge & greater
experience could also be considered for the role of mentor.
3.5 Role of a mentor:
(i) The role of the Mentor is to be a professional role model providing

guidance for the Mentee to achieve their professional and personal goals.
(ii) The best Mentors are successful people whose joy for work and life is
transferable and inspiring to those around them.
3.6 Ideal Characteristics of a mentor:
(i) A very good human being.
(ii) A good performer in his area of responsibilities.
(iii) Demonstrate interest and ability to facilitate growth of others.
(iv) A person with “empathy” "sensitivity" towards others.
(v) Capacity to guide the new joinees & newly appointed executives in
various. aspects of working life and personal life.
(vi) Willing to invest some time and energy with the mentees.
(vii) Sincere willingness to support growth of people.
3.7 Responsibilities of a mentor:
(i) Share and believe in the goals and objectives of the Mentoring Scheme.
(ii) Mentor would help mentee in completing the project allocated to him
during Direct-On- Job (DOJ) training period.
(iii) Understand that the mentee is responsible for his/her career

development.

Page: 3 of 10

(iv) Be a proactive listener.
(v) Share candid concerns and feedback to support mentee’s growth.
(vi) Counsel mentee on the culture and values of the organization.
(vii) Assist mentee by providing direction and opportunity for challenging

assignments to benefit the mentee.
(viii) Maintain open communication / accessibility.
(ix) Provide honest feedback.
(x) Share information, experiences, successes and failures.
(xi) Be sensitive to the relationship and the form of communication agreed to

by the mentee.
(xii) Keep time commitments.
(xiii) Keep confidences shared by mentee.
(xiv) When a mentor moves to another location / leaves organization – he may

recommend substitute / another mentor / practice e-mentoring.
4.0 MENTEE
4.1 Mentee is a person who has entered the executive cadre (E1 – E4 level) of the
company through recruitment:
(i) Executive Trainees
(ii) Campus recruitees
(iii) Lateral inductees
(iv) On Deputation
4.2 Role of a mentee: The role of the Mentee is to be proactive in his/her own
personal and professional development with the support, guidance and
encouragement of the mentor.
4.3 Responsibilities of a mentee:
(i) Share and believe in the goals and objectives of the Mentoring Scheme.
(ii) Satisfactorily completes the assigned DOJ project with the help of the
mentor.

Page: 4 of 10

(iii) Understand that the mentor’s role is to guide and support.
(iv) Develop career goals.
(v) Actively participate in meetings.
(vi) Maintain regular contact with mentor.
(vii) Demonstrate commitment by following through with the guidance and

counsel of mentor.
(viii) Build an internal and external network to support professional and

personal goals.
(ix) Keep time commitments.
(x) Maintain open communication /accessibility.
(xi) Create and define goals of the relationship.
(xii) Initiate and provide feedback to mentor.
(xiii) Share professional information and experiences, successes or failures.
(xiv) Keep confidences shared by mentor.
(xv) Be appreciative of mentor’s support .
5.0 PROCESS TO BE FOLLOWED
5.1 Identification:
(i) At each location, HRD group will create a ‘pool of mentors’ after seeking
voluntary nominations from the interested executives and in consultation
with the Head of the Function.
(ii) Once the new executive. joins at the location, organize a get-together /
welcome dinner for them where they can interact with the Head of
Project, Departmental Heads and all the mentors.
(iii) Give mentees 10-15 days time to interact with the mentors. Ask them to
give their best two preferences for the mentors.
5.2 Orientation:
(i) The HRD group at a respective location would be the nodal agency for
providing orientation to the mentors & mentees and bringing them
together to establish the relationship.

Page: 5 of 10

(ii) The training program on Mentoring should be conducted as per the
standardized Mentoring Training Manual.
(iii) A copy of this policy document should be shared with all the mentors and
mentees to have clarity about their roles, responsibilities and agendas for
meeting.
(iv) After the training program, mentors should be attached to the mentees in
the ratio of 1:2 or 1:3 (honouring the preference of mentors and mentees
already given).
(v) After attachment of mentees with their respective mentors through

appropriate orientation, the mentors & mentees should meet the Head of
the unit/region and all HODs in a get-together and the importance of
mentoring along with the crucial role of mentors would be shared.
5.3 Nurturing:
(i) Fix a day for mentor-mentee meeting at least once in 15 days.
(ii) Mentees can take the help of mentor in completing the project assigned
to them during their DOJ training.
(iii) Encourage mentor-mentee teams to participate in various events,

competitions, cultural programs etc.
(iv) The respective unit HRD shall organise interactions of mentors &
mentees with the respective HODs, Head of HR with a view to further
nurturing & sustaining the relationship.
5.4 Recognition:
(i) Mentor’s day should be celebrated on 5th September every year, wherein
a gathering of all the mentors & mentees along with the Head of
unit/region may be ensured.
(ii) Mentor’s Samman should be given to all the new mentors on the day as
per the NTPC Reward Scheme.
(iii) The mentor can reflect mentoring in his KPA under HR Index as long as
he has mentees.
(iv) Experiences and success stories can be shared through in-house

journals / intranet.
5.5 Sustenance:

Page: 6 of 10

(i) HRD at respective location would nurture & sustain mentor- mentee
relationship through continuous intervention during the first year of
relationship.
(ii) After one year, the mentors & mentees would sustain the relationship
themselves.
(iii) The respective HODs, as part of their HR index & the index for
subordinate development shall coordinate the allotment of mentors to all
mentees in the department and also smooth running of the mentoring
system in the department.
(iv) The role performed by the mentor may be mentioned by the mentor as
part of his KPAs against HR activities and suitable measures & weightage
can be assigned for the same by the reporting officer.
6.0 ROLE OF HR AS A FACILITATOR
6.1 Selection of mentors from amongst the executives who have expressed their
interest in becoming a mentor.
6.2 Create Mentor’s Pool of interested & qualified mentor candidates - Identify
potential mentors once a year and place their profile on intranet so that mentees
can easily access it (look for experience, expertise, learning style, accessibility,
personality type, professional interest, proximity, educational background,
affiliation, gender, compatibility). Allow mentees to self-select mentors.
6.3 Networking event – Allow potential mentors & mentees to meet many possible
partners before making a final selection in a formal get-together.
6.4 Make a schedule or fix a day for mentor-mentee meeting every month (like 2nd
Friday of every month – Mentoring Friday).
6.5 Sharing of learnings by mentor & mentee both once a year (on Mentor’s Day).
6.6 In Mentoring Ceremony i.e. the first meeting where mentor-mentee pairs are
formed, invite the mentors and mentees of previous years to share their
experiences.
6.7 Form mentor-mentee teams for competitions
6.8 Share mentoring success stories / learnings in project journal / HR newsletter /

Horizon etc.
6.9 E- mentoring can be practiced when mentor-mentee are away due to workplace
distance / transfer or any other reason.

Page: 7 of 10

6.10 HRD officer to keep mailing latest trends & information about mentoring to
mentor-mentee, successful stories, develop an online mentoring forum
6.11 Encourage mentors to allot enough time for mentoring, encourage seniors to
view that the time mentor-mentee spend on mentoring is important.
6.12 Mentor may invite mentee for dinner / departmental meetings.
6.13 The mentoring training which is mandatory for mentors as well as mentees can
be conducted by an internal or external faculty. The standardized mentoring
manual and presentation should be used to impart training. Clarify the roles,
expectations, benefits of the mentoring system during the training.
7.0 SUGGESTED AGENDA FOR MEETING
7.1 The suggested agenda for the very first two meetings is designed to create a
climate that will help produce a successful and lasting mentor/mentee
relationship.
Meeting # 1:
• Getting to know each other
• Clarify expectations from both sides (objectives, roles, process, etc.)
• Determine the frequency of the meetings and set up the next meeting
Meeting # 2:
• Explore possible career topics and questions
• Help the mentee to set clear career objectives
• Identify possible action plans
7.2 Additional suggested topics:
(i) Discuss mentee’s and mentor’s interests and expectations, e.g. Profile
Questionnaire.
(ii) Explore mentee’s career interests and goals.
(iii) Explore jobs, functions, and roles that mentee would enjoy.
(iv) Explore mentee’s environmental preferences.
(v) Explore the mentee’s consideration for balance among personal, family,
community and corporate success.

Page: 8 of 10

(vi) Explore and discuss mentor’s expectations and constraints.
(vii) Develop a working agreement.
(viii) Explore mentee’s job assignments, skills, job functions, achievements,

successes, concerns, failures, and obstacles.
(ix) Explore mentee’s challenges in the development toward career interests

and goals.
(x) Explore the influence of the functional group, managerial, and corporate
perspectives on the mentee’s performance.
(xi) Explore and discuss the "best choice" for mentee.
(xii) Counsel mentee on supportive training and education programs.
(xiii) Counsel mentee on the organizational culture, political framework and

expected behaviours.
(xiv) Counsel mentee on the essentials of networking.
(xv) Explore and discuss mentee’s current issues, ideas and experience.
(xi) Mutual evaluation and review of the mentor-mentee relationship thus far.
Mutually develop/review future course of direction and plan of action.
Share this outcome with the Program Manager.
(xii) Provide mentee with support, information, and guidance on business and
personal issues/concern created by the changing business environment.
(xiii) Provide mentee with opportunities for exposure and challenge.
(xiv) Meet with other mentors and mentees to share ideas and insights about
the program.
8.0 SEVERANCE OF MENTOR-MENTEE RELATIONSHIP
8.1 Mentoring is a long term relationship and sustenance of the relationship primarily
rests with the mentors & the mentees.
8.2 As the relationship is basically intended to socialize, assimilate and build

confidence in the new entrant to the organisation, mentor and mentee may
severe the relationship, not before a period of 1 year, once it is felt that the
relationship is no more felt necessary.

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9.0 GENERAL
9.1 Participation in mentoring program is a voluntary process and does not entail any
monetary reward or benefits.
9.2 In the event of transfer of a mentor from one location to another, the concerned
HRD executive would inform the new location about the status of mentor. This is
with view to avail the expertise in the new location.
9.3 Inspite of transfer of mentor or mentee to different locations, relationship could

still be continued by various means of communication.
9.4 In case an executive is not able to attend the mentor – mentee training, the
concerned HRD executive would suitably orient the executive to the system and
establish the desired mentor – mentee relationship.
9.5 The amendment / modification in the Mentoring System at any time shall be
undertaken with the approval of Director (HR).
Authority:

Page: 10 of 10

RECORD OF REVISIONS

No. Date
Revisions


NTPC Leadership Development System Updated as on:
31.01.2012
Page: 1 of 6
NTPC LEADERSHIP DEVELOPMENT SYSTEM
1.0 Introduction
1.1 The system of Performance and Competence for Excellence (PACE) was
introduced in NTPC as an important organizational transformational initiative in the
year 2004. The system envisaged assessment of competence, values and potential
of executives in order to create a culture of high performance, openness and
providing developmental feedback in the organization.
1.2 With the passage of time, significant developments were made in the field of
competency measurement and development. It was felt that the linear mode of
assessment which is based on the assumption that the superior(s) has an absolute
right to judge the subordinate’s performance is not full-proof. New tools such as
Assessment & Development Centers (ADC) and multi rater feedback system like
360-degree feedback system came into existence. These scientifically developed
systems were readily adopted by leading organizations world wide. NTPC too,
introduced “Leadership Assessment & Development system ( LEADs)” in the
year 2005.
1.3 LEADs, introduced vide CHRC No. 559/2005 dated 06.06.2005, was applicable to
the level of AGMs, GMs and EDs of NTPC. However, in the current competitive
business scenario, a need has been felt to develop leadership capabilities at all
levels in the organization. Moreover, it has also been felt desirable to provide
leadership development inputs to potential employees at an early stage of their
career so that they have a clear understanding of what is expected of them in the
future, and also, they have sufficient time to develop the desired competencies.
These timely inputs would also ensure a healthy talent pipeline as well as smooth
succession planning process in NTPC.
1.4 In view of this, it has been decided to introduce “Leadership Development

Framework” in NTPC with the objective of identification and grooming of potential
leaders in the organization and build a robust leadership pipeline for key leadership
position in NTPC.
2.0 Objective
2.1 To build competency based global leadership pipeline at various levels in the
company.
2.2 To create a culture of excellence in leadership competency framework for

meeting business challenges.
2.3 To provide opportunity for additional neutral & objective assessment of leadership
potential and competencies.
2.4 To enable individuals in leadership levels to take initiatives for self-development

and prepare them to meet organizational challenges.
31.01.2012
Page: 2 of 6
2.5 To enhance transparency and openness in competency assessment, feedback,

development and growth.
2.6 To prepare right people for key higher positions at right time, manage transition
and maintain continuity in leadership roles.
2.7 To provide critical inputs to the executive at various stages of their career on the
senior executive managerial competencies, leadership styles and behavior, as
part of succession planning.
2.8 To identify developmental needs and evolve specific individual and organizational
development plans and interventions to address these needs.
3.0 Institutionalization of Leadership Development
The System will consist of the following processes
3.1 Creation of “Leadership Development Centre” (LDC) at Corporate Centre. A fully

empowered Leadership Development Center shall be created at Corporate
Centre to formulate detailed process of identification and grooming of potential
Leaders. It shall also be the central agency to oversee and monitor the executive
Leadership Development process including Individual Development Plans (IDPs)
of individuals.
3.2 Identification through Development Centers at E5 level / Assessment Centers at

E7 level / 360- degree Feedback & Psychometric Testing at E8 level.
3.3 Grooming / development through well laid IDPs
3.4 Identifying competency / profile required for leadership positions.
3.5 Creating adequate bench strength for key leadership positions.
4.0 Prerequisite for Leadership Development
Leadership development process starts at E5 level. However, it shall be ensured

that focused training is imparted at E1-E4 levels for domain specific knowledge.
For this purpose, Power Management Institute (PMI) shall develop training
templates for domain specific trainings such as Boiler Maintenance- pressure
parts, Condition Monitoring, Switch Gear Maintenance, etc. The same along with
some cross functional competencies of Finance for non-finance, exposure to
techno-commercial areas, HR for non-HR would also be included. These training
templates would be built into the calendar of Employee Development
Centre(EDC) / Power Management Institute (PMI).
5.0 Leadership Development- Process , Coverage and Scope
5.1 Identification
31.01.2012
Page: 3 of 6
The first level of identification of potential leaders would be done at E5 level by

conducting DCs for all E5 level executives who have completed more than 2
years of service in the grade and have at least 15 years of service left in the
organization.
The second level of identification of potential leaders would be done at E7 level by

conducting Assessment Center for all DGMs who have completed more than 2
years of service in the grade and have at least 10 years of service left in the
organization.
The third level of identification of potential leaders would be done at E8 level by

conducting 360-Degree Feedback & Psychometric Testing for all GMs who have
at least 05 years of service left in the organization.
5.2 Grooming & Development
E5 Level
At the end of the Development Center, feedback would be shared with the
individual. Subsequent to providing feedback, an Individual Development Plan
(IDP) would be signed between the individual, concerned DGM and the
concerned EDC / PMI for CC. This would contain strengths, areas of
development and level of competency demonstrated. This would also include
recommendations for bridging the competency gap. Gaps in functional
competencies would be assessed through PMS in consultation with concerned
DGM. NTPC would endeavor to facilitate training and other exposure for enabling
the individual to work on his developmental plans and improvement in both
functional and managerial competencies. This will include hand-holding for about
3-6 years. However, the ownership primarily would remain with the individual and
the concerned DGM. The concerned DGM will act as a coach, guide and mentor
for the concerned individual in bridging the competency gaps. The concerned
EDC will ensure that the required training inputs are provided. The concerned
Head of HR will facilitate exposure of the individual in interventions like job
rotation, task forces, cross functional teams, etc as per the IDP.
E7 Level
At the end of the Assessment Center, feedback would be shared with the
individual. Subsequent to providing feedback, an Individual Development Plan
(IDP) would be signed between the individual, concerned GM and the external
consultant who has conducted the Assessment Center. This would contain
strengths, areas of development and level of competency demonstrated. This
would also include recommendations for bridging the competency gap. The
concerned GM will act as a coach, guide and mentor for the concerned individual
in bridging the competency gaps. The concerned LDC will ensure that the
required training inputs are provided. NTPC would endeavor to facilitate training
and other exposure (such as coaching, special assignment, action learning, job
rotation, etc.) for enabling the individual to work on his developmental plans and
improvement. This will include hand-holding for about 3-6 years. However, the
ownership primarily would remain with the individual.
LDC would track the execution and closure of the IDPs
31.01.2012
Page: 4 of 6
E8 Level
At the end of 360-Degree process and Psychometric testing, feedback would be

shared with the individual with possible development plans.
Individual development plan:
An IDP will contain the demographic and experience profile of the person
and the scores obtained through Assessment centers and other instruments. The
Assessor would list down possible career path in line with his profile. To cover the
gaps between existing competencies and desired profile, various actions, along
with time-lines would be listed down and actively followed.
5.3 Bench strength for Key Leadership positions.
The key leadership positions in various functions have been identified in NTPC
along with the desired experience and competency profile. The competency
requirement for different Leadership positions would be role dependent apart from
some common competencies which would be same across roles. Based on one
or more of the rating instruments viz; PMS / Assessment Centers / 360- Degree
feedback, a list of potential leaders capable of taking up these strategic positions
in future shall be prepared by LDC. It shall be the endeavor to match the
competency of the person with the role he / she is aspiring for. This list would be
validated by the top leadership and shall be used for proposing suitable
incumbents for openings in current roles and future new roles. For such identified
executives, apart from normal interventions for bridging competency gaps,
intensive grooming initiatives would be taken such as assigning leadership
positions, global exposure, foreign training etc.
6.0 Monitoring Mechanism
E5 Level
For monitoring the progress made on tasks identified in the Individual

Development Plan, the mechanism for monitoring of this entire developmental
process would be done as follows:
- Quarterly by concerned Head of HR

- Half yearly by concerned GM
- Annually by concerned ED
E7 Level
For monitoring the progress made on tasks identified in the Individual

Development Plan, the mechanism shall be as follows:
- Leadership Development Center involving Unit and Regional HR on

continuous basis.
- Annually by concerned Head of PMI.
31.01.2012
Page: 5 of 6
6.1 For ensuring that all interventions are carried out a Leadership Development
center would be created under Head of PMI which will oversee all required
interventions.
7.0 Amendment
7.1 The Management reserves the right to amend, modify or suspend the system at
any time as considered appropriate.
7.2 The amendment / modification of the system would be undertaken with

the approval of Director (HR).
Authority:

31.01.2012
Page: 6 of 6
RECORD OF REVISIONS

No. Date
Revisions
Munesh Sharma Prem Chand Rakesh Prasad

SO(HRD) DGM(HRD) DGM(HRD)
Training System in NTPC Updated as on: 31.01.2012
Page: 1 of 38
TRAINING SYSTEM IN NTPC
1.0 PHILOSOPHY:
1.1 The basic philosophy of the guidelines is to make training an effective instrument
in transforming NTPC into a learning organization.
2.0 OBJECTIVES:
2.1 The objectives of the guidelines are to:
2.1.1 Make learning one of the fundamental values of the Company

2.1.2 Ensure value addition through training to the overall business process
2.1.3 Institutionalise learning opportunities that supplement work experience
2.1.4 Integrate organisational and individual developmental needs
2.1.5 Enable employees to keep abreast with the latest knowledge and skills and enable
them to undertake current and future responsibilities in a more effective manner.
2.1.6 Provide linkages between the different functionaries of training activity
2.1.7 Provide linkages of training activity with overall Human Resource function.
3.0 COVERAGE
3.1 The Training System shall cover all regular employees of the Company.
4.0 DEFINITIONS:
4.1 Training: Training shall include a training programme, seminar, convention,

workshop, symposium, e-Learning, virtual classroom training or any other
structured learning or developmental programme, based on organisational needs
and/or Training Need Analysis.
4.2 Training Year: Training Year shall mean a period of one year commencing from
1st January till 31st December of the subsequent year for Non-executives and
Executives upto the level of E5. For executives above E5 it will be from 1st April
to 31st March of the subsequent year.
4.3 In-house Training Programme: A training programme designed, developed and

conducted within the Company, exclusively for the regular employees of the
Company, with or without the assistance of external agency(ies).
4.4 External Training Programme: A training programme designed, developed and

conducted within India, by an outside agency, not exclusively for the employees
of the Company, and to which one or more employees of the Company may be
Page: 2 of 38
nominated.
4.5 Planned Intervention: A grade/level/category-wise in-house training

programme, normally based on a template course design, and conducted to
improve competency base of employees as felt necessary by the organisation.
The List of current Planned Interventions is given in Annexure 1.
4.6 Need-based Programme: A training programme, designed, developed and

conducted on the basis of the developmental needs felt and identified for the
employees concerned in the Training Needs Form.
4.7 Specified Intervention: An external training programme or an in-house training

programme other than a Planned Intervention or a Need-based Programme,
conducted to improve certain specified competencies, as felt necessary by the
organization.
4.8 Classification of Training Needs :
4.8.1 Organigational Level Need: Training inputs arising out of organization

requirement like business strategy, leadership development, market trends,
legislative and regulatory framework or company performance etc.
4.8.2 Departmental Level Need: Training inputs intended for a group of employees for
solving specific concern areas.
4.8.3 Individual Level Need: Training inputs arising out of developmental needs of an
employee, which, if not met, may affect immediate or future job performance.
5.0 TRAINING TARGET:
5.1 It shall be the endeavour of the Company to provide seven mandays of training in
a training year to every employee.
5.2 Employees shall make full use of the Training Systems to support this endeavour
to create a learning organization.
6.0 AGENCIES OF TRAINING:
6.1 The agencies that shall deal with the training function in the Company shall include:
Page: 3 of 38
6.1.1 Power Management Institute: PMI shall be the apex-training institute and the
nodal agency for Training for the Company. It shall cater to the advanced
training needs of all executives of the Company. In case of employees of
Corporate Centre, it shall cater to the training needs of both executives and non-
executives. It shall specialise in Management Development and advanced
technical areas including Information Technology and shall serve as knowledge
dissemination centre for the Company as a whole. It shall co-ordinate external
training programmes for all the employees of corporate training centre. It will also
engage in research and consultancy.
6.1.2 Employee Development Centres (EDCs): Employee Development Centres

shall cater to the training and development needs of the employees of the
respective units.
6.1.3 Simulator Training Centres: The Simulator training centres at PMI, Korba,
Sipat & Kawas designed to produce real time behaviour of the Thermal (200 MW,
500 MW, 660 MW Supercritical) and gas modules. They will cater the needs of
the corporation and depending on the availability of resources, the Simulator
training centres would also provide training to external agencies / organisations,
on commercial terms.
6.1.4 Regional HR group: The Regional HR group shall cater to the training and
development needs of the employees of the respective region. Wherever it is not
feasible for the Employee Development Centres to organise a specific
programme, Regional HR group would organise such a programme for the
employees in the entire region. It would also take an active and proactive part in
finalisation of the training calendars of each unit with the region.
6.1.5 Departmental Training Co-ordinator: The Head of each Department shall

nominate an executive who shall, besides his normal functional assignment, co-
ordinate the training and related matters for the employees of the department. It
shall be the responsibility of the Departmental Training Co-ordinator for
conducting Training Need Analysis and so ensuring nomination of the
employees of the department concerned to training programmes that the Training
Target of 7 mandays of training for every employee in a training year is
achieved.
7.0 TRAINING NEED ANALYSIS (TNA):
7.1 The objectives of Training Need Analysis are to
7.1.1 Systematically identify developmental needs of employees

7.1.2 Integrate so-identified individual needs with organisational needs
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7.1.3 Enhance relevance and acceptance of training programmes
7.2 Training need identitification in case of executives would be done by the

executives concerned in consultation with his/her reporting officer as specified in
part VI of the e- PACE System.
7.3 Each executive will identify his/her training needs in a maximum of three areas
in consultation with his reporting officer while planning their KPAs. The training
needs expressed should be related to the employee’s present responsibilities and
his likely areas of future assignments.
7.4 Training Needs identification in case of non-executive would be done by their

reporting officer as per the training need form enclosed in Annexure 2.
7.5 The Departmental Training Co-ordinator shall trigger the TNA exercise from 1st
September, every year, with the distribution of Training Need Forms for non-
executives. He/she would consolidate and submit the filled up Training Need
forms Non-executives, of his/her department concerned to the respective
Training Centre by 30th October.
7.6 In case of projects/stations/units, based on such Training Need forms, a

Department-wise analysis would be done by the Employee Development Centre
of the Unit and discussed in Site Management Committee/Heads of Department
for evolving the yearly Training Calendar by 1st of February. This may be
prepared as per the format given in annexure 3.
7.7 With a view to integrate the process of evolving of the Training Calendar and to
utilise Training resources optimally, all regions should hold a meeting with Head
of EDCs by 15th November at their respective RHQs and decide which training
programme will be conducted at RHQ and EDCs.
7.8 In case of advanced training needs where it is not possible for the Training
Centres to design and conduct programmes, the same should be forwarded to
PMI for designing and conducting Company-level programmes and
incorporation of the same in PMI Training Calendar. For this purpose, the Heads
of HR of Regions and PMI shall meet during mid December for sharing Training
Calendars of the Projects/Stations of the respective Region and for providing
inputs to the Training Calendar of PMI.
7.9 In case of training expressed by only a few employees and it is not viable to
design and conduct programmes at the project/station level, the Heads of HR of
each Region would explore the possibility of conducting the programmes at the
Region-level either at the Regional Headquarters or in any of the
Page: 5 of 38
Projects/Stations of the Region, so that the training needs are not left unfulfilled
for want of number of employees.
7.10 In case of Company-level need-based programmes, the Training Need Analysis

forwarded by individual projects/stations and Corporate Centre would be
consolidated by PMI and the yearly training calendar would be prepared
accordingly, based on TNA of employees upto E5 (by 30th January) and based on
TNA of E6 & above (by 30th April).
7.11 In case of Corporate Centre, the Training Need forms for Non-executive and
Department-wise analysis would be consolidated by PMI and the same would be
incorporated in the yearly training calendar after discussions and with the
acceptance of the EDs/GMs of the respective departments.
8.0 TRAINING CODE DIRECTORY:
8.1 A training code directory, listing out codes for various training
courses/programmes shall be evolved, maintained and uploaded by PMI for
uniform compilation and classification of training needs identified and training
programmes attended by employees.
8.2 The needs may be analysed on the basis of the training course codes given in
Code Directory. All such courses, which do not appear in Directory, shall be
marked as ‘AAAA’ for initial consideration/registration. Subsequently these
would be reported to PMI for inclusion in the Code Directory.
9.0 TRAINING CALENDAR:
9.1 The Heads of training from the Projects/Stations would meet in the Regional
Head Quarter before the end of November to share training calendars. They
would also provide inputs to RHQ/PMI regarding programmes to be assigned to
RHQ/PMI, from out of the training needs identified by the employees of their
respective projects.
9.2 Each Employee Development Centre/PMI shall bring out, by 15th February a
Training Calendar for need-based utilisation, specifying the schedules of the
programmes, both planned interventions and need-based interventions, planned
to be conducted by it during the following training year. This will be as per
format given in Annexure 3.
9.3 The Training Calendar of Employee Development Centre/PMI should be

uploaded in the ESS (Employee Self Service)/SAP by 15th February to invite
nominations in the training programmes.
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9.4 Each Training Centre shall circulate on bi-monthly basis calendar of programmes
scheduled for the next two months to all HODs and other Training Agencies.
9.5 The training calendars of the various Employee Development Centres and of
PMI would be made available to all employees through Internal Training Module
of ESS. Print Copies of Training Calendar should be made available to Head of
Departments and will also be kept in the Central Library of the Unit. Copies of
Training Calendar of one Project/Station would be circulated to other Training
Centres and PMI by 1st week of March.
10.0 NOMINATION SYSTEM:
10.1 The objectives of the nomination system are-
10.1.1 To ensure that employees are nominated to training in areas which are relevant to
their duties or which have been identified as their developmental needs.
10.1.2 To ensure that opportunities to attend training programmes are made available to
all employees to achieve the Training Target of average of seven man days of
training in a training year for each employee.
11.0 NOMINATION FOR TRAINING PROGRAMMES:
11.1 In-house Training Programme
11.1.1 An employee interested in attending any of the training programmes included in

the training calendar of the Employee Development Centre of respective Unit or
PMI shall initiate his/her nomination in the training programme through Internal
Training Module of ESS. In case of planned intervention employee shall initiate
his/her nomination only if he/she is eligible to attend that training programme.
11.1.2 Nomination of the employee shall be forwarded to his/her Reporting Officer for
approval. On approval from reporting officer, nomination shall be forwarded to
Departmental Training Coordinator.
11.1.3 Before approving any nomination in the system DTC shall obtain approval from
his HOD. DTC will ensure that employees are normally nomination to
programmes related to training needs identified.
11.1.4 On approval from DTC, nomination shall be forwarded to EDC. EDC after
obtaining approval from competent authority shall approve the nomination in the
system.
Page: 7 of 38
11.1.5 If the programme is organised by employee EDC, the nomination of employee is

approved and he/she shall receive on-line confirmation/rejection. In case training
programme is organised by other EDC/PMI nomination shall be forwarded to the
organiser EDC/PMI. Organiser EDC/PMI shall approve the nomination based on
the availability and preference received for the nomination. On-line
confirmation/rejection shall be sent to the concerned employee.
11.2 External Training:
11.2.1 Employees may generally be considered for nomination to training programmes

only in the areas identified in the Training Needs Analysis and after verifying if a
similar programme is being conducted in-house during the year.
11.2.2. PMI/Employee Development Centre shall, as far as possible, try to provide

training to employees in-house. Employees will normally be nominated for
external programmes only for advanced programmes or where conducting the
programme in-house is not feasible.
11.2.3 The authorities competent to nominate for external training programmes are as
given below:-
Employee Employee Duration of Approving authority in

Location Level training Region/Project/Stations
/CC
Regions/ <=E6 Upto 2 weeks ED/GM/HoP
Projects/ E7, E7A,E8 Upto 2 weeks ED/RED
Stations
<=E6 Upto 4 weeks ED
>E6 Upto 4 Weeks Functional Director
Any other More than 4 Functional Director
weeks
Corporate >E4 Upto 7 days GM
Center
<=E4 Upto 2 weeks GM
>=E5 Upto 2 weeks ED
<=E4 Upto 4 weeks ED
Any other Any other Functional Director
11.3 Specified Interventions:

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11.3.1 The authorities competent to approve specified training programmes are as given
below
A) Plant-level intervention Head of the plant concerned

B) Region-level intervention ED of the Region concerned
C) Company-level intervention Functional Director
11.3.1 With a view to achieve the Training Target of average of seven mandays of
training in a training year for each employee, the Employee Development Centre,
along with the Departmental Training Co-ordinator will periodically prepare a list
of employees who have not attended any training programme or have not yet
completed an average of seven mandays of training. Nominations should
generally based on this list. The list should be made available to all employees.
12.0 PRE-PROMOTION TRAINING FOR SC/ST EMPLOYEES:
12.1 The Departmental Training Co-ordinator shall ensure that employees of

Scheduled Caste and Scheduled Tribe categories are adequately nominated to
training programmes.
12.2 The Training Centres/PMI/Corporate HR Group shall also endeavour to organise

pre-promotion training programmes exclusively for SC/ST employees.
13.0 CATEGORISATION OF PROGRAMMES:
13.1 On the basis of duration, training programmes would be categorised as
13.1.1 Short-duration Up to Four days

13.1.2 Medium-duration Five days to ten training days
13.1.3 Long-duration Above ten training days
14.0 INFORMATION REGARDING NOMINATION:
14.1 An employee will normally receive on-line confirmation/rejection regarding

his/her nomination for the programme preferably with a notice of
14.1.1 5 days in case of short-duration progammes

14.1.2 10 days in case of medium-duration programmes
14.1.3 15 days in case of long-duration programmes
Page: 9 of 38
14.2 However, where verbal or any other form of concurrence of the participant and
the Head of Department is obtained, the period of notice could be less.
14.3 Information about the nomination for a training programme shall be made
available to Departmental Training Co-ordinator and Head of EDCs.
15.0 NON-ATTENDANCE/ABSENCE FROM TRAINING PROGRAMMES:
15.1 Non-attendance of any training programme for which an employee has been
nominated will be allowed only on the basis of approval by
i) Head of Department concerned All Non-executives

ii) Head of the Project concerned/
GM at CC Upto E7A
iii) ED Up to E8
iv) Functional Director Full Powers
15.2 Communication regarding inability to attend the programme shall be intimated to

the Training Agency at least 3 days before the programme for short-duration/
medium-duration programmes and one week for long-duration programmes.
15.3 Where an employee has been nominated but has absented himself or withdrew in
the midst of the programme or has partially attended the programme without
giving adequate notice and adequate reasons for the same, the cost of the
programme may be recovered from the monthly salary of the employee in
interest-free equated monthly instalments within a year.
15.4 The Programme Training Co-ordinator, within two days from the commencement
of the programme, shall take up with the Reporting Officers cases of
absence/withdrawal.
15.5 Recovery as per para 15.3 can be relaxed/waived by
i) ED All Non-executives and Executives upto E8

ii) Functional Director Full Powers
16.0 TRAINING DATABASE:
16.1 A centralize database of training details of all employees should be maintained.

All EDCs/ PMI shall upload their employees training details i.e In-House
Training Details and External Trainings Details in the centralize database. The
Page: 10 of 38
database shall include
16.1.1 Training Needs identified

16.1.2 Training Programmes nominated/attended/cancelled/absented
16.2 The Training Centres should maintain the details of the programmes
conducted, training cost and all other similar information in the centralized
database.
16.3 The schedule of the training programmes along with the Faculty Database should
also be uploaded in the database for future reference.
16.4 Various reports like Training Need analysis, Employee Wise Training Details,
Program wise attendees details, EDC / PMI wise program list etc. shall be
available through to the system.
16.5 Training details will shall be automatically updated in the personal biodata of the
employees from the system as soon as the concerned EDCs/ PMI uploads training
details of employees in the database.
17.0 TRAINING EVALUATION:
17.1 The objective of training evaluation is to enhance value addition by building on

the strengths and modifying/improving the training programmes, and measure the
impact of training programmes on job behavior. The training evaluation is based
on measurement of three key metrics, which require three level of program
feedback, based on “Kirkpatrick model” of training effectiveness. The formats for
collecting this feedback are given in annexure(s) as mentioned below.
1. Program feedback- (L1 Feedback): Annexure 4

2. Learning feedback- (L2 Feedback): Annexure 5
3. Program Impact Assessment- (L3 Feedback): Annexure 6
17.2 Training Evaluation would be done at three levels:
17.2.1 Pre-training Evaluation

17.2.2 Programme Feedback
17.2.3 Impact Assessment
18.0 PRE-TRAINING ASSESMENT:
18.1 Pre-training Evaluation is aimed at detecting shortcomings in the programme

design before the commencement of the programme. For this, in case of all in-
Page: 11 of 38
house long-duration programmes, the Employee Development Centre/PMI/HR

Group, as the case may be, shall review the programme design, content etc. in the
light of the feedback obtained from a sample of participants.
18.2 Pre training evaluation is required in case of all Long duration programs. Impact
assessment is required in case of all long duration Programme and planned
interventions of duration not less than 10 day.
19.0 PROGRAMME FEEDBACK:
19.1 The Training Centre/PMI/HR Group, as the case may be, shall seek participant
feedback at the end of the training programme in the Programme Feedback Form
as in Annexure 4, for making modifications/improvements in future programmes.
This is a reaction level feedback (L1), which is to be captured for all programs as
per format described in annexure 4.
19.1.1 The point 5 of the feedback form “Please mention areas where you will apply
learning of the training Program” (Annexure 4) is mandatory and shall be filled
by all participants. The input provided by the employee shall be forwarded to
Reporting Officer of employee so that he can provide opportunity to employee to
work in areas where employee can apply learning of the training programme.
19.2 Apart from the L1 feedback, L2 feedback, which indicates the learning acquired
by the participants through the program, shall also be obtained for all programs
conducted in NTPC. This will basically involve both a pre and post objective type
test to determine the progress made by participants as a result of inputs provided
during the training program. The participant scoring the highest marks in post test
may also be given a prize such as a book at the conclusion of the program. The
details of the format are described in annexure 5.
20.0 IMPACT ASSESSMENT:
20.1 It involves measuring the change in job behaviour of the employee on account of
the learning during the training programme. The information would be collected
through the Impact Assessment Form (IAF) as in Annexure 6 after completion
of six months of the programme by the concerned Course Director.
20.2 Each training program has some learning objectives that can be broadly classified
into Knowledge, Skill and Attitudinal component. This feedback process aims at
effectiveness of internalisation of the above learning components by the
individual participant. Usually the understanding or internalisation of any learning
is impacted both by the Trainer as well as the Trainee. Thus this measure is only
Page: 12 of 38
a reflection of the effectiveness of learning from a program rather than getting

into the reasons for it. This feedback is aimed at assessing how much learning the
participant has applied at his workplace and what is the impact thereof. The
format is provided in Annexure 6.
20.3 Impact Assessment will be implemented in case of all planned interventions.
21.0 PROGRAMME EVALUATION REPORT:
21.1 After Impact Assessment, the Training Centre/PMI/HR Group, as the case may
be, would prepare a Programme Evaluation Report in case of all Long-duration
programmes and Planned Interventions of a duration of not less than 10 training
days in the proforma given in Annexure 7 and circulate it to all the participants
concerned.
22.0 HONORARIUM FOR FACULTY:
22.1 Honorarium for faculty, both internal and external, for training programmes
would be regulated as per the extant rules on ‘Honorarium rates and other training
related expenses.
23.0 REGULATION OF ENTITLEMENTS:
23.1 Entitlements of employees on training, relating to TA/DA, shall be regulated as

per clause 12.1 Sl.No.(iii) of NTPC Travelling Allowance Rules.
24.0 TEMPLATE COURSES:
24.1 PMI/Corporate HR Group will design templates for training programmes in areas
like Functional/Technical Training, Attitudinal Training, Core Value
Actualization, Information Technology, Executive Development Programme etc.
for bringing about uniformity across the Company in important areas of training.
24.2 Session on Yoga/Meditation and Values shall be included in all in-house training
programmes of long duration categories.
25.0 SHARING OF LEARNING:
25.1 Employees who have attended training programmes shall normally share their
learning with other employees in for a like Professional Circles, Quality Circles,
departmental meetings etc.
Page: 13 of 38
25.2 In all training programmes for executives, the participant shall submit an action
plan to his Reporting Officer, with a copy marked to the Training Agency,
detailing the steps that would be taken by him/her for implementing the learning
in his/her job.
26.0 MIS FOR TRAINING:
26.1 The training MIS aims to act as a measurement and monitoring tool for the
following:
1) Implementation of Planned training man-days
2) Coverage of planned % age of employees
3) Training Cost
26.2 The MIS system focuses on both activity and performance measures. The activity
measure focuses on the extent of training activity carried out while the
performance measure reflects the effectiveness of the training. For the MIS to be
effective it will be collated and reviewed so that data integrity and control is
assured. The training related data may be updated immediately after each program
for ease of proper review and control.
26.2.1 Training Plan & Activity Measure: Training plan and measures will be worked
out as per guidelines given below.
Sl. Measures To be decided at

No
1. No. of training days and % Coverage as per Corporate Level

MOU / Areas of competence building
2. Required training interventions coming out of Unit level assisted by
unit level IDPs, also based on last year respective EDC’s
performance on implementation of training
mandays and employee coverage.
26.2.2 Following data shall be collected and maintained at EDC level on a monthly basis
and collated at PMI on a quarterly/annual basis. The details of formats are given
in the annexure as given below.
Sl. Type of Data Periodicity of compilation Annexure

No Unit/EDC PMI
1. Mandays Monthly Quarterly 8
implementation
Page: 14 of 38
2. Employee coverage Monthly Quarterly 9
3. Program Activity Quarterly Annual 10,11

Summary
4. Program Activity for Quarterly Annual Similar to
SC/ST annexure
10,11
5. Training cost summary Monthly Quarterly 12
6 Program reaction Monthly Quarterly 13

Feedback (L1)
7 Program Learning Monthly Quarterly 14
Feedback (L2)
8 Overall training Quarterly Annually 13,14

performance–L1, L2,
9 Program Impact Annually Annually 16

Assessment (L3). Only
for planned
interventions.
27 GENERAL:
27.1 The system shall be reviewed from time to time to keep it in line with the latest
trends in the area of Training and Development. The management reserves the
right to modify, cancel, add or amend any of these provisions at any time.
Page: 15 of 38
Annexure 1
Planned Intervention
Sl. Module Duration Level

01 Executive development Program 12 weeks E1
02 Foundation Course in General 10 days E5

Management
03 Capsule Course in General 11 days E6
management
04 Enhancing managerial competence 3 Weeks E7
05 Advanced management Program 3 Weeks E7A
Page: 16 of 38
Annexure 2
Training Need Form (For Non Executives)
Section: Department:
Name Emp No Designation Technical training Developmental Remarks

Needs Needs
Signature of reporting Officer

Name:
Designation:
Head of Department
Head of Training (through departmental training coordinator)
Page: 17 of 38
Annexure 3
Training Calendar
Project: Year:
Sl Prog. Prog. Prog. Level Days Trg. April … … March

Title Objectives Profile Coord.
-Name
Page: 18 of 38
Annexure 4
Program Feedback -L1

PROGRAM TITLE
PROGRAM DURATION
Organizer
VENUE
Program coordinator
Please provide feedback on following parameters on a scale of 1-10, where 1 – Not Satisfied and in
the increasing order of satisfaction 10- Highly Satisfied.
1. Please rate the extent to which Overall Program Objectives were achieved
S No Not Satisfied Highly Satisfied

1 2 3 4 5 6 7 8 9 10
1. Overall Program Objectives
2. Please rate the extent to which the following aspects of the program are met as per your expectation
S No Dimensions Not Satisfied Highly Satisfied

1 2 3 4 5 6 7 8 9 10
1. Content & Depth of Coverage
2. Program Duration
3. Relevance to your role
4. Program Coordinated
3. Please rate the extent to which different faculties met your expectations in terms of subject
knowledge, structure & delivery
S No Session Topic Faculty Name Not Satisfied Highly Satisfied

1 2 3 4 5 6 7 8 9 10
1
2
3
4
5
4. Please rate the extent to which following Administrative Aspects are met as per your expectation
S No Dimensions Not Satisfied Highly

Satisfied
1 2 3 4 5 6 7 8 9 10
1. Hospitality Arrangements
2. Overall Administrative Arrangements
3. Stay Arrangements in PH (R.N0)
5. Please mention areas where you will apply learning of the training program.
Page: 19 of 38
6. Kindly give your comments regarding program and suggestions for improvement of the Program.
Date ------------------------------ Signature-----

----------------------
Name -------------------------------
Emp NO. --------------------------
Place of Posting-------------------
Page: 20 of 38
Annexure 5
Learning Feedback-L2
Program Code
Date of conducting program
Faculty code
Venue Code
Questionnaire: For all the Planned Interventions, a questionnaire will be needed to be

prepared based on the training design. The questions would be about the key learning
components to be covered during the training program. The questionnaire should not be
more than 20/30 questions. For training programs conducted by external faculty, the
faculty is expected to provide with a questionnaire. The questionnaire would have
objective type questions where the candidates are expected to tick on the right answer.
Each question should preferably have four alternatives as answers.
Test: The questionnaires would be sent to the participants before the program for all
planned interventions. For programs conducted by external faculty it can be provided to
participants at the venue itself before the beginning of the training program. Participants
are expected to answer this pre-program test in a defined time frame. At the end of the
program the similar questionnaire would be administered to the participants again for
post-program test.
Analysis: The difference between the pre-program and post-program test scores would
be a quantitative indicator of the learning effectiveness. Ideal in all cases the differences
should be large and consistency should be there in all participants as far as the learning is
concerned. The following data could be tabulated for each program as L2 feedback.
• Maximum Absolute Score (Post-program)
• Minimum Absolute Score (Post Program)
• Average Score (Post Program)
• Average Gain Score (difference in pre and post program test averages)
• Histograms of Absolute scores (Post program and Pre program)
• Histogram of Gain (difference between pre and post program test score for an
individual)
Page: 21 of 38
Annexure 6
Impact Assessment Form‐ L3 Feedback
The Impact Assessment form has 4 parts.
Part I– Background Information: This is to be filled in during the program, duly

signed in by the program coordinator and the participant. It is also expected that for all
programs whose impact assessment is to be done, a Personal Action Plan has to be
prepared by the participant at the end of the program.
Part II– Impact Assessment: This is to be filled up 6 months after the program is over.
This is to be filled in and signed off by the participant as a self-assessment of the learning
impact. The template tests, Relevance of Inputs, Application of Inputs, Impact and
effectiveness on job, Extent of implementation of Personal Action Plan, Barriers and
Enablers for implementation.
Part III- Assessment Review: This is to be done by participant’s superior. The aim of
this template is to validate the self-assessment done in part 2 by the participant’s superior.
The format is to be filled in signed off by the superior officer separately.
Part IV- Assessment Summary: This is to be filled in by the program coordinator after
receiving all the responses (or a significant pre-decided percentage of response) from all
participants and their superiors (Part II and III). This summarizes the impact assessment
of the entire program, the achievements thereby and the barriers and enablers for
application of learning.
Page: 22 of 38
Part I- Background Information
(To be filled in by Program Coordinator)
Course Title:
Period/ Date:
Venue:
Learning Objectives of the program:
(To be filled in by participant)
Name: Employee No:
Designation: Section:
Department: Place of posting:
Part II- Impact Assessment
1. The learning inputs imparted in the training program are relevant to my role and
the job that I perform in the organization
Not relevant at Highly relevant

all
1 2 3 4 5
2. I often apply the knowledge/skills learnt during the training program
Apply Apply Daily/

occasionally Very often
1 2 3 4 5
3. The program introduced me to new concepts and tools that helped me to perform
my job more effectively and/or effectively
Page: 23 of 38
No impact on job Great Impact on

performance job performance
1 2 3 4 5
4. Was action planning done as a part of the program to apply the knowledge/skills
at work place?
Yes No
If yes, to what extent have you been able to implement the action plan?
Not implemented Implemented

at all completely
1 2 3 4 5
5. Was there any significant achievement as a result of the application of job/skill or

as a result of implementation of post program action planning?
Yes No
If yes, can you elaborate some of the achievements?

a.
b.
c.
d.
6. What Barriers (Factors that came in the way) and Enablers (Factors that facilitated)
have you experienced in trying to apply the new knowledge and skills? (Tick against the
appropriate column or fill in new factors as applicable)
Enablers Barriers
Support from superior Lack of finances
Support from peers Lack of opportunities on the job
Institutional support Lack of support from superior
Job challenge Lack of support from peers/ peer
departments
Others….. Change of role
Others…..
Page: 24 of 38
Signature of the participant

Page: 25 of 38
Part III- Assessment Review
(To be filled in by the Reporting Officer)
Do you agree with the information furnished under various questions in Part –II as filled
in by the participant? Kindly Elaborate.
S No Description Do you agree Comments

with the
rating/response
provided?
1 Relevance of learning Yes No
inputs to the job
2 Frequency of application Yes No
of the learning inputs
3 Impact of the learning on Yes No
job performance
4 Implementation of action Yes No
plan
5 Achievements as a result Yes No
of application of the
learning inputs
Signature of Reporting Officer
Name
Designation
Unit
Head of the Department

Page: 26 of 38
Head of Training
Page: 27 of 38
Part-IV -Assessment Summary
A. Quantitative assessment summary
S No Description %age responses in various

ratings
1 2 3 4 5 NA
1 Relevance of learning to job
2 Frequency of application of learning
3 Impact on job of application of
learning
4 Implementation of action plan
B. List of significant achievements as a result of the application of learning
S No Significant achievements
1
2
3
4
5
6
7
8
9
10
C. Top 5 Barriers and Enablers for application of learning on the job
S Enablers S No Barriers
No
1 1
2 2
3 3
4 4
5 5
Page: 28 of 38
(Signature of the Program Coordinator)

Page: 29 of 38
Annexure 7
Program Evaluation Summary
Background Summary
Program Title:
Period/Date:
Venue:
Program Coordinator:
Learning Objectives of the program
Knowledge:
1
2
3
4
Skill:
1
2
3
4
Attitudes:
1
2
3
4
Participant Profile:
Departments/ Functions:
Designations/ Levels:
Age group:
Page: 30 of 38
Annexure 8:
Month:
Executives Supervisors Workmen
Number Number Number Total Number Number Number Total Number Number
Training of of of parti- Man- of of of parti- Man- of of
topics Programs Program cipants days Programs Program cipants days Programs Program
Days Days Days
Pl Act Pl Act Pl Act Pl Act Pl Act Pl Act Pl Act Pl Act Pl Act Pl Act
**Managerial
Effectiveness
Time
Management
…
Boiler
Maintenance
…
Summary
Total Mandays This Month Total Mandays This Month
Planned YTD Actual Ytd
(Programs with ** mark are internal training program)

Page: 31 of 38
Annexure 9
%age Coverage – At Unit Level
Location Distinct employees covered till Number of employees who have

now (YTD) not received any training (YTD)
Executives
Supervisor
Workmen
Page: 32 of 38
Annexure 10
Man-days Implementation- Overall

Number Number Number Total Number Number Number Total Number Number Nu
Location of of of parti- Man- of of of parti- Man- of of of p
Programs Program cipants days Programs Program cipants days Programs Program cip
Days Days Days
Int Ext Int Ext Int Ext Int Ext Int Ext Int Ext Int Ext Int Ext Int Ext Int Ext Int
CC
NR-HQ
BTPS
TSTPS
…
…
Planned Planned Planned Planned Planned Pla
YTD MTD YTD MTD YTD MT
Actual Actual Actual Actual Actual Ac
YTD MTD YTD MTD YTD MT
Page: 33 of 38
Annexure 11
The Coverage

Distinct Number of Number of Distinct Number of Number of Distinct Number of
employees employees employees employe employees employees employees employees
Location covered who have who have es who have who have covered who have not
till now not received not received covered not received not received till now received any
(YTD) any training any training till now any training any training (YTD) training
(YTD) (YTD) (YTD) (YTD) (YTD) (YTD)
CC
NR-HQ
BTPS
TSTPS
…
…
Page: 34 of 38
Annexure 12
Cost of Training
Cost Type Cost Heads Planned Actual Planned Actual

this month this YTD YTD
month
Fixed costs Employee cost
Infrastructure
maintenance cost
Semi- Power consumption
variable Stationery and
costs consumables
Variable Professional Fee
cost
Page: 35 of 38
Annexure 13
Program-wise Location-wise Measures for L1
Month:
Location- EDC1 EDC2 .. ..
Æ Favorable Unfavorable Favorable Unfavorable Favorable Unfavorable Favorable Unf
Program
Code
P01
P02
P03
..
Favorable responses would mean %age respondents responding on ratings 7 and above
Unfavorable responses would mean %age respondents responding on ratings 4 or below
Ratings of 5 or 6 would be assumed as middle responses
Page: 36 of 38
Annexure 14
Program- wise Location-wise Measures for L2
Location-> EDC 1 EDC 2 EDC 3 EDC 4

Program Code Average Standard Average Standard Average Standard Average Standard
of %age Deviatio of %age Deviatio of %age Deviatio of %age Deviatio
Gain n of Gain n of Gain n of Gain n of
%age %age %age %age
Gain Gain Gain Gain
Planned
Interventions
P01
P02
…..
Short
Programs
S01
……
Page: 37 of 38
Annexure 15
Program-wise various L3 Indicators
Month: (for programs carried out 6 months prior to the current month)
Indicators L3 Indicators
Impact on job Key Barriers for Key Enablers for
Program codes effectiveness (%age utilizing Learning utilizing Learning
responses for ratings) components of components of
training on job (top training on job (top
1 2 3 4 5
5 points) 5 points)
P001
P002
…
The same format can be used for generating a year-end summary

Page: 38 of 38
RECORD OF REVISIONS

No. Date
Revisions
Vikas K Malhotra K V Prasad A K Malhotra

DM(PMI) Sr.Fac.(PMI) AGM(PMI)
System for Management games – “Business Updated as on: 31.01.2012
Minds” in NTPC Page: 1 of 5
SYSTEM FOR MANAGEMENT GAMES – “BUSINESS MINDS” IN NTPC
Management Games titled “Business Minds” shall be conducted each year in order to
develop executive’s strategic thinking & decision making by exposing them to simulated real
life business situations that would help them discover new skills.
1. Objective of Management Games – “Business Minds”

1.1 Management Games test the understanding of concepts of business in participants,
develop their ability to take quick decisions and gives instant feedback to the
participants on their overall managerial abilities.
1.2 For executives, the game is more effective than other forms of learning such as
conventional class teaching, a case study, role play, OJT or assignment because of
its wide coverage, unique delivery and swift learning capability.
1.3 The competition evoked in the management games urges participants to learn
willingly and the inbuilt interactivity enhances the pace of learning.
1.4 The Management Games develops team spirit amongst the participants and
1.5 Help the participants learn operative and strategic decision making, while being
creative & innovative, under constraints of time.
2. Coverage
All executives upto the level of E7 would be eligible to participate in the competition.
Executives will form 4 members team at the unit level. The team’s constitution shall
necessarily be a cross-functional comprising of members from different functions like
O&M, HR, F&A, C&M, other services area etc. As Management Quiz & Management
games are multi-disciplinary in nature reflecting real life multifunctional role of
business, such cross functional teams are essential.
3. SYSTEM OF MANAGEMENT GAMES

3.1 Phase One: Management Quiz
3.1.1 In the First Phase, a Management Quiz shall be conducted by the Regional
HQ. The RHQ shall be responsible for designing and administering the quiz
at the Region and selecting the best teams as per their quota to represent
Region at simulation games at PMI.2
3.1.2 Regions shall be allocated a quota in proportion of their E1-E7 manpower

strength. Each year CC-HRD shall communicate the quota to each region
along with deadline to complete phase 1. The RHQs shall communicate the
names of shortlisted teams to CC-HRD on or before the given deadline.
3.1.3 Responsibility of conducting Phase 1 quiz for CC along with JVs &
Subsidiaries and Coal Mining shall rest with CC-HRD. A separate quota of
minimum 1 team and maximum in proportion of their manpower shall be
allocated to JVs & Subsidiaries and Coal Mining. However, any quota
remaining unutilized shall be made available to CC.
3.1.4 The quiz shall be prepared in-house by the RHQ and the same shall be
circulated to all the projects/ stations in the Region. CC-HRD shall prepare
the quiz and circulate it to JVs, Subsidiaries and Coal Mining projects.
3.2 Shortlisting Teams for Phase Two

3.2.1 A system of Proportionate Representation shall be followed in allocating
number of seats for participation in Phase Two of Business Minds to each
Region. In January each year, CC-HRD shall communicate the quota,
assigned in proportion of the E1-E7 executive strength at the Region, to the
Regional HQs along with the deadline to conduct the quiz. The RHQs shall
communicate the names of shortlisted teams to CC-HRD on or before the
given deadline
3.2.2 A quota of minimum 1 team, and maximum in proportion of their manpower
shall be allocated to JVs & Subsidiaries and Coal Mining. However, any
quota remaining unutilized shall be made available to CC.
3.3 Phase Two: Business Simulation Games

3.3.1 In Phase Two, 22 teams who qualify the Management Quiz across NTPC
will participate in the Business Simulation Games conducted at PMI Noida.
This company level competition called “Business Minds” will be conducted
by AIMA.
3.3.2 The Business Simulation Game in Phase 2 will involve putting the
participants into real life business situation covering problems in raw
material sourcing, capacity planning, warehousing, manufacturing,
distribution, marketing and finance. Decisions would demand knowledge of
pricing, production, R&D, expenditure, economics and financial costing etc.
Unusual problems like strikes may also occur during the game that alerts
the participants to be risk aware. In order to familiarize the participants with
the game, a copy of participant’s manual will be provided to all the
participants of the National competition before the game.
3.3.3 The competition for 22 teams shall be conducted in two groups of 11 each.
This is being done as the AIMA infrastructure can support competition
between 11 teams at any given point in time only.
3.3.4 The top 8 teams will be identified from amongst the participating teams (4
from each group of 11 teams). Out of the 08 teams, 02 teams each will
participate in any one of the Regional Competition of the management
games “Chanakya” conducted by AIMA.
4.0 Reward
4.1 Each member of the winning team from amongst the group of 11 teams shall be given
a cash prize of Rs. 5000/- & each member of the Runners Up team in each of the
group shall be given a cash prize of Rs. 3000/-.
5.0 Key Takeaways/ Benefits

5.1 Understanding of cross functional relationships among various management functions
such as finance, marketing, operations, HR, R&D etc.
5.2 Exposure to experiment the running of a company in a competitive simulated
environment without causing damage to a live company.
5.3 Learn to work as a team by developing acceptable interpersonal behavior
5.4 Learn operative and strategic decision making under constraints of time & information.
5.5 To expose the participants to a range of management concepts and enable them to
test their knowledge in a simulated environment.
6.0 General
6.1 Director (HR) is empowered to administer, interpret, clarify, revise, amend or modify
any or all the provisions of the NTPC Management Games- “Business Minds”.
Authority:

2. Corporate IOM No. 01: HRD: 14.161/746 dated 23.03.2011
RECORD OF REVISIONS

No. Date
Revisions
Jasleen Kaur Prem Chand Rakesh Prasad

O(HRD) DGM(HRD) DGM(HRD)
Honorarium for faculty on training and Updated as on: 31.01.2012
management development programmes Page: 1 of 10

HONORARIUM FOR FACULTY ON TRAINING AND MANAGEMENT DEVELOPMENT
PROGRAMMES
& HONORARIUM TO EXTERNAL EXPERTS FOR SELECTION INTERVIEWS
1.0 EXTERNAL FACULTY HONORARIUM FOR TRAINING SESSIONS:
Level of Faculty Honorarium rate per session Conveyance Rate

of duration 1 to 1 ½ hour. This
includes course material also.
LEVEL – I
Professors/Senior Academics Rs. 2,700/- AC taxi will be provided by PMI/

from reputed institutes like Site EDC/Regional Training wing
IIMs/ASCI/MDI/IMI and their or
equivalents; Senior Consultants alternatively external faculty will
from research based be paid @ Rs.10/- per km for
organizations and institutes; coming in his/her own car or
Present & former Directors on making his/her own transport
the Board; EDs and GMs of arrangement
CPSUs & large Private Sector or
organizations; Joint Secretary Actual Taxi -fare on production
and above levels in the Govt. of of bill/receipt
India (in their individual
capacity)
LEVEL – II
Associate Professors, Readers Rs.1,700/- Transport will be provided by

of Universities; DGMs/AGMs or PMI/ Site EDC/Regional Training
their equivalents of Central wing
PSUs & Private Sector or
organizations (in their alternatively external faculty will
individual capacity) be paid @ Rs. 8/- per km for
coming in his/her own car or
making his/her own transport
arrangement
or
Actual taxi- fare on production of
bill/receipt


LEVEL –III
Faculty upto the level of Sr. Mgrs Rs.1,150/- -do-

or their equivalents from all
organizations. (in their
individual capacity)
Other Provisions:
1. If, for any reason, an external faculty declines to take honorarium in cash at the rates stated
above, then a book or a memento for the same amount can be given to him in lieu of
honorarium. For this purpose, no separate approval is required and Programme Services Group
of PMI/Site EDC In Charge/ Regional Training Wing In-charge is authorized to arrange the book
or memento.
2. For outstation external faculty invited to PMI/Site EDC / Regional Training Wing, either the travel
arrangement will be made by PMI/Site EDC/ Regional Training Wing or alternatively, journey fare
(air fare(economy class)/train fare/bus fare/taxi fare etc.) will be reimbursed at actual subject to
documentary evidence.
3. For long duration modular training programs of duration more than one week, if an external
faculty delivers more than 15 sessions per month, the honorarium rate per session beyond 15th
session per month shall be as under, only for levels II and III subject to maximum of 25 sessions
per month:
LEVEL Rate per session
Level II Rs. 1200/-
Level III Rs. 900/-


2.0 HONORARIUM RATES FOR INTERNAL FACULTY MEMBERS
Level of Faculty Honorarium rate per session Conveyance Rate

of duration 1 to 1 ½ hour. This
includes course material also.
Level I Rs. 450/- As per NTPC Norms

Non-Executives
Level II Rs. 700/- -do-

Executive up to the level of Sr Mgrs.
Level III Rs. 1000/- -do-

Executives of the level of DGMs to
GMs
Level IV Rs. 1100/- -do-

Executives of the level of EDs,
Directors & CMD
Honorarium for practical

demonstrations and providing Rs. 375/- per session of 1 to 1 ½ No local conveyance shall
hands-on experience in IT training hour duration for non-executives. be paid to the faculty at
programs as well as visits to power NTPC power stations.
stations of NTPC ( other than Rs. 500/- per session of 1 to 1 ½
PMI/Site EDC/Regional Training
hour duration for executives.
Wing)
Other Provisions:
1. If, for any reason, an internal faculty declines to take honorarium in cash at the rates stated
above, then a book or a memento for the same amount can be given to him in lieu of honorarium.
For this purpose, no separate approval is required and Programme Services Group of PMI/Site
EDC In Charge/ Regional Training Wing In-charge is authorized to arrange the book or memento.
2. In case of outstation programmes, internal faculty (other than PMI/Site EDC / Regional Training
Wing) will be paid honorarium at proposed rates and TA/DA as per NTPC entitlement.
3. i) Whenever, PMI/ Site EDC/Regional Training Wing conducts a sponsored programme for
external organizations which will be billed to it and paid by it, the internal faculty members of
PMI/Site EDC / Regional Training Wing who deliver sessions in such programmes will be paid
honorarium at the rates proposed for internal faculty at Annexure II above.


ii) Whenever, PMI/Site EDC / Regional Training Wing conducts a sponsored programme at the
client’s premises for external organizations which will be billed to it and paid by it, the programme
coordinator of PMI/ Site EDC/Regional Training Wing will be paid honorarium @ Rs. 700/- per
day.
4. For long duration modular training programs of duration more than one week, if an internal
(NTPC) faculty delivers more than 15 sessions per month, the honorarium rate per session
beyond 15 sessions per month shall be as under, only for levels I, II and III :
Level of Faculty Rate per session

Level I Rs. 180/- from 16th session onwards if no. of
sessions exceed 15 in a month
Level II Rs. 300/- from 16th session onwards if no. of
Level III Rs. 400/- from 16th session onwards if no. of
The above limits shall also apply to PMI/Site EDC / Regional Training Wing faculty who deliver
sessions against payment in billed sponsored external programmes.


3.0 HONORARIUM RATES FOR DEPARTMENTAL EXAM PAPER SETTING, AND EVALUATION,
VIVA-VOCE ETC.
Description External Internal (all

employees of NTPC)
Question Paper setting for

Departmental Exam (per paper):
1. Setting question paper or trade test
Rs. 1100/- Rs. 700/-
for departmental exam upto 1 ½ hour
duration
2. -----do------above 1 ½ hour duration Rs. 1400/- Rs. 900/-
Evaluation of Answer sheets (per

answer sheet):
1. For objective type question paper Rs. 38/- Rs. 28/-
upto 1 ½ hour duration
Rs. 55/- Rs. 44/-

2. -----do------above 1 ½ hour duration
(minimum Rs 500/- for (minimum Rs 500/- for
1 & 2 above) 1 & 2 above)
3. For objective-cum-descriptive type

question paper upto 1 ½ hour duration Rs. 40/- Rs. 38/-
4. -----do------above 1 ½ hour duration

Rs. 55/- Rs. 44/-
(minimum Rs 500/- for (minimum Rs 450/- for
3 & 4 above) 3 & 4 above)
Evaluation of
(i) Project Reports by ETs, M.Tech Rs. 275/- Rs. 220/-
(ii) Power point presentations by Rs. 1,200/- Rs. 625/-
participants of planned
interventions like capsule course,


EMC, AMOP, M.Tech on books or
project topics
(for complete set of
presentations)
(Excluding PMI/EDC/Regional
Training Wing faculty)
Viva-voce examination/ Presentation

1. ITI/ Diploma scheme (for half day) Rs. 900/- Rs. 625/-
2. ET Scheme (for half day) Rs. 1400/- Rs. 820/-
Preparation of course material for

training manual, case studies.
management games etc, of upto 3 hrs.
duration on request. (Excluding
PMI/EDC/Regional Training Wing
faculty)
Rs. 820/- Rs. 450/-
Non executives
Rs. 1100/- Rs. 825/-
Executives


4.0 HONORARIUM RATES FOR COURSE DIRECTOR & COORDINATOR (OTHER THAN
PMI & EDC), PROFESSIONAL CHARGES FOR OUTSOURCED PACKAGED
PROGRAMMES ETC.
DESCRIPTION RATES
Course Director’s Fees
Honorarium to Internal Course Director Course Director- Rs 3000/-

and Coordinator (other than PMI/Site EDC
Course Coordinator- Rs 2500/-
/ Regional Training Wing)
(on exceptional basis for specialized programmes
with the approval of AGM(PMI)/ HOHR Site/
Region not below DGM (where DGM is not
posted approval of Head of Project/Station or
GM(HR-RHQ) will be taken)
Note: Either course director or course coordinator
will be paid honorarium. Both will not be paid
simultaneously for a single programme.
Norms for External Faculty if Programme is held outside PMI
Allowance for external faculty for outstation Free boarding & lodging plus Rs. 375/- per day
programs for out-of-pocket expenses
Journey Fare External faculty will be reimbursed journey fare

and hotel accommodation at actuals subject to
Hotel Accommodation (to be arranged by maximum of the NTPC entitlements in one of
NTPC) the following levels based on their reputation,
experience, seniority and level in their parent
organization
Level I- EDs/ Directors/ CMD of NTPC
Level II- DGMs to GMs of NTPC
Level III- E1 to E6 level executives of NTPC
Norms for outsourced packaged programmes of different categories
For outsourced packaged programmes


either by individual faculty or through an 1.Up to Rs.38,000/- per day with approval of
agency/firm- held at PMI/ Site EDC / AGM(PMI)/ HOHR Site/Region not below DGM
Regional Training Wing or anywhere (where DGM is not posted approval of Head of
outside including all expenses- training Project/Station or GM(HR-RHQ) will be taken)
charges(including course material, kit etc.),
journey fare(air/rail/road), local transport
and boarding & lodging charges etc. of 2. Above Rs.38,000/- per day but upto
faculty. Rs.125,000/- per day with the approval of Head
of PMI/ Head of Project( both not below the level
of GM) / RED.
For outbound training programmes
including all expenses towards training
charges(including course material, kit etc.), 3. Full Powers: D(HR)
transport, boarding and lodging charges of
faculty and participants.
Note: For ETs’ outbound training programmes
the limit shall be Rs. 30,000/- for AGM(PMI) etc.
and Rs. 30,000/- to Rs. 1,00.000/- for Head of
PMI etc.


5.0 PAYMENT OF HONORARIUM TO EXTERNAL EXPERTS ENGAGED BY NTPC FOR

SELECTION INTERVIEWS
5.1 The honorarium payable to external experts engaged as members of the Central Selection Board
shall be as under:
Level of the Persons Revised rates of Honorarium 7

Full day (Rs.) Half
day(Rs.)
1 Persons of repute not below the level of Ex- 7500 4000
Secretary, Addl Secretary, Ex-Chairman of the
Railway recruitment Board, Ex- CMDs.
2 Persons of repute not below the level of Joint 4500 3000
Secretary, GOI, Directors, EDs of PSUs/Large
Private sectors etc.
Senior academicians/ Professors/ Associate

Professors from reputed institute.
Specialists from other PSUs/DPE/CEA/central

Govt not below the rank of General Manager.
3 Persons of repute not below the level as 3500 2000

mentioned at Point 1 & 2 above.
5.2 In addition to the payment of honorarium, outstation persons nominated as Chairman/Member of

Central Selection board will be entitled to travel, boarding and lodging facilities at Company
cost/guest house and transport for undertaking local journey as per their entitlement. For others, the
present system of reimbursement of taxi fare (both ways) shall continue.
5.3 For internal Central Selection Board members, a book/ memento worth Rs 1000 shall be granted.7
AUTHORITY:

2. Corporate Personnel (PMI) Communication Dt. 9.5.1989.
3. Corporate Personnel Communication 321/95 dt. 25.1.1995.
6. Corporate HR Circular No. 541/2004 Dt. 14/12/2004
7. Corporate HR Circular No. 675/2009 dated 17/12/2009
8. CC IOM NO. 01/PMI/BDG dated 04.05.2011


RECORD OF REVISIONS

No. Date
Revisions
R C Mukherjee R C Mukherjee A K Malhotra

Sr. Fac.(PMI) Sr. Fac.(PMI) AGM(PMI)

HR SURVEYS COMPENDIUM
Corporate HR-Policy Group
NTPC Limited
(A Government of India Enterprise)
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Annexure A
HR Policy Group
GUIDELINES FOR
CONDUCT OF SURVEYS
1.0 Background
1.1 For effective running of NTPC, assessment of organizational health for initiating timely corrections is
required. Seeking employee feedback through conducting surveys helps in diagnosis of factors that
impact organizational health. They also help in identifying factors that influence employee productiv-
ity by measuring and understanding employees' attitude, opinions, motivation, and satisfaction.
1.2 NTPC is a very large and diverse organization with each Strategic Business Unit (SBU) having unique
characteristics. It is pertinent that in addition to company wide parameters, we also identify and man-
age the various local parameters that impact employee productivity. Units carry out independent sur-
veys in order to identify and address the local issues. However, such surveys, in absence of any exter-
nal benchmarks or timeline data, provide an incomplete picture.
1.3 To institutionalize a system of surveys in NTPC, a compendium of survey instruments has been pre-
pared. The compendium comprises of a number of survey instruments standardized for NTPC, with
guidelines to administer and evaluate each survey separately.
2.0 Objectives
Objectives of institutionalizing a system of surveys for NTPC are –
2.1 To address employee related matters speedily and effectively by isolating local issues from company
wide issues
2.2 To come up with trends on employee related issues all over NTPC
2.3 To develop benchmarks within NTPC
2.4 To associate survey data with performance index of team leaders and top management
2.5 To facilitate data for participation in external branding/ certification studies at various levels
3.0 Principles
3.1 Areas
Instruments have been developed in following areas as they cover a range of employee related issues
that impact individual’s and organization’s productivity-
3.1.1 Employee Relations Climate (ERC)
3.1.2 Core Values (CV)
3.1.3 Empowerment (E)
3.1.4 Reward & Recognition (R&R)
3.1.5 Services Effectiveness (SE)
3.1.6 Training & Development (T&D)
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fodflr
fd, x, gSa %&
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Annexure A
HR Policy Group
3.1.7 Township & Welfare Facilities (TWF)

3.1.8 Performance Management System (PMS)
In addition to these, organization wide surveys like Bodh and e-Darpan will be conducted as per the
schedule by Corporate HRD
3.2 Linkages
The output of Core Values survey shall be associated with performance index of the Head of the Unit,
while that of Services Effectiveness Survey shall be associated with performance index of Heads of
respective services departments. Hence, these surveys will be held each year and will be so timed that
the findings for the year can be made available to the respective reporting officers before they write
the annual performance evaluation report. As the Core Values survey score is to be associated with
performance index of Head of Project, the Core Values survey scores for all units in the region shall
be collated and made available by Regional HR to the Regional ED by 15th March. Similarly, the Ser-
vices Effectiveness score shall be associated with performance index of HoDs of service departments,
and hence, the score should be made available by the Unit HR to the Head of Project by 15th March.
3.3 Frequency
To ensure that the number of surveys in a given year is manageable, not all instruments will be admin-
istered each year. Each instrument has been assigned a periodicity ranging from once in a year to once
in three years.
3.4 Communication
In order to identify issues of larger concern, the macro level picture and trends need to be observed.
For this purpose, a copy of the findings of all surveys shall also be forwarded to the Regional HQ and
Corporate where issues of wider interest will be identified and taken up on Regional/ Company level
4.0 Procedure
4.1 Survey Schedule
The surveys shall be administered as per the following schedule –
Year T&D SE ERC TWF PMS E CV R&R
n
n+1
n+2
n+3
n+4
n+5
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4-3 uewus dk vkdkj

Annexure A
HR Policy Group
4.2 Population
4.2.1 The target population is mentioned under "Population" for each instrument in the survey compen-
dium. It specifies whether the questionnaire is to be administered on executives only, non-executives
only, or both.
4.2.2 Employee grades have been divided into 4 bands – W or S, E1-E4, E5 or E6, E7 & abv. These grade
bands are independent of grade bands used for career planning systems and should not be confused
with them.
4.3 Sample size

4.3.1 Method of arriving at the right sample size has been explained with help of an example with each in-
strument. Administrator should calculate the sample size by following the example before administer-
ing the questionnaire.
4.3.2 Once sample size has been decided, it should be proportionately distributed amongst the grade bands.
While doing so, it should be ensured that sample size in any grade band should not be smaller than 20.
Incase, the total population in grade band at the location is smaller than 20, the grade band should be
merged with the next lower band.
4.4 Parameters
Parameters used for constructing the instrument have been mentioned along with the instrument in
the survey compendium.
4.5 Administration Method

Surveys can be administered as specified in the HR survey compendium either through paper-pencil
mode or over intranet or email depending on the reach and technical feasibility of the method
4.6 Scoring
5-point scale has been used for all instruments. "Strongly Disagree" has been coded as "1" at one ex-
treme and "Strongly Agree" has been coded as "5" at the other extreme. Some instruments have nega-
tive sounding statements. These have been explicitly specified for each instrument in the compen-
dium. The scale in case of a negative statement should be reversed before tabulating the results. This
can be done by subtracting the score obtained from 6.
4.7 Interpretation of Results

Methodology to score and tabulate data has been described with each instrument. The section specifies
use of both, descriptive and inferential, tools. To assist in analysis and interpretation of results, example
of different types of analysis tools have been given with each instrument.
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4-4 izkpy
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4-5 iz’kklu dh fof/k

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tfj,] loZ{s k.k fof/k dh igqpa rFkk rduhdh O;ogk;Zrk ds vk/kkj ij fd;k tk ldrk gSA
4-6 leadu
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^ iq.kZr;k lger* dks ^5* ds :i esa dwVc) fd;k x;k gSA dqN izy[s kksa esa udkjkRed mRrj okys dFku gSA bUgsa lkj laxgz esa izR;sd
izy[s k ds fy, Li"V :i ls fofufnZ"V fd;k x;k gSA ifj.kkeksa dks lkj.khc) djus ls iwoZ udkjkRed dFku ds ekeys esa iSekus dks
izfrofrZr dj fy;k tk,xkA ,slk izkIr leadu dks 6 esa ls ?kVk dj fd;k tk ldrk gSA
4-7 ifj.kkeksa dh O;k[;k

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fud] nksuksa izdkj ds lk/kuksa dk iz;ksx fofufnZ"V fd;k x;k gSA ifj.kkeksa ds fo’ys"k.k rFkk O;k[;k esa lgk;rk ds fy,] izR;sd izysy[s k ds
lkFk fofHkUu izdkj ds fo’ys"k.k lk/kuksa ds mnkgj.k fn, x, gSAa
5-0 Hkwfedk rFkk mRrjnkf;Ro
5-1 ;wfuV esa

;wfuV ekuo lalk/ku foHkkx lHkh loZ{s k.kksa ds lapkyu ds fy, mRrjnk;h gksxkA ^lsok izHkkokRedrk* loZ{s k.k ds nkSjku rduhdh lsok
foHkkx ds ize[q k] vFok muds ukekafdr O;fDr dks izzfd`;k esa 'kkfey fd;k tk,xkA pawfd] lsok izHkkokRedrk loZ{s k.k ds fu"d'kZ ;wfuV
ize[q k }kjk lsok foHkkx ize[q kksa ds fu"iknu ewY;kadu ds le; mi;ksx fd, tk,sxa sa] fdlh fuZi{s k O;fDr dks 'kkfey fd, tkus ls izfd`
d;` k
dh fo'ofLu;rk c<sxhA mRrjnkf;Roksa esa fuEu 'kkfey gSa %&
5-1-1 loZ{s k.k dk iz’kklu %& loZ{s k.k dks vkWuykbu ;k dkxt+ isafly ds tfj, iz’kkflr fd;k tk,xkA
5-1-2 fo’ys".k %& vkadM+ksa dk fo’ys".k ekuo lalk/ku loZ{s k.k lkj laxgz esa fn, x, fn’kkfunZ’s kksa ds vuqlkj fd;k tk,xkA
5-1-3 fu"d'kkZsa dk izLrqrhdj.k rFkk dk;Z ;kstuk dk fodkl %& loZ{s k.k ds fu"d'kZ lkbV izca/kd lfefr dh cSBd esa izLrqr fd,
tk,axs rFkk ,d izfrHkkxh dk;Z ;kstuk fodflr dh tk,xhA
Annexure A
HR Policy Group
5.0 Role and Responsibility

5.1 At the Unit
The unit HR department shall be responsible for conducting all the surveys. In case of "Services Ef-
fectiveness" survey, Head of TS or his nominee shall also be associated with the process. Since, the
services effectiveness survey scores are to be utilized by the Unit Head for evaluating performances of
HoDs of services functions (as described in 3.2), presence of an independent person shall render
credibility to the process. Responsibilities of unit HR for conducting the surveys shall include -
5.1.1 Administration of Survey
The survey will be administered online or through paper pencil mode
5.1.2 Analysis
The data shall be analyzed as per guidelines given in the HR survey compendium
5.1.3 Presentation of Findings and Development of Action Plan
The findings of the survey shall be presented at the SMC and a participative action plan shall
be evolved.
5.1.4 Sharing
A copy of survey findings shall be forwarded to Regional HR and Corporate HRD. In case of
Core Values and Services Effectiveness surveys, copies shall also be marked to the respective
reporting officers as specified under Principles (Linkages)
5.2 At Region
All activities as specified in 5.1 shall be carried out by Regional HR for the employees posted at the
Regional HQ and commercial offices. Head of TS at RHQ or his nominee shall be associated with the
process during the Services Effectiveness survey. Apart from this, the Regional HR shall also –
5.2.1 Ensure various surveys are conducted as per schedule in stations/ plants under them
5.2.2 Collate information from units and identify Regional level issues. These should also be for-
warded to Corporate HRD
5.2.3 Take up Regional Level issues at RMC atleast once a year and formulate an Action Plan
5.3 At Corporate
5.3.1 At SCOPE all activities specified in 5.1 shall be carried out by CC-HRD
5.3.2 At EOC, HR-Services group shall be responsible for all activities specified in 5.1
5.3.3 Corporate HRD shall collate findings received from unit and regions to identify company
level issues and present them in MCM
6. General—The powers to review, modify/amend the provisions of the system shall vest with Dir
(HR).
Enclosure Annexure B—Survey Questionnaires with methodology for analysis

vuqyXud d
5-1-4 lgHkktu %& loZ{s k.k fu"d'kkZsa dh ,d izfr{ks=h; ekuo lalk/ku ,oa uSxe ekuo lalk/ku fodkl dks vxzfs lkr dh tk,xhA ewy
ekU;rkvksa rFkk lsok izHkkokRedrk loZ{s k.k ds ekeys es]as izfr;ka] lacfa /kr fjiksfVZax vf/kdkfj;ks]a tSlk fd Hkkx 3-3-2 esa fofufnZ
fofufn"Z V gS]
dks vafdr dh tk,axhA
5-2 {ks=h; Lrj ij

la 5-5-1 esa fofufnZ"V lHkh fØ;k dyki {ks=h; eq[;ky; rFkk okf.kfT;d dk;kZy;ksa esa rSukr deZpkfj;ksa ds fy, {ks=h; ekuo lalk/ku
foHkkx }kjk fd, tk,axAs {ks=h; rduhdh lsok foHkkx ds ize[q k ;k muds ukekafdr O;fDr dks lsok izHkkoDrk loZ{s k.k ds le; izfd`;k
esa 'kkfey fd;k tk,xkA blds vfrfjDr] {ks=h; ekuo lalk/ku foHkkx %&
5-2-1 lqfuf’pr djsxk fd fofHkUu loZ{s k.kksa dk lapkyu muds v/khu dsna zk@
sa la;a=ksa esa le; vuqlpw h ds vuqlkj fd;k tkrk gSA
5-2-2 ;wfuVksa ls lwpuk dks bdV~Bk djsxk rFkk {ks=h; Lrj ds eqíksa dks vfHkKkr djsxkA bUgsa uSxe ekuo lalk/ku fodkl dks Hkh Hkstk
tk,xkA
5-2-3 o"kZ esa de ls de ,d ckj {ks=h; izc/a ku lfefr esa {ks=h; Lrj ds eqíksa dks mBk,xk rFkk dk;Z;kstuk fu:fir djsxkA
5-3 uSxe Lrj ij

5-3-1 Ldksi esa la- 5-5-1 esa fofufn"V lHkh fØ;k uSxe ekuo lalk/ku foHkkx }kjk dh tk,axhA
5-3-2 bZvkslh esa la- 5-5-1 esa fofufn"V lHkh fØ;k bZvkslh ds ekuo lalk/ku lsok foHkkx }kjk dh tk,axhA
5-3-3 uSxe ekuo lalk/ku fodkl foHkkx ;wfuV rFkk {ks=ksa ls izkIr fu"d'kkZsa ds vk/kkj ij daiuh Lrjh; eqíksa dk irk yxk,xk rFkk
mUgsa izvca/ku lfefr dh cSBd esa izLrqr djsxkA
6-0 lkekU;
iz.kkyh ds izko/kkuksa dh leh{kk@ la’kks/ku djus dh 'kfDr;ka funs’kd ¼ ekuo lalk/ku ½ esa fofgr gksxa hA
vuqyXud [k & loZ{s k.k iz’kukofy;k¡ ,oa fo’ys”k.k ds fy, fn’kkfunZ’s k

Annexure B
HR SURVEYS COMPENDIUM
Corporate HR-Policy Group
NTPC Limited
(A Government of India Enterprise)
vuqyXud [k
ekuo lalk/ku loZs{k.kksa dk lkj laxzg
uSxe ekuo lalk/ku uhfr lewg
,uVhihlh fyfeVsM
¼Hkkjr ljdkj dk m|e½
Contents:
1. Core Values 1
Core Values Questionnaire 6-7
2. Employee Relations Climate 8

Employee Relations Climate Questionnaire 14-15
3. Empowerment 16
Empowerment Questionnaire 22-23
4. PACE 24
PACE Questionnaire 30-31
5. Rewards & Recognition 32

Rewards & Recognition Questionnaire 37
6. Services Effectiveness 38
Services Effectiveness Questionnaire 44
7. Training & Development Climate 45

Training & Development Climate Questionnaire 51-52
8. Township & Welfare Facilities 53

Township & Welfare Facilities Questionnaire 59-61
fo”k; lwph
1- ewy ekU;rk,a ƒ
ewy ekU;rk iz’ukoyh ˆ&‰
2- deZpkjh lac/a k ifjos’k Š
deZpkjh lac/a k ifjos’k iz’ukoyh ƒ…&ƒ†
3- l’kDrhdj.k ƒ‡
l’kDrhdj.k iz’ukoyh „„&„…
4- isl „†
isl iz’ukoyh …0&…ƒ
5- iqjLdkj rFkk ekU;rk …„
iqjLdkj rFkk ekU;rk iz’ukoyh …‰
6- lsok izHkkokRedrk …Š
lsok izHkkokRedrk iz’ukoyh ††
7- izf’k{k.k ,oa fodkl ifjos’k †‡
izf’k{k.k ,oa fodkl ifjos’k iz’ukoyh ‡ƒ&‡„
8- Vkmuf’ki ,oa dY;k.k lqfo/kk,a ‡…
Vkmuf’ki ,oa dY;k.k lqfo/kk,a iz’ukoyh ‡Š&ˆ0
HR Surveys Compendium
1. CORE VALUES
Objective
The instrument has been designed to find out the level of core values actualization. It has been developed
around NTPC Core Values B-COMIT.
Frequency
This survey should be carried out every year
Population
All employees, executives and non-executives
Parameters
The questionnaire has been designed on core values of NTPC which are –
1. Business Ethics
This parameter measures employee perception of business ethics being maintained by senior management
and employees
2. Customer Focus
This parameter measures customer orientation in our culture
3. Organizational and Professional Pride
The parameter measures employee ownership in the company and the pride they take in their work
4. Mutual Respect and Trust
This parameter tells us about mutual respect amongst employees and general level of trust.
5. Innovation and Speed
This parameter measures if our culture is conducive for innovation and speed
6. Total Quality for Excellence
This parameter measures whether NTPC encourages high standard of quality and promotes continuous
learning.
Reliability
The reliability of the instrument has been found to be 0.86 using Split-half reliability test on data of 125 em-
ployees. The scale reliability of different parameters using Alpha Cronbach coefficient has been found to be
60% to 74%.
1
ekuo lalk/ku loZ{s k.kksa dk lkj laxgz
ewy ekU;rk,a
xzMs bZ 5 & bZ 6 ¾ cSMa ¼oxZ½ 3 ¼Vhe yhMj½

xzMs bZ 7 $ ¾ cSMa ¼oxZ½ 4 ¼foHkkxk/;{k½
pj.k 3 & vkadM+k laxgz .k rFkk vfHkys[ku

iz’ukoyh dks p;fur uewus ij ;k rks dkxt+ isfa ly fof/k ls] vFkok bZ&esy }kjk] tSlk Hkh mi;qDr le>k tk,] iz’kkflr fd;k tk,xkA Hkjh xbZ
iz’ukofy;ksa ls vkadM+s dks ,d ,e ,l ,Dlsy odZ’khV esa vfHkys[kc) fd;k tk,xkA vlhfer mRrj okys iz’uksa dh vuqfØ;kvksa dks i`Fkd :i
ls ,e,l oMZ MkD;qeVsa esa ;k uksV iSM esa vfHkys[kc) fd;k tk,xkA
vad fu/kkZj.k
iz’ukoyh esa 1&5 iSekus ij 30 iz’u gS tgk¡ ^^1** dk vFkZ gS ^^fcYdqy vlger** rFkk ^^5** dk vFkZ gS ^îw.kZr;k lger**A iz’ukoyh esesa dksbZ
udkjkRed iz’u ugha gSAa O;ogkj ds :i es]a 3 ls Åij fdlh Hkh vadu dks ^^vPNk** ekuk tk ldrk gS tcfd 3 ls de ls vadu dks ^fuÑ”V*
ekuk tk,xkA
izR;sd ewy ekU;rk ds fy, i`Fkd vadu dk ifjdyu fuEu izdkj fd;k tk ldrk
gSa %&
-1- izR;sd izR;FkhZ ds fy, ml ewy ekU;rk ls lacfa /kr enksa ds vkSlr vadu dk ifjdyu djsAa
-2- ewy ekU;rk vadu dk ifjdyu djus ds fy, lHkh izR;fFkZ;ksa ds vkSlr vadu dk ifjdyu djsAa
-3- cSMa ¼oxZ½ ¼xzMs ½ okj vadu izkIr djus ds fy, xzMs cSMa ¼oxZ½ esa izR;fFkZ;ksa ds vkSlr vadu dk ifjdyu djaAs
-4- foHkkxokj vadu izkIr djus ds fy,] foHkkx esa izR;fFkZ;ksa ds vkSlr vadu dk ifjdyu djaAs
izkpy ensa
dkjksckj uhfr ’kkL= 1] 8] 22] 24] 25
xzkgd ldsna .z k 2] 9] 16] 21] 23
laxBukRed rFkk O;kolkf;d xkSjo 5] 15] 18] 19] 26
ikjLifjd lEeku rFkk fo’okl 3] 4]12] 27] 28
uokpkj rFkk Roj.k 10] 11] 20] 29] 30
mRÑ”Vrk ds fy, lai.w kZ xq.koÙkk 6] 7] 13] 14] 17
ifj.kkeksa dh O;k[;k djuk

vki fu”d”kZ fudkyus ds fy, fooj.kkRed fo’ys”k.k ¼ek/;] xzkQ bR;kfn½ dk ;k vkuqekfud vkadM+ksa dk p;u djsaxAs
fooj.kkRed fo’ys”k.k
vkadM+ksa dk fooj.kkRed fo’ys”k.k djus ds fy,] fuEu pj.kksa dk vuqlj.k djsa %&
…
Core Values
In the above diagram, it can be seen that Customer Focus and Mutual Respect & Trust are rated lowest
by all levels. Hence, an action plan for improving these areas all over should be worked upon. Employee
comments and answers to the open ended questions may help in the process. Similarly, it can be seen
Innovation & Speed has been rated highest. However, it is comparatively low for E7+ executives. Hence,
it needs to be investigated further.
2. Plot a bar chart of department wise parameter scores and carry out comparisons as mentioned in Sl. No.
1. For instance, look at the following diagram and draw conclusions in lines with example in Sl. No.1
5.0
4.5 O&M
4.0
3.5 HR
3.0 Fin
2.5 C&M
2.0
1.5 IT
1.0
B C O M I T
3. Compare the above findings with past data if any

4. Sift through employee comments and suggestions recorded in the Word/ note Pad in response to the
open ended questions to seek clues on why a particular value has been rated low or high
Inferential Statistics
Following inferential tools can be used for analyzing recorded data. One may carry out this analysis using MS
Excel or even manually. However, SPSS is best suited for this purpose.
1. Use z-test or t-test to approve/ disapprove null hypothesis for any of the core values or constituent
items.
For example, mean score of W0-W11 employees on Business Ethics in 3.2. Since it is within range, you
may wish to conclusively state whether Business Ethics has been rated a "3" (Neither agree nor disagree)
by W0-W11 employees at a given level of significance (eg. 0.05). You may perform a two-tailed z –test as
follows –
i. Stating Null & Alternative hypothesis
Null Hypothesis (H0): B W0-W11 = 3
Alternative Hypothesis: B W0-W11 ≠ 3
4
1- ewy ekU;rk,a
mís’;
bl izy[s k dk vfHkdYiu ewy ekU;rkvksa ds dk;kZUo;u ds Lrj dk irk yxkus ds fy, fd;k x;k gSA bldk fodkl ,uVhihlh dh ewy
ekU;rkvksa (ch&lh vks ,e vkbZ Vh) ds bnZ&fxnZ fd;k x;k gSA
vkof/kdrk
;g loZ{s k.k izR;sd o”kZ fd;k tk,xkA
tuleqnk;
lHkh deZpkjh] dk;Zikyd rFkk xSj&dk;Zikyd
izkpy
bl iz’ukoyh dk vfHkdYiu ,uVhihlh dh ewy ekU;rkvksa ds lac/a k esa fd;k x;k gS tks fuEu izdkj gSa %&
1- O;kolkf;d uSfrdrk
;g izkpy ofj”B izca/kdksa rFkk deZpkfj;ksa }kjk vuqjf{kr fd, tk jgh O;kolkf;d uSfrdrk ds ckjs esa deZpkjh vo/kkj.kk dks ekiuk gSA
2- xzkgd dks iz/kkurk
bl izkpy esa gekjh laLÑfr ds xzkgd vfHkeq[khdj.k dks ekik tkrk gSA
3- laxBukRed rFkk O;kolk; ij xkSjo
bl izkpy esa daiuh esa deZpkjh LokfeRo rFkk muds }kjk viuk dk;Z djus esa xoZ dks ekik tkrk gSA
4- ijLij vknj vkSj fo'okl
;g izkpy gesa deZpkfj;ksa ds chp ikjLifjd vknj rFkk fo’okl ds lkekU; Lrj dh tkudkjh nsrk gSA
5- uoizorZu vkSj xfr

;g izkpy ekirk gS fd D;k gekjh laLÑfr uoizorZu vkSj xfr ds fy, vuqdy
w Gssa
6- lai.w kZ xq.koÙkk ls mRd`"Vrk

bl izkpy esa ;g vkdyu fd;k tkrk gS fd D;k ,uVhihlh xq.krk ds mPp Lrj dks izkRs lkgu nsrk gS rFkk lrr~ vf/kxe dks laof/kZr
djrk gSA
ƒ
Core Values
Validity
The parameters used are in line with Core Values of NTPC. The construct validity of the questionnaire, in
terms of definition of core values given above, is considerably high. The correlation (bivariate) between vari-
ous items under each parameter has been found to be significant at 0.01 level of significance (2-tailed).
Administration
Step 1: Finalizing the Questionnaire
The questionnaire should be administered as it is. One may also choose to include one or two open ended
questions in order to invite employee suggestions or subjective feedback. For example –
“Please give suggestions on core values actualization at your unit”
Or, more specifically
“Please give suggestions on how to encourage innovation amongst employee”
Step 2 – Determining the Sample

Once the questionnaire has been framed it may be administered on a sample of randomly selected employees.
The sample size may be calculated as –
Sample Size = 384/(1+(383/P))
where P is the population of the plant
For example, if there are 1000 employees in the plant, then

Sample Size = 384/(1+(383/1000))
= 384/1.383
= 277.66 ~ 278
Hence, sample size for above population is 278.
After deciding the sample size, ensure that it is representative of the population, i.e., distributed proportion-
ately for all levels. Since numbers of levels in NTPC are many, we can divide them in bands for our purpose as
follows –
Grade W0 – W11 = Band 1 (Workmen)
Grade E1 – E4 = Band 2 (Team Members)
Grade E5 – E6 = Band 3 (Team Leaders)
Grade E7+ = Band 4 (HoDs)
Step 3 – Data Collection and Recording

The questionnaires may be administered on the selected sample either through paper-pencil mode or over e-
mail as may be deemed fit. The data from filled up questionnaires should be recorded in an MS Excel work-
2
ewy ekU;rk,a
7- fo’oluh;rk
125 deZpkfj;ksa ds vkadM+s ij fLIyV&gkWQ fo’oluh;rk ijh{k.k dk iz;ksx djus ij bl izy[s k dh fo’oluh;rk 0-0-86 ikbZ xbZ gSA vYQk
Øksucsp lgxq.kukad dk iz;ksx djds fofHkUu izkpyksa dh iSekuk fo’oluh;rk 60 izfr’kr ls 74 izfr’kr ikbZ xbZ gSA
oS/krk
iz;Dq r izkpy ,uVhihlh ds ewy ekU;rkvksa ds leuq:i gSAa Åij nh xbZ ewy ekU;rkvksa dh ifjHkk”kk ds vuqlkj iz’ukoyh dh izyf{kr oS/krk
i;kZIr gSA izR;sd izkpy ds v/khu fofHkUu enksa dk lglaca/k ¼f}pj½ egÙkk ¼f}&lizPN½ ds 00--01 LRkj ij egRoiw.kZ ik;k x;k gSA
iz’kklu
pj.k 1 & iz’ukoyh dks vafre :i nsuk

iz’ukoyh dks ;Fkkor~ iz’kkflr fd;k tk,xkA deZpkjh lq>ko ;k fo”k;xr tkudkjh vkeaf=r djus ds mís’; ls ,d ;k nks o.kZukRed mRrj
okys iz’u ‘kkfey fd, tk ldrs gSAa mnkgj.kkFkZ %&
^^Ñi;k vius ;wfuV esa ewy ekU;rkvksa ds fØ;kUo;u ds laca/k esa lq>ko nsAa **
vFkok] fof’k”V :i lsa
Ñi;k lq>ko nas fd deZpkfj;ksa esa uokpkj dks fdl izdkj izksRlkfgr fd;k tk ldrk gSA**
pj.k 2 & uewus dk fu/kkZj.k djuk

iz’ukoyh dk ,d ckj fuekZ.k dj fy, tkus ds i’pkr] bls ;kn`fPNd :i ls p;fur deZpkfj;ksa ds uewus ij iz’kkflr fd;k tk,xkA uewus ds
vkdkj dk ifjdyu fuEu izdkj fd;k tk,xk %&
uewus dk vkdkj ¾ 384@¼1$383@ta-½
tgka ^ta-* la;a= dh tula[;k gSa
mnkgj.kkFkZ] ;fn la;a= esa 1000 deZpkjh gS]a

rks uewus dk vkdkj ¾ 384@¼1$383@1000½
¾ 384@1-
384@1-383
¾ 277-
277-66 ;k 278
vr%] ;gk¡ mDr tula[;k ds fy, uewus dk vkdkj 278 gSA
uewus dk vkdkj dk fu.kZ; djus ds i’pkr~] ;g lqfuf’pr djsa fd og tula[;k dk izfrfuf/kd gS vFkkZr~ lHkh Lrjksa ds fy, lekuqikfrd :i :i
ls forfjr gSA pwfa d ,uVhihlh esa Lrjksa dh la[;k dkQh vf/kd gS] ge vius iz;ksTku ds fy, mUgsa cSMa ksa ¼oxkZsa½ esa fuEu izdkj foHkkftr
foHkkftr dj
ldrs gSa %&
xzMs MCY;wvks & MCY;w 11 ¾ cSMa ¼oxZ ½1 ¼odZeSu½
xzMs bZ 1 & bZ 4 ¾ cSMa ¼oxZ½ 2 ¼Vhe lnL;½
„
Core Values
sheet. Responses to open ended questions should be separately recorded in a MS Word Document or Note
Pad.
Scoring
The questionnaire contains 30 questions on 1-5 scale where “1” stands for “Strongly Disagree” and “5” stands
for “Strongly Agree”. There are no negative questions in the questionnaire. As a thumb rule, any score above
3 can be considered “Good” while a score below 3 can be considered “Poor”.
A separate score for each core value can be calculated as follows –
1. For each respondent, calculate the average score of the items pertaining to the core value.
2. Calculate average score for all respondents to arrive at the core value score
3. To obtain band (grade) wise scores, calculate average score for respondents within the grade band.
4. To obtain department wise scores, calculate average score of respondents within the department.
Parameters Items
Business Ethics 1, 8, 22, 24, 25

Customer Focus 2, 9, 16, 21, 23
Organizational and Professional Pride 5, 15, 18, 19, 26
Mutual Respect and Trust 3, 4, 12, 27, 28
Innovation and Speed 10, 11, 20, 29, 30
Total Quality for Excellence 6, 7, 13, 14, 17
Interpreting Results
You may choose either of descriptive analysis (means, graphs etc.) or inferential statistics to draw conclusions.
Descriptive Analysis
To carry out a descriptive analysis of the data, follow the given steps –
1. Plot a bar chart of grade-band wise
scores for each core value. Compare 4.5
length of bars of various grade bands 4.0
3.5 W0-W11
to find out which grades have rated
3.0 E1-E4
the core values low. For grades that
2.5 E5-E6
have given comparatively low scores
2.0 E7+
or have rated any core value below 3, 1.5
refer the item wise scores of that core 1.0
value. For instance, look at the adja- B C O M I T
cent diagram
3
ewy ekU;rk,a
-1- izR;sd ewy ekU;rk ds fy, xzMs &cSMa ¼oxZ½ ckj vaduksa dk ckj pkVZ cuk,aA fofHkUu xzMs cSMa ksa ¼oxkZsa½ dh ckjksa ¼LrEHkks½a dh yackbZ
ckbZ dh
rqyuk ;g tkuus ds fy, djsa fd fdu xzMs ksa us ewy ekU;rk dks fuEu nj fu/kkZfjr fd;k gSA ftu xzMs ksa dks rqYkukRed :i ls fuEu vadu
fd;k x;k gS ;k ftl fdlh Hkh ewy ekU;rk dh nj 3 ls de nj fu/kkZfjr fd;k x;k gS] muds fy, ml ewy ekU;rk ds en okj vadu ns
[ksAa mnkgj.k ds fy, bl vkjs[k dks ns[ksAa
mDr vkjs[k es]a ;g ns[kk tk ldrk gS fd ^xzkgd dks iz/

kkurk* rFkk îjLij vknj ,oa fo’okl* dks lHkh Lrjksa } 4.5
4.0
kjk fuEure vad fn, x, gSAa vr% loZ= bu {ks=ksa esa lq/ 3.5 W0-W11
kkj ykus ds fy, ,d dk;Z ;kstuk rS;kj dh tkuh 3.0 E1-E4
pkfg,A o.kZukRed mÙkj okys iz’uksa ds mÙkj rFkk 2.5 E5-E6
deZpkjh fVIif.k;ka bl izfØ;k esa lgk;d gksxa hA blh 2.0 E7+
1.5
izdkj] ;g ns[kk tk ldrk gS fd ûoizorZu vkSj xfr*
1.0
dh nj lokZPs p gS] ysfdu] bZ 7$ dk;Zikydksa ds ekeys B C O M I T
esa ;g rqyukRed :i ls fuEu gSA vr% bldh vkxs vkSj
tkap dh tkuh vko’;d gSA
5.0
-2- foHkkx okj izkpy vaduksa dk ckj pkVZ cuk,a rFkk Øekad 4.5 O&M
1 esa ;Fkk mfYyf[kr rqyuk,a djsAa mnkgj.kkFkZ] uhps fn, 4.0
HR
3.5
x, vkjs[k dks ns[ksa rFkk Øekad 1 esa fn, x, mnkgj.k 3.0 Fin
dh rtZ ij fu”d”kZ fudkysAa 2.5 C&M
2.0
1.5 IT
1.0
-3- mDr fu”d”kkZsa dh foxr vkadM+ksa ds lkFk rqyuk djsAa
B C O M I T
-4- ;g irk yxkus ds fy, fd fdlh fof’k”V ekU;rk dks fuEu ;k mPp nj fu/kkZfjr D;ksa fd;k x;k gS] o.kZukRed mRrj okys iz’uksa dh vu-
qfØ;k Lo:i oMZ@uksV iSM esa vfHkys[kc) deZpkjh fVIif.k;ksa rFkk lq>koksa dk v/;;u djsA
vkuqekfud vkadM+s
vfHkys[kc) vkadM+ksa dk fo’ys”k.k djus ds fy, fuEufyf[kr vkuqekfud ek/;ksa dk iz;ksx fd;k tk ldrk gSA ;g fo’ys”k.k ,e ,l ,Dlsy dk
dk
iz;ksx djds vFkok gLr izfØ;k ls Hkh fd;k tk ldrk gSA rFkkfi] ,lih,l,l bl iz;kstu ds fy, lcls vf/kd mi;qDr gSA
-1- fdlh ewy ekU;rk ;k mldh la?kVd enksa ls lEcaf/kr v'kDr izkDdYiuk @ uy gkbiksFkhflt dks vuqeksfnr djus ds fy, tsM&ijh
{k.k ;k Vh&ijh{k.k dk iz;ksx djaAs
mnkgj.kkFkZ] Ô;kolkf;d uSfrdrk* ds lac/a k esa MCY;w ‘kwU; & MCY;w 11 deZpkfj;ksa dk vkSlr vadu 3-3-2 gSA pwafd ;g ifjf/k ds varxZr gS]
vki fu”d”kZ.kkREkd :i ls ;g dFku djuk pkgsxa s fd D;k Ô;kolkf;d uSfrdrk* dks MCY;w ‘kwU; & MCY;w 11 deZpkfj;ksa us fn, x, egÙkk
ds Lrj ij ¼mnkgj.kkFkZ 0-0-05½ ^^3** fu/kkZfjr fd;k x;k gSA bldsfy, vki fuEu izdkj ,d f}izPN tsM ijh{k.k dk fu”iknu dj ldrs gSa
&
†
Core Values
ii. Z Critical 95% significance level: Z Critical 0.05 = 1.96

iii. Z Calculated (from data recorded): Z Calculated = 2.1
iv. As Z Calculated > Z Critical 0.05 , it lies in region of rejection. Hence, we reject Null Hypothesis
2. Either use one-way or two-way ANOVA to compare grade wise and department wise core values score
3. Use any of the paired-comparison tools like Dependent Samples t-test or two-way ANOVA to compare
scores with similar data recorded in the past
5
ewy ekU;rk,a
• ux.; rFkk oSdfYid izkDdYiuk dk dFku djrs gq,

v'kDr izkDdYiuk ¼,p 0½ % ch MCY;w 0 & MCY;w 11 ¾ 3
oSdfYid izkDdYiuk % ch MCY;w 0 & MCY;w 11 ¾ 3
• tsM laons h 95 izfr’kr egÙkk % tsM laons h 0-
0-05 ¾ 1-1-96
• tsM ifjdfyr ¼vfHkys[kc) vkadM+ksa es½a tsM ifjdfyr ¾ 2-2-1
• pwafd tsM tsM
ifjdfyr laons h 0-0-05] ls vf/kd gS] ;g vLohdj.k ds {ks= esa vkrk gSA vr%] ge v'kDr izkDdYiuk @ uy gkbiksFkhflt dks
vLohdkj djrs gSAa
2- xzMs okj rFkk foHkkxokj ewy ekU;rk vadu dh rqyuk djus ds fy, ,d ekxhZ ;k nks ekxhZ ,uksok dk iz;ksx djsAa
3- foxr esa vfHkys[kc) leku izdkj ds vkadM+ksa ds lkFk vadu dh rqyuk djus ds fy, fdlh Hkh ;qfXer & rqyuk lk/kuksa tSls fuHkZj
uewuk Vh&ijh{k.k ;k nks&ekxhZ ,uksok dk iz;ksx djsAa
‡
Core Values
Core Values Questionnaire

Instruction
The following questionnaire has been designed to measure the extent of core values (B-COMIT) actualization.
Please give your free and candid opinion. Your responses shall be treated with utmost confidentiality. Please
rate the following statements on 1-5 scale, “1” being “Strongly Disagree”, by putting a tick mark () in the
appropriate cell.
Respondent details:-
Grade: ______________________ Department: _____________________
Neither
Strongly Strongly
SN. Statement Disagree Agree nor Agree
Disagree Agree
Disagree
Seniors/subordinates do not blame each other for

1 1 2 3 4 5
work lapses.
2 Customer complaints are redressed without delay 1 2 3 4 5
Employees help each other on work related mat-
3 1 2 3 4 5
ters.
4 I trust my boss. 1 2 3 4 5
I am concerned about the performance of station/
5 1 2 3 4 5
project in which I am involved.
Top management appreciates and rewards sincere
6 1 2 3 4 5
and dedicated work.
Employees always set high standards of work in
7 1 2 3 4 5
NTPC.
Top management does not show partiality while
8 1 2 3 4 5
taking decision on promotions.
Employees are by and large courteous (greetings,

9 offering assistance/ seat etc.) and provide service to 1 2 3 4 5
both internal and external customers with a smile.
Employees in NTPC have freedom to take on the
10 1 2 3 4 5
spot decisions regarding their immediate work.
11 Employees take risks without the fear of failure. 1 2 3 4 5
12 Employees in NTPC don’t speak ill of each other. 1 2 3 4 5
Employees are encouraged to acquire multiple
13 1 2 3 4 5
skills/ competencies.
6
ewy ekU;rk,a
ewYk ekU;rk iz’ukoyh

vuqn’s k
ewy ekU;rkvksa ¼ch&lh vks ,e vkbZ Vh½ ds fØ;kUo;u ds Lrj dks ekius ds fy, fuEu iz’ukoyh vfHkdfYir dh xbZ gSaSA Ñi;k viuh Lora=
rFkk fu”i{k jk; nsAa vkids mRrj gekjs fy, egÙoiw.kZ gSa vkSj bUgsa iw.kZr;k xksiuh; j[kk tk,xkA Ñi;k mfpr dks”Bd esa lgh dk fpg~u ¼a½
yxkdj 1 ls 5 ds iSekus ij] fuEufyf[kr fooj.kksa dh nj fu/kkZfjr djsAa ;gkaWa¡ 1 ^îw.kZr;k vlger** ds fy, gSA
izR;FkhZ dk C;ksjk %
xzMs &&&&&&&&&&&&&&&&&&& foHkkx &&&&&&&&&&&&&&&
Ø- la- dFku iw.kZr;k vlger u rks lger lger iw.kZr;k

vlger gksuk gksuk vkSj u gh gksuk lger
vlger gksuk
1 dk;Z Bhd ls u gksus ij ofj”B vf/kdkjh ,oa v/khuLFk 1 2 3 4 5
deZpkjh ,d nwljs ij nks”k ugha MkyrsA
2 xzkgdksa dh f’kdk;rksa ij vfoyEc dk;Z tkrk gSA 1 2 3 4 5
3 deZpkjh dk;Z esa ,d nwljs dh lgk;rk djrs gSA 1 2 3 4 5
4 eq>s vius izca/kd vf/kdkjh ij iw.kZ fo’okl gSA 1 2 3 4 5

5 eSa vius la;a=@ifj;kstuk ds fu”iknu ds gfr esa 1 2 3 4 5
lksprk gw¡A
6 ‘kh”kZ izc/a kd dÙkZO; fu”B rFkk lefiZr deZpkfj;ksa dh 1 2 3 4 5
ljkguk djrs gS rFkk mUgsa iqjLÑr djrs gaSA
7 ,uVhihlh esa deZpkjh lnSo dk;Z ds mPp ekud fu/ 1 2 3 4 5

kkZfjr djrs gSAa
8 ‘kh”kZ izca/kd inksUufr;ksa laca/kh fu.kZ; ysrs le; i{kikr 1 2 3 4 5
ugha djrs
9 vkarfjd ,oa ckg~; xzkgdksa dks deZpkjh fouezrk iwoZd 1 2 3 4 5
¼vfHkoknu] lgk;rk@cSBus dh is’kd’k djuk bR;kfn½
lsok iznku djrs gSa
10 ,uVhihlh esa deZpkfj;ksa dks vius rkRdkfyd dk;Z ds 1 2 3 4 5
lac/a k esa rR{k.k fu.kZ; ysus dh Lora=rk gSA
11 deZpkjh vlQyrk ds Hk; ds fcuk tksf[ke mBk ysrs gSa 1 2 3 4 5
12 ,uVhihlh esa deZpkjh ,d nwljs dh cqjkbZ ugha djrsA 1 2 3 4 5
ˆ
Core Values
SN. Statement Strongly Disagree Neither Agree Strongly

Disagree Agree nor Agree
Disagree
Management has been changing its policies and

14 1 2 3 4 5
practices to remain abreast with world class
I act as an ambassador of NTPC when ever

15 1 2 3 4 5
there is an opportunity
Systems in NTPC facilitate prompt customer

16 1 2 3 4 5
services
We discuss and invite new ideas to improve
17 1 2 3 4 5
quality of work.
18 Employees take pride in the work they do 1 2 3 4 5
I talk and feel about NTPC as if it is my com-

19 1 2 3 4 5
pany.
Employees are encouraged to experiment with

20 1 2 3 4 5
new methods and try out new ideas.
Customer complaints are taken as feedback for
21 1 2 3 4 5
improvement.
Top management demonstrates ethical stan-
22 1 2 3 4 5
dards in their actions.
Commitments and assurances made to internal
23 1 2 3 4 5
customers are honored at NTPC
Company norms and regulations are followed
24 1 2 3 4 5
by all
If a mistake has been done by my colleague, I
25 1 2 3 4 5
believe in pointing it out to him in private
26 I cannot listen to NTPC’s criticism 1 2 3 4 5
Difference of opinion does not lead to mistrust
27 1 2 3 4 5
amongst employees
Employees share information and problems
28 1 2 3 4 5
with each other
Top management has created a system and en-
29 1 2 3 4 5
vironment to take speedy decision
Top management encourages employees to take
30 1 2 3 4 5
up entrepreneurial role
Add open-ended questions
7
ewy ekU;rk,a
Ø- la- dFku iw.kZr;k vlger u rks lger lger iw.kZr;k

vlger gksuk
13 deZpkfj;ksa dks cgq dkS’ky @ l{kerk,a vftZr djus ds 1 2 3 4 5
fy, izksRlkfgr fd;k tkrk gSA
14 izca/kd ,uVhohlh dks fo’o Js.k cuk, j[kus ds fy, 1 2 3 4 5
uhfr;ksa rFkk i)fr;ksa esa ifjorZu djrs jgs gSAa
15 volj feyus ij eSa ,uVhihlh ds nwr ds #i esa daiuh 1 2 3 4 5
dk ldkjkRed izpkj djrk gw¡ A
16 ,uVhihlh dh dk;Z iz.kkfy;k¡ xzkgdksa dks vfoyEc lsok 1 2 3 4 5
iznku djus esa l{ke gSAa
17 ge dk;Z dh xq.koRrk esa lq/kkj ykus ds fy, ppkZ djrs 1 2 3 4 5
gSa vkSj u, fopkj vkeaf=r djrs gSAa
18 deZpkjh viuk dk;Z xoZ ls djrs gSAa 1 2 3 4 5
19 eSa ,uVhihlh esa LokfeRo dh Hkkouk j[krk gw¡A 1 2 3 4 5
20 deZpkfj;ksa dks ubZ fof/k;ksa ds lkFk iz;ksx djus rFkk 1 2 3 4 5
u, fopkjksa dk ijh{k.k djus ds fy, izkRs lkfgr fd;k
tkrk gSA
21 xzkgdksa dh f’kdk;rksa@ iqufuoZ’s ku ds vk/kkj ij dk;Z 1 2 3 4 5
iZ.kkfy;ksa esa lq/kkj yk;k tkrk gSA
22 ‘kh”kZ izca/kd vius dk;kZsa esa uSfrd ekudksa dk izn’kZu 1 2 3 4 5
djrs gSAa
23 ,uVhihlh esa vkarfjd xzkgdksa dks fn, x, vk’ok- 1 2 3 4 5
luksa ,oa opuksa dk lEeku fd;k tkrk gSA
24 lHkh yksx daiuh ekudksa rFkk fofu;eksa dk vuqlj.k 1 2 3 4 5
djrs gSAa
25 ;fn esjs fdlh lg;ksxh us dksbZ xyrh dh gS] rks eSa 1 2 3 4 5
blds ckjs esa mls vyx ls crkus esa fo’okl j[krk gwAa
26 eSa ,uVhihlh dh vkykspuk ugha lqu ldrk 1 2 3 4 5
27 er dh fHkUurk ;k vlgefr ds dkj.k deZpkfj;ksa esa 1 2 3 4 5
vfo’okl mRiUu ugha gksrkA
28 deZpkjh ,d nwljs ds lkFk lwpuk rFkk leL;kvksa dk 1 2 3 4 5
vknku&iznku djrs gSAa
29 ‘kh”kZ izca/kdksa us vfoyEc fu.kZ; ysus ds fy, mfpr 1 2 3 4 5
iz.kkyh rFkk ifjos’k dk l`tu fd;k gSA
30 deZpkfj;ksa dks m|edkfjrk Hkwfedk dk fuoZgu djus ds 1 2 3 4 5
fy, ‘kh”kZ izca/kd izkRs lkfgr djrs gSa
,d ;k nks o.kZukRed mRrj okys iz’u

‰
2. EMPLOYEE RELATIONS CLIMATE
Objective
The objective of this instrument is to find out the employee relations climate t he unit. The instrument has
been designed on four dimensional framework of NTPC’s employee relations strategy as shown below
Top Down Communication
Objective: To disseminate the vision and strategy

throughout the organisation
Employee Welfare Employee Participative

Activities Systems
Objective: Hygiene factor to Employee Objective: To ensure
ensure a motivated and Relations employee participation in
efficient workforce Strategy decision making process
Employee Feedback Systems

Objective: ‘Listening system’ for top management for
awareness about grass root issues; System to receive
feedback from employee regarding effectiveness of
organisational policies and decision
Parameters
The questionnaire measures 4 aspects of NTPC’s employee relations strategy -
1. Top Down Communications
This parameter defines top-down communications from management to employees. It refers to infor-
mation sharing and concern shown for employees by the senior management
2. Employee Feedback systems
This parameter measures whether management seeks employee feedback and acts on the feedback. It
also fins out whether employees share their concerns with the management.
3. Participative Decision Making
This parameter measures employee perception of management’s commitment towards participative
decision making and the role played by joint decision making fora
4. Employee Welfare
This parameter measures employee perception of management commitment towards employee wel-
fare and the standard of welfare facilities in NTPC.
Frequency
This survey should be carried out once in two years
8
2- deZpkjh laca/k ifjos’k
mís’;
bl izy[s k dk mís’; ;wfuV esa deZpkjh laca/k ifjos’k dk irk yxkuk gSA bl izy[s k dk fuZek.k ,uVhihlh ds deZpkjh lac/a k dk;Zuhfr ds
prqvkZ;keh <kaps dks vk/kkj ekudj fd;k x;k gS tSlkfd uhps n’kkZ;k x;k gSA
Åij ls uhps lapkj

mís’; %&
laiw.kZ laxBu esa ladYiuk RkFkk dk;Zuhfr
dk izlkj djukA
deZpkjh dY;k.k fØ;kdyki deZpkjh izfrHkkfxrk iz.kkfy;ka

mís’; %&
deZpkjh lac/a k mís’; %&
LokLF;dkfjrk dk dkjd ,d izsfjr rFkk dk;Zuhfr fu.kZ;u izfØ;k esa deZpkjh izfrHkkfxrk
n{k dk;Z cy lqfuf’pr djsxkA lqfuf’pr djukA
deZpkjh QhM cSd iz.kkfy;ka

mís’; %&
vk/kkfjd leL;kvksa ds lac/a k esa tkx:drk
ds fy, ‘kh”kZ izca/ku ds fy, ^^Jo.k
iz.kkyh**] iz.kkyh laxBukRed uhfr;ksa rFkk
fu.kZ; dh izHkkokRedrk ds laca/k esa
deZpkjh ls iqufuoZ’s ku izkIr fd;k tk,xkA
izkpy
iz’ukoyh esa ,uVhihlh ds deZpkjh lac/a k lac/a kh dk;Zuhfr ds pkj igyqvksa dks ekik tkrk gS %&
1- Åij ls uhps lapkj
bl izkpy esa izc/a kdksa ls deZpkfj;ksa dks Åij ls uhps fd;k tkus okyk lapkj ifjHkkf”kr fd;k x;k gSA blesa lwpuk lk>snkjh rFkk
ofj”B izc/a kdksa }kjk deZpkfj;ksa ds fy, n’kkZ;h xbZ fpark dk mYys[k fd;k x;k gSA
2- deZpkjh QhM cSd iz.kkfy;ka
bl izkpy esa ;g ekik tkrk gS fd D;k izc/a kd deZpkjh iqufuZo's ku izkIr djrs gSa rFkk ml ij dk;ZokbZ djrs gSAa blesa ;g Hkh irk
yxk;k tkrk gS fd D;k deZpkjh izc/a kdksa ds lkFk viuh fparkvksa dh lgHkktu djrs gSAa
3- izfrHkkxh fu.kZ;u
bl izkpy esa izfrHkkxh fu.kZ;u dh vksj izca/kdksa dh izfrc)rk ds lac/a k esa deZpkjh dh vo/kkj.kk rFkk la;Dq r fu.kZ;u lfefr }kjk
Š
Employee Relations Climate
Population
All employees, executives and non-executives
Reliability
The reliability using Split-half reliability test based on data of 128 executives has been found to be 93%. The
scale reliability of different parameters using Alpha Cronbach coefficient has been found to be 76% to 89%.
The instrument can be considered reliable enough for our purpose.
Validity
The questionnaire is based on NTPC’s four dimensional employee relations strategy. The face validity of the
instrument is reasonable high. To measure the construct validity, factor analysis was performed on data re-
corded for 128 respondents. 6 factors were extracted that together explain 72% variance in the scores. The
rotated component matrix is given on next page. Factor loadings above .3 and above have been mentioned.
Highest Factor loading for any item is in bold font.
The extracted factors and their combination is consistent with the parameters used. Top-Down Communica-
tions is a combination of Factors 1 and 3. Factor 1 has high loadings on most items of Top-Down Communi-
cations and Employee Welfare. This factor tells us about management concern for employees which is com-
municated through management words and action. Factor 1 can hence be termed “Management Concern”.
Factor 3 has high loadings on items pertaining to information sharing between employees and management.
Participative decision Making is a combination of factors 2 and 5. Factor 2 has high loadings on 5 out of 6
items of Participative Decision Making. It also has high loadings on 2 items of employee feedback system and
2 items of employee welfare. This factor reflects employee perception of management’s commitment towards
participative decision making, i.e., if they take decisions in a participative manner and honor such decisions.
Factor 5 has high loadings on 2 items of Participative Decision Making. These items are about visibility of
Joint Management Committees.
Factor 6 has highest loading on 2nd item of Employee Feedback System. This item pertains to openness of
management towards receiving feedback from employees. Factor 4 has high loadings on item 3 and 4 of Em-
ployee Feedback system which pertain to employees discussing their personal and professional problems with
seniors. These two factors along with 3 items of factor 2 and 2 items of factor 1 define Employee Feedback
system. Similarly, Employee Welfare has high loadings mostly on items on factor 1 and 2 which reflect em-
ployee perception of concern and importance of employee welfare for management in NTPC and action being
taken for improvement.
9
deZpkjh laca/k ifjos’k
fuHkkbZ tkus okyh Hkwfedk dks ekuk tkrk gSA

4- deZpkjh dY;k.k
;g izkpy deZpkfj;ksa ds dY;k.k ds fy, izca/kdksa dh izfrc)rk ds laca/k esa deZpkjh vo/kkj.kk rFkk ,uVhihlh esa dY;k.k lqfo/kkvksa ds
ekud dks ekirk gSA
vkof/kdrk
;g loZ{s k.k izR;sd nks o”kksaZ esa ,d ckj fd;k tk,xkA
tuleqnk;
lHkh deZpkjh] dk;Zikyd rFkk xSj&dk;Zikyd
fo’oluh;rk
128 dk;Zikydksa ds vkadM+ksa ij vk/kkfjr fLIyV&gkQ fo’oluh;rk ijh{k.k dk iz;ksx djrs gq, fo’oluh;rk 93 izfr’kr ikbZ xbZ gSA vYQk
Øksucsp lgxq.kukad dk iz;ksx djrs gq, fofHkUu izkpyksa dh iSekuk fo’oluh;rk 76 izfr’kr ls 89 izfr’kr ikbZ xbZ gSA bl izy[s k dks gekjs
iz;kstu ds fy, i;kZIRk fo’oluh; ekuk tk ldrk gSA
oS/krk
;g iz’ukoyh prq;Z keh deZpkjh lac/a k dk;Zuhfr ij vk/kkfjr gSA izy[s k dh vafdr oS/krk rdZlxa r :i ls mPp gSA yf{kr oS/krk dks ekius ds
fy,] 128 izR;kf’kZ;ksa ds fy, vfHkys[kc) vkadM+ksa ds laca/k esa dkjd fo’ys”k.k fd;k x;kA 6 dkjd fudkys x, tks fey dj vaduksa esa 72
izfr’kr varj dks Li”V djrs gSA vkorZd la?kVd eSfVªd vxys i`”B ij fn;k x;k gSA 0-0-3 rFkk mlls Åij ds dkjd lkjka’kkas dk mYys[k fd;k
fd;k
x;k gSA fdlh Hkh en ds fy, mPpre dkjd lkjka’k dks eksVs v{kjksa esa n’kkZ;k x;k gSA
fudkys x, dkjd rFkk mudk la;kstu iz;Dq r izkpyksa ds lqlaxr gSA ^Åij ls uhps lapkj* dkjd 1 rFkk 3 dk la;kstu gSA dkjd 1 esa ^Åij
ls uhps lapkj* rFkk ^deZpkjh dY;k.k* dh vf/kdka’k enksa ds lac/a k esa mPp lkjka’k gSA ;g dkjd deZpkfj;ksa ds fy, izc/a ku dh fpark ds ckjs esa
crkrk gS ftls izc/a ku ds ‘kCnksa rFkk dk;kZsa ds ek/;e ls lalfw pr fd;k tkrk gSAa vr% dkjd 1 dks îzc/a ku fpark* dgk tk ldrk gSA dkjd 3
esa deZpkfj;ksa rFkk izc/a kdksa ds chp lwpuk lk>snkjh ls tqM+s enksa ds lac/a k esa mPp lkjka’k gSA
îzfrHkkfxrk fu.kZ;* dkjd 2 rFkk 5 dk la;kstu gSA dkjd 2 esa îzfrHkkfxrk fu.kZ;u* dh 6 enksa esa ls 5 enksa ds lac/a k esa mPp lkjka lkjka’k gSA bl
esa deZpkjh QhM cSd iz.kkyh dh 2 enksa rFkk deZpkjh dY;k.k dh 2 enksa ds lac/a k esa mPp lkjka’k gSAa ;g dkjd izfrHkkfxrk fu.kZ;u dh fn’kk
esa izc/a ku izfrc)rk ds ckjs esa deZpkjh vo/kkj.kk dks n’kkZrk gS] vFkkZRk~ D;k os izfrHkkxh rjhds ls fu.kZ; ysrs gSa rFkk ,sls fu.kZ;ksa dk lEeku djrs
gSAa dkjd 5 esa izfrHkkxh fu.kZ; ds 2 enksa ds lac/a k esa mPp lkjka'k gSA ;g en la;Dq r izc/a ku lfefr dh n`';rk ds ckjs esa gSA
dkjd 6 esa deZpkjh QhM cSd iz.kkyh dh f}rh; en dk mPpre lkjka’k gSAa ;g en deZpkfj;ksa ls QhM cSd izkIr djus dh fn’kk esa izca/kkuu dh
fu"Bk ds ckjs esa gSA dkjd 4 esa deZpkjh QhM cSd iz.kkyh dh en 3 rFkk 4 ij mPp lkjka’k gSa tks deZpkfj;ksa }kjk vius ofj”B vf/kdkfj;ks
vf/kdkfj;ksa ds
lkFk viuh O;fDrxr rFkk O;kolkf;d leL;kvksa ij ppkZ djus lacfa /kr gSA dkjd 1 dh 2 ensa rFkk dkjd 2 dh 3 enksa ds lkFk ;s nks dkjd
‹
Rotated Component Matrix
Component
1 3 4 5 6
TDC1 .724
TDC2 .560 .331 .535
TDC3 .560 .542
TDC4 .399 .757
TDC5 .667 .487
EFC1 .787
EFC2 .477 .717
EFC3 .855
EFC4 .801
EFC5 .404 .524 .401 .402
EFC6 .676
EFC7 .496 .561
PDM1 .424 .675
PDM2 .592 .497
PMD3 .792
PDM4 .811
PDM5 .590 .362 -.359
PDM6 .590 .450
EW1 .641 .418
EW2 .740
EW3 .576 .479
EW4 .765
EW5 .593 .455
EW6 .660 .365
EW7 .530 .411 -.538
EW8 .345 .584
Administration
“Please give your suggestions for improving the effectiveness of Participative Fora at NTPC”
10
deZpkjh QhM cSd iz.kkyh dks ifjHkkf”kr djrs gSAa blh izdkj] deZpkjh dY;k.k esa vf/kdka’kr% dkjd 1 rFkk 2 dh enksa ij mPp lkjka’k gS
tks ,uVhihlh esa izc/a ku ds fy, deZpkjh dY;k.k dh egÙkk rFkk deZpkjh dh fpark dh vo/kkj.kk dks rFkk lq/kkj ds fy, dh tk jgh dkjZokbZ
okbZ
dks n’kkZrk gSA
?kwf.kZr vo;o eSfVªDl
vo;o
1 3 4 5 6
Åij ls uhps lapkj 1 -724
Åij ls uhps lapkj 2 -560 -331 -535
Åij ls uhps lapkj 3 -560 -542
Åij ls uhps lapkj 4 -399 -757
deZpkjh QhM cSd iz.kkfy;ka 1 -787

-717
deZpkjh QhM cSd iz.kkfy;ka 3
-402
deZpkjh QhM cSd iz.kkfy;ka 5 -404 -524 -801
deZpkjh QhM cSd iz.kkfy;ka 6 -676 -401
deZpkjh QhM cSd iz.kkfy;ka 7 -496 -561
izfrHkkxh fu.kZ;u 1 -424 -675
izfrHkkxh fu.kZ;u 3 -792
izfrHkkxh fu.kZ;u 4
& -359
izfrHkkxh fu.kZ;u 6 -590 -450 -362
deZpkjh dY;k.k 1 -641 -418
deZpkjh dY;k.k 2 -740
deZpkjh dY;k.k 4 -765
deZpkjh dY;k.k 7 -530 -411 & -538
ƒ0

Sample Size = 384/(1+(383/P))

Sample Size = 384/(1+(383/1000))
= 384/1.383
= 277.66 ~ 278
follows –

Pad.
Scoring
for “Strongly Agree”. Item 16 in the questionnaire is a negative question whose scale has to be reversed before
scoring the questionnaire. This can be done by subtracting the readings from 6. Any score above 3 can be con-
sidered “Good” while a score below 3 can be considered “Poor”.
A separate score for each of the main parameters can be calculated as follows –
1. For each respondent, calculate the average score of the items pertaining to the parameter
2. Calculate average score for all respondents to arrive at the parameter score
3. To obtain band (grade) wise scores, calculate average score for respondents within the grade band
4. To obtain department wise scores, calculate average score of respondents within the department
11
iz’kklu
pj.k & 1 iz’ukoyh dks vafre :i nsuk

iz’ukoyh dks ;Fkkor~ iz’kkflr fd;k tk,xkA deZpkjh lq>ko vkeaf=r djus ;k fo”k;xr QhM cSd izkIr djus ds mís’; ls ,d ;k nks
o.kZukRed mRrj okys iz’u ‘kkfey fd, tk ldrs gSAa mnkgj.kkFkZ %&
^^Ñi;k ,uVhihlh esa izfrHkkxh eap dh izHkkokRedrk esa lq/kkj ykus ds fy, vius lq>ko nsAa **

iz’ukoyh dk ,d ckj rS;kj dj fy, tkus ds i’pkr] bls ;kn`fPNd :i ls p;fur deZpkfj;ksa ij iz’kkflr fd;k tk,xkA uewus dk vkdkj
dk ifjdyu fuEu izdkj fd;k tk,xk %&
tgka ta- la;a= dh tula[;k gSa
mnkgj.kkFkZ] ;fn la;a= esa 1000 deZpkjh gS]a
¾ 384@1-
384@1-383
¾ 277-
277-66~ ;k 278
foHkkftr dj
ldrs gSa %&
xzMs MCY;wvks & MCY;w 11 ¾ cSMa ¼oxZ ½1 ¼odZeSu½

iz’ukoyh dks p;fur uewus ij ;k rks dkxt+ isafly fof/k ls vFkok bZ&esy }kjk] tSlk Hkh mi;qDr le>k tk,] iz’kkflr fd;k tk,xkA Hkjh xbZ
iz’ukofy;ksa ls vkadM+ksa dks ,d ,e ,l ,Dlsy odZ’khV esa vfHkys[kc) fd;k tk,xkA O;k[;kRed mRrj okys iz’uksa dh vuqfØ;kvksa dks
i`Fkd :i ls ,e,l oMZ MkD;qeVsa esa ;k uksV iSM esa vfHkys[kc) fd;k tk,xkA
vad fu/kkZj.k
iz’ukoyh esa 1&5 iSekus ij 26 iz’u gS tgk¡ ^^1** dk vFkZ gS ^îw.kZr;k vlger** rFkk ^^5** dk vFkZ gS ^îw.kZr;k lger**A iz’ukoyh esa en
16 ,d udkjkRed iz’u gSa tgka iz’ukoyh ds leadu ls iwoZ iSekus dks izfrofrZr fd;k tkuk gSA ,slk iBuksa dks 6 esa ls ?kVk dj fd;k tk
ldrk gSA 3 ls Åij ds fdlh Hkh leadu dks ^^vPNk** ekuk tk ldrk gS tcfd 3 ls uhps ds leadu dks ^^fuÑ”V ** ekuk tk ldrk gSA
ƒƒ
Similarly, overall, grade wise and department wise scores for each parameter may be calculated.
Parameters Items
Top-Down Communications 1-5
Employee Feedback system 6-12
Participative Decision Making 13-18
Employee Welfare 19-26
1. Plot a bar chart of overall parameter scores. Compare the length of each bar to find out which parameters
have been rated comparatively lower and which have been rated higher. For parameters that have been
rated low, check the related item scores to find out areas of dissatisfaction. Do the same for any parameter
that has been rated below 3. For example, look at following graph
5
4.5
4
3.5
3
2.5
2
1.5
1
TDC EF PM EW
Looking at the graph it can be said that Participative Management (PM) in the unit is poor. The item wise
scores and employee responses to open ended questions may be looked at to find out the reasons and
appropriate corrective action can be taken.
2. Plot a bar chart of grade band wise parameter scores. Compare length of grade band bars within same
parameter, as well as, with corresponding grade band bars of other parameters to find out areas of con-
cern
3. Plot a bar chart of department wise parameter scores and carry out comparisons as mentioned in Sl. No. 1
and 2.
open ended questions to seek cues on areas of concern
12
izR;sd eq[; izkpy ds fy, i`Fkd leadu dk ifjdyu fuEu izdkj fd;k tk ldrk gSa&
-1- izR;sd izR;FkhZ ds fy,] izkpy ls lacaf/kr enksa ds vkSlr leadu dk ifjdyu djsa
-2- izkpy laedu dk ifjdyu djus ds fy, lHkh izR;fFkZ;ksa ds fy, vkSlr leadu dk ifjdyu djsAa
-3- cSMa ¼xzMs ½ dk leadu izkIr djus ds fy,] xzMs cSMa ds varxZr izR;fFkZ;ksa ds fy, vkSlr leadu dk ifjdyu djsA
-4- foHkkx okj leadu izkIr djus ds fy,] foHkkx ds varxZr izR;fFkZ;ksa ds vkSlr leadu dk ifjdyu djsAa blh izdkj] izR;sd izkpy ds fy,
lexz] xzMs okj rFkk foHkkx okj leaduksa dk ifjdyu fd;k tk,xkA
izkpy ensa
Åij ls uhps lapkj 1&5
deZpkjh QhM cSd iz.kkyh 6&12
izfrHkkfxrk fu.kZ;u 13&18
deZpkjh dY;k.k 19&26

vki fu”d”kZ fudkyus ds fy, fooj.kkRed fo’ys”k.k ¼ek/;] xzkQ bR;kfn½ ;k vkuqekfud vkadM+ksa dk p;u dj ldrs gSAa
vkadM+ksa dk fooj.kkREkd fo’ys”k.k djus ds fy,] uhps fn, x, pj.kksa dk vuqlj.k
djsa %&
1- lexz izkpy vkaduksa dk ,d ckj pkVZ cuk,aA ;g irk yxkus ds fy, izR;sd ckj ¼LraHk½ dh yackbZ dh rqyuk djsa fd dkSu ls izkpy
fuEurj :i ls nj fu/kkZfjr fd, x, gS rFkk dkSu ls izkpyu mPprj nj fu/kkZfjr fn;k x;k gS] muds lac/a k esa vlarks”k ds {ks=ksa dk
irk yxkus ds fy, lacfa /kr en leaduksa dh tkap djsAa 3 ls fuEu nj fu/kkZfjr fdlh Hkh izkpy ds fy, ;gh fØ;k djsAa mnkgj.k ds
fy, fuEu xzkQ dks ns[kaAs
5
4.5
4
3.5
3
2.5
2
1.5
1
TDC EF PM EW
xzkQ ns[kus ij ;g dgk tk ldrk gS fd ;wfuV esa izfrHkkfxrk izc/a ku fuÑ”V gSA o.kZukRed mRrj okys iz’uksa ds fy, enokj
leaduksa rFkk deZpkjh izR;qÙkjksa dk dkj.kksa dh tkus okyh leqfpr lq/kkjkRed dkjZokbZ dk irk yxkus ds fy, rFkk ;g irk yxkus ds
fy, v/;;u djsAa
ƒ„
1. Use z-test or t-test to approve/ disapprove null hypothesis for any parameter or sub-parameter.
For example, Top Down Communication (TDC) has been given a score of 3.4 and Employee Welfare
(EW) has been given a score of 3.6 in previous example. You may wish to find out whether EW in the
unit is better than TDC given the sampling error. This can be done as follows –
i. Stating the Hypothesis
H1: TDC score is less than EW score
Alternate Hypothesis – TDC < EW
H0: TDC score is equal to or greater than EW score
Null Hypothesis – TDC>or=EW
ii. Z critical for 95% significance level for 1 tailed : Z Critical = -1.645
iii. Z calculated: Z Calculated = -1.57
iv. Since Z Calculated > Z Critical, it does not lie in the rejection zone. Hence, we fail to reject the Null Hypothe-
sis
2. Either use one-way or two-way ANOVA to compare grade wise and department wise parameter scores
13
2- fpark ds {ks=ksa dk irk yxkus ds fy, xzMs cSMa okj izkpy leaduksa dk ckj pkVZ cuk,aA ,d gh izkpy esa xzMs cSMa LrEHkkas dh yackbZ dh
rqyuk djsa rFkk lkFk gh mudh vU; izkpyksa ds ln`’k xzMs cSMa LrEHkksa ds lkFk rqyuk djsAa
3- foHkkx okj izkpy vaduksa dk ckj pkVZ cuk,a rFkk Øekad 1 rFkk 2 esa ;Fkk mfYyf[kr rqyuk,a djaAs
4- foxr vkadM+s] ;fn dksbZ gks] ds lkFk mDr fu”d”kkZsa dh rqyuk djsAa
5- fpark ds {ks=ksa lac/a kh tkudkjh izkIr djus ds fy, o.kZukRed mÙkj okys iz’uksa ds izR;qÙkj esa oMZ@uksV iSM esa vfHkys[kc) deZ
depZ kjh
fVIIkf.k;ksa rFkk lq>koksa dk v/;;u djsAa
vkuqekfud vkadM+s
vfHkys[kc) vkadM+ksa dk fo’ys”k.k djus ds fy, fuEufyf[kr vkuqekfud lk/kuksa dk iz;ksx fd;k tk ldrk gSA ;g fo’ys”k.k ,e ,e ,Dlsy dk
iz;ksx djus ds vFkok gLr izfØ;k esa Hkh fd;k tk ldrk gSA rFkkfi] ,lih,l,l bl iz;kstu ds fy, lc ls mi;qDr gSA
-1- fdlh izkpy ;k mi izkpy ds fy, ux.; izkDdYiuk dks vuqeksfnr@vuuqeksfnr djus ds fy, tsM ijh{k.k ;k Vh ijh{k.k dk iz;ksx djsA
mnkgj.kkFkZ] foxr mnkgj.k esa] Åij ls uhps lapkj ¼Å-
¼Å-u-la½ dks 3-3-4 dk leadu fn;k x;k gS rFkk deZpkjh dY;k.k ¼d- ¼d-d½ dks
3-6 dk leadu fn;k x;k gSA vki ;g tkuuk pkgsaxs fd uewus ysus dh =qfV ds eísutj D;k ;wfuV esa bZ MCY;w VhMhih ls csgrj gSA ,slk
fuEu izdkj fd;k tk ldrk gS &
• izkDdYiuk dk dFku djrs gq,
,p 1 % VhMhlh leadu bZ MCY;w leadu ls de gS
oSdfYid izkDdYiuk & Å-
Å-u-la < d-
d-d
,p 0 % VhMhlh leadu bZ MCY;w leadu ds leku ;k mlls vf/kd gS
ux.; izkDdYiuk & Å-
Å-u-la > vFkok ¾ d-
d-d
• ,d izPN ds fy, 95 izfr’kr egÙkk Lrj gsrq tsM laons h % tsM laons h ¾ &1-
&1-645
• tsM laons h] tsM ifjdfYir ¾ & 1-1-57
• pwafd tsM ifjdfYir > tsM laons h] ;g vLohdj.k t+kus esa ugha vkrkA vr% ge ux.; izkDdYiuk dk vLohdj.k djus esa foQy gSAa
-2- xzMs okj rFkk foHkkx okj izkpy leaduksa dh rqyuk djus ds fy, ,d&ekxhZ ;k f}&ekxhZ ,uksok dk iz;ksx djsAa
-3- foxr esa vfHkys[kc) leku izdkj ds vkadM+ksa ds lkFk leaduksa dh rqyuk djus ds fy, fdlh Hkh ;qfXer rqyuk lk/kuksa tSls fuHkZj uewuk
uk
Vh&ijh{k.k ;k f} ekxhZ ,uksok dk iz;ksx djsAa
ƒ…
Employee Relations Climate Questionnaire

Instruction
The following questionnaire is designed to study employee relations climate at your unit. Kindly share your
open and candid opinion. Your responses shall be treated with utmost confidentiality. Please rate the follow-
ing statements on 1-5 scale, “1” being “Strongly Disagree”, by putting a tick mark () in the appropriate cell.
Sl. Statement Strongly Disagree Neither Agree Strongly
disagree
1 Senior management conducts open town hall 1 2 3 4 5
meetings from time to time
2 Senior management regularly interacts with em- 1 2 3 4 5
ployees at informal functions and get-together
3 Managers clearly communicate what is expected of 1 2 3 4 5
subordinates
4 Management shares information on company 1 2 3 4 5
goals and accomplishment with employees
5 Senior management visits the shop floor to inter- 1 2 3 4 5
act with employees
6 Senior management believes in open-door policy 1 2 3 4 5
7 Management is open towards receiving feedback 1 2 3 4 5
and suggestions of employees
8 Employees feel free to discuss their professional 1 2 3 4 5
concerns with their managers
9 Employees feel free to discuss their personal prob- 1 2 3 4 5
lems with their managers that may affect their
work
10 Management seeks employee feedback from time 1 2 3 4 5
to time
11 There is open two-way interaction between man- 1 2 3 4 5
agement and employees at open house or meetings
12 Employee feedback is acted upon in this organiza- 1 2 3 4 5
tion
13 Management believes in consulting employees be- 1 2 3 4 5
fore taking decisions that may impact them in
some way
14 Management believes participative management is 1 2 3 4 5
in interest of the organization
14
deZpkjh lac/a k ifjos’k iz’ukoyh

vuqn’s k
deZpkjh lac/a k ifjos'k ekius ds fy, fuEu iz’ukoyh vfHkdfYir dh xbZ gSA Ñi;k viuh Lora= rFkk fu”i{k jk; nsAa vkids mRrj gekjs fy,
egÙoiw.kZ gSa vkSj bUgsa iw.kZr;k xksiuh; j[kk tk,xkA Ñi;k mfpr dks”Bd esa lgh dk fpg~u ¼a½ yxkdj 1 ls 5 ds iSekus ij] fuEufyf[kr
fooj.kksa dk nj fu/kkZj.k djsa] 1 ^îw.kZr;k vlger** ds fy, gSAa
izR;FkhZ dk C;ksjk
xzMs &&&&&&&&&&&&&&&&&&& foHkkx &&&&&&&&&&&&&&&
Ø-la- dFku iw.kZr;k vlger u rks lger gksuk lger iw.kZr;k

vlger gksuk vkSj u gh vlger gksuk lger
gksuk
1 ofj”B izc/a kd le; le; ij vksiu Vkmu gkWy cSBdksa 1 2 3 4 5
dk lapkyu djrs gSAa
2 ofj”B izc/a kd fu;fer :i ls vukSipkfjd lekjksgksa esa 1 2 3 4 5
rFkk ikjLifjd lEesyuksa esa deZpkfj;ksa ds lkFk ckrphr
djrs gSAa
3 izca/kd deZpkfj;ksa ls vifs{r dk;ksZa dks Li"Vrk ls crkrs 1 2 3 4 5
gSAa
4 izca/kd deZpkfj;ksa dks daiuh ds y{;ksa rFkk miyfC/k;ksa 1 2 3 4 5
ls lac/a kh lwpuk nsrs gSAa
5 ofj”B izc/a kd deZpkfj;ksa ds lkFk ckrphr djus ds fy, 1 2 3 4 5
‘kkWi ¶yksj@ dk;ZLFky ij tkrs gSAa
6 ofj”B izc/a kd [kqys }kj uhfr esa fo’okl j[krs gSAa 1 2 3 4 5
7 izca/kd deZpkfj;ksa ds QhM cSd rFkk lq>koksa dks lg”kZ 1 2 3 4 5
izkIr djrs gSAa
8 deZpkjh vius izc/a kdksa ds lkFk viuh O;kolkf;d 1 2 3 4 5
leL;kvksa ij fuladksp ppkZ djrs gSAa
9 deZpkjh lgtrk ls vius izc/a kdksa ds lkFk viuh 1 2 3 4 5
O;fDrxr leL;kvksa ij ppkZ djrs gSa tks muds dk;Z dks
izHkkfor dj ldrh gSA
10 izca/kd le; le; ij deZpkjh QhM cSd izkIr djrs gSAa 1 2 3 4 5
11 [kqys lnu ;k cSBdksa esa deZpkfj;ksa rFkk izc/a kdksa ds chp 1 2 3 4 5
fueqDZ r nks rjQk ckrphr gksrh gSA
12 bl laxBu esa deZpkjh QhM cSd ij dkjZokbZ dh tkrh 1 2 3 4 5
gSA
13 izca/kd ,sls fu.kZ; ysus ls iwoZ deZpkfj;ksa ls ijke’kZ djus 1 2 3 4 5
esa fo’okl j[krs gSa tks fdlh izdkj mudks izHkkfor dj
ldrs gSAa
14 izca/kd ;g ekurs gaS fd izfrHkkxh izc/a ku laxBu ds fy, 1 2 3 4 5
ykHkizn gSA
15 ,uVhihlh us izfrHkkxh izc/a ku dks lQy cukus esa izfrc) 1 2 3 4 5
rk n’kkZbZ gSA
ƒ†
Sl. Statement Strongly Disagree Neither Agree Strongly

disagree
NTPC has shown commitment towards making

15 1 2 3 4 5
participative management successful
Joint management committees exist only for
16 1 2 3 4 5
namesake in this organization
Employees are informed about actions initiated by
17 1 2 3 4 5
various joint management committees
In past, Joint Management Committees have been
18 1 2 3 4 5
successful in resolving issues of wider concern
19 NTPC believes in "People First" approach 1 2 3 4 5
Management is continuously working towards wel-
20 1 2 3 4 5
fare of employees
NTPC is ready to dedicate resources towards em-
21 1 2 3 4 5
ployee welfare
I believe employee welfare in NTPC is a lot better
22 1 2 3 4 5
compared to other companies
Employee welfare in NTPC has kept in line with
23 1 2 3 4 5
changing times
Company polices are directed towards improving
24 1 2 3 4 5
employee work-life balance
25 Employee family is well cared for in NTPC 1 2 3 4 5
NTPC is going beyond just meeting statutory
26 1 2 3 4 5
compliances for employee welfare

15
Ø-la- dFku iw.kZr;k vlger u rks lger gksuk lger iw.kZr;k

vlger gksuk vkSj u gh vlger gksuk lger
gksuk
16 la;Dq r izc/a ku lfefr dk laxBu esa vfLRkRo dsoy uke 1 2 3 4 5
dk ek= gh gSA
17 deZpkfj;ksa dks fofHkUu la;Dq r izc/a ku lfefr;ksa }kjk 1 2 3 4 5
vkjaHk dh xbZ dkjZokb;ksa dh lwpuk nh tkrh gSA
18 foxr esa] la;Dq r izc/a ku lfefr;ksa us lQyrkiwod
Z O;kid 1 2 3 4 5
fpark ds eqíksa dk lek/kku fd;k gSA
19 ,uVhihlh ^yksxksa dks izkfFedrk* ds n`f”Vdks.k esa fo’okl 1 2 3 4 5
j[krk gSA
20 izca/kd fujarj deZpkjh dY;k.k ds fy, dk;Zjr jgrs gSAa 1 2 3 4 5
21 ,uVhihlh deZpkjh dY;k.k ds fy, lalk/ku lefiZr 1 2 3 4 5
djus ds fy, rRij gSAa
22 eSa ekurk gwa fd ,uVhihlh esa deZpkjh dY;k.k vU; 1 2 3 4 5
daifu;ksa dh rqyuk esa dkQh csgrj gSA
23 ,uVhihlh esa deZpkjh dY;k.k cnyrs le; ds leuq:i 1 2 3 4 5
jgk gSAa
24 daiuh dh uhfr;ka deZpkjh ds dk;Zthou esa lary q u dks 1 2 3 4 5
lq/kkjus dh vksj funsf’kr gSA
25 deZpkjh ds ifjokj dh ,uVhihlh esa vPNh izdkj ns 1 2 3 4 5
[kHkky dh tkrh gSA
26 ,uVhihlh deZpkjh dY;k.k ds fy, ek= lkafof/kd vuqi- 1 2 3 4 5
kyuksa dks iwjk djus ls vkxs c<+dj dk;Z djrk gSA
o.kZukRed mRrj okys iz’u ‘kkfey djaAs

ƒ‡
3. EMPOWERMENT
Objective
The instrument has been designed to find out level of empowerment in the organization and at various levels.
It also aims to find out the role being played by processes, cultural factors and policies in facilitating/ inhibit-
ing empowerment. The instrument contains 29 statements on three empowerment related aspects – Amount
of Delegation, Process of Delegation and Facilitating Factors. The instrument is to be administered on execu-
tives only.
Frequency
This survey should be carried out once in three years
Population
Executives only
Parameters
The questionnaire measures 3 empowerment related aspects -
1. Amount of Delegation
It measures how much power has been delegated to employees in terms of financial powers, human
resource, deciding goals and priorities
2. Process of Delegation
This parameter aims to find out how the delegation process works by measuring the support provided
by seniors at various stages. This includes joint target setting, having faith in subordinate’s capabilities,
supporting subordinate’s decisions, respecting each-other’s role boundaries etc.
3. Facilitating Factors
These are various Structure, Processes and Culture related factors that are crucial for effective em-
powerment
Reliability
The reliability of this instrument based on data of 203 executives using the Split-half reliability test has been
found to be 92%. The scale reliability of different parameters using Alpha Cronbach coefficient has been
found to be 79% to 84%. The instrument can be considered reliable enough for our purpose.
Validity
16
3- l’kDrhdj.k
mís’;
bl izy[s k dk vfHkdYiu laxBu esa rFkk laxBu ds fofHkUu Lrjksa ij l’kDrhdj.k ds Lrj dk irk yxkus ds fy, fd;k x;k gSA bl dk mís’;
l’kDrhdj.k dks lqdj cukus @ lanfer djus esa izfØ;kvksa] lkaLÑfrd dkjdksa rFkk uhfr;ksa }kjk fuHkkbZ tkus dh Hkwfedk dk irk djuk Hkh gSA
bl izy[s k esa rhu l’kDrhdj.k lacfa /kr igyqvksa ij 29 dFku fufgr gSa & izR;k;kstu dh ek=k] izR;k;kstu dh izfØ;k rFkk lqfo/kk dh dkjdA
dkjdA
bl izy[s k dk iz’kklu dsoy dk;Zikydksa ij gh fd;k tkuk gSA
vkof/kdrk
;g loZ{s k.k rhu o”kZ esa ,d ckj fd;k tk,xkA
tuleqnk;
dsoy dk;ZikydA
izkpy
iz’ukoyh esa 3 l’kDrhdj.k lacaf/kr igyqvksa dks ekik tkrk gS &
-1- izR;k;kstu dh ek=k
blesa ekik tkrk gS fd deZpkfj;ksa dks foRrh; ‘kfDr;ksa] ekuo lalk/ku] y{;ksa rFkk izkFkfedrkvksa ds vFkZ esa fdruh ‘kfDr izR;k;ks
;k;kfs tr
dh xbZ gSA
-2- izR;k;kstu dh izfØ;k
bl izkpy dk mís’; fofHkUu pj.kksa ij ofj”B vf/kdkfj;ksa }kjk iznRr lgk;rk dks eki dj ;g irk djuk gS fd izR;k;kstu izfØ;k
fdl izdkj dk;Z djrh gSA blesa la;Dq r y{; fu/kkZj.k] v/khuLFk vf/kdkfj;ksa dh {kerkvksa esa fo’okl j[kuk] v/khuLFk deZpkfj;ksa ds
fu.kZ;ksa dk leFkZu djuk] ,d nwljs dh Hkwfedk dh lhekvksa dk lEeku djuk] bR;kfn ‘kkfey gSAa
-3- lqfo/kkdkjh dkjd
;s fofHkUu lajpuk] izfØ;k rFkk laLÑfr lacaf/kr dkjd gS tks izHkkoh l’kDrhdj.k ds fy, egRoiw.kZ gSAa
fo’oluh;rk
fLIyV gkQ fo’oluh;rk dk iz;ksx dj 203 dk;Zikydksa ds vkadM+ksa ij vk/kkfjr bl izy[s k dh fo’oluh;rk 92 izfr’kr ikbZ xbZ gSA vYQk
Øksucp lgxq.kukad dk iz;ksx djrs gq, fofHkUu izkpyksa dh iSekuk fo’oluh;rk 79 izfr’kr ls 84 izfr’kr ikbZ xbZ gSA bl izy[s k dks gekjs
gekjs
iz;kstu ds fy, i;kZIr fo’oluh; ekuk tk ldrk gSA
oS/krk
ƒˆ
Empowerment
The parameters used are consistent with theoretical understanding of empowerment. It has been designed in
line with standardized survey instrument by Udai Pareek. The face validity of the instrument can be consid-
ered reasonably high. To measure the construct validity, factor analysis was performed on data recorded for
203 respondents. 8 factors were extracted that together explain 65% variance in the scores. Factor loadings
above .3 and above have been mentioned. Highest Factor loading for any item is in bold font.
Component
Item
1 2 3 4 5 6 7 8
Amount Q1 .780
Amount Q2 .819
Amount Q3 .352 .414
Amount Q4 .444 -.376 .459
Amount Q5 .717
Amount Q6 .627 .331
Amount Q7 .688
Amount Q8 .330 .518 .333
Amount Q9 .496 .437
Amount Q10 .343 .690
Amount Q11 .354 .705
Process Q1 .399 .510 .429
Process Q2 .655
Process Q3 .405 .417 .389
Process Q4 .540 .363 .404
Process Q5 .602 .408 .311
Process Q6 .455 .486 .334
Process Q7 .463 .460
Process Q8 .784
Process Q9 .523 -.366
Process Q10 .764
Facilitating Factor Q1 .333 .514
Facilitating Factor Q2 .737
Facilitating Factor Q3 .657 .381
Facilitating Factor Q4 .516 .380 .307
Facilitating Factor Q7 .370 .339 .582
Factor 1 has high loadings on a number of items of all three parameters. These items describe various aspects
of boss-subordinate relationship such as ability of boss to motivate, trust in capabilities of subordinate, taking
joint responsibility etc. Hence, this factor can be described as “Boss-Subordinate Relation”. Similarly, factor 2
17
l’kDrhdj.k
;gka iz;Dq r izkpy l’kDrhdj.k lS)kafrd vo/kkj.kk ds vuq:i gSA bUgsa mn; ikfj[k }kjk ekudhÑr los{Z k.k izy[s k ds vuq:i ladfYir fd;k
x;k gSA izy[s k dh i`”B oS|rk dks cgqr dqN ekuk x;k gSA fuekZ.k dh oS/krk dks ekius ds fy, dkjd fo’ys”k.k 203 izR;kfFkZ;ksa ds fy,
fy, ntZ
fd, x, vkadM+ksa ij fu”ikfnr fd;k x;k FkkA dqy 8 dkjdksa dk fo’ys”k.k fd;k x;k ftlls vadksa esa 65 izfr’kr fHkUurk dh O;k[;k feyrh
feyrh gSA
mijksDr 0-0-3 dkjd yksfMax rFkk blls vf/kd dk mYys[k fd;k x;k gSA fdlh en ds fy, mPpre dkjd yksfMax dks eksVs v{kjksa esa fn[kk;k
x;k gSA
?kwf.kZr vo;o eSfVªDl

vo;o
1 2 3 4 5 6 7 8
ek=k D;w 1 -780
ek=k D;w 2 -819
ek=k D;w 3 -352 -414
ek=k D;w 4 -444 &-376 -459
ek=k D;w 5 -717
ek=k D;w 6 -627 -331
ek=k D;w 7 -688
ek=k D;w 8 -330 -518 -333
ek=k D;w 9 -496 -437
ek=k D;w 10 3-43 -690
ek=k D;w 11 -354 -705
izØe D;w 1 -399 -510

izØe D;w 2 -655
izØe D;w 3 -405 -417 -389
izØe D;w 4 -540 -363 -404
izØe D;w 5 -602 -408 -311
izØe D;w 6 -455 -486 -334
izØe D;w 7 -463 -460
izØe D;w 8 -784
izØe D;w 9 -523 &-366
izØe D;w 10 -764
lqfo/kkdkjh dkjd D;w 1 -333 -514
lqfo/kkdkjh dkjd D;w 2 -737
lqfo/kkdkjh dkjd D;w 3 -657 -381
lqfo/kkdkjh dkjd D;w 4 -516 -380 -307
lqfo/kkdkjh dkjd D;w 7 -370 -339 -582
i{kksa dk of.kZr djrs gSa tSls fd ofj”B }kjk izfs jr djus dh {kerk] v/khuLFk dh {kerkvksa ij fo’okl] la;Dq r nkf;Ro ysuk vkfnA vr% bl
dkjd dks ^ôfj”B & v/khuLFk lac/a k** ds :i esa of.kZr fd;k tk ldrk gSA blh izdkj dkjd 2 esa ^îzfØ;k** ds 10 enksa esa ls 6 ij mmPp
Pp Hkkj
vkSj ^^lqfo/kk iznkudrkZ dkjdks*a * ds nks enksa ij mPp Hkkj gSA ;s en la;Dq r y{; r; djus dh izfØ;k vkSj ofj”B tuksa }kjk fn, x, leFkZu
ds lkFk dk;Z djrs gSAa vr% ge bl dkjd dks ^^la;Dq r y{; r; djuk vkSj ofj”B tuksa }kjk leFkZu** dg ldrs gSAa blh izdkj vU; dkjd
ƒ‰
Empowerment
has high loadings on 6 out of 10 items of “Process” and 2 items of “Facilitating Factors”. These items deal
with joint goal setting process and support extended by seniors. Hence, we can call this factor “Joint Goal Set-
ting and Support by seniors”. Similarly, other factor can be described as -
Factor 3 - “Flexible Policy and Decision Making Process”
Factor 4 - “Financial Powers”
Factor 5 - “Time taken by Seniors in taking decisions”
Factor 6 – Authority and Resources to do the job
Factor 7 – Passing on Decision Making
Factor 8 – Functional Silos
Amount of Delegation is a function of factors 1, 4 and 6 and has some influence of factors 2, 3 and 7. This
parameter describes amount of delegation relating to how much power seniors allow to flow down, financial
powers in DoP, and Authority and Resources that have been provided to do the job. Process of Delegation is
a function of factors 1, 2, 5 and 7. These factors describe the goal setting process, responsibility sharing, deci-
sion making speed etc. i.e. how the delegation process works. Facilitating Factors comprise of factors 1, 2, 3
and 8 which describe the support from seniors, room for discretion in policies, process flexibility and inter-
departmental coordination. The factors emerging from the analysis are consistent with theoretical description
of the parameters.
Administration
“What steps should be taken to empower employees in NTPC”
“Please give your suggestions on changes necessary in DoP for increasing speed of decision making”

Sample Size = 384/(1+(383/P))
where P is the population of the executives
For example, if there are 400 executives at the unit, then

Sample Size = 384/(1+(383/400))
= 384/1.9575
18
l’kDrhdj.k
dks fuEukuqlkj le>k;k tk ldrk gS &
dkjd 3 ^^yphyh uhfr vkSj fu.kZ; ysus dh izfØ;k**

dkjd 4 ^^foÙkh; vf/kdkj**
dkjd 5 ^^fu.kZ; ysus esa ofj”Btuksa }kjk fy;k x;k le;**
dkjd 6 ^îzkf/kdkj rFkk dk;Z djus ds fy, lalk/ku**
dkjd 7 ^^fu.kZ; ysus dks varfjr djuk**
dkjd 8 ^^dk;kZRed flykst+ ¼dk;Z djuk½**
izR;k;kstu dh ek=k dkjd 1] 4 vkSj 6 ds dk;Z gSa vkSj bldk dqN izHkko dkjd 2] 3 vkSj 7 ij gSA ;s izkpy bl ckr ls lacaf/kr izR;k;ks ;k;kstu
dh ek=k of.kZr djrs gSa fd ofj”Btuksa }kjk Mhvksih esa foÙkh; vf/kdkjksa dks uhps izokfgr djus dh fdruh vuqefr nh tkrh gS rFkk izizkf/kdkjh
vkSj lalk/ku] fTkUgsa dk;Z djus dk volj fn;k x;k gSA izR;k;kstu dh izfØ;k dkjd 1] 2] 5 vkSj 7 dk dk;Z gSA ;s dkjd y{; r; djus dh
izfØ;k] nkf;Ro ckaVus] fu.kZ; ysus dh xfr vkfn dks of.kZr djrs gSa vFkkZr ;g izR;k;kstu dh izfØ;k fdl izdkj dk;Z djrh gSA lqfo/kk o/kk
yphykiuu vkSj var-
iznkudrkZ dkjdksa esa dkjd 1] 2] 3 vkSj 8 ‘kkfey gSa tks ofj”Btuksa ls leFkZu] uhfr;ksa esa Lo fu.kZ; dk LFkku] izfØ;k dk yphyki
jfoHkkxh; leUo; dks of.kZr djrs gSAa fo’ys”k.k ls mHkjus okys dkjd izkpyksa ds lS)kafrd fooj.k ds vuq:i gksrs gSAa
iz’kklu
pj.k & 1 iz’ukoyh dks vafre :i nsuk

iz’ukoyh dks ;Fkkor~ iz’kkflr fd;k tk,xkA deZpkjh lq>ko vkeaf=r djus ;k fo”k;xr QhM cSd izkIr djus ds mís’; ls ,d ;k nks
o.kZukRed mRrj okys iz’u ‘kkfey fd, tk ldrs gSAa mnkgj.kkFkZ %&
^^Ñi;k ,uVhihlh esa deZpkfj;ksa dks l’kDrhdj.k iznku djus ds fy, dkSu ls dne mBk, tkus pkfg, **
;g vkSj vf/kd fof’k”V :i ls
^^Ñi;k fu.kZ; ysus dh xfr c<+kus ds fy, Mhvksih esa vfuok;Z cnyko ij vius lq>ko nsAa **

iz’ukoyh dk ,d ckj rS;kj dj fy, tkus ds i’pkr] bls ;kn`fPNd :i ls p;fur deZpkfj;ksa ij iz’kkflr fd;k tk,xkA uewus dk vkdkj
dk ifjdyu fuEu izdkj fd;k tk,xk %&
tgka ta- la;a= dh tula[;k gSa
mnkgj.kkFkZ] ;fn la;a= esa 400 deZpkjh gSa]
¾ 384@1-
384@1-9575
¾ 196
ƒŠ
Empowerment
= ~ 196
After deciding the sample size, ensure that it is representative of the population, i.e., distributed evenly for all
levels. Since numbers of levels in NTPC are many, we can divide them in bands for our purpose as follows –

Pad.
Parameters Sub-parameters Items

Amount of Delegation Financial, Managing Subordinates, Resources and Authority, 1-11
Joint Goal Setting
Process of Delegation Target setting, having faith in subordinate’s capabilities, sup- 12-21
porting subordinate’s decisions, respecting each-other’s role
boundaries
Facilitating Factors Processes, Policy, Cultural aspects 22-29
Scoring
for “Strongly Agree”. Item 29 in the questionnaire is a negative question whose scale has to be reversed before
scoring the questionnaire. This can be done by subtracting the readings from 6. Any score above 3 can be con-
sidered “Good” while a score below 3 can be considered “Poor”.
19
l’kDrhdj.k
foHkkftr dj
ldrs gSa

iz’ukoyh dks p;fur uewus ij ;k rks dkxt+ isafly fof/k ls vFkok bZ&esy }kjk] tSlk Hkh mi;qDr le>k tk,] iz’kkflr fd;k tk,xkA Hkjh xbZ
iz’ukofy;ksa ls vkadM+ksa dks ,d
,e,l ,Dlsy odZ’khV esa vfHkys[kc) fd;k tk,xkA vlhfer mRrj okys iz’uksa dh vuqfØ;kvksa dks i`Fkd :i ls ,e,l oMZ MkD;qeVsa esa ;k
uksV iSM esa vfHkys[kc) fd;k tk,xkA
vad fu/kkZj.k
iz’ukoyh esa 1&5 iSekus ij 29 iz’u gaS tgk¡ ^^1** dk vFkZ gS ^îw.kZr;k vlger** rFkk ^^5** dk vFkZ gS ^îw.kZr;k lger**A iz'u 29 fujkRed
dFku gS] vFok vadksa dk ladyu djus ls iwoZ iSekus dks mYVk djus dh vko';Drk gSA ;g vadksa dks 6 esa ls ?kVk dj fd;k tk ldrk gSA
blesa 3 ls Åij ds fdlh Hkh leadu dks ^^vPNk** ekuk tk ldrk gS tcfd 3 ls uhps ds leadu dks ^^fuÑ”V** ekuk tk ldrk gSA
izR;sd eq[; izkpy ds fy, i`Fkd leadu dk ifjdyu fuEu izdkj fd;k tk ldrk gSa&
-1- izR;sd izR;kFkhZ ds fy,] izkpy ls lacfa /kr enksa ds vkSlr leadu dk ifjdyu djsAa
-2- izkpy leadu dk ifjdyu djus ds fy, lHkh izR;fFkZ;ksa ds fy, vkSlr leadu dk ifjdyu djsAa
-3- cSMa ¼xzMs ½ dk leadu izkIr djus ds fy,] xzMs cSMa ds varxZr izR;fFkZ;ksa ds fy, vkSlr leadu dk ifjdyu djsAa
-4- foHkkx okj leadu izkIr djus ds fy,] foHkkx ds varxZr izR;fFkZ;ksa ds vkSlr leadu dk ifjdyu djsAa
izkpy mi izkpy ensa

izR;k;kstu dh ek=k foÙkh;] v/khuLFkksa dk izca/ku] lalk/ku vkSj izkf/kdkjh] la;Dq r y{; r; djuk 1&11
izR;k;kstu dh izfØ;k y{; r; djuk] v/khuLFk dh {kerk esa fo’okl j[kuk] v/khuLFk ds fu.kZ; dks leFkZUk 12&21
nsuk] izR;sd dh Hkwfedk vuqlkj lhekvksa dk vknj djuk
lqfo/kk iznkudrkZ dkjd izfØ;k] uhfr] lkaLÑfrd i{k 22&29
blh izdkj] izR;sd izkpy ds fy, lexz] xzMs okj rFkk foHkkx okj leaduksa dk ifjdyu fd;k tk,xkA

vki fu”d”kZ fudkyus ds fy, fooj.kkRed fo’ys”k.k ¼ek/;] xzkQ bR;kfn½ ;k vkuqekfud vkadM+ksa dk p;u dj ldrs gSAa
ƒ‹
Empowerment
that has been rated below 3.
cern. For example, look at following diagram –
5
4.5
4
3.5 E1-E4
3 E5-E6
2.5 E7+
2
1.5
1
Amount of Process of Facilitating
Delegation Delegation Factors
As it can be seen in the above diagram, E5-E6 employees feel most empowered, while E1-E4 and E7+
employees are low on empowerment related aspects (<3). Hence, responses of these groups of employees
should be further studied. Further, on careful observation, it can be seen that E7+ employees have rated
"Amount of Delegation" and "Process of Delegation" more favorably than E1-E4 employees but the case
is not the same for "Facilitating Factors". Hence, items pertaining to this factor should be looked at care-
fully to find out which one of the facilitating factors is an area of concern.
and 2.
20
l’kDrhdj.k
vkadM+ksa dk fooj.kkREd fo’ys”k.k djus ds fy,] uhps fn, x, pj.kksa dk vuqlj.k

djsa %&
1- lexz izkpy vkaduksa dk ,d ckj pkVZ cuk,aA ;g irk yxkus ds fy, izR;sd ckj ¼LraHk½ dh yackbZ dh rqyuk djsa fd dkSu ls izkpy
fuEurj :i ls nj fu/kkZfjr fd,
x, gS rFkk dkSu ls izkpyu mPprj nj fu/kkZfjr fn;k x;k gSA tks izkpy fuEurj uk, tk,¡] muds lac/a k esa vlarks”k ds {ks=ksa dk
irk yxkus ds fy, lacfa /kr en leaduksa dh tkap djsAa 3 ls fuEu nj fu/kkZfjr fdlh Hkh izkpy ds fy, ;gh fØ;k djsAa
2- xzMs cSMa okj izkpy leaduksa dk ckj pkVZ cuk,aA ,d gh izkpy esa xzMs cSMa LrEHkkas dh yackbZ dh rqyuk djsa rFkk lkFk gh mudh vU;
vU;
izkpyksa ds ln`’k xzMs cSMa LrEHkksa ds lkFk rqyuk djsAa mnkgj.k ds fy, uhps fn, x, vkjs[k dks ns[ksAa
5
4.5
4
3.5 E1-E4
3 E5-E6
2.5 E7+
2
1.5
1
Amount of Process of Facilitating
Delegation Delegation Factors
tSlk fd mijksDr vkjs[k esa ns[kk tk ldrk gS] bZ 5&bZ 6 deZpkjh lokZf/kd l’kDrhdj.k dk vuqHko djrs gSa] tcfd bZ 1&bZ 4 vkSj
bZ 7 $ deZpkjh lacfa /kr i{kksa ij de l’kDrhdj.k dk vuqHko djrs gSa ¼3 ls de½A vr% deZpkfj;ksa ds bu lewgksa ds mÙkjksa dk vkxs
v/;;u fd;k tkuk pkfg,A iqu% lko/kkuhiwod Z ns[kus ij ;g irk yxrk gS fd bZ7$ deZpkfj;ksa dks ^îzR;k;kstu dh ek=k** vkSj
^îzR;k;kstu dh izfØ;k** dks bZ 1&bZ 4 deZPkkfj;ksa dh rqyuk esa vf/kd vuqdy
w jsV dh xbZ gS ijUrq ;g fLFkfr ^^lqfo/kk iznkudrkZ
dkjdks*a * ds fy, leku ugha gSA vr% bl dkjd ls lacfa /kr enksa dks lko/kkuhiwod
Z ;g irk yxkus ds fy, ns[kk tkuk pkfg, fd
buesa ls dkSu lk lqfo/kk iznkudrkZ dkjd fpark dk {ks= gSA
3- foHkkx okj izkpy vaduksa dk ckj pkVZ cuk,a rFkk Øekad 1 rFkk 2 esa ;Fkk mfYyf[kr rqyuk,a djaAs
4- foxr vkadM+s];fn dksbZ gks] ds lkFk mDr fu”d”kkZsa dh rqyuk djsAa
5- fpark ds {ks=ksa lac/a kh tkudkjh izkIr djus ds fy, o.kZukRed mÙkj okys iz’uksa ds izR;qÙkj esa oMZ@uksV iSM esa vfHkys[kc) deZ
depZ kjh
fVIIkf.k;ksa rFkk lq>koksa dk v/;;u djsAa
vkuqekfud vkadM+s
vfHkys[kc) vkadM+ksa dk fo’ys”k.k djus ds fy, fuEufyf[kr vkuqekfud lk/kuksa dk iz;ksx fd;k tk ldrk gSA ;g fo’ys”k.k ,e ,e ,Dlsy dk
iz;ksx djus ds vFkok gLr izfØ;k esa Hkh fd;k tk ldrk gSA rFkkfi] ,lih,l,l bl iz;kstu ds fy, lc ls mi;qDr gSA
„0
Empowerment
1. Use z-test or t-test to approve/ disapprove null hypothesis for any parameter or sub-parameter
2. Either use one-way or two-way ANOVA to compare grade wise and department wise parameter scores.
For example, you wish to find out if the three parameters, viz. amount of delegation, process of delegation
and facilitating factors, differ significantly for O&M and Non-O&M employees, you may perform one
way ANOVA. Result of one-way ANOVA run on sample data are give below –
Sum of Mean
df F Sig.
Squares Square
Amount Between Groups .302 1 .302 .715 .399
Within Groups 84.853 201 .422
Total 85.154 202
Process Between Groups .440 1 .440 1.125 .290
Total 79.007 202
Facilitating Between Groups .038 1 .038 .079 .779
Total 96.389 202
It can be seen by looking at the last column in table above that variances between the groups for all three
parameters are not significant at 0.05 level of significance. Hence, there is no significant difference be-
tween the parameters between O&M and non-O&M employees at α= 0.05
21
l’kDrhdj.k
-1- fdlh izkpy ;k mi izkpy ds fy, ux.; izkDdYiuk dks vuqeksfnr@vuuqeksfnr djus ds fy, tsM ijh{k.k ;k Vh ijh{k.k dk iz;ksx djsAa
-2- xzMs okj vkSj foHkkxokj ekunaM vadksa dh rqyuk djus ds fy, ;k rks ,d ekxhZ ;k f} ekxhZ ,uksok dk mi;ksx djsAa mnkgj.kkFkZ ;fn vki
rhu izpkyksa esa ls irk yxkus ds bPNqd gS vFkkZr izR;k;kstu dh ek=k] izR;k;kstu dh izfØ;k vkSj lqfo/kk iznkudrkZ dkjd izpkyu rFkk
rFkk
vuqj{k.k ,oa xSj izpkyu rFkk vuqj{k.k deZpkfj;ksa ds fy, egRoiw.kZ :i ls fHkUu gSa rks vki ,d fn’kk okyk ,uksok dj ldrs gSAa ,d
fn’kk okys ,uksok uewus ds vkadM+ksa ij pykus ls fuEufyf[kr ifj.kke feyrs gSa %
oxZ dk ;ksx Mh,Q e/;eku oxZ ,Q flx-

flx-
ek=k lewgksa ds vanj -302 1 -302 -715 -399

lewgksa ds chp 84--853
84 201 -422
dqy 85-
85-154 202
izfØ;k lewgksa ds vanj -440 1 -440 1-125 -290
lewgksa ds chp 78-
78-568 201 -391
dqy 79-
79-007 202
lqfo/kk iznku djuk lewgksa ds vanj -038 1 -038 -079 -779
lewgksa ds chp 96-
96-351 201
dqy 96-
96-385 202
mijksDr rkfydk ds vafre dkWye esa ns[kus ij irk yxrk gS fd bu rhuksa izkpyksa ds fy, lewgksa ds chp fHkUurk egRo ds 0-0-05 Lrj ij
egRoiw.kZ ugha gSA vr% vYQk ¾ 0-0-05 ij izpkyu vkSj vuqj{k.k rFkk xSj izpkyu vkSj vuqj{k.k deZpkfj;ksa ds chp bu izkpyksa ij dksbZ
egRoiw.kZ varj ugha gSA
-3- foxr le; esa ntZ fd, x, leku izdkj ds vkadM+ksa ds lkFk rqyuk ds fy, fuHkZj uewuk Vh & ijh{k.k ;k f}&ekxhZ ,uksok tSls ;qfXer
rqyuk lk/kuksa dk iz;ksx djsAa
„ƒ
Empowerment
Empowerment Questionnaire
Instruction
The following questionnaire is designed to study the nature of empowerment and decision making in NTPC at
executive levels. Please give us your free and candid opinion. Your answers are important to us and shall be
treated with utmost confidentiality. Please rate the following statements on 1-5 scale, “1” being “Strongly Dis-
agree”, by putting a tick mark () in the appropriate cell.
Neither
Strongly Strongly
Sl. Statement Disagree Agree nor Agree
Disagree Agree
Disagree
1 I feel powers granted under DoP are sufficient for
employees to carry out their responsibilities effec- 1 2 3 4 5
tively
2 Financial powers granted under DoP at various
1 2 3 4 5
levels are adequate for smooth execution of work
3 Powers are uniformly distributed between corpo-
1 2 3 4 5
rate and regions
4 Various revisions in DoP so far have been unsuc-
1 2 3 4 5
cessful in pushing the powers downwards
5 Reporting officers have the freedom to plan targets
1 2 3 4 5
and monitor the performance of their subordinates
6 Reporting officers have the power to reward good
1 2 3 4 5
performance
7 Reporting officers have a significant say in promo-
1 2 3 4 5
tion decisions of their subordinates
8 Employees have a say in deciding their priorities
1 2 3 4 5
and goals
9 Employees have adequate discretionary powers
under policy framework to allow them to effectively 1 2 3 4 5
deal with internal customers/clients
10 I have been given adequate resources (office equip-
ment, manpower) to effectively carryout my re- 1 2 3 4 5
sponsibilities
11 I have adequate authority to effectively carry out
1 2 3 4 5
my responsibilities
12 Reporting officers jointly decide individual goals
1 2 3 4 5
and targets with employees
13 Seniors stand by decisions taken by their subordi-
1 2 3 4 5
nates
22
l’kDrhdj.k
l’kDrhdj.k iz’ukoyh
vuqn’s k
fuEufyf[kr iz’ukoyh ,uVhihlh esa dk;Zikyd Lrjksa ij l’kDrhdj.k dh izÑfr vkSj fu.kZ; ysus dh izfØ;k dk v/;;u djus gsrq rS;kj dh xxbZbZ
fuEufyf
gSA Ñi;k gesa viuh Lora= vkSj fu”i{k jk; nsAa vkids mRrj gekjs fy, egÙoiw.kZ gSa vkSj bUgsa iw.kZr;k xksiuh; j[kk tk,xkA Ñi;k fu Eufyf
[kr dFkuksa dh 1 ls 5 ds Ldsy ij] ftlesa ,d ls rkRi;Z iw.kZr% vlger gksuk gS] mfpr dks”Bd esa lgh dk fpg~u ¼a¼ ½a yxkdj jsfVax djsAa
izfrHkkxh dk C;ksjk
xzMs &&&&&&&&&&&&&&&&&&& foHkkx &&&&&&&&&&&&&&&
Ø-la- dFku iw.kZr% vlger u rks lger gksuk lger iw.kZr%

vlger gksuk vkSj u gh gksuk lger
gksuk vlger gksuk gksuk
1 eq>s yxrk gS fd Mhvksih ds varxZr dEkZpkfj;ksa dks nh xbZ 1 2 3 4 5
‘kfDr;ka muds mÙkjnkf;Roksa ds izHkkoh fuoZgu ds fy,
i;kZIr gSAa
2 Mhvksih ds varxZr fofHkUu Lrjksa ij nh xbZ foRrh; 1 2 3 4 5
‘kfDr;ka dk;kZsa ds lqpk# dk;kZUo;u ds fy, i;kZIr gSAa
3 uSxe vkSj ifj;kstukvksa@la;a=ksa esa ‘kfDr;ka leku :i ls 1 2 3 4 5
forfjr dh tkrh gSAa
4 Mhvksih esa vHkh rd gq, fofHkUu la’kks/ku ‘kfDr;ksa dks 1 2 3 4 5
la;Bu ds fuEu Lrjksa rd igqpa kus esa lQy gq, gSAa
5 fjiksfVZax vf/kdkfj;ksa dks y{;ksa dh vk;kstuk djus vkSj 1 2 3 4 5
vius v/khuLFkksa ds dk;Z fu”iknu dh fuxjkuh djus dh
Lora=rk gSA
6 fjiksfVZax vf/kdkfj;ksa dks vPNs dk;Z fu”iknu dks iqjLÑr 1 2 3 4 5
djus dh ‘kfDr izkIr gSA
7 fjiksfVaZx vf/kdkfj;ksa dh jk; dks muds v/khuLFkksa dh 1 2 3 4 5
inksUufr ds fu.kZ;ksa esa egRo fn;k tkrk gSA
8 deZpkfj;ksa dh jk; dks mudh izkFkfedrkvksa vkSj y{;ksa ds 1 2 3 4 5
fu.kZ; esa egÙo fn;k tkrk gSA
9 deZpkfj;ksa ds ikl vkarfjd miHkksDrkvks@ a xzkgdksa ds lkFk 1 2 3 4 5
izHkkoh :i ls dk;Z djus ds fy, uhfrxr <kaps ds varxZr
i;kZIr foosdk/khu ‘kfDr;ka gSAa
10 eq>s esjs mRrjnkf;Roksa dk izHkkoh :i ls fuoZgu djus ds 1 2 3 4 5
fy, i;kZIr lalk/ku ¼dk;kZy; midj.k tu’kfDr½ fn,
x, gSAa
11 esjs ikl mÙkjnkf;Roksa dk izHkkoh :i ls fuoZgu djus ds 1 2 3 4 5
fy, i;kZIr izkf/kdkj gSAa
12 fjiksfVZax vf/kdkjh deZpkfj;ksa ds lkFk feydj O;fDrxr 1 2 3 4 5
mís’;ksa vkSj y{;ksa dk la;Dq r :i ls fu/kkZfjr djrs gSAa
13 vf/kdkjh vius v/khuLFkksa }kjk fy, x, fu.kZ;ksa dk leFkZu 1 2 3 4 5
djrs gSAa
„„
Empowerment
Neither
Strongly Strongly
Sl. Statement Disagree Agree nor Agree
Disagree Agree
Disagree
14 Managers exhibit good degree of faith in employee
1 2 3 4 5
capabilities
15 In case of failure, managers jointly analyze the
causes with their subordinates for future improve- 1 2 3 4 5
ment
16 In case of failure, managers take up shared respon-
sibility and do not pass on the blame to their subor- 1 2 3 4 5
dinates
17 Seniors respect the role boundaries of their subor-
1 2 3 4 5
dinates
18 Seniors do not take decisions over the heads of
1 2 3 4 5
their subordinates in the delegated areas
19 When some crucial decision has to be taken by my
seniors, within their role boundary, which affects
1 2 3 4 5
the progress of my work, the decision is taken im-
mediately without delay
20 Managers encourage employees to take decisions at
1 2 3 4 5
their end
21 Employees tend to push decisions up even when
1 2 3 4 5
they can be taken at their level
22 Power to take decisions is uniformly distributed
1 2 3 4 5
across levels
23 In this organization, different functions work as a
1 2 3 4 5
team towards attaining wider organizational goals
24 Entrepreneurial culture exists in this organization 1 2 3 4 5
25 There is mutual respect and trust amongst senior
1 2 3 4 5
management levels in this organization
26 Employees do not hesitate in taking decisions or
1 2 3 4 5
delay them due to fear of vigilance
27 There is adequate flexibility and room for discretion
built in systems and policies to meet the changing 1 2 3 4 5
needs of business environment
28 Decision making process is simple and streamlined 1 2 3 4 5
29 People work in their functional silos, unwilling to
1 2 3 4 5
coordinate and cooperate with each other

23
l’kDrhdj.k
Ø-la- dFku iw.kZr% vlger u rks lger gksuk lger iw.kZr%

vlger gksuk vkSj u gh gksuk lger
14 izca/kd deZpkfj;ksa dh {kerkvksa esa vR;f/kd fo’okl fn[kkrs 1 2 3 4 5
gSAa
15 vlQyrk dh fLFkfr esa] izc/a kd Hkkoh lq/kkj ds fy, vius 1 2 3 4 5
v/khuLFkksa ds LkkFk la;Dq r :i ls dkj.kksa dk fo’ys”k.k djrs
gSAa
16 vlQyrk dh fLFkfr esa izc/a kd Hkh ftEesnkjh ysrs gS vkSj 1 2 3 4 5
vius v/khuLFkksa ij vkjksi ugha yxkrsA
17 ofj”B vf/kdkjh vius v/khuLFkksa dh Hkwfedk dh lhek dk 1 2 3 4 5
lEeku djrs gSAa
18 ofj”B vf/kdkjh izR;k;qDr {ks=ksa esa vius v/khuLFkksa ds Åij 1 2 3 4 5
ls fu.kZ; ugha ysrAs
19 tc Hkh esjs ofj”B vf/kdkfj;ksa }kjk muds {ks= esa ,slk dksbZ 1 2 3 4 5
egÙoiw.kZ fu.kZ; fy;k tkuk gksrk gS tks esjs dk;Z dh izxfr
dks izHkkfor djrk gS] rks os rRdky vfoyac fu.kZ; ysrs gaSA
20 izca/kd deZpkfj;ksa dks Lo;a fu.kZ; ysus s ds fy, izksRlkfgr 1 2 3 4 5
djrs gSAa
21 deZpkjh tks fu.kZ; Lo;a Hkh ys ldrs gSa mls Hkh og 1 2 3 4 5
Åij /kdsyrs gSAa
22 fu.kZ; ysus lac/a kh ‘kfDr;ka lHkh Lrjksa ij leku :i ls 1 2 3 4 5
forfjr gSAa
23 bl laxBu esa O;kid laxBukRed y{;ksa dh izkfIr gsrq 1 2 3 4 5
fofHkUu foHkkx ,d Vhe Lo:i dk;Z djrs gaSA
24 bl laxBu esa m?;e'khy laLÑfr gSA 1 2 3 4 5
25 bl laxBu esa ofj”B izca/ku Lrjksa ij vkilh lEeku vkSj 1 2 3 4 5
fo’okl gSA
26 deZpkjh fu.kZ; ysus esa fgpfdpkrs ugha gaS vFkok lrdZrk 1 2 3 4 5
foHkkx ds Mj ls fu.kZ; dsus esa foyac ugha djrs gSAa
27 O;kolkf;d okrkoj.k dh ifjorZu’khyrk gsrq O;oLFkk vkSj 1 2 3 4 5
uhfr;ksa esa i;kZIr yphykiu rFkk foosdkf/kdkj lora=rk
ekStwr gSA
28 fu.kZ;u izfØ;k ljy vkSj lqpk# gSA 1 2 3 4 5
29 O;fDr vius dk;kZRed {ks= esa lhfer jgdj dk;Z djrs gSa 1 2 3 4 5
vkSj ,d&nwljs ds lkFk leUo; ;k lg;ksx ugha djrsA

„…
4. PACE
Objective
The objective of this questionnaire is to seek employee feedback on performance management system (PACE)
and factors affecting it.
Frequency
Population
The instrument is to be administered on executives only
Parameters
The questionnaire has 22 statements designed around 5 performance management related aspects -
1. Linkages
This parameter is designed to evaluate employee perception on how PMS impacts their career pro-
gression, training nomination and rewards
2. Goal Setting
This parameter aims to look into the goal setting process – how it is done, are goals cascaded prop-
erly, is PACE format suitable etc.
3. Role of HR
These parameter has been designed to gauge how HR is facilitates employees in PACE process
4. Evaluation method
This parameter aims to find out employee perception of objectivity and transparency during evalua-
tion
5. Manager’s Support
This parameter finds out if managers support employees and help them during the PACE process.
Reliability
The instrument reliability, using Split-half reliability test based on data of 103 executives, has been found to be
92%. The scale reliability of different parameters using Alpha Cronbach coefficient has been found to be 75%
to 93%. The instrument can be considered reliable enough for our purpose.
24
4- isl
mís’;
bl iz’ukoyh dk mís’; fu”iknu izc/a ku iz.kkyh ¼isl½ rFkk bls izHkkfor djus okys dkjdksa ij deZpkjh dk QhMcSd izkIr djuk gSA
vko`fÙk
loZ{s k.k nks o”kZ esa ,d ckj fd;k tkuk pkfg,A
tuleqnk;
;g izy[s k dsoy dk;Zikyd Lrj ij ykxw fd;k tk,A
izkpy
iz’ukoyh esa 22 dFku gSa tks ikap fu”iknu izca/ku lac/a kh igywvksa ds bnZ&fxnZ rS;kj fd, x, gS&a
1- dM+h
;g izkpy deZpkjh ds bl vocks/ku dk ewY;kadu djus ds fy, rS;kj fd;k x;k gS fd ih,e,l mudh izxfr] izf’k{k.k ukekadu rFkk
iqjLdkjksa dks fdl izdkj ls izHkkfor djrk gSA
2- y{; fu/kkZj.k
bl izkpy dk mís’; y{; fu/kkZj.k izfØ;k& ;g dSls dk;Z djrh gS] D;k y{;ksa dks mfpr izdkj ls fu/kkZfjr fd;k tkrk gS] D;k isl
QkeZVs blds fy, mi;qDr g]S bR;kfn dks tkuuk gSA
3- ekuo lalk/ku foHkkx dh Hkwfedk
;g izkpy ;g ekius ds fy, rS;kj fd;k x;k gS fd isl izfØ;k esa ekuo lalk/ku foHkkx dEkZpkfj;ksa dh lgk;rk fdl izdkj djrk gSA
4- ewY;kadu fof/k
bl izkpy dk mís’; ewY;kadu dh izfrdzh;k ds nkSjku izek.kDrk vkSj ikjn'khZrk ds ckjs esa deZpkfj;ksa dh /kkj.kk dks tkuuk gSA
5- izc/a kd dk leFkZu
bl izkpy ls irk pyrk gS D;k izc/a kd isl izfØ;k ds nkSjku deZpkfj;ksa dk leFkZu djrk gS rFkk mudh lgk;rk djrk gSA
fo’oluh;rk
103 dk;Zikydksa ds vkadM+ksa ds vk/kkj ij fLifyV gkQ ¼v)Z foHkktu½ fo’oluh;rk ds mi;ksx }kjk fd, x, ijh{k.k esa baLVweVsa fjyk;fcfyVh
fjyk;fcfyVh
¼midj.k fo’oluh;rk½ 92 izfr’kr gSA ,YQk ØksucSd xq.kkad ds mi;ksx }kjk fofHkUu izkpyksa dh iSekuk fo’oluh;rk 75 izfr’kr ls 93 izfr’kr
fr’kr
rd ikbZ xbZA ;g izy[s k gekjs iz;kstu gsrq i;kZIr fo’oluh; ekuk tk ldrk gSA
„†
PACE
Validity
The parameters used are consistent with theoretical understanding of Performance Management and practical
understanding of PACE in NTPC. The face validity of the instrument can be considered reasonably high. To
measure the construct validity, factor analysis was performed on data recorded for 103 respondents. 4 factors
were extracted that together explain 70% variance in the scores. Factor loadings above .3 and above have been
mentioned. Highest Factor loading for any item is in bold font.
Component
1 2 3 4
Q1 .530 .321 .316
Q2 .571 .575 .307
Q3 .593 .328 .315
Q4 .788
Q5 .505 .649
Q6 .419 .788
Q7 .353 .444 .617
Q8 .673 .547
Q9 .475
Q10 .483 .610 .399
Q11 .786
Q12 .837
Q13 .662
Q14 .358 .788
Q15 .318 .711 .409
Q16 .351 .371 .713
Q17 .681
Q18 .441 .488
Q19 .595 .304 .467
Q20 .610 .341 .350
Q21 .764 .387
Q22* NA
* Item has been added later. Hence, test data is not available
Factor 1 has high loadings on all items of “Goal Setting” and “Linkages” except items pertaining to rewards.
25
isl
oS/krk
vR;f/kd
iz;Dq r izkpy ,uVhihlh esa fu”iknu izca/ku dh lS)kafrd ekU;rk vkSj isl dh O;kogkfjd ekU;rk ds vuq:i gSA izy[s k dh ckg~; oS/krk vR;f/kd
mPp ekuh tk ldrh gSA fuekZ.k oS/krk dks ekius ds fy, 103 izfrHkkfx;ksa ls izkIr vkadM+ksa dk dkjd fo’ys”k.k fd;k x;kA blesa ls 4 dkjd
fudky fn, x, tks dqy feykdj vad esa 70 izfr’kr varj dk dkj.k gSA 00--3 vkSj blls Åij ds dkjd lkjka'kksa dk mYys[k fd;k x;k gSA
fdlh Hkh en ds fy, lcls mPp dkjd lkjka'k dks eksVs v{kjksa esa fn;k x;k gSA dÌ;k vxyk i`”B ns[ksAa
iqjLdkj ls lacaf/kr enksa ds vfrfjDr ^^y{; fu/kkZj.k** vkSj ^^dM+h** dh lHkh enksa ds laca/k esa dkjd 1 dk lcls vf/kd lkjka'k gSA
vr% bl dkjd dks ^y{; fu/kkZj.k* vkSj dM+h dkjd dgk tk ldrk gSA ;g dkjd vad esa 20 izfr’kr varj ykrs gSAa dkjd 2 dh ^êkuo
bldhh mPp lkjka'k
lalk/ku dh Hkwfedk** dh lHkh enksa ds lac/a k esa mPp lkjka'k gSA blds lkFk lkFk iqjLdkj ls lacaf/kr lHkh enksa ds lac/a k esa bld
gSA ;g laHko gS fd izfrHkkxh iqjLdkj dks fdlh ,d ekuo lalk/ku izfØ;k ls tksM+ jgs gksAas dkjd 3 dh ^êwY;kadu** izfØ;k ¼en la[;;kk 22 ds
vfrfjDr ftls ckn esa tksM+k x;k gS½ ls lacfa /kr lHkh enksa ds lac/a k esa mPp lkjka'k gS vkSj dkjd 4 dh izc/a kd dk leFkZu dh lHkh enksa esa
mPp lkjka'k gSA vr% ;g fu”d”kZ fudkyk tk ldrk gS fd iz’ukoyh dh fuekZ.k oS/krk vR;f/kd mPp gSA lkFk gh] izR;sd dkjd dh iSekus dh
fo’oluh;rk 82 izfr’kr ls 93 izfr’kr ds chp gSA
iz’kklu
pj.k ,d % iz’ukoyh dks vafre :i nsuk

iz’ukoyh dks ;Fkk:i izoÙ` k djuk pkfg,A blesa deZpkjh ds lq>koksa vFkok fo”k;ijd QhMcSd ds fy, ,d ;k nks o.kZukRed mRrj okys iz’u j
[kus dk Hkh fodYi pquk tk ldrk gSA tSls
^^ge isl dSyMsa j dk vuqikyu dSls lqfuf’pr dj ldrs gSa \ lq>ko nsAa **
pj.k nks % uewuk fu/kkZj.k

,d ckj iz’ukoyh rS;kj gksus ij blls ;kn`fPNd #i ls p;fur deZpkfj;ksa ds uewus ij dk;kZfUor fd;k tk,A uewuk vkdkj dh x.kuk fuEu
izdkj ls dh tk, &
uewuk vkdkj ¾ 384@ ¿1$¼383@ta-½À

tgka ij ^ta-* dk;Zikydksa Lrj ds deZpkfj;ksa dh tula[;k gSA mnkgj.k ds fy,] ;fn ,d ;wfuV esa 400 dk;Zikyd gSa rks
uewuk vkdkj ¾ 384@¿1$ ¼383@400½À
¾ 384@1-
384@1-9575
¾ 196
vr%] mDr tula[;k dk uewuk vkdkj 196 gSA
uewuk vkdkj dk fu.kZ; djus ds i’pkr~ ;g lqfuf’pr djsa fd ;g tula[;k dk izfrfuf/kRo djrk gks vFkkZr~ lHkh Lrjksa ij lekuqikr esa
forfjr gksA pwafd ,uVhihlh esa dbZ Lrj gSa ge bUgsa gekjs iz;kstu gsrq fuEu izdkj ls cSMa esa foHkkftr dj ldrs gSa &
„‡
PACE
Hence, this factor can be called Goal Setting and Linkages factor. This factor explains 20% variance in scores.
Factor 2 has high loadings on all items of “Role of HR”. Additionally, it has high loadings on items relating to
rewards. It is likely that respondents may relate rewards to one of HR processes. Factor 3 has high loadings on
all items related to “Evaluation” process (except item 22 that has been added later) and factor 4 on all items of
Manager’s Support. Hence, it can be concluded that the construct validity of the questionnaire is reasonably
high. Also, the scale reliability of each of the factors range from 82% to 93%.
Administration

“How can we ensure adherence with PACE calendar? Give suggestions.”

Sample Size = 384/(1+(383/P))
where P is the population of the executives
For example, if there are 400 executives at the unit, then

Sample Size = 384/(1+(383/400))
= 384/1.9575
= ~ 196
follows –

26
isl
?kwf.kZr vo;o esfVªDl

vo;o
1 2 3 4
Lka 1 -530 -321 -316
Lka 2 -571 -575 -307
Lka 3 -593 -328 -315
Lka 4 -788
Lka 5 -505 -649
Lka 6 -419 -788
Lka 7 -353 -444 -617
Lka 8 -673 -547
Lka 9 -475
Lka 10 -483 -610 -399
Lka 11 -786
Lka 12 -837
Lka 13 -662
Lka 14 -358 -788
Lka 15 -318 -711 -409
Lka 16 -351 -371 -713
Lka 17 -681
Lka 18 -441 -488
Lka 19 -595 -304 -467
Lka 20 -610 -341 -350
Lka 21 -764 -387
Lka 22 ykxw ugha
la 22 en dks ckn esa tksM+k x;k gSA vr% ijh{k.k vkadM+s miyC/k ugha gSA
xzMs bZ 1 & bZ4 ¾ cSMa 1 ¼Vhe ds lnL;½

xzMs bZ5 & bZ6 ¾ cSMa 2 ¼Vhe ds usrk½
xzMs bZ7 $ ¾ cSMa 3 ¼foHkkxk/;{k½
pj.k 3 % vkadM+s laxzg.k rFkk vfHys[ku

ukofy;ks
iz’ukoyh dks p;fur uewus ij ;k rks dkxt isfa ly izfof/k ;k bZ&esy] tSlk Hkh mfpr gks] }kjk dk;kZfUor fd;k tk,A Hkjh gqbZ iz’ukofy;ksa esa
ls vkadM+s dks ,e,l&,Dlsy odZ’khV esa vfHkys[kc) fd;k tkuk pkfg,A o.kZukRed iz’uksa ds mÙkj ,e,loMZ MkD;qesVa vFkok uksV iSM esa vyx
ls vfHkys[kc) fd, tkus pkfg,A
„ˆ
PACE
Pad.
Scoring
for “Strongly Agree”. There are no negative questions in the questionnaire. Any score above 3 can be consid-
ered “Good” while a score below 3 should be considered “Poor”.
Parameters Items
Linkage to Rewards 1, 3, 9, 18, 19
Goal Setting 13, 17, 20, 21
Role of HR 4, 11, 15
Evaluation 2, 5, 6, 7, 8, 10, 22
Manager’s Support 12, 14, 16
1. Plot a bar chart of overall parameter
scores. Compare the length of each bar 5
to find out which parameters have been 4

rated comparatively lower and which
3
have been rated higher. For parameters
2
that have been rated low, check the
related item scores to find out areas of 1
dissatisfaction. Do the same for any Linkage to Goal Role of Evaluation Manager's
parameter that has been rated below 3. awards Setting HR Method Support
For instance, look at the adjactent fig-
27
isl
vad fu/kkZj.k
iz’ukoyh esa 1&5 iSekus ij 21 iz’u gSa ftlesa ^^1** ls rkRi;Z ^îw.kZr% vlger gksuk** vkSj ^^5** ls vfHkizk; ^îw.kZr% lger gksuk** gSA iz’ukoyh esa
dksbZ Hkh iz’u udkjkRed ugha gSA 3 ls Åij ds vad dks ^^vPNk** ekuk tk ldrk gS tcfd 3 ls de ds vad dks ^^fud`"V** ekuk tkuk pkfg, pkfg,AA
izR;sd eq[; izkpy ds fy, vyx ls vad dh x.kuk fuEuor~ dh tk,%

-1- izR;sd izfrHkkxh ds fy, izkpy ls lacfa /kr enksa ds vkSlr vadksa dh x.kuk djsAa
-2- izkpy vad rd igqpa us ds fy, lHkh izfrHkkfx;ksa ds fy, vkSlr vadksa dh x.kuk djsAa
-3- cSMa ¼xzMs ½ okj vad izkIr djus ds fy, xzMs cSMa ds Hkhrj izfrHkkfx;ksa ds vkSlr vadksa dh x.kuk djsAa
-4- foHkkx&okj vad izkIr djus ds fy, foHkkx ds Hkhrj izfrHkkxh ds vkSlr vad dh x.kuk djsAa
izkpy en
dM+h ls iqjLdkj rd 1] 3] 9]18] 19
y{; fu/kkZj.k 13] 17] 20] 21
ekuo lalk/ku foHkkx dh Hkwfedk 4] 11] 15]
ewY;kadu 2] 5] 6] 7] 8] 10] 22
izca/kd dk leFkZu 12] 14] 16
blh izdkj ls izR;sd izkpy ds fy, lexz] xzMs okj vkSj foHkkx okj vad dh x.kuk dh tk,A

vki fu”d”kZ fudkyus ds fy, O;k[;kRed fo’ys”k.k ¼ek/;] xzkQ bR;kfn½ vFkok vuqferh; lkaf[;dh dk p;u dj ldrs gSAa
O;k[;kRed fo’ys”k.k
vkdaM+ksa dk O;k[;kRed fo’ys”k.k djus ds fy, fuEuor~ pj.kksa dk vuqlj.k djsa &
-1- lexz ekuanM vad dk ckj pkVZ cuk,aA ;g tkuus ds fy, fd fd izkpyksa dh rqyukRed :i ls de jsfVax gS vkSj fdudh vf/kd jsfVax
gS] izR;sd ckj dh yackbZ dh rqyuk djsa A ftu izkpyksa dh jsfVax de gS ogka vlarfq ”V ds {ks=ksa dk irk yxkus ds fy, lacaf/kr en ds
ds vad
dh tkap djsAa vU; fdlh izkpy ftldh jsfVax 3 ls de gS] ds fy, Hkh leku tkap djsAa mnkgj.k ds fy, layXu fp= dks ns[kaAs
1
Linkage to Goal Role of Evaluation Manager's
awards Setting HR Method Support
„‰
PACE
ure -
It can be seen that Role of HR and Evaluation method have been rated the lowest. Hence, these need to
be looked into further
cern
and 2.
scores with similar data recorded in the past. In following example, current year data of a unit (1) has been
compared with previous year's data (2) using Paired-samples t-test. The SPSS output is shown below –
Descriptives
Mean Std. Deviation Std. Error Mean

Pair 1 Awards1 3.1421 .64778 .08580
Awards2 3.5088 1.00219 .13274
Pair 2 Goalsetting1 3.2793 .74968 .09844
Goalstting2 3.6207 1.07324 .14092
Pair 3 RoleHR1 2.6207 .88689 .11645
RoleHR2 3.7759 .99195 .13025
Pair 4 Evaluation1 2.8897 .66483 .08730
Evaluation2 2.9655 1.25608 .16493
Pair 5 ManagerSupport1 3.1466 .85064 .11169
ManagerSupport2 3.2931 1.07620 .14131
The mean scores of the unit on all parameters are lower for current year (1) than past year (2). Let us look
at the following Paired-samples t-test output to find out whether the difference in scores is significant at
95% confidence level
28
isl
;g ns[kk tk ldrk gS fd ekuo lalk/ku foHkkx dh Hkwfedk vkSj ewY;kadu fof/k dh jsfVax lcls de gSA vr% bu ij vkSj vf/kd /;ku
fn, tkus dh vko’;drk gSA
-2- xzMs cSMa okj izkpy vadksa dk ckj&pkVZ cuk,aA leku izkpy ds Hkhrj rFkk vU; izkpyksa ds laxr xzMs cSMa ckjkas dh yackbZ dh rqyuk djsa
rkfd fparktud {ks=ksa dk irk yxk;k tk ldsA
-3- foHkkxokj izkpy vadksa dk ckj&pkVZ cuk,a rFkk Øe-
Øe- la- 1 vkSj 2 esa mYys[k fd, vuqlkj rqyuk djsAa
-4- iwoZ vkadM+]s ;fn dksbZ gS rks] ds lkFk mDr fu”d”kkZsa dh rqyuk djsAa
-5- fparktud {ks=ksa ds ckjs esa tkuus ds fy, foo`r iz’uksa ds mÙkj esa deZpkfj;ksa }kjk nh xbZ fVIif.k;ksa vkSj lq>koksa ftUgsa oMZ@uks
@uksV iSM esa
vfHkys[k) fd;k x;k gS] dks ns[ksAa
vuqferh; lkaf[;dh
vfHkys[k) fd, x, vkadM+s ds fo’ys”k.k ds fy, fuEufyf[kr vuqferh; izy[s kksa dk mi;ksx fd;k tk ldrk gSA vki ,e,l ,Dlsy ij vFkok
gkFk ls Hkh bl fo’ys”k.k dks dj ldrs gSAa ysfdu bl iz;kstu gsrq ,lih,l,l lokZÙs ke gSA
-1- tsM & ijh{k.k vFkok Vh&ijh{k.k dk mi;ksx fdlh izkpy vFkok mi izkpy gsrq uy gkbiksFkhflt dk vuqeksnu@vuuqeksnu djus ds fy,
djsAa
-2- xzMs okj vkSj foHkkxokj izkpy vadksa dh rqyuk djus ds fy, ;k rks ,d ekxhZ ;k f} ekxhZ ,uksok dk mi;ksx djsAa
-3- iwoZ esa fjdkMZ fd, x, leku vkadM+s ds lkFk vad dh rqyuk djus ds fy, fdlh ;qfXer rqyuk izy[s k tSls fuHkZj uewuk Vh & ijh{k.k
vFkok f} ekxhZ ,uksok dk mi;ksx djsAa fuEufyf[kr mnkgj.k esa ;qfXer uewuk ijh{k.k dk mi;ksx djus gq, ;wfuV ¼1½ ds orZeku o”kZ ds
vkadM+ksa dh fIkNys o”kZ ds vkadM+ksa ¼2½ ls rqyuk dh xbZ gSA ,lih,l,l vkmViqV fuEuor nh xbZ gS %&
o.kZukRed vkadM+s
ek/; ekud fopyu ekud ek/;
;qXe 1 iqjLdkj 1 3-1421 -647778 -08580
iqjLdkj 2 3-5088 1-00219 -13274
;qXe 2 y{; fu/kkZj.k 1 3-2793 -74968 -09844
y{; fu/kkZj.k 2 3-6207 1-07324 -14092
;qXe 3 ekuo lalk/ku dh Hkwfedk & 1 2-6207 -88689 -11645
ekuo lalk/ku dh Hkwfedk & 2 3-7759 -99195 -13025
;qXe 4 ewY;kadu & 1 2-8897 -66483 -08730
ewY;kadu & 2 2-9655 1-25608 -16493
;qXe 5 izca/kd dk leFkZu 1 3-1466 -85064 -11169
izca/kd dk leFkZu 2 3-2931 1-07620 -14131
Vh&ijh{k.k
lHkh izkpyksa ij bdkbZ dk ek/; vad fiNys o”kZ ¼2½ dh rqyuk esa orZeku o”kZ ¼1½ esa de gSA vc ge fuEufyf[kr ;qfXer uewuk Vh&ijh{k.k djrs
gSa rkfd ;g irk yxk;k tk lds fd 95 izfr’kr fo'ofLu;rk ds Lrj ij vad esa varj fof’k”V gS ;k ughaA
„Š
PACE
Paired Samples t-test
t df Sig. (2-tailed)
Pair 1 Awards1 - Awards2 -2.666 56 .010
Pair 2 Goalsetting1 - Goalstting2
-3.244 57 .002
Pair 3 RoleHR1 - RoleHR2 -6.243 57 .000
Pair 4 Evaluation1 - Evaluation2 -.560 57 .577
Pair 5 ManagerSupport1 - ManagerSupport2
-1.124 57 .266
It can be seen that difference between current year and past year scores is significant at α = 0.05 in case of
Pair 1, 2 and 3 only.
29
isl
;qfXer uewuk Vh & ijh{k.k

Vh Mh,Q fof’k”V ¼2 VsYM½
;qXe 1 iqjLdkj 1 iqjLdkj 2 & 22--666 56 -010
;qXe 2 y{; fu/kkZj.k 1 & 3-3-244 57 -002
y{; fu/kkZj.k 2
;qXe 3 ,pvkj dh Hkwfedk 1 & 6-6-243 57 -000
,pvkj dh Hkwfedk 2
;qXe 4 ewY;kadu 1 & ewY;kadu 2 & 55--60 57 -577
;qXe 5 izca/kd leFkZu 1 & izc/a kd dk leFkZu & 1-1-124 57 -266
2
;g ns[kk tk ldrk gS fd orZeku o”kZ vkSj fiNys o”kZ ds vad esa varj dsoy ;qXe 1] 2 vkSj 3 ds ekeys esa vYQk ¾ 00--05 ij fof’k”V gSA
„‹
PACE
PACE Questionnaire
Instruction
The following questionnaire is designed to study the PACE process and factor affecting it. Please give us your
free and candid opinion. Your answers are important to us and shall be treated with utmost confidentiality.
Please rate the following statements on 1-5 scale, “1” being “Strongly Disagree”, by putting a tick mark () in
the appropriate cell.
Neither
Strongly Strongly
Q.No. Statement Disagree Agree nor Agree
Disagree Agree
Disagree
1 The ability to deliver performance commit-
ments strongly influences career advance- 1 2 3 4 5
ment at this organization
2 My manager gives me regular performance
feedback so that there are no surprises at 1 2 3 4 5
the end of the performance cycle
3 Career goals and performance gaps are
considered while nominating employees to 1 2 3 4 5
any training program
4 HR is able to effectively answer system
1 2 3 4 5
related queries put forward by me
5 There is regular documentation of individ-
ual's work which can be easily referred to 1 2 3 4 5
during annual performance appraisal
6 My manager explains me the reasons for
1 2 3 4 5
change in marks, if any, after normalization
7 I feel PMC marks are in line with my actual
1 2 3 4 5
performance
8 My manager directly addresses issues of
1 2 3 4 5
poor performance
9 My performance has a significant impact
1 2 3 4 5
on my rewards
10 My manager is able to effectively explain
1 2 3 4 5
my performance gaps to me
11 HR helps me in understanding the PACE
1 2 3 4 5
process
30
isl
isl iz’ukoyh
vuqn’s k
fuEufyf[kr iz’ukoyh isl izfØ;k vkSj bls izHkkfor djus okys dkjdksa dk v/;;u djus ds fy, rS;kj dh xbZ gSA Ñi;k viuh Lora= vkSj
fu”i{k jk; nsAa vkids mÙkj gekjs fy, egRoiw.kZ gSa vkSj bUgsa xksiuh; j[kk tk,xkA Ñi;k fuEufyf[kr dFkuksa dh 1 ls 5 ds Ldsy ij ftles
ftlesa
^^1** ls vfHkizk; ^îw.kZr% vlger gksuk** mfpr dks”Bd esa lgh dk fpg~u ¼a
¼ a½ yxkdj] jsfVax djsAa
izfrHkkxh dk C;ksjk
xzMs &&&&&&&&&&&&&&&&&&& foHkkx &&&&&&&&&&&&&&&
Ø-la- dFku iw.kZr% vlger u rks lger lger iw.kZr%

1 bl laxBu esa fu”iknu izfrc)rk dSfj;j fodkl dks vR;f/ 1 2 3 4 5
kd izHkkfor djrh gSA
2 esjk izc/a kd eq>s fu;fer :i ls dk;Z fu”iknu lac/a kh 1 2 3 4 5
QhMcSd nsrk gS rkfd fu”iknu pØ dh lekfIr ij dksbZ
vk’p;Z u gksA
3 fdlh izf’k{k.k dk;ZØe ds fy, deZpkfj;ksa dk p;u djrs 1 2 3 4 5
gq, dSfj;j y{;ksa vkSj fu”iknu esa dfe;ksa dks /;ku esa j[kk
tkrk gSA
4 ek-
ek-la-fo isl izfz Ø;k lac/a kh iz’uksa dk izHkkoh mÙkj nsus esa l 1 2 3 4 5
{ke gSA
5 O;fDr ds dk;Z dk fu;fer rkSj ij izy[s ku gksrk gS rkfd 1 2 3 4 5
okf”kZd dk;Z fu”iknu ewY;kadu ds nkSjku ljyrk ls lanHkZ
fy;k tk ldsAa
6 esjs izca/kd }kjk ekudhdj.k ds i’pkr ;nh vadksa esa dksbZ 1 2 3 4 5
Qsj&cny gks rks mldss dkj.kksa dks foLrkj ls crk;k tkrk
gSA
7 eq>s yxrk gS fd fu"iknu izc/a kd lfefr ds vad esjs 1 2 3 4 5
oklrfod dk;Z fu”iknu ds vuqlkj gh gksrs gSAa
8 [kjkc fu”iknu ds dkj.kksa dk izc/a kdksa }kjk izR;{k :i ls 1 2 3 4 5
lek/kku fd;k tkrk gSA
9 esjs fu”iknu dk eq>s feyus okys iqjLdkj ij egRoiw.kZ 1 2 3 4 5
izHkko iM+rk gSA
10 esjk izc/a kd eq>s fu”iknu esa dfe;ksa dks izHkkoh :i ls 1 2 3 4 5
le>kus esa l{ke gSA
11 ek-
ek-la-fo isl izfØ;k dks le>us esa esjh lgk;rk djrk gSA 1 2 3 4 5
12 esjk izca/kd izR;sd deZpkjh dh csgrj dk;Z fu”iknu esa 1 2 3 4 5

lgk;rk djrk gSA
13 eSa fu”iknu pØ ds vkjaHk esa gh d- d-is h-h-, dk fu/kkZj.k dj 1 2 3 4 5
ysrk gw¡A
14 esjk izc/a kd ;g le>us esa esjh lgk;rk djrk gS fd esjk 1 2 3 4 5
dk;Z laxBu ds y{;ksa dh izkfIr esa dSls lgk;d gSA
…0
PACE
Neither
Strongly Strongly
Q.No. Statement Disagree Agree nor Agree
Disagree Agree
Disagree
12 My manager takes time to help each em-
1 2 3 4 5
ployee achieve their best
13 I set my KPA's at the beginning of per-
1 2 3 4 5
formance cycle
14 My manager helps me understand the how
my work contributes to organization's 1 2 3 4 5
goals
15 HR provides regular training and reading
material to help employees understand 1 2 3 4 5
PMS better
16 My manager inspires me to higher levels of
1 2 3 4 5
performance
17 PACE form has a simple and practical for-
1 2 3 4 5
mat
18 I am rewarded fairly for the contributions I
1 2 3 4 5
make to the organization's success
19 The performance assessment process helps
1 2 3 4 5
me improve my performance
20 Managers jointly set goals with subordi-
1 2 3 4 5
nates to ensure proper cascading of targets
21 Individual's career goals, and not only or-
ganization's goals, are taken into account 1 2 3 4 5
while setting KPA's
22 The system of Appeals has helped in mak-
1 2 3 4 5
ing PACE process more transparent

31
isl
Ø-la- dFku iw.kZr% vlger u rks lger lger iw.kZr%

15 ek-
ek-la-fo] ih,e,l dks csgrj <ax ls le>us ds fy, 1 2 3 4 5
deZpkfj;ksa dks fu;fer izf’k{k.k nsrk gS vksj mUgsa iBu
lkexzh miyC/k djkrk gSA
16 esjk izc/a kd eq>s mPp Lrjh; fu”iknu gsrq izsfjr djrk gSA 1 2 3 4 5
17 isl iz.kkyh dk QkeZVs ljy vkSj O;kogkfjd gSA 1 2 3 4 5
18 laxBu dh lQyrk esa ;ksxnku ds fy, eq>s mfpr iqjLdkj 1 2 3 4 5
fn;k tkrk gSA
19 fu”iknu ewY;kadu izfØ;k ls eq>s fu”iknu esa lq/kkj djus esa 1 2 3 4 5
lgk;rk feyrh gSA
20 y{;ksa ds leqfpr lksiku lqfuf’pr djus ds fy, lHkh izc/a 1 2 3 4 5
kd la;Dq r :i ls v/khuLFkksa ds lkFk feydj y{; fu/kkZfjr
djrs gSAa
21 ds-ih-
ih-, dk fu/kkZj.k djrs gq, dsoy laxBu ds y{;ksa dks gh 1 2 3 4 5
ugha vfirq O;fDr ds dSfj;j lac/a kh y{;ksa Hkh /;ku esa j[kk
tkrk gSA
22 vihy@ iquZfopkj fuosnu djus dh O;oLFkk ls isl izfØ;k 1 2 3 4 5
dks ikjn’khZ cukus esa lgk;rk feyh gSA

…ƒ
5. REWARDS & RECOGNITION
Objective
The instrument has been designed to gauge the reward and recognition climate at units/ offices. For any re-
ward scheme to have the desired motivational effect, following conditions must be met –
1. Openness
Reward criteria is widely known and is accepted as objective criteria
2. Transparency
Rewards are distributed as per criteria and there is no room for favoritism and personal biases.
3. Timeliness
Rewards are given in time
4. Recognition
The awardee is duly recognized
5. Quantum
The quantum of rewards is proportionate to one’s contribution and achievement
The instrument has been designed on above principles. It is not specific to any one reward scheme but meas-
ures the overall reward and recognition climate of the unit/ office through studying employee perception
about above aspects of existing reward and recognition schemes. The instrument is applicable for both, mone-
tary and non-monetary reward schemes.
Frequency
Population
All employees, executives and non-executives.
Reliability
The reliability of the instrument using Split-half reliability test on data of 223 employees has been found to be
0.732. The scale reliability of different parameters using Alpha Cronbach coefficient has been found to be
69% to 88%. The instrument can be considered reliable enough for our purpose.
Validity
The parameters used are consistent with theoretical understanding of reward and recognition. To measure the
32
5- iqjLdkj ,oa lEeku
mís’;
bl izy[s k dk mís’; ;wfuVks@
a dk;kZy;ksa esa iqjLdkj rFkk lEeku ds Lrj dks ekiuk gSA fdlh Hkh iqjLdkj ;kstuk ds okafNr
izsjd izHkko ds fy, fuEuor ‘krZsa iwjh gksuh pkfg, %
1- Li"VksfDr
iqjLdkj ekunaM O;kid :i ls tkuk tkrk gS vkSj ;g ,d izek.kRed ekunaM ds :i esa Lohdkj fd;k tkrk gSA
2- ikjnf’kZrk
iqjLdkj ekunaM ds vuqlkj forfjr fd, tkrs gSa vkSj i{kikr rFkk O;fDrxr HksnHkko dh dksbZ xqt
a kb’k gh ugha gSA
3- le;c)rk
iqjLdkj le; ij fn, tkrs gSAa
4- lEeku
iqjLdkj fotsrk dks fof/kor lEekfur fd;k tkrk gSA
5- izek=k
iqjLdkj O;fDr ds ;ksxnku vkSj miyfC/k ds vuqikr esa gksrk gSA
;g izy[s k mDr fl)karksa ij rS;kj fd;k x;k gSA ;g fdlh fo’ks”k iqjLdkj ;kstuk ds fy, ugha gSA blds }kjk fo|eku
iqjLdkj vkSj ;kstukvksa ds mDr igyqvksa ds izfr deZpkfj;ksa dh /kkj.kkvksa vocks/ku dk v/;;u djds ] ;wfuV@dk;kZy; ds
lexz iqjLdkj ,oa lEeku laca/kh okrkoj.k dk ekiu fd;k tk ldrk gSA
vko`fÙk
;g loZ{s k.k nks o”kkZsa esa ,d ckj fd;k tkuk pkfg,A
tuleqnk;
lHkh dk;Zikyd vkSj xSj dk;Zikyd deZpkjh
fo’oluh;rk
223 deZpkfj;ksa ds vkadM+s ij fLIyV gkQ ¼v)Z foHkktu½ fo’oluh;rk ijh{k.k ds mi;ksx }kjk izy[s k dh fo’oluh;rk 0-0-
…„
Rewards & Recognition
construct validity, factor analysis was performed on data recorded for 223 respondents. 4 factors were ex-
tracted that together explain 71% variance in the scores. Factor loadings above .3 and above have been men-
tioned. Highest Factor loading for any item is in bold font.
Component
1 2 3 4
Openness 1 .880
Openness 2 .883
Openness 3 .364 .778
Transparency 1 .642 .461
Transparency 2 .839
Transparency 3 .695 .398
Timeliness .550 .468 .314
Recognition 1 .587 -.449
Recognition 2 .831
Recognition 3 .796
Quantum 1 .737
Quantum 2 .364 .640
Quantum 3 .846
Factor 2 has high loadings on all 3 items of parameter Openness. Hence, it has the construct validity of 1.
Similarly, Factor 3 has high loadings on all 3 items of “Quantum”.
Factor 4 has high factor loading on one item of “Transparency”. This item deals with role of favoritism is re-
ward and recognition. This factor can be called “Favoritism” factor. Factor 1 has high loadings on 2 out of 3
items of “Transparency”. These items pertain to objective evaluation process. Hence, “Transparency” is a
function of Objectivity and Favoritism.
Factor 1 also has high loadings on all items of “Timeliness” and “Recognition”. Factor 1 captures employee
perception about objective evaluation, timeliness and recognition aspects of the process. It explains 41.5%
variance in scores and hence, is the largest factor that impacts the reward and recognition climate.
Administration

“What should be done to improve the reward and recognition system at NTPC?”
“Please give your suggestions on how to make the reward process more transparent”
33
iqjLdkj ,oa lEeku
732 ikbZ xbZA ,YQk Økcsd xq.kkad ds mi;ksx }kjk fofHkUu izpkkyksa ds iSekuksa dh fo’oluh;rk 69 izfr’kr ls 88 izfr’kr
rd ikbZ xbZA ;g izy[s k gekjs iz;kstu gsrq i;kZIr fo’oluh; ekuk tk ldrk gSA
oS/krk
iz;Dq r izkpy iqjLdkj ,oa lEeku ds lS)kafrd cks/ku ds vuq:i gSAa fuekZ.k oS/krk dk ekiu djus ds fy, 223 izfrHkkfx;ksa
ij ntZ fd, x, vkadM+ksa dk dkjd fo’ys”k.k fd;k x;kA pkj dkjd ckgj fudkys x, tks vad esa 71 izfr’kr varj dk
dkj.k gSAa -3 vkSj blls Åij ds dkjd lkjka'kksa dk mYys[k fd;k x;k gSA fdlh Hkh enn ds mPpre dkjd lkjka'k dks
eksVs v{kjksa esa fn;k x;k gSA

vo;o
1 2 3 4
[kqykiu 1 -880
[kqykiu 2 -883
[kqykiu 3 -364 -778
ikjnf’kZrk 1 -642 -461 -839
ikjnf’kZrk 2 -398
iknf’kZrk 3 -695
le;c)rk -550 -468 -314
lEeku 1 -587
lEeku 2 -831
lEeku 3 -796
izek=k 1 -737
izek=k 2 -364 -640
izek=k 3 -846
[kqykiu izkpy dh lHkh rhuksa enksa esa dkjd 2 ds lkjka'k lokZf/kd gSA vr% bldh fuekZ.k oS/krk 1 gSA blh izdkj ls
^îzek=k** dh lHkh 3 enksa ij dkjd 3 ds lkjka'k lokZf/kd gSA dkjd 4 dk ^îkjnf’kZrk** dh ,d en ij mPp dkjd
lkjka'k gSA ;g en iqjLdkj ,oa lEeku esa i{kikr dh Hkwfedk ds lac/a k esa gSA bl dkjd dks ^î{kikr** dkjd dgk tk
ldrk gSA dkjd 1 dh ^îkjnf’kZrk** dh 3 enksa esa ls 2 esa mPp lkjka'k gSA ;s en oLrqijd ewY;kadu izfØ;k ls lacfa /kr
gSA vr% ^îkjnf’kZrk** oLrqijdrk vkSj i{kikr dk lap; gSA
dkjd 1 dk Hkh ^^le;c)rk** vkSj ^^leku** dh lHkh enksa esa mPp lkjka'k gSA dkjd 1 izfØ;k ds oLrqijd ewY;kadu]
le;c)rk vkSj lEeku igyqvksa ds ckjs esa deZpkjh ds Kku ds lac/a k esa gSA blds dkj.k vadksa esa 41-
41-5 izfr’kr varj gS vkSj
blfy, ;g lcls cM+k dkjd gS tks iqjLdkj ,oa lEeku ds okrkoj.k dks izHkkfor djrk gSA
iz’kklu
……

Sample Size = 384/(1+(383/P))

Sample Size = 384/(1+(383/1000))
= 384/1.383
= 277.66 ~ 278

Pad.

Openness Criteria is known, criteria is objective 1-3
Transparency Objective evaluation, Favoritism 4-6
Timeliness Timeliness 7
Recognition Recognition 8-10
Quantum Proportionate, reasonable 11-13
Scoring
for “Strongly Agree”. Item 5 is a negative question and its scale needs to be reversed while scoring. This can
be done by subtracting employee responses from 6. For eg, if an employee has given “2”, Disagree, against
34
iqjLdkj ,oa lEeku
iz’ukoyh dks ;Fkk:i dk;kZfUor fd;k tk,A vki deZpkjh ds lq>ko vFkok fo”k;ijd QhMcSd ds fy, blesa ,d ;k nks
o.kZukRed mRRj okys iz’u tksM+ ldrs gSAa tSls &
^^,uVhihlh dh iqjLdkj ,oa lEeku O;oLFkk esa lq/kkj ds fy, D;k fd;k tkuk pkfg, \**
vFkok bls vkSj fo’ks”k cukus ds fy,
^^Ñi;k bl lac/a k esa vius lq>ko nsa fd iqjLdkj izfØ;k dks vf/kd ikjn’khZ dSls cuk;k tk ldrk gS**A
pj.k 2 & uewuk fu/kkZj.k

iz’ukoyh rS;kj gksus ij blls ;kn`fPNd #i ls pqus x, deZpkfj;ksa ds uewus ij dk;kZfUor fd;k tk,A uewuk vkdkj dh
x.kuk fuEu izdkj ls dh tk, &
uewuk vkdkj ¾ 384@¿1$¼383@ih ½À
mnkgj.k ;fn la;a= esa 1000 deZpkjh gSa rks
uewuk vkdkj ¾ 384@¿1$ ¼383@1000½À

¾ 384@1-
384@1-383
¾ 277-
277-66~278
uewus ds vkdkj dk fu.kZ; djus ds ckn ;g lqfuf’pr djsa fd ;g tula[;k dk izfrfuf/kRo djrk gks vFkkZr~ lHkh Lrjksa ij
lekuqikr esa forfjr gksA pwafd ,uVhihlh esa dbZ Lrj gSa ] ge mUgsa gekjs iz;kstu gsrq fuEu izdkj ls cSaM esa foHkkftr dj
ldrs gSa &
xzMs MCY;w 0 &MCY;w 11 ¾ cSMa 1 ¼dkexkj½

xzMs bZ 1 & bZ 4 ¾ cSMa 2 ¼Vhe dk lnL;½
xzMs bZ 5 & bZ 6 ¾ cSMa 3 ¼Vhe ds usrk½
xzMs bZ 7 $ ¾ cSMa 4 ¼foHkkxk/;{k½
pj.k 3 & vkadM+k ,d=.k vkSj vfHkys[ku

iz’ukoyh dks p;fur uewus ij ;k rks dkxt isafly izfof/k ;k bZ&esy] tSlk Hkh mfpr gks] iz'kkflr fd;k tk,A Hkjs xbZZ
iz’ukofy;ksas ls vkadM+s dks ,e,l&,Dlsy odZ’khV esa fjdkMZ fd;k tkuk pkfg,A [kqys iz’uksa ds mÙkj ,e,loMZ MkD;qeVas
vFkok uksV iSM esa vyx ls fjdkMZ fd, tkus pkfg,A
vad fu/kkZj.k
iz’ukoyh esa 13 iz’u gS tks 1&5 iSekuss ij gS tgka ^^1** ls vfHkizk; îw.kZr% vlger gksuk** vkSj ^^5** ls rkRi;Z ^îw.kZr%
…†
this item, the true score can be arrived at by subtracting it from 6 (as 6-2 = 4, Agree). Any score above 3 can
be considered “Good” while a score below 3 can be considered “Poor”.
1. Plot a bar chart of grade-band wise parameter scores. Compare length of bars of same parameter between
the grades to find out areas of concern. For grades that have given comparatively low scores or have rated
any parameter below 3, carry out in depth analysis.
2. Plot a bar chart of department wise parameter scores and carry out comparisons as mentioned in SNo. 1.
2. Either use one-way or two-way ANOVA to compare grade wise and department wise parameter scores.
For instance, impact of Location and Grade (as independent variables) has been studied on "Awareness"
parameter (as dependent variable). The SPSS output for Univariate GLM is given below:-
Dependent Variable (Awareness)
Type III Sum of
Source df Mean Square F Sig.
Squares
Corrected Model 43.841(a) 7 6.263 6.926 .000
Intercept 1028.232 1 1028.232 1137.144 .000
Loc 1.920 1 1.920 2.123 .147
Grade 7.579 3 2.526 2.794 .041
Loc * Grade 4.686 3 1.562 1.728 .162
35
iqjLdkj ,oa lEeku
lger gksuk** gSA en 5 ,d udkjkRed iz’u gS vkSj Ldksfjax djrs gq, blds iSekus dks mYVk fd, tkus dh vko’;drk
gSA ,slk deZpkjh ds mÙkj dks 6 ls ?kVkdj fd;k tk ldrk gSA mnkgj.kkFkZ ;fn ,d deZpkjh us bl en ds fy, ^2*]
vlger gksuk fn;k gS rks lgh vad bls 6 ls ?kVkdj ¼tSls 6&2 ¾ 4] lger gksuk½ izkIr fd;k tk ldrk gSA 3 ls vf/kd
fdlh Hkh vad dks ^vPNk* ekuk tk ldrk gS tcfd 3 ls de dk vad ^fud`"V* ekuk tkrk gSA
izR;sd eq[; izkpy ds fy, vyx vad dh xq.kuk fuEuor dh tk ldrh gS %
-1- izR;sd izfrHkkxh ds fy, izkpy ls lacfa /kr enksa ds vkSlr vad dh x.kuk djsaA
-2- izkpy vad dh izkfIRk gsrq lHkh izfrHkkfx;ksa ds fy, vkSlr vad dh x.kuk djsaA
-3- cSMa ¼xzMs ½ okj vad dh izkfIRk ds fy, xzMs cSMa ds Hkhrj lHkh izfrHkkfx;ksa ds fy, vkSlr vad dh x.kuk djsa
-4- foHkkx okj vad dh x.kuk djus ds fy, foHkkx esa izfrHkkfx;ksa ds vkSlr vad dh x.kuk djsAa
izkpy mi & ekunaM en

Li"VksfDr ekunaM Kkr gS] ekinaM iz.kkRed gS 1&3
ikjnf’kZrk oLrqijd ewY;kadu] i{kikr 4&6
le;c)rk le;c)rk 7
lEeku lEeku 8-10
izek=k lekuqikr] rdZlxa r 11&13
blh izdkj ls] izR;sd izkpy ds fy, xzMs okj vkSj foHkkxokj vad dh x.kuk dh tk ldrh gSA
ifj.kkeksa dh O;k[;k
fu”d”kZ fudkyus ds fy, vki O;k[;kRed fo’ys”k.k ¼ek/;] xzkQ bR;kfn½A vFkok vuqferh; lkaf[;dh dk p;u cj ldrs
gSA
vkadM+s dk O;k[;kRed fo’ys”k.k djus ds fy, fuEuor pj.kksa dk vuqlj.k djsa &
-1- xzMs &cSMa okj izkpy vad dk ckj&pkVZ cuk,A fparktud {ks=ksa dk irk yxkus ds fy, xzMs ksas ds chp leku izkpy ds
ckjksa dh yackbZ dh rqyuk djsAa ftu xzMs ksa us rqyukRed :i ls de vad fn;k gS vFkok fdlh ekunaM dh jsfVax 3 ls
de dh gS] mlesa xgu fo’ys”k.k djsAa
-2- foHkkxokj izkpy vad dk ckj pkVZ cuk,a vkSj Øe la[;k ^1* esa mYys[k fd, x, vuqlkj rqyuk djsAa
-3- foxr vkadMkas ] ;fn dksbZ gks rks] ds lkFk mDr fu”d”kkZas dh rqyuk djsaA
-4- fparktud {ks=ksa ds ckjs esa tkuus ds fy, o.kZukRed iz’uksa ds mÙkj esa deZpkfj;ksa }kjk nh xbZ fVIif.k;ksa vkSj lq>koksa
ftUgsa oMZ@uksV iSM esa vfHkys[kc) fd;k x;k gS] dks ns[ksAa
vuqferh; lkaf[;dh
vfHkys[kc) fd, x, vkadM+s ds fo’ys”k.k ds fy, fuEufyf[kr vuqferh; izy[s kksa dk mi;ksx fd;k tk ldrk gSA
vki ,e,l ,Dlsy ij vFkok eSuvq yh ¼gkFk ls½ Hkh bl fo’ys”k.k dks dj ldrs gSAa ysfdu bl iz;kstu gsrq ,lih,l,l
…‡
R Squared = .184 (Adjusted R Squared = .157)

As it can be observed, effect of "Grade" on "Awareness" is significant at α = 0.05. Effect of "Location" and
combined effect of "Location and Grade" on "Awareness is not significant at 95% confidence level. More-
over, the adjusted R squared value tells us that Location and Grade together explain 15.7% variance in
"Awareness".
Similarly, effect of Location and Grade on dependent variable "Process" is given below –
Dependent Variable (Process)
Type III Sum of
Source df Mean Square F Sig.
Squares
Corrected Model 17.996(a) 7 2.571 7.190 .000
Intercept 845.804 1 845.804 2365.564 .000
Loc 3.693 1 3.693 10.329 .002
Grade 1.555 3 .518 1.450 .229
Loc * Grade .436 3 .145 .406 .749
R Squared = .190 (Adjusted R Squared = .163)

It can be seen that in case of "Process", effect of "Location" is significant at α = 0.05, but not "Grade".
36
iqjLdkj ,oa lEeku
lokZÙs ke gSA
-1- tsM & ijh{k.k vFkok Vh& ijh{k.k dk mi;ksx fdlh izkpy vFkok mi izkpy gsrq v'kDr ifjdYiuk dk vuqeksnu
vFkok vuuqeksnu djus ds fy, djsAa
-2- xzMs okj vkSj foHkkxokj izkpy vadksa dh rqyuk djus ds fy, ;k rks ,d ekxhZ ;k f} ekxhZ ,uksok dk mi;ksx djsAa
mnkgj.kkFkZ ^tkx:drk* izkpy ¼vkfJr pj ds :i es½a ckjs esa LFkku vkSj xzMs ¼Lora= pj ds :i es½a dk v/;;u fd;k
x;k gSA ;wfuosfj,V th,y,e ds fy, ,lih,l,l vkmViqV fuEuor~ gS &
vkfJr pj ¼tkx:drk½
lzksr oxkZsa dk Vkbi III Mh,Q e/;eku oxZ ,Q fof’k”V
tksM+
‘kksf/kr ekMy 43-
43-84 7 6-263 6-926 -000
vUrLFk ¼baVjlsIV½ 1028-
1028-232 1 1028-
1028-232 1137-
1137-144 -000
,yvkslh 1-920 1 1-920 2-123 -147
xzMs 7-579 3 2-526 2-794 -041
,yvkslh $ xzMs 4-686 3 1-562 1-728 -162
vkj oxZ ¾ -184 ¼lek;ksftr vkj oxZ ¾ -157½ tSlk fd ;g ns[kk tk ldrk gS fd ^^tkx:drk** ij ^^xzMs ** dk izHkko ¾
0-05 ij fof’k”V gSA ^^tkx:drk** ij ^^LFkku** vkSj ^^LFkku vkSj xzMs ** dk fefJr izHkko 95 izfr’kr fo'ofu;rk ds Lrj ij
fof’k”V ugha gSA ;gh ugha] lek;ksftr vkj oxZ dk eku gesa crkrk gS fd LFkku vkSj xzMs nksuksa feykdj ^^tkx:drk** esa
15-
15-7 izfr’kr fHkUurk ykrs gSAa
blh izdkj ls] vkfJr pj ^îzfØ;k** ij LFkku vkSj xzMs dk izHkko fuEuor~ fn;k x;k gS%
vkfJr pj ¼izfØ;k½
lzksr oxkZsa dk Vkbi III Mh,Q e/;eku oxZ ,Q fof’k”V
tksM+
‘kksf/kr ekMy 17-
17-996 7 2-571 7-190 -000
vUrLFk ¼baVjlsIV½ 845-
845-804 1 845-
845-004 2365-
2365-564 -000
,yvkslh 3-693 1 3-693 10-
10-239 -002
xzMs 1-555 3 -518 1-450 -229
,yvkslh $ xzMs -436 3 -145 -406 -749
vkj oxZ ¾ -190 ¼lek;ksftr vkj oxZ -163½
;g ns[kk tk ldrk gS fd ^^ izfØ;k** ds ekeys esa ^^LFkku** dk vYQk ¾ 0-0-05 ij fof’k”V gS ysfdu xzMs dk ughaA
3- foxr esa fjdkMZ fd, x, leku vkadM+ks ds lkFk vad dh rqyuk djus ds fy, fdlh Hkh ;qfXer rqyuk izy[s k tSls
vkfJr uewuk Vh & ijh{k.k vFkok f} ekxhZs ,uksok dk mi;ksx djsAa
…ˆ
Rewards & Recognition Questionnaire

Instruction
The following questionnaire is aimed at finding the appropriateness of NTPC's Reward and Recognition
schemes for the purpose of enhancing performance, motivating and awarding employees for their outstanding
achievements. Kindly give us your feedback on following aspects of the reward schemes keeping in mind both
monetary and non-monetary reward schemes. Please rate the following statements on 1-5 scale, “1” being
“Strongly Disagree”, by putting a tick mark () in the appropriate cell.
SN Statement Strongly Disagree Neither Agree Strongly

Disagree
1 I am aware of the various monetary and non-
monetary reward schemes of NTPC
2 I am aware about the basic criteria on which
various awards are based
3 Rewards are based on clear and objective criteria
4 Rewards are given as per criteria
5 Favoritism prevails when it comes to giving
away rewards
6 Deserving people are rewarded
7 Rewards are given on time, as and when they
become due
8 Awardees get adequate publicity
9 Good performance is appreciated and recog-
nized by top management
10 Good work does not go unrecognized
11 Seniors share the credit of good work with their
subordinates
12 Quantum of rewards is proportionate to one's
achievement
13 Performance linked monetary rewards (GI/ CI
etc.) are reasonable at NTPC

37
iqjLdkj ,oa lEeku
iqjLdkj vkSj lEeku iz’ukoyh

funZ’s k
fuEufyf[kr iz’ukoyh dk mís’; deZpkfj;ksa dh mRÑ”V miyfC/k;ksa ds fy, muds fu”iknu dks c<+kus] mUgsa izfs jr djus vkSj
mUgsa iqjLÑr djus ds iz;kstu gsrq ,uVhihlh dh iqjLdkj vkSj lEeku ;kstukvksa dh mi;qDrrk dk irk yxkuk gSA Ñi;k
ekSfnzd vkSj xSj&ekSfnzd iqjLdkj ;kstukvksa nksuksa dks gh /;ku esa j[krs gq, iqjLdkj ;kstukvksa ds fuEufyf[kr igyqvksa ij
viuk QhM cSd nsaA Ñi;k viuh Lora= vkSj fu”i{k jk; nsAa vkids mÙkj gekjs fy, egRoiw.kZ gSa vkSj bUgsa xksiuh; j[kk
tk,xkA Ñi;k fuEufyf[kr dFkuksa dh 1 ls 5 ds iSekus ij] ftlesa ^^1** ls vfHkizk; ^îw.kZr% vlger gksuk** mfpr] dks”Bd
esa lgh dk fpg~u ¼a½ yxkdj] jsfVax djsAa
izfrHkkxh dk C;ksjk
xzMs &&&&&&&&&&&&&&&&&&& foHkkx &&&&&&&&&&&&&&&
Ø-la- dFku iw.kZr% vlg u rks lger lger iw.kZr%
vlger er gksuk vkSj u gh gksuk lger
gksuk gksuk vlger gksuk gksuk
1 eq>s ,uVhihlh dh fofHkUu ekSfnzd vkSj xSj&ekSfnzd 1 2 3 4 5
iqjLdkj ;kstukvksa dh tkudkjh gSA
2 eq>s mu vk/kkjHkwr ekunaMksa dh tkudkjh gS ftl 1 2 3 4 5
ij fofHkUu iqjLdkj vk/kkfjr gSA
3 iqjLdkj Li”V vkSj oLrqijd ekunaM ij vk/kkfjr 1 2 3 4 5
gSA
4 iqjLdkj ekunaM ds vuqlkj fn, tkrs gSA 1 2 3 4 5
5 iqjLdkj nsus esa i{kikr fd;k tkrk gSA 1 2 3 4 5
6 ;ksX; O;fDr;ksa dks iqjLÑr fd;k tkrk gSA 1 2 3 4 5
7 iqjLdkj le; ij] tc Hkh ns; gks]a fn, tkrs gSaA 1 2 3 4 5
8 iqjLdkj fotsrkvksa dk i;kZIr izpkj fd;k tkrk gSA 1 2 3 4 5
9 vPNs fu”iknu dks ‘kh”kZLFk izc/a ku }kjk ljkgk vkSj 1 2 3 4 5
lEekfur fd;k tkrk gSA
10 vPNs dk;Z dh vuns[kh ugha dh tkrhA 1 2 3 4 5
11 ofj”B vf/kdkjh vPNs dk;Z dk Js; vius v/ 1 2 3 4 5
khuLFkksa ds lkFk ckaVrs gSA
12 iqjLdkj dh izek=k O;fDr dh miyfC/k ds vuqikr 1 2 3 4 5
esa gksrh gSA
13 ,uVhihlh esa fu”iknu lgc) ekSfnzd iqjLdkj 1 2 3 4 5
¼thvkbZ@lhvkbZ bR;kfn½ mi;qDr gSA
o.kZukRed mRrj okys iz’u tksMA+sa

…‰
6. SERVICES EFFECTIVENESS
Objective
The instrument has been designed to measure internal customer satisfaction with service affectiveness of vari-
ous services functions. The instrument can be used to measure services effectiveness of more than one depart-
ment to arrive at comparative ranking, or be used to measure service effectiveness of any single function.
Frequency
This survey should be carried out annually, preferably in Jan-Feb.
Population
All employees – executives and non-executives.
Parameters
The questionnaire measures 6 aspects of service function effectiveness -
1. Quality
This parameter tells if error free and quality service is provided by the service department
2. Promptness
This parameter tells us how promptly customer queries and complaints are addressed.
3. Friendliness
This parameter measures if service function employees are friendly towards internal customer.
4. Facilitation
This parameter tells us how the service function employees facilitate internal customers in resolving
their issues
5. Fairness
This parameter tells us if service function employees treat all employees equally and fairly.
6. Customer Feedback
This parameter tells us how customer feedback is sought and used by the service function
Reliability
The reliability of the instrument using Split-half reliability test based on data of 202 executives has been found
to be 89.5%. The scale reliability of different parameters using Alpha Cronbach coefficient has been found to
be 86% to 93%. The instrument can be considered reliable enough for our purpose.
38
6- lsok dh izHkkfork
mís’;
;g izy[s k fofHkUUk lsok foHkkxksa dh lsok izHkkfork ls vkarfjd miHkksDrk dks gksus okyh larfq ”V dks ekiu ds fy, rS;kj fd;k x;k ggSSA bl izy[s k
dk mi;ksx,d ls vf/kd foHkkxksa dh lsok izHkkfork dh rqyukRed jSfa dax vFkok fdlh ,d izdk;Z dh lsok izHkkfork dks ekius ds fy, fd;k fd;k tk
ldrk gSA
vko`fÙk
;g loZ{s k.k okf”kZd] ojh;r% tuojh&Qjojh esa fd;k tkuk pkfg,A
tuleqnk;
izkpy
iz’ukoyh lsok izdk;Z izHkkfork ds 6 igyqvksa dk ekiu djrh gSA
-1- xq.koRrk & ;g izkpy crkrk gS fd D;k lsok foHkkx }kjk =qfVjfgr vkSj xq.koRrkiw.kZ lsok iznku dh tkrh gSA
-2- rRijrk & ;g izkpy crkrk gS fd D;k miHkksDrk ds iz’uksa vkSj f’kdk;rksa dk rRijrk ls lek/kku fd;k tkrk gSA
-3- fe=or~rk & bl izkpy ls ;g ekik tkrk gS fd D;k lsok izdk;Z dEkZpkjh vkarfjd miHkksDrk ls fe=rkiq.kZ O;okgj djrs gSAa
-4- lqfo/kk & ;g izkpy crkrk gS fd lsok izdk;Z deZpkjh vkarfjd miHkksDrkvksa dh leL;kvksa ds lek/kku esa dSls lgk;rk djrs gSAa
-5- fu”i{krk & ;g izkpy crkrk gS fd D;k lsok izdk;Z deZpkjh lHkh deZpkfj;ksa ls leku vkSj fu”i{k O;ogkj djrs gSa vFkok ughaA
-6- miHkksDrk dk QhMcSd & ;g izkpy gesa crkrk gS fd miHkksDrk ls QhMcSd dSls fy;k tkrk gS vkSj lsok izdk;Z }kjk bldk mi;ksx dSls
fd;k tkrk gSA
fo’oluh;rk
89--5
202 dk;Zikydksa ds vkadM+s ds vk/kkj ij fLifyV gkQ ¼v)Z foHkktu½ fo’oluh;rk ijh{k.k ds mi;ksx }kjk izy[s k dh fo’oluh;rk 89
izfr’kr ikbZ xbZA ,YQk Økucsd xq.kkad ds mi;ksx }kjk fofHkUu izpkyksa dh iSekus dh fo’oluh;rk 86 izfr’kr ls 93 izfr’kr rd ikbZ
xbZA ;g izy[s k gekjs iz;kstu gsrq i;kZIr fo’oluh; ekuk tk ldrk gSA
oS/krk
;g iz’ukoyh deZpkjh dh larfq ”V ls lacfa /kr ladYiukvksa ij vk/kkfjr gSA izy[s k dh ckg~; oS/krk mfpr gSA fuekZ.k oS/krk dks ekius ds fy, 202
izfrHkkfx;ksa fjdkMZ fd, x, vkadM+s ij dkjd fo’ys”k.k fd;k x;kA 3 dkjd fudkys x, tks dqy feykdj vadksa esa 65 izfr’kr varj dk dkj.k dkj.k
FksA 0-0-3 vkSj blls Åij ds dkjd lkjka'ksa dk mYys[k fd;k x;k gSA fdlh Hkh en ds mPpre dkjd lkjka'k dks eksVs v{kjksa esa fn;k x;k gSA
…Š
Services Effectiveness
Validity
The questionnaire is based on concepts relating to employee satisfaction. The face validity of the instrument is
reasonable high. To measure the construct validity, factor analysis was performed on data recorded for 202
respondents. 3 factors were extracted that together explain 65% variance in the scores. Factor loadings
above .3 and above have been mentioned. Highest Factor loading for any item is in bold font.

Component
1 2 3
Quality1 .753
Quality 2 .789
Quality 3 .711
Promptness1 .787
Promptness 2 .625
Promptness 3 .717
Promptness 4 .659 .350
Fairness1 .849
Fairness 2 .854
Friendliness1 .529 .371
Friendliness 2 .630 .353 .387
Friendliness 3 .571 .521
Friendliness 4 .660 .496
Facilitation1 .511 .626
Facilitation2 .337 .682
Facilitation3 .676
Customer Feedback1 .803
Customer Feedback2 .675 .303
Customer Feedback3 .323 .660
Factor 1 is the largest factor and explains 51% of variance in the scores. It has high loadings on all items of
“Quality’, “Promptness” and “Friendliness”. Hence, it can be called the Quality, Prompt and Friendly service
factor. Factor 2 which is the second largest factor, it explains 7.5% of total variance in the scores. It has high
loadings on all items of “Facilitation” and “Customer Feedback” items. It also has loadings above .3 on all
items of “Friendliness”. Hence, it can also be called the “Behavior” factor. Lastly, Factor 3 has highest load-
ings on both items of “Fairness” and hence it can be called “Fairness” factor. It explains merely 2.5% of vari-
ance in scores.
The factor analysis is consistent with out theoretical understanding of customer satisfaction. It also tells us that
the biggest factor that impacts customer satisfaction is Quality, Prompt and Friendly service (Factor 1), while
other items like fairness, customer feedback, facilitation have comparatively smaller impact.
39
lsok dh izHkkfork

vo;o
1 2 3
xq.koRrk 1 -753
xq.koRrk 2 -789
xq.koRrk 3 -711
rRijrk 1 -787
rRijrk 2 -625
rRijrk 3 -717
rRijrk 4 -659 -350
fu”i{krk 1 -849
fu”i{krk 2 -854
fe=or~rk 1 -529 -371
fe=or~rk 2 -630 -353 -387
fe=or~rk 3 -571 -521
fe=or~rk 4 -660 -496
lqfo/kk 1 -511 -626
lqfo/kk 2 -337 -682
lqfo/kk 3 -676
miHkksDrk dk QhMcSd 1 -803
miHkksDrk dk QhMcSd 2 -675 -303
miHkksDrk dk QhMcSd 3 -660
dkjd 1 lcls cM+k dkjd gS vkSj vadksa esa 51 izfr’kr varj dk dkj.k gSA bldh ^^xq.koRrk**] ^^rRijrk**] vkSj fe=or~rk dh lHkh enksa ij mPp
lkjka'k gSA vr% bls xq.koRrk] rRijrk vkSj fe=or~ lsok dkjd dgk tk ldrk gSA dkjd 2 tks nwljk lcls cM+k dkjd gS] ;g vadksa esa dqy 7- 7-
5 izfr’kr varj dk dkj.k gSA bldk ^^lqfo/kk** vkSj ^^miHkksDrk dk QhMcSd** enksa dh lHkh enksa ij mPp lkjka'k gSA bldh fe=or~ A dhdh lHkh
enksa ij -3 ls vf/kd Hkkfjrk gSA vr% bls Ô;ogkj* dkjd Hkh dgk tk ldrk gSA varr% dkjd 3 dh ^^ fu”i{krk** dh nksuksa enksa ij mPp
lkjka'k gS vkSj blfy, bls ^^fu”i{krk** dkjd dgk tk ldrk gSA ;g vad esa fHkUurk esa dsoy 7-7-5 izfr’kr dk dkj.k gSA
dkjd fo’ys”k.k miHkksDrk larfq ”V ds lS)kafrd vocks/ku ds vuq:i gSA ;g gesa crkrk gS fd miHkksDrk larfq ”V dks izHkkfor djus okyk lcls
cM+k dkjd xq.koRrk] rRijrk vkSj fe=or~ lsok ¼dkjd 1½ gS tcfd vU; en tSls fu”i{krk] miHkksDrk dk QhMcSd] lqfo/kk dk rqyukRed :i
ls de izHkko gksrk gSA
iz’kklu
…‹
Administration

As mentioned earlier, the instrument can be used to measure service effectiveness of any one or more than
one service functions. This can be done by simply providing additional columns for each service fuction you
wish to evaluate. It is suggested that the exercise should be carried out for atleast HR, F&A and IT depart-
ments.
One may also choose to include one or two open ended questions in order to invite employee suggestions or
subjective feedback.

Sample Size = 384/(1+(383/P))

Sample Size = 384/(1+(383/1000))
= 384/1.383
= 277.66 ~ 278

sheet. One may use different worksheets for recording scores of different departments. Responses to open
ended questions should be separately recorded in a MS Word Document or Note Pad.
40
lsok dh izHkkfork
tSls fd igys mYys[k fd;k x;k gS] bl izy[s k dk mi;ksx fdlh ,d vFkok ,d ls vf/kd lsok izdk;kZsa dh lsok izHkkfork dks ekius ds fy,
fd;k tk ldrk gSA ,slk ftu lsok izdk;kZsa dk vki ewY;kadu djuk pkgrs gSa muesa ls izR;sd ds fy, ,d vfrfjDr dkye miyC/k djkdj
fd;k tk ldrk gSA ;g lq>ko fn;k tkrk gS fd ;g loZ{s k.k de ls de ekuo lalk/ku foHkkx] foRr vkSj vkbZ-Vh foHkkxksa ds fy, fd;k tk,A
vki ,d ;k nks o.kZukReyd mRrj okys iz’uksa dks Hkh pqu ldrs gSa rkfd deZpkjh ds lq>ko vFkok fo”k;ijd QhMcSd izkIr dh tk ldsA

iz’ukoyh rS;kj gksus ds ckn bls ;kn`fPNd #i lss p;u fd, x, deZpkfj;ksa ds uewus ij dk;kZfUor fd;k tk,A uewuk vkdkj dh x.kuk fuEu
izdkj ls dh tk, &
uewuk vkdkj ¾ 384@¿1$¼383@ta-½À
;gk¡ ta- la;a= dh tula[;k gSA

uewuk vkdkj ¾ 384@¿1$ ¼383@1000½À
¾ 384@1-
384@1-383
¾ 277-
277-66~278
uewuk vkdkj dk fu.kZ; djus ds ckn ;g lqfuf’pr djsa fd ;g tula[;k dk izfrfuf/kRo djrh gks vFkkZr~ lHkh Lrjksa ij lekuqikr esa forfjr
forfjr
gksA pwafd ,uVhihlh esa dbZ Lrj gSa ge mUgsa gekjs iz;kstu gsrq fuEu izdkj ls cSMa esa foHkkftr dj ldrs gSa &
xzMs MCY;w 0 & MCY;w1 ¾ cSMa 1 ¼dkexkj½
xzMs bZ1 & bZ 4 ¾ cSMa 2 ¼Vhe dk lnL;½
xzMs bZ5 & bZ6 ¾ cSMa 3 ¼Vhe ds usrk½
xzMs bZ7 $ ¾ cSMa 4 ¼foHkkxk/;{k½
pj.k 3 & vkadM+s ,d=.k vkSj fvfHkys[ku

iz’ukofy;ksa dks p;fur uewus ij dkxt isafly fof/k vFkok bZ&esy }kjk] tSlk Hkh mfpr gks] iz'kkflr fd;k tk ldrk gSA Hkjh gqbZ iz’uukofy;ks
kofy;kssa
esa ls vkadM+s dks ,e,l&,Dlsy odZ’khV esa fjdkMZ fd;k tk,A vki fofHkUu foHkkxksa ds vad fjdkMZ djus ds fy, fHkUu&fHkUu odZ’khVksa dk
mi;ksx dj ldrs gSAa o.kZukRed mRrj okys iz’uksa ds mÙkj ,e,loMZ MkD;qesVa vFkok uksV iSM esa vyx ls vfHkys[kc) fd, tkus pkfg,A
vad fu/kkZj.k
iz’ukoyh esa 19 iz’u gS tks 1&5 iSekus ij g]S ftlesa ^^1** ls vfHkizk; îw.kZr% vlger gksuk** vkSj ^^5** ls rkRi;Z ^îw.kZr% lgerlger gksuk** gSA
izfrHkkfx;ksa ls vuqjks/k gS fd dFku esa izR;sd igyw ds lac/a k esa izR;sd lsok izdk;Z ds fy, 1&5 dk vad nsAa iz’ukoyh esa dksbZ udkjkRed dFku
ugha gSA Li”Vr% 3 ls Åij ds vad dks ^^vPNk** ekuk tk ldrk gS tcfd 3 ls de ds vad dks ^^fud`"V** ekuk tk ldrk gSA
†0
Parameters Items
Quality 1-3
Promptness 4-7
Fairness 8-9
Friendliness 10-13
Facilitation 14-16
Customer Feedback 17-19
Scoring
for “Strongly Agree”. Respondents are requested to give a score of 1-5 to each service function on the aspect
in the statement. There are no negative statements in the questionnaire. As a thumb rule, a score above 3 can
be considered “Good” while a score below 3 can be considered “Poor”.
For each service function, calculate parameter wise scores in following manner –
1. For each respondent, calculate the average score of the items pertaining to the parameter (as given in fol-
lowing table)
Similarly, calculate parameter wise, and grade wise scores for each service function.
1. Plot bar charts for each parameter displaying the scores obtained by each service function. See which ser-
vice function has been rated lowest/ highest and on what parameters. Any score below 3 should also be
considered unsatisfactory.
2. To compare service functions with each other, use following methodology –
a. Calculate average of Quality, Promptness and Friendliness parameters for each service function.
Give Rank 1 to service function with highest score, 2nd to next highest and so on.
b. In case there is a tie between any two functions under (a), use average of Facilitation and Cus-
tomer Feedback as tie breaker.
c. Score on “Fairness” may be used as last tie breaker between the functions if (a) and (b), both re-
sult in a tie.
41
lsok dh izHkkfork
izR;sd lsok izdk;Z ds fy, izkpy okj vad dh x.kuk fuEu izdkj ls dh tk, &
-1- izR;sd izfrHkkxh ds fy, izkpy ls lacfa /kr enksa ds vkSlr vad dh x.kuk djsAa ¼tSlk mDr lkj.kh esa fn;k x;k gS½
-2- izkpy vad izkIr djus ds fy, lHkh izfrHkkfx;ksa ds vkSlr vad dh x.kuk djsAa
-3- cSMa ¼xzMs ½ okj vad izkIr djus ds fy, xzMs cSMa esa izfrHkkxh ds vkSlr vad dh x.kuk djsAa
izkpy en
xq.koRrk 1&3
rRijrk 4&7
fu”i{krk 8&9
fe=or~rk 10&13
lqfo/kk 14&16
miHkksDrk dk QhMcSd 17&19
blh izdkj ls] izR;sd lsok izdk;Z ds fy, izkpy okj vkSj xzMs okj vad dh x.kuk djsAa

vki O;k[;kRed fo’ys”k.k ¼ek/;] xzkQ bR;kfn½ vFkok vuqferh; lkaf[;dh }kjk fu”d”kZ fudky ldrs gSAa
vkadM+s dk O;k[;kRed fo’ys”k.k djus ds fy,] fuEuor~ pj.kksa dk vuqlj.k djsa &
1- izR;sd lsok izdk;Z }kjk izkIr vad dks n’kkZrs gq, izR;sd izkpy ds fy, ckj pkVZ cuk,aA nsf[k, fd fdl lsok izdk;Z dks fdu ekunaMks
Mksa ij
U;wure@vf/kdre jsfVax feyh gSA 3 ls de ds fdlh Hkh vad dks vlarks”ktud ekuk tkuk pkfg,A
2- lsok izdk;kZsa dh vkil esa rqyuk djus ds fy, fuEu izfof/k viuk,a
¼d½ izR;sd lsok izdk;Z ds fy, xq.koÙkk] rRijrk vkSj fe=or~rk ekunaMksa ds vkSlr dh x.kuk djsAa lcls vf/kd vad ds lsok izdk;Z dks
jSd
a 1 nsa] nwljs mPp vad dks nwljk jSd
a vkSj bR;kfnA
¼[k½ ;fn ¼d½ ds varxZr fdUgha nks izdk;kZsa esa VkbZ gks rks lqfo/kk vkSj miHkksDrk dk QhMcSd ds vkSlr dk VkbZ ds lek/kku ds :i esa
mi;ksx djsAa
¼x½ ;fn ¼d½ vkSj ¼[k½ nksuksa ls Hkh VkbZ u VwVs rks ^^fu”i{krk** ds vad dks VkbZ ds vafre lek/kku ds :i esa mi;ksx fd;k tk ldrk gSA
mnkgj.kkFkZ 4 lsok izdk;kZsa d] [k] x vkSj ?k dh jSd

a fuEuor~ fudkyh x;h gSA lHkh 6 ekunaMksa ij 4 izdk;kZsa dk vad fn;k x;k gSA
Ø- la- izkpy d [k x ?k
1 xq.koRrk 4 3 4 3
2 rRijrk 4 4 4 4
3 fu”i{krk 4 3 3 4
4 fe=or~rk 5 1 5 5
5 lqfo/kk 4 4 4 4
6 miHkksDrk dk QhMcSd 5 4 5 5
†ƒ
For instance, ranks of 4 service functions, A,B, C & D has been worked out below. Scores of the 4 functions
on all 6 parameters has been given.
SN Parameter A B C D
1 Quality 4 3 4 3
2 Promptness
4 4 4 4
3 Fairness
4 3 3 4
4 Friendliness
5 1 5 5
5 Facilitation
4 4 4 4
6 Customer Feedback
5 4 5 5
Using method described in 2(a), calculate average score for SN 1, 2 and 4 (Quality, Promptness and Friendli-
ness) for all functions –
A- 4.33
B- 2.67
C- 4.33
D- 4
As it can be seen, there is a tie between A & C (both have 4.33 score on Factor 1) for rank 1. D and B are
clearly ranks 3 and 4, respectively.
To break tie between A & C, we will use rule 2(b). Average of Facilitation and Customer Feedback scores shall
be used for this purpose.
A- 4.5
C- 4.5
Both functions score same on rule 2(b) here also. Hence, we will proceed to rule 2(c) as final tie breaker. Score
on Fairness shall be used for comparison –
A–4
C–3
Hence, A is ranked 1 and C is ranked 2.
The final ranks are as follows –

A – 1st rank
B – 4th rank
C – 2nd rank
D – 3rd rank
42
lsok dh izHkkfork
Ø-- la- 1] 2 vkSj 4 ¼xq.koRrk] rRijrk vkSj fe=orrk½ ds vkSlr vad dh

lHkh izdk;kZsa ds fy, 2 ¼d½ esa nh xbZ fof/k dk mi;ksx djrs gq, Ø
x.kuk djsa &
¼d½ 4-
4-33
¼[k½ 2-
2-67
¼x½ 4-4-33
¼?k½ 4
tSlk fd ;g Li”V gS fd jSd
a 1 ds fy, d vkSj x esa VkbZ gS ¼dkjd 1 ds lac/a k esa nksuksa dk vad 4-4-33 gS½] ?k vkSj [k Li”Vr% Øe’k% jSd
a
3 vkSj 4 gSAa
d vkSj x ds VkbZ ds lek/kku ds fy, fu;e 2 ¼[k½ dk mi;ksx djsxa As bl iz;kstu gsrq lqfo/kk vkSj miHkksDrk dk QhMcSd ds vkSlr dk
mi;ksx fd;k tk,A
d & 4-4-5
x & 4-4-5
nksuksa izdk;kZsa dk vad fu;e ¼[k½ ls Hkh leku gSA vr% ge fu;e 2 ¼x½ dks vafre lek/kku ds :i esa mi;ksx djsxa As rqyuk ds fy, fu”i
fu”i
{krk ds vad dk mi;ksx fd;k tk,xkA
d&4
x&3
vr% d dk jSd
a 1 vkSj x dk jSd
a 2 gSA
varr%] jSd
a fuEu izdkj ls gSa &
d & izFke jSad
[k & pkSFkk jSd
a
x & f}rh; jSd
a
?k & r`rh; jSd
a
eku yhft, fu;e 2 ¼x½ ls Hkh VkbZ gksrk rks fQj jSfa dax fuEu izdkj ls gksrh &
jSd
a 1 & d vkSj [k
jSd
a 2 & ykxw ugha
jSd
a 3 & ?k
jSd
a 4 & [k
-3- izR;sd lsok izdk;Z ds fy, xzMs cSMa okj izkpy vad dk ckj pkVZ cuk,aA blls vkidks irk pysxk fd D;k lsok izdk;Z }kjk dfu”B@ofj”B
xzMs ds deZpkfj;ksa ls vyx&vyx O;ogkj fd;k tk jgk gSA
-4- mDr fu”d”kkZsa dh iwoZ vkadM+s] ;fn dksbZ gks rks] ds lkFk rqyuk djsAa
-5- fparktud {ks=ksa ds ckjs esa tkuus ds fy, deZpkfj;ksa }kjk o.kZukRed mRrj okys iz’uksa ds mÙkj esa nh xbZ fVIif.k;ksa vkSj lq>koks
koksa ftUgsa
†„
Suppose, rule 2(c) had also resulted in a tie. In this case, rankings would be as follow –
Rank 1 – A & C
Rank 2 – NA
Rank 3 – D
Rank 4 – B
3. Plot a bar chart of grade band wise parameter scores for each service function. This will tell you if any
differential treatment is being awarded to employees of junior/ senior grades by the service function.
1. Use Independent Samples t-test to compare parameter wise scores for each service function
2. Compare grade band wise parameter scores for each service function using one-way ANOVA
43
lsok dh izHkkfork
oMZ@uksViSM esa fjdkMZ fd;k x;k gS] dks ns[ksAa
vuqferh; lkaf[;dh
vfHkys[kc) fd, x, vkadM+s ds fo’ys”k.k ds fy, fuEufyf[kr vuqferh; izy[s kksa dk mi;ksx fd;k tk ldrk gSA vki ,e,l ,Dlsy ij vFkok
eSuvq yh ¼gkFk ls½ Hkh ;g fo’ys”k.k dj ldrs gS]a ysfdu bl iz;kstu gsrq ,lih,l,l lcls mi;qDr gSA
-1- izR;sd lsok izdk;Z ds fy, izkpy okj vad dh rqyuk djus ds fy, Lora= uewuk Vh & ijh{k.k dk mi;ksx djsAa
-2- ,uksok dk mi;ksx dj izR;sd lsok izdk;Z gsrq xzMs cSMa okj izkpy vad dh rqyuk djsAa
-3- foxr esa fjdkMZ fd, x, leku vkadM+s ds lkFk vad dh rqyuk djus ds fy, fdlh Hkh ;qfXer rqyuk izy[s k tSls vkfJr uewuk Vh&ijh{k.k
vFkok f} ekxhZ ,uksok dk mi;ksx djsAa
†…
Services Effectiveness Questionnaire

Instruction
The following questionnaire is aimed at gauging the effectiveness of various services function at your unit.
Kindly rate each department on the given statements. Please rate the following statements on 1-5 scale
Please write
1 if you Strongly Disagree
2 if you Disagree
3 if you Neither Agree nor Disagree
4 if you Agree
5 if you Strongly Agree
Q. No. Question HR IT F&A

1 They always do their job right, first time, every time
2 Services provided are of high quality
3 They are well trained and competent in doing their work
4 One doesn’t need to follow-up rigorously to obtain services
5 They fix employee complaints without delay
6 Their services are available as and when required
7 They do not postpone pending work
8 They treat all employees as equals
9 Policies and rules are uniformly applied to all
10 They are friendly

11 They do not play hard to reach
12 I would describe the behavior of employees of this group as 'Customer
Friendly'
13 They are always willing to serve you
14 They patiently clarify employee doubts and queries
15 In case of delay, they explain the reasons thereof
16 In case some problem cannot be solved at their end, they guide you to
the right person or explain the alternate procedure to be followed
17 They regularly take customer feedback
18 They act upon customer feedback and suggestions
19 They are open to receiving both positive and negative feedback

44
lsok dh izHkkfork
lsok izHkkfork iz’ukoyh

funsZ’k
fuEufyf[kr iz’ukoyh dk mís’; vkidh ;wfuV esa fofHkUu lsok izdk;ksZa dh izHkkfork dks ekiuk gSA Ñi;k vius foHkkx dh fn, x, dFkuksa ij
jsfVax djsAa Ñi;k fuEufyf[kr dFkuksa dh 1&5 ds Ldsy ij jsfVax djsAa
;fn vki iw.kZr% vlger gSAa

;fn vki vlger gSa
;fn vki u rks lger gSa vkSj u gh vlgerA
;fn vki lger gSAa
;fn vki iw.kZr% lger gSAa
izfrHkkxh dk C;ksjk %&

xzMs % -------------------------- foHkkx % ---------------------------
iz-la- iz’u ek-

ek- la- vkbZ- Vh foRr
1 os viuk dk;Z igyh ckj esa Hkh lgh djrs gSAa
2 mPp xq.koŸkk
ko kk dh lsok,a iznku dh tkrh gSAa
3 os iw.kZr% izf’kf{kr gSa vkSj viuk dk;Z djus esa l{ke gSAa
4 lsok,a izkIr djus ds fy, mIHkksxrk dks ihNs yxs jgus dh vko’;drk ugha gSA
5 os deZpkjh dh leL;k dk vfoyac lek/kku djrs gSAa
6 budh lsok,a tc Hkh vko’;drk gks] miyC/k jgrh gSAa
7 os dk;Z dks foyafcr ugha djrs gSAa
8 os lHkh deZpkfj;ksa ls leku O;ogkj djrs gSAa
9 lHkh ij uhfr;ka vkSj fu;e lekur% ykxw gksrs gSAa
10 os xzkgdksa ls fe=rkiwod
Z O;okgj djrs gSAa
11 mu rd igapq uk dfBu ugha gSA
12 eSa bl lewg ds deZpkfj;ksa ds O;ogkj dks ^miHkksDrk ds fy, fe=or~* dgwaxkA
13 os ges’kk vkidh lsok djus ds fy, rS;kj jgrs gSAa
14 os /kS;iZ wod
Z deZpkfj;ksa dh ‘kadkvksa vkSj iz’uksa dk lek/kku djrs gSAa
15 nsjh gksus ij os rRlac/a kh dkj.k crkrs gSAa
16 ;fn muls fdlh leL;k dk lek/kku ugha gksrk rks os vkidks lgh O;fDr rd igqpa us esa
lgk;rk djrs gSa ;k oSdfYid izfØ;k ds ckjs esa crkrs gSAa
17 os miHkksDrk ls fu;fer :i ls QhMcSd ysrs gSAa
18 os miHkksDrk ds QhMcSd vkSj muds }kjk fn, lq>koksa ij dkjZokbZ djrs gSAa
19 os ldkjkRed vkSj udkjkRed nksuksa gh izdkj dh QhMcSd dk Lokxr djrs gSAa
o.kZukRed mRrj okys iz’u tksM+Asa

††
7. TRAINING & DEVELOPMENT

CLIMATE
Objective
The instrument has been designed to measure the training and development climate at the unit.
Frequency
Population
All employees, executives and non-executives.
Parameters
The questionnaire has been designed following aspects of training and development –
1. Subordinate Development
This parameter finds out if reporting officers take interest in training and development of their subor-
dinates.
2. Training Nomination Process
This parameter measures if training nomination takes place fairly and as per training needs on employ-
ees.
3. Training Infrastructure
This parameter has 2 aspects, one deals with maintenance of training infrastructure, and the other
with quality of training being imparted
4. Knowledge Sharing Culture
This parameter is designed to gauge the knowledge sharing culture at the unit.
5. Commitment to Training
This parameter measures if employees take training seriously and believe that it adds value
6. Application of learning
This parameter measures if employees make use of knowledge and skills acquired at training.
Reliability
The reliability of instrument calculated using Split-half test on data of 127 employees is 0.87. The scale reliabil-
ity of different parameters using Alpha Cronbach coefficient has been found to be 67% to 86%.
45
7- izf’k{k.k ,oa fodkl ifjn`’;
mís’;
;g izy[s k ;wfuV esa izf’k{k.k vkSj fodkl ifjn`’; dks ekius ds fy, rS;kj fd;k x;k gSA
vko`fRr
;g los{Z k.k nks o”kZ esa ,d ckj fd;k tkuk pkfg,A
tula[;k
izkpy
iz’ukoyh izf’k{k.k vkSj fodkl ds fuEufyf[kr igywvksa ij rS;kj dh xbZ gS &
1- v/khuLFk fodkl
bl izkpy ls ;g irk pyrk gS fd vf/kdkjh vius v/khuLFkksa ds izf’k{k.k vkSj fodkl esa #fp ysrs gSa vFkok ughaA
2- izf’k{k.k ukekadu izfØ;k
bl izkpy ls ;g ekik tkrk gS fd izf’k{k.k ukekadu fu”i{k vkSj deZpkfj;ksa dh izf’k{k.k vko’;drkvksa ds vuqlkj gS ;k ughaA
3- izf’k{k.k volajpuk
koŸkkkk ls lacfa /kr gSA
bl izkpy ds nks igyw gS ,d izf’k{k.k volajpuk dk gS nwljk fn, tk jgs izf’k{k.k dh xq.ko
4- Kku ds vknku iznku dh laLÑfr
;g izkpy ;wfuV esa Kku ds vknku iznku dh laLÑfr dk ekiu djus ds fy, rS;kj fd;k x;k gSA
5- izf’k{k.k ds izfr izfrc)rk
bl izkpy ls ;g eki tkrk gS fd D;k deZpkjh izf’k{k.k dks xaHkhjrk ls ysrs gSa vkSj fo’okl djrs gSa fd ;g mudks csgrj cukrk gSA
6- vf/kxe dk vuqi;z ksx
bl izkpy ls ;g ekiu fd;k tkrk gS fd D;k deZpkjh izf’k{k.k ds nkSjku izkIr Kku vkSj dkS’ky dk mi;ksx djrs gSAa
fo’oluh;rk
127 deZpkfj;ksa ds vkadM+s ij fLifyV gkQ ¼v)ZfoHkktu½ ijh{k.k ds mi;ksx }kjk izy[s k dh fo’oluh;rk 0-0-87 ikbZ xbZA ,YQk ØkucSd xq.kkad
ds mi;ksx }kjk fofHkUu izkpyksa dh Ldsy fo’oluh;rk 67 izfr’kr ls 86 izfr’kr ikbZ xbZA
†‡
Training & Development Climate
Validity
The correlation (bivariate ) between various items under each parameter have been found to be significant at
0.01 level (2-tailed). Factor analysis was performed to measure construct validity of the questionnaire. 6 factors
were extracted that together explain 68% variance in scores. Factor loadings above .3 and above have been
mentioned. Highest Factor loading for any item is in bold font.
Component
1 2 3 4 5 6
Q1 .819
Q2 .347 .780
Q3 .745
Q4 .729
Q5 .487 .593
Q6 .635
Q7 .809
Q8 .787
Q9 .347 .798
Q10 .689 .359
Q11 .668 .338
Q12 .489 .415 -.369
Q13 .609 .406
Q14 .596 .353 .434
Q15 .831
Q 16 .830
Q17 .807
Q18 .495 .376 .348
Factor 1 has high loading on 6 items, three of these are concerned with “Subordinate development”, 3 with
“training nomination process”. Hence, this factor is a combination of 2 parameters and can be called
“Development Climate” factor. It is also the largest factor and explains 35% of variance in scores.
Factor 2 has high loadings on all 4 items of “Commitment to Training” and thus a construct validity of 1.
Similarly, Factor 3 has high loadings on all items concerned with open knowledge sharing culture and can be
termed “Knowledge Sharing Culture”. Factor 4 has high loadings on both items concerned “Training Infra-
structure”. This factor can also be termed “Training Infrastructure” factor. Factor 5 has high loadings on
items concerned with EDC’s ability to meet employee expectations from the training and can be termed
“Quality of Training” factor. Factor 6 has high loading on 4 items, the highest loading of .798 is with item 9
concerned with Application of Training at employee’s workplace.
46
izf’k{k.k ,oa fodkl ifjn`’;
oS/krk
izR;sd izkpy ds varxZr fofHkUu enksa esa lglac/a k ¼f}Hksn½ 0-0-01 Lrj ¼2&VsYM½ ij fof’k”V ik;k x;kA iz’ukoyh dh fuekZ.k oS/krk dks ekius ds
fy, dkjd fo’ys”k.k fd;k x;kA 6 dkjd ckgj fudkys x, ftuds dkj.k vadksa esa 68 izfr’kr varj vkrk gSA -3 vkSj blls Åij ds dkjd
Lkjka'kksa dk mYys[k fd;k x;k gSA fdlh Hkh en ds fy, mPpre dkjd Lkjka'k dks eksVs v{kjksa esa fn;k x;k Gsa

vo;o
1 2 3 4 5 6
Lka- 1 -819
Lka- 2 -347 -780
Lka- 3 -745
Lka- 4 -729
Lka- 5 -487 -593
Lka- 6 -635
Lka- 7 -809
Lka- 8 -787
Lka- 9 -347 -798
Lka- 10 -689 -359
Lka- 11 -668 -338
Lka- 12 -489 -415 &-369
Lka- 13 -609 -406
Lka- 14 -596 -353 -434
Lka- 15 -831
Lka- 16 -830
Lka- 17 -807
Lka- 18 -495 -376 -348
dkjd 1 dk 6 enksa ij mPp Lkjka'k gS] buesa ls rhu ^^v/khuLFk fodkl** ls vkSj 3 ^îzf’k{k.k ukekadu izfØ;k** ls lacfa /kr gSAa vr% ;g dkjd 2
izkpyksa dk feJ.k gS vkSj bls ^^fodkl ifjn`’;** dkjd dgk tk ldrk gSA ;g lcls cM+k dkjd Hkh gS vkSj vadksa esa 35 izfr’kr varj dk
dkj.k gSA
dkjd 2 dh ^îzf’k{k.k ds izfr izfrc)rk** dh lHkh 4 enksa ij mPp Lkjka'k gS vkSj blfy, fuekZ.k oS/krk 1 gSA blh izdkj ls dkjd 3 dh dh Kku
ds [kqys vknku iznku laLÑfr ls lacfa /kr lHkh enksa ij mPp Lkjka'k gS vkSj bls ^^Kku vknku&iznku laLÑfr** dgk tk ldrk gSA dkjd 4 dh
dkjd
^îzf’k{k.k volajpuk** lacfa /kr nksuksa enksa ij mPp Lkjka'k gSA bl dkjd dks ^îzf’k{k.k volajpuk** dkjd Hkh dgk tk ldrk gSA dkj d 5 dh
izf’k{k.k ls deZpkjh dh vis{kkvksa dh iwfrZ ds fy, deZpkjh fodkl dsna z dh l{kerk ls lacfa /kr enksa ij mPp Lkjka'k gS vkSj bls ^îz
^îzf’k{k.k dh
xq.koRrk** dkjd dgk tk ldrk gSA dkjd 6 dh 4 enksa ij mPp Lkjka'k gS vkSj -798 dh lokZf/kd Lkjka'k en 9 esa gS tks deZpkjh ds dk;Z dk;ZLFky
†ˆ
Administration

“How can we make EDC better?”
Or,
“Please give suggestions on improving training nomination process”

Sample Size = 384/(1+(383/P))

Sample Size = 384/(1+(383/1000))
= 384/1.383
= 277.66 ~ 278
follows –

Pad.
Scoring
47
ij izf’k{k.k vuqi;z ksx ls lacaf/kr gSA
iz’kklu

iz’ukoyh dks ;Fkk#i ykxw fd;k tkuk pkfg,A vki deZpkjh ls lq>ko ekaxus vFkok fo”k;ijd QhMcSd ds fy, ,d ;k nks o.kZukRed mRrj
okys iz’uksa dks ‘kkfey dj ldrs gSAa mnkgj.k ds fy, &
^^ge deZpkjh fodkl dsna z dks csgrj dSls cuk ldrs gS*a * \
vFkok
^^Ñi;k izf’k{k.k ukekadu izfØ;k esa lq/kkj ds fy, lq>ko nsa \**
pj.k 2 & uewuk fu/kkZj.k djuk

dhh
iz’ukoyh rS;kj djus ds fy, bls fcuk fof/k ls pqus x, deZpkfj;ksa ds uewus ij ykxw fd;k tk,A uewuk vkdkj dh x.kuk fuEu izdkj ls d
tk, &

uewuk vkdkj ¾ 384@¿1$ ¼383@1000½À
¾ 384@1-
384@1-383
¾ 277-
277-66~278
uewuk vkdkj dk fu.kZ; djus ds i’pkr ;g lqfuf’pr djsa fd ;g tula[;k dk izfrfuf/kRo djrh gks vFkkZr lHkh Lrjksa ij leku :i ls
forfjr gksA pwafd ,uVhihlh esa dbZ Lrj gS]a ge gekjs iz;kstu ds fy, mUgsa fuEuor cSMa esa foHkkftr dj ldrs gSa &
xzMs MCY;w 0 & MCY;w 11 = cSMa 1 ¼dkexkj½
xzMs bZ 1 & bZ 4 = cSMa 2 ¼Vhe ds lnL;½
xzMs bZ 5 & bZ 6 = cSMa 3 ¼Vhe ds usrk½
xzMs bZ 7 $ = cSMa 4 ¼foHkkxk/;{k½
pj.k 3 & vkadM+s ,d=.k vkSj fjdkfMZxa

iz’ukofy;ksa dks dkxt isfa ly vFkok bZ esy }kjk] tSl Hkh mfpr gks] p;fur uewus ij dk;kZfUor fd;k tk,A Hkjh gqbZ iz’ukokfy;ksa ds vkadM+s
dks ,e,l ,Dlsy odZ’khV esa vfHkys[kc) fd;k tk,A [kqys fljs okys iz’uksa ds mŸkj
m kj vyx ls ,e,l oMZ MkD;weVsa vFkok uksV iSM esa vfHkys
†‰
Parameters Items
Subordinate Development 7, 8, 10
Training Nomination Process 6, 13, 14
Training Infrastructure 1,2, 3, 4, 5
Knowledge Sharing Culture 15,16
Commitment to Training 11, 12, 17, 18
Application of learning 9
ered “Good” while a score below 3 can be considered “Poor”.
1. Plot a bar chart of grade-band wise scores for each parameter. Compare length of bars of various grade
bands to find out which grades have rated the parameters low. For grades that have given comparatively
low scores or have rated any parameter below 3, refer the item wise scores of that parameter.
2. Plot a bar chart of department wise parameter scores and carry out comparisons as mentioned in Sl. No.
1.
open ended questions to seek clues on why a particular parameter has been rated low
48
[kc) fd, tk,aA
Ldksfjax
iz’ukoyh esa 18 iz’u gSa tks 1&5 iSekus ij gSa ftlesa 1 ls rkRi;Z ^îw.kZr% vlger gksuk** vkSj ^5^ ls rkRi;Z ^îw.kZr% lger gksuk** gSA iz’ukoyh
esa dksbZ udkjkRed iz’u ugha gSA 3 ls vf/kd ds vad dks ^vPNk* ekuk tk ldrk gS tcfd 3 ls de dk vad ^^[kjkc** ekuk tk ldrk gSA
izR;sd eq[; izkpy ds fy, vyx ls vad dh x.kuk fuEu izdkj ls dh tk ldrh gS &
-1- izR;sd izfrHkkxh ds fy, izkpy ls lacfa /kr enksa ds vkSlr vad dh x.kuk djsAa
-2- izkpy vad rd igqpa us ds fy, lHkh izfrHkkfx;ksa ds vkSlr vad dh x.kuk djsAa
-3- cSMa ¼xzMs ½ okj vad izkIr djus ds fy, xzMs cSMa esa izfrHkkfx;ksa ds vkSlr vad dh x.kuk djsAa
-4- foHkkxokj vad izkIr djus ds fy, foHkkx esa izfrHkkfx;ksa ds vkSlr vad dh x.kuk djsAa
izkpy en
v/khuLFk fodkl 7] 8] 10
izf’k{k.k ukekadu izfØ;k 6] 13] 14
izf’k{k.k volajpuk 1] 2] 3] 4] 5
Kku ds vknku iznku dh laLÑfr 15] 16
izf’k{k.k ds izfr izfrc)rk 11] 12] 17] 18
vf/kxe dk vuqi;z ksx 9
blh izdkj ls] izR;sd izkpy ds fy, lexz xsMz okj vkSj foHkkxokj vad dh x.kuk dh tk,A

vki fu”d”kZ fudkyus ds fy, O;k[;kRed fo’ys”k.k ¼ek/;] xzkQ bR;kfn½ vFkok vuqferh; lkaf[;dh dks pqu ldrs gSAa
vkadM+s dk O;k[;kRed fo’ys”k.k djus ds fy, fuEufyf[kr pj.kksa dk vuqlj.k djsa &
-1- izR;sd izkpy ds fy, xzMs cSMa okj vad dk ckjpkVZ cuk,aA ;g tkuus ds fy, fd fdl&fdl xzMs dks de jsfVax feyh gS] fofHkUu xzMs cSMa ksksa
ds ckjksa dh yEckbZ dh rqyuk djsAa ftu xzMs ksa ds rqyukRed :i ls de vad gS vFkok ftuds fdlh izkpy dh jsfVax 3 ls de gS]a ml
izkpy ds enokj vad dks ns[ksAa
-2- foHkkxokj izkpy vad dk ckjpkVZ cuk,a vkSj Øe la[;k 1 esa mYys[k fd, x, vuqlkj dh rqyuk djsAa
-3- iwoZ vkadM+]s ;fn dksbZ gks rks] ds lkFk mDr fu”d”kksZa dh rqyuk djsAa
-4- fdlh izkpy fo’ks”k dks de jsfVax D;ksa feyh gS] ;g tkuus ds fy, [kqys fljs okys iz’uksa ds mŸkj
m kj esa deZpkjh }kjk nh xbZ fVIif.k;ksa vkSj
lq>koksa ftUgsa oMZ@uksV iSM esa vfHkys[kc) fd;k x;k gS] dks ns[ksAa
vuqferh; lkaf[;dh
†Š
1. Use z-test or t-test to approve/ disapprove null hypothesis for any of the parameter scores or constituent
items
2. Either use one-way or two-way ANOVA to compare grade wise and department wise parameter score. As
an example, comparison of grade band wise scores using one way ANOVA followed by Post-Hoc analysis
is illustrated below-
Grade Band Grades
1 W or S
2 E1 – E4
3 E5 or E6
4 E7+
One-way ANOVA output is given below –
Sum of Squares Mean Square F Sig.

Subordinate Dev Between Groups 7.064 2.355 2.368 .081
Within Groups 52.712 .995
Total 59.776
Nomination Proc Between Groups 1.622 .541 1.218 .312
Total 25.140
Training Infra Between Groups 3.314 1.105 2.381 .080
Total 27.903
Knowledge Share Between Groups 6.665 2.222 4.267 .009
Total 34.263
Commitment Between Groups .996 .332 .721 .544
Total 25.384
Application Between Groups 6.146 2.049 2.334 .084
Total 52.667
As it can be seen above, score on "Knowledge Sharing Culture" varies significantly for different grade
bands at α = 0.05.
Descriptive- Knowledge Sharing Culture Scores
Grade Band Score

1 2.9730
2 3.2500
4 3.5000
3 4.75
49
vfHkys[kc) fd, x, vkadM+s dk fo’ys”k.k djus ds fy, fuEufyf[kr vuqferh; izy[s kksa dk mi;ksx fd;k tk ldrk gSA vki ,e,l ,Dlsy
vFkok eSuvq yh ¼gkFk ls½ Hkh ;g fo’ys”k.k dj ldrs gSAa ysfdu] bl iz;kstu gsrq ,lih,l,l lokZf/kd mi;qDr gSA
-1- fdlh izkpy vad vFkok la?kVd enksa ds fy, ‘kwU; ifjdYiuk dk vuqeksnu@vuuqeksnu djus ds fy, tsM&ijh{k.k vFkok Vh&izf’k{k.k
djsAa
-2- xzMs okj vkSj foHkkxokj izkpy vad dh rqyuk djus ds fy, ,d ekxhZs vFkok f} ekxhZ ,uksok dk mi;ksx djsAa mnkgj.kkFkZ ,d
ekxhZ ,uksok }kjk xzMs cSMa okj vadksa dh rqyuk vkSj rRi’pkr iksLV&gksd fo’ys”k.k dks fuEuor~ n’kkZ;k x;k gS &
xzMs cSMa xzMs
-1- MCY;w vFkok ,l
-2- bZ 1 & bZ 4
-3- bZ 5 ;k bZ 6
-4- bZ 7$
,d ekxhZs ,uksok vkmViqV fuEuor~ nh xbZ gS &
oxksZa dk tksM+ ek/; oxZ ,Q fof’k”V
v/khuLFk fodkl lewgksa ds chp 7-064 2-355 2-368 -081
lewgksa ds Hkhrj 52-
52-712 -995
dqy 59-
59-776
ukekadu izfØ;k lewgksa ds chp 1-622 -541 1-218 -312
23-518 -444
dqy 25-
25-140
izf’k{k.k volajpuk lewgksa ds chp 3-314 1-105 2-381 -080
24-589 -464
dqy 27-
27-903
Kku dk vknku iznku lewgksa ds chp 6-665 2-222 4-267 -009
27-598 -521
dqy 34-
34-263
izfrc)rk lewgksa ds chp -996 -332 -721 -544
24-388 -460
dqy 25-
25-384
vuqi;z ksx lewgksa ds chp 6-146 2-049 2-334 -084
46-520 -878
dqy 52-
52-667
tSlk fd mi;qDZ r ls Li”V gS] Kku vknku iznku laLÑfr esa vYQk = 0-0-05 ij fofHkUu xzMs cSMa ksa esa vR;f/kd varj vkrh gSA
Kku vknku iznku laLÑfr ds O;k[;kRed vad
;gka ij 4 xzMs cSMa gSAa fdu vadksa ij xzMs cSMa ,d nwljs ls fHkUu gS] ;g tkuus ds fy, ge iksLV&gksd fo’ys”k.k djsaxAs Vwdh dk iks
iksLV gksd
gekjs iz;kstu ds fy, mi;qDr gSA bl ijh{k.k dk vkmViqV fuEuor~ gSA
xzMs cSaM vad

1 2-9730
2 3-2500
4 3-5000
3 4-75
†‹
Here we have 4 grade bands. To find out scores for which grade bands differ from each other, we will
conduct Post-Hoc analysis. Tukey's Post-Hoc is suited for our purpose. The output of this test is given
below –
Tukey HSD - Knowledge Sharing Culture
Mean Differ-
(I) Grade (J) Grade Std. Error Sig. 95% Confidence Interval
ence (I-J)
Lower Upper
Bound Bound
1 2 -.27703 .21591 .578 -.8497 .2957
3 -1.77703(*) .52386 .007 -3.1665 -.3875
4 -.52703 .52386 .747 -1.9165 .8625
2 1 .27703 .21591 .578 -.2957 .8497
3 -1.50000(*) .54121 .037 -2.9355 -.0645
4 -.25000 .54121 .967 -1.6855 1.1855
3 1 1.77703(*) .52386 .007 .3875 3.1665
2 1.50000(*) .54121 .037 .0645 2.9355
4 1.25000 .72161 .318 -.6640 3.1640
4 1 .52703 .52386 .747 -.8625 1.9165
2 .25000 .54121 .967 -1.1855 1.6855
3 -1.25000 .72161 .318 -3.1640 .6640
Hence, it can be said that perception of employees in band 3 (E5 or E6) about "Knowledge Sharing Cul-
ture" is higher than employees in band 1 and 2 (Workmen and E1-E4) at significance (*) α = 0.05
50
Vwdh ,p,lMh & Kku vknku iznku laLÑfr

xzMs xzMs ek/;&varj ekud v’kqf) fof’k”V 95 izfr’kr vkRefo’okl varjky
fuEu lhek mifj lhek

1 2 &-27703 -21591 -578 &-8497 -2957
3 &1-
&1-77703¼*½ -52386 -007 &3-
&3-1665 &-3875
4 &-52703 -52386 -747 &1-
&1-9165 -8625
2 1 -27703 -21591 -578 &-2957 -8497
3 &1-
&1-50000¼*½ -54121 -037 &2-
&2-9355 &-0645
4 &-25000 -54121 -967 &1-
&1-6855 1-1855
3 1 1-77703¼*½ -52386 -007 -3875 3-1665
2 1-50000 -54121 -37 -0645 2-9355
4 1-25000 -72161 -318 &-6640 3-1640
4 1 -52703 -52386 -747 &-8625 1-9165
2 -25000 -54121 -967 &1-
&1-1855 1-6855
3 &1-
&1-25000 -72161 -318 &3-
&3-1640 -6640
vr% ;g dgk tk ldrk gS fd cSMa 3 ¼bZ 5 vFkok bZ 6½ esa ^Kku vknku&iznku laLÑfr* ds ckjs esa deZpkfj;ksa dk vocks/ku cSMa 1 vkSj 2
¼dkexkj vkSj bZ1 & bZ4½ ls fof’k”V vYQk = 0-0-05 ij vf/kd gSA
3- Vh&ijh{k.k
iwoZ esa vfHkys[kc) fd, x, leku vkadM+s ds lkFk vadksa dh rqyuk djus ds fy, fdlh ;qfXer rqyuk izy[s k tSls vkfJr uewuk Vh&ijh{ k.k
vFkok nks ekxhZ ,uksok dk mi;ksx djsAa
‡0
Training & Development Climate Questionnaire

Instruction
The following questionnaire is aimed at understanding the training and development climate at your unit.
Kindly give us your feedback on following aspects of training and development. Please rate the following
statements on 1-5 scale, “1” being “Strongly Disagree”, by putting a tick mark () in the appropriate cell.
Neither
Q. Strongly Strongly
Question Disagree Agree nor Agree
No. Disagree Agree
Disagree
1 The training centre at my unit is well equipped 1 2 3 4 5
2 Training centre at my unit is well maintained 1 2 3 4 5

Most training needs of employees are addressed
3 1 2 3 4 5
by the local EDC
A mix of internal and external faculties take
4 1 2 3 4 5
training sessions at the EDC
Faculty knowledge and training methodology at
5 1 2 3 4 5
EDC is to my satisfaction
Training nomination takes place as per the train-
6 1 2 3 4 5
ing needs of the employee
Reporting officers take active interest in training
7 1 2 3 4 5
nomination of their subordinates
Employees are released as per their development
8 plan by their reporting officers for job rotation 1 2 3 4 5
etc.
Employees actively apply their learning from
9 1 2 3 4 5
training at workplace
Employees are released on time for attending
10 1 2 3 4 5
training programs
In my opinion, training and development system
11 1 2 3 4 5
of NTPC adds value to the organization
I look forward to taking up special assignments
12 1 2 3 4 5
as a part of cross-functional teams
All employees in my department get nominated
13 1 2 3 4 5
for training programs uniformly
51
izf’k{k.k vkSj fodkl ifjn`’; iz’ukoyh

funsZ’k
fuEufyf[kr iz’ukoyh dk mís’; vkidh ;wfuV esa izf’k{k.k vkSj fodkl ifjn`’; dk vocks/ku djuk gSA Ñi;k gesa izf’k{k.k vkSj fodkl ds
fuEufyf[kr igywvksa ij viuk QhMcSd nsAa Ñi;k fuEufyf[kr dFkuksa dh 1&5 ds Ldsy ij ftlesa ^^1** ^îw.kZr% vlger gksuk** gS] mfpr
dks”Bd esa lgh dk fpg~u ¼a½ yxkdj jsfVax djsAa
izfrHkkxh dk C;ksjk
xzMs ---------------------------- foHkkx ------------------------------
iz-la- iz’u iw.kZr% vlger u rks lger gksuk lger iw.kZr% lger
vlger gksuk vkSj u gh vlger gksuk gksuk
gksuk gksuk
1 esjh ;wfuV dk deZpkjh izf’k{k.k dsUnz lHkh lqfo/ 1 2 3 4 5
kkvksa ls ;qDr gSA
2 esjh ;wfuV ds deZpkjh izf’k{k.k dsUnz dk j[kj 1 2 3 4 5
[kko vPpNs <ax ls fd;k tkrk gSA
3 deZpkfj;ksa dh vf/kdka’k izf’k{k.k laca /a kh 1 2 3 4 5
vko’;drkvksa dh iwfrZ LFkkuh; deZpkjh fodkl
dsna z }kjk gks tkrh gSAa
4 vkarfjd vkSj ckg~; nksuksa gh ladk; deZpkjh 1 2 3 4 5
fodkl dsna z esa izf’k{k.k nsrs gSAa
5 deZpkjh fodkl dsna z dh ladk; ds Kku vkSj 1 2 3 4 5
izf’k{k.k dh izfof/k ls eSa lar”q V gwAa
6 izf’k{k.k ukekadu deZpkjh dh izf’k{k.k 1 2 3 4 5
vko’;drkvksa ds vuqlkj gksrk gSA
7 fjiksfVZax vf/kdkjh vius v/khuLFkksa ds izf’k{k.k 1 2 3 4 5
ukekadu esa lfØ; #fp ysrs gSAa
8 deZpkfj;ksa dks muds fjiksfVZxa vf/kdkfj;ksa }kjk 1 2 3 4 5
dk;Z&pØ.k @ tkWc jksV's ku bR;kfn ds fy,
mudh fodkl ;kstuk ds vuqlkj NksM fn;k
tkrk gSA
9 deZpkjh izf’k{k.k ls izkIr vf/kxe dks dk;ZLFky 1 2 3 4 5
ij dk;kZfUor djrs gSAa
10 deZpkfj;ksa dks izf’k{k.k dk;ZØe esa Hkkx ysus ds 1 2 3 4 5
fy, le; ij NksM+ fn;k tkrk gSA
11 esjh jk; es]a ,uVhihlh dh izf’k{k.k vkSj fodkl 1 2 3 4 5
iz.kkyh laxBu dh xq.koRRkk dks c<+krh gSA
12 eSa varj&dk;kZRed nyksa ¼Økl QaD’kuy VhEl½ 1 2 3 4 5
esa dk;Z djus ds fy, bPNqd jgrk gwAa
13 esjs foHkkx ds lHkh deZpkfj;ksa dks leku :i ls 1 2 3 4 5
izf’k{k.k ds fy, ukfer fd;k tkrk gSA
14 esjs foHkkx esa lHkh deZpkfj;ksa dks yxHkx leku 1 2 3 4 5
la[;k esa izf’k{k.k dk;Zfnol fn, tkrs gSAa
‡ƒ
Neither
Q. Strongly Strongly
Question Disagree Agree nor Agree
No. Disagree Agree
Disagree
Employees in my department almost get same
14 1 2 3 4 5
number of training mandays
Seniors readily share their knowledge and ex-
15 1 2 3 4 5
perience with their juniors
People openly share their knowledge and ideas
16 1 2 3 4 5
with each other
I am imparted adequate training needed to carry
17 1 2 3 4 5
out my responsibilities effectively
I feel NTPC, as an organization, is committed
18 towards training and development of its employ- 1 2 3 4 5
ees
52
iz-la- iz’u iw.kZr% vlger u rks lger gksuk lger iw.kZr% lger
vlger gksuk vkSj u gh vlger gksuk gksuk
gksuk gksuk
15 ofj”B vf/kdkjh vius Kku vkSj vuqHko dks 1 2 3 4 5
vius dfu”B deZpkfj;ksa ds lkFk ckaVrss gSAa
16 lHkh O;fDr vius Kku vkSj fopkjksa dk 1 2 3 4 5
eqDr :i ls vknku iznku djrs gSAa
17 eq>s esjs mŸkjnkf;Roks
m kjnkf;Roksa dk izHkkoh :i ls 1 2 3 4 5
fuogZu djus ds fy, vko’;d izf’k{k.k
i;kZIr :i ls fn;k tkrk gSA
18 eq>s yxrk gS fd ,uVhihlh] ,d laxBu 1 2 3 4 5
ds :i esa vius deZpkfj;ksa ds izf’k{k.k vkSj
fodkl ds izfr izfrc) gSA
‡„
8. TOWNSHIP & WELFARE

FACILITIES
Objective
This instrument has been designed to measure employee satisfaction with facilities provided in the township.
The instrument contains a number of statements pertaining to each area and can be used to measure employee
satisfaction with various facilities like hospitals, houses, sports facilities etc.
Based on facilities available in the township, the administrator can pick up groups of statements. However,
administering the instrument as a whole will help in employee need assessment.
Frequency
This survey should be carried out once every two years
Population
All employees, executives and non executives.
Parameters
The instrument measures service employee satisfaction in following areas –
1. Hospitals
This parameter focuses on aspects related to hospital maintenance, staffing, and medical rules
2. Residential Accommodation
This parameter focuses on aspects related to quarter allocation process, standard of accommodation,
and maintenance.
3. Canteen
It aims to find out if the canteen/ mess facilities provided are hygienic well maintained and offer satis-
factory quality and choice of food.
4. Children’s Education
It aims to find out if township schools are well maintained and staffed. It also focuses on employee
satisfaction with the standard of education being imparted and various facilities available to prepare
their wards for competitive exams.
5. Sports
This parameter aims to find out employee satisfaction with sports and recreation facilities being pro-
vided in the township
6. Workplace Environment
This parameter measures different aspects of workplace like comfort, safety, availability of resources
53
8- Vkmuf’ki vkSj dY;k.k lqfo/kk,a
mís’;
Vkmuf’ki esa miyC/k djkbZ xbZ lqfo/kkvksa ls deZpkjh dh larfq ”V dks ekius ds fy, bl izy[s k dks rS;kj fd;k x;k gSA blesa izR;sd d dY;k.k
Y;k.k
lqfo/kk ds {ks= ls lacfa /kr dbZ dFku gSa vkSj budk mi;ksx fofHkUu lqfo/kkvksa tSls vLirky] ?kj] [ksy lqfo/kk,a bR;kfn ls deZpkjh dh larqf”V
dks ekius ds fy, fd;k tk ldrk gSA
Vkmuf’ki esa miyC/k lqfo/kkvksa ds vk/kkj ij iz’kkld dFkuksa ds lewg dk p;u dj ldrk gSA loZLo lqfo/kkvksa ds u gksus ij Hkh lexz izy[s k
ds fØ;kUo;u fd;k tk ldrk gSA bl ls deZpkjh dh vko’;drk dk ewY;kadu djus esa lgk;rk feysxhA
vko`fRRk
;g los{Z k.k izR;sd nks o”kZ esa ,d ckj fd;k tkuk pkfg,A
tula[;k
Izkpy
;s izy[s k fuEufyf[kr {ks=ksa esa lsok deZpkjh dh larfq ”V dk ekiu djrs gSa %
1- vLirky
;g izkpy vLirky dk vuqj{k.k] LVkQ dh O;oLFkk vkSj fpfdRlk fu;eksa ls lacfa /kr igyqvksa ij dsfUnzr gSA
2- vkoklh; LFkku
;g izkpy edku vkcaVu izfØ;k] vkokl LFkku ds fy, ekud vkSj blds vuqj{k.k ls lacfa /kr igyqvksa ij dsfUnzr gSA
3- dSfa Vu
bldk mís’; ;g irk yxkuk gS fd iznku dh xbZ dSVa hu@eSl lqfo/kk,a LoPNrk ls vuqjf{kr dh tkrh gSa vkSj ;gka ij larks”ktud
xq.koRRkk vkSj ilan dk Hkkstu feyrk gSA
4- cPpksa dh f’k{kk
bldk mís’; ;g irk yxkuk gS fd D;k Vkmuf’ki ds Ldwy vPpNs <ax ls vuqjf{kr gSa vkSj ogka ij i;kZIr LVkQ gSA ;g tk¡prk gS fd
D;k deZpkjh Vkmuf'ki Ldwyksa esa nh tk jgh f’k{kk rFkk muds cPpksa dks izfr;ksxh ijh{kkvksa ds fy, rS;kj djus ds fy, miyC/k fofHkUu
fofHkUu
lqfo/kkvksa ds Lrj ls lar”q V gS ;k ughaA
5- [ksy
bl izkpy dk mís’; ;g irk yxkuk gS fd deZpkjh Vkmuf’ki esa nh tk jgh [ksy ,oa euksjt
a u lqfo/kkvksa ls fdruk lar”q V gSA
6- dk;ZLFky dk okrkoj.k
‡…
Township & Welfare Facilities
to carry job responsibilities and work culture

7. General
This parameter relates to general township aspects like its connectivity, aesthetics, recreation facility,
and concierge services.
Reliability
Reliability of this instrument, using Split-half test, has been found to be 94.5%. Alpha Cronbach coefficient,
indicating scale reliability of different parameters, has been found to be 74% to 88%. The instrument can be
considered reliable enough for our purpose.
Validity
The parameters used are based on facilities provided in townships by NTPC. To measure the construct valid-
ity, factor analysis was performed on data recorded for 172 respondents. 8 factors were extracted that together
explain 68% variance in the scores. Factor loadings above .3 and above have been mentioned ( Please see table
on next page)
Factor 1 has high loading on 5 out of six “Residential Accommodation” items (all except item R1). The valid-
ity index of this factor can said to be .83, i.e. 5/6. Similarly validity index of “Hospitals” is .89 (factor 2 has
high loadings on 8 out of 9 Hospitals items). Factor 5 seems to be pure factor of “Sports” with high loadings
on all 4 sports related items. Validity index of “Canteen” is .80 with factor 6 having high loadings on 4 out of
5 items. Factor 3 has high loadings on 4 out of 6 items pertaining to “Workplace Environment” (validity in-
dex .67).
The parameter “General” comprises of Factor 4, with high loadings on its 4 out of 7 items, and Factor 8, with
high loadings on 2 out of balance 3 items. Both these items and one out of the two items of “Workplace Envi-
ronment” that have high loadings on this factor pertain to connectivity. Hence, factor 8 can be called Connec-
tivity Factor. Factor 7 has high loadings on 2 items, one of “Hospitals” and other of “Workplace Environ-
ment”. The second item has higher loading and pertains to Office Aesthetics and hence factor 7 can be called
the Office Aesthetics factor.
Administration

As explained earlier, the questionnaire can be administered in part or whole,, as suited to the purpose of the
administrator. Parameter wise items are listed in following table. The administrator can pick up areas of town-
ship and welfare facilities that he wishes to investigate. He/ She can then combine the items pertaining to dif-
ferent parameters to construct the questionnaire. However, for convenience of the administrator, items that
54
Vkmuf’ki vkSj dY;k.k lqfo/kk,a
;g izkpy ds dk;ZLFky ds fofHkUu igyqvksa tSls lqfo/kk] lqj{kk] dk;Z lac/a kh mŸkjnkf;Roks
m kjnkf;Roksa ds fuoZgu ds fy, lalk/kuksa dh miyC/krk rFkk
dk;Z laLÑfr dks ekirk gSA
7- lkekU;
a u dh lqfo/kk,a vkSj ns[k&js[k lsokvksa ls lacfa /k/krr gSA
;g izkpy Vkmuf’ki ds lkekU; igyqvksa tSls 'kgj@jsyos ls laidZ] lkSna ;Z] euksjt
fo’oluh;rk
fLifyV gkQ ¼v)Z foHkktu½ ijh{k.k }kjk bl izy[s k dh fo’oluh;rk 94 94--5 izfr’kr ikbZ xbZA fofHkUu izkpyksa dh IkSekus fo’oluh;rk n’kkZ
n’kkuZ s
okyk ,YQk Øksu cSd xq.kkad 74 izfr’kr ls 88 izfr’kr ik;k x;kA ;g izy[s k gekjs iz;kstu gsrq i;kZIr fo’oluh; gSA
oS/krk
iz;Dq r izkpy ,uVhihlh }kjk Vkmuf’ki esa miyC/k djkbZ xbZ lqfo/kkvksa ij vk/kkfjr gSAa fuekZ.k oS/krk ekius ds fy, 172 izfrHkkfx;ks
rHkkfx;ksa ds vfHkys
[kc) fd, vkadM+s dk dkjd fo’ys”k.k fd;k x;kA 8 dkjd ckgj fudkys x, tks vadksa esa dqy feykdj 68 izfr’kr varj dk dkj.k gSAa -3 vkS vkSj
blls Åij ds Lkjka'kksa dk mYys[k fd;k x;k gSA ¼Ñi;k vxys i`”B ij nh xbZ lkj.kh ns[ksAa ½
dkjd 1 dh 6 ^^vkoklh; LFkku** enksa ¼vkj1 dks NksMd + j lHkh½ esa ls 5 esa mPp Lkjka'k gSA bl dkjd dk oS/krk lwpdkad -83 vFkkZr 5@6 5@6 gSA
blh izdkj ls ^^vLirky** dk oS/krk lwpdkad -89 gS ¼dkjd 2 dh vLirky dh 9 enksa esa ls 8 ij mPp Lkjka'k gS½ dkjd 5 fo’kq) :i ls ^^
[ksy** dk dkjd fn[kkbZ nsrk gS ftldh [ksy lac/a kh lHkh 4 enksa ij mPp Lkjka'k gSA dSVa hu dk oS/krk dkjd -80 gS vkSj dkjd 6 dh 5 enksa esa
ls 4 ij mPp Lkjka'k gSA dkjd 3 dh ^^dk;ZLFky dk okrkoj.k** ls lacfa /kr 6 enksa esa ls 4 ij mPp Lkjka'k gS ¼oS/krk lwpdkad -67 gS½A
½A
^^lkekU;** izkpy esa dkjd 4 ‘kkfey gS ftldh 7 enksa esa ls 4 ij mPp Lkjka'k gS vkSj dkjd 8 dh ‘ks”k 3 enksa esa ls 2 ij mPp Lkjka
Lkjk'a k gSA ;s
dkjd
nksuksa ensa vkSj ^^dk;ZLFky dk okrkoj.k** dh nks enksa esa ls ,d ftldk bl dkjd ij mPp Lkjka'k gS] laidZ ls lacfa /kr gSAa vr% d kjd 8 dks
^laidZ* dkjd dgk tk ldrk gSA dkjd 7 dh 2 enksa ij mPp Lkjka'k gS] ,d ^vLirky* ds vkSj vU; ^dk;ZLFky dk okrkoj.k* ds nwljh en
dh mPp Lkjka'k gS vkSj ;g dk;kZy; lkSn;Z ls lacfa /kr gSA vkSj blfy, dkjd 7 dks dk;kZy; lkSna ;Z dkjd dgk tk ldrk gSA
iz’kklu
pj.k 1 % iz’ukoyh dks vafre :i nsuk

tSlk igys crk;k x;k gS fd iz’ukoyh dks vkaf’kd ;k iwjk] tSlk iz’kkld ds iz;kstu ds fy, mi;qDr gks ykxw fd;k tk ldrk gSA iz’kkld
Vkmuf’ki ds {ks=ksa vkSj dY;k.k lqfo/kkvksa ftudh og tkap djuk pkgrk] dks pqu ldrk gSA rRi’pkr~ og iz’ukoyh cukus ds fy, fofHkUu
izkpyksa ls lacaf/kr enksa dks tksM+ ldrk gSA ysfdu] iz’kkld dh lqfo/kk ds fy, okkf.kfT;d dk;kZy;ksa@vkj,pD;w@lhlh ij ykxw u gksusus okyh
enksa dks ^**
^ * fpfg~ur fd;k x;k gSA pwafd dLcksa@’kgjksa esa jgus okys deZpkfj;ksa dks Vkmuf’ki esa ;s lqfo/kk,a ugha nh tk ldrh] blfy, iz’u-
koyh dks vkj,pD;w@lhlh@okf.kfT;d dk;kZy;ksa esa iz’kkflr djrs gq, bu enksa dks blesa ls gVk;k tk ldrk gSA
vki deZpkjh ls lq>ko vFkok fo”k;ijd QhMcSd ekaxus ds fy, ,d ;k nks o.kZukRed mRrj okys iz’u Hkh ‘kkfey dj ldrs gSAa mnkgj.k ds
fy, &
‡†

Item Component
1 2 3 4 5 6 7 8
H1 .438 .530 .300
H2 .789
H3 .388 .444 .439
H4 .338 .647
H5 .315 .535
H6 .510 .447 .309
H7 .681 .349
H8 .381 .447 .451
H9 .390 .544
R1 .320 .514 .469
R2 .438 .404
R3 .799
R4 .817
R5 .427 .386
R6 .707 .301
C1 .830
C2 .583 .405
C3 .643 .434
C4 .680
C5 .325 .430 .355
W1 .714 .368
W2 .520 .423
W3 .399 .338 .601
W4 .429 .332 .471
W5 .747
W6 .709
S1 .489 .596
S2 .745 .342
S3 .444 .542
S4 .711
G1 .356 .626 .331
G2 .581
G3 .427 .471
G4 .721
G5 .755
G6 .735
G7 .732
55

en vo;o
1 2 3 4 5 6 7 8
,p1 -438 -530 -300
,p2 -789
,p3 -388 -444 -439
,p4 -338 -647
,p5 -315 -535
,p6 -510 -447 -309
,p7 -681 -349
,p8 -381 -447 -451
,p9 -390 -544
vkj 1 -320 -514 -469
vkj 2 -438 -404
vkj 3 -799
vkj 4 -817
vkj 5 -427 -386
vkj 6 -707 -301
lh 1 -830
lh 2 -583 -405
lh 3 -634 -434
lh 4 -680
lh 5 -325 -430 -335
MCY;w 1 -714 -368
MCY;w 2 -520 -423
MCY;w 3 -399 -338 -601
MCY;w 4 -429 -332 -471
MCY;w 5 -747
MCY;w 6 -709
,l 1 -489 -596
,l 2 -745 -342
,l 3 -444 -542
,l 4 -711
th 1 -356 -626 -331
th 2 -581
th 3 -427 -471
th 4 -721
th 5 -755
th 6 -735
th 7 -732
‡‡
may not applicable to Commercial Offices/ RHQs/ CC have been marked *. Since, employees residing in
towns/ cities may not be extended these facilities in the township itself, these items can be removed while ad-
ministering the questionnaire at RHQ/ CC/ Commercial Offices.
Hospitals Maintenance, Staffing, Rules 1*, 13, 14*, 29, 30, 31, 42*,
43*, 44*
Residential Accommodation Allotment Process, Standard, 4, 10*, 16, 17*, 25, 26*
Maintenance
Canteen Quality, Variety, Maintenance 5, 9, 18, 34, 45*
Children’s Education Schools, Teaching Staff, Quality 2*, 3*, 11, 12*, 15, 27*, 28*,
32*, 33*, 40*, 41*
Sports Facilities, Sports events 19, 24, 35, 48
Workplace Environment Comfort, Safety, Resources, Cul- 7, 8, 21, 22, 23, 37
ture
General Connectivity, Aesthetics, Recrea- 6*, 20*, 36, 38*, 39*, 46*, 47
tion, Concierge
One may also choose to include one or two open ended questions in order to invite employee suggestions or
subjective feedback. For example –
“What can be done to make the township more aesthetic?”
“Please give your suggestions on how the plant/ office canteen can be improved”

Sample Size = 384/(1+(383/P))

Sample Size = 384/(1+(383/1000))
= 384/1.383
= 277.66 ~ 278
56
^^Vkmuf’ki dks vkSj vf/kd [kwclwjr cukus ds fy, D;k fd;k tk ldrk gS\**
vFkok vkSj vf/kd fo’ks”k cukus ds fy, &
^^Ñi;k la;a=@dk;kZy; dh dSVa hu esa lq/kkj djus ds fy, lq>ko nsAa **

iz’ukoyh rS;kj gksus ds i’pkr bls ;kn`fONd #i ls pqus x, deZpkfj;ksa ds uewus ij ykxw fd;k tk ldrk gSA uewuk vkdkj dh x.kuk fuEu
izdkj ls dh tk ldrh gS &

uewuk vkdkj ¾ 384@¿1$ ¼383@1000½À
¾ 384@1-
384@1-383
¾ 277-
277-66~278
uewuk vkdkj fudkyus ds ckn ;g lqfuf’pr djsa fd ;g tula[;k dk izfrfuf/kRo djuk gks vFkkZr lHkh Lrjksa ij lekuqikr esa forfjr gksA
pwafd ,uVhihlh esa dbZ Lrj gSa ge vius iz;kstu gsrq mUgsa fuEu izdkj ls cSMa esa foHkkftr dj ldrs gSa &
xzMs MCY;w 0 & MCY;w 11 ¾ cSMa 1 ¼dkexkj½
xzMs bZ 1 & bZ 4 ¾ cSMa 2 ¼Vhe ds lnL;½
xzMs bZ 5 & bZ 6 ¾ cSMa 3 ¼Vhe ds usrk½
xzMs bZ 7$ ¾ cSMa 4 ¼foHkkxk/;{k½
pj.k 3 & vkadM+k ,d=.k vkSj fjdkfMZxa

iz’ukofy;ksa dks dkxt isfa ly vFkok bZ esy }kjk] tSlk Hkh mfpr le>k tk, ds }kjk p;fur uewus ij iz'kkflr fd;k tk ldrk gSA Hkjh gqbZbZ
MkD;w;weVsa
iz’ukokfy;ksa ds vkadM+s dks ,e,l ,Dlsy odZ’khV esa vfHkys[kc) fd;k tkuk pkfg,A o.kZukRed mRrj okys iz’uksa ds mRrj ,e,l oMZ MkD
vFkok uksV iSM ij vyx ls vfHkys[kc) fd, tkus pkfg,aA
vad fu/kkZj.k
iz’ukoyh esa 1&5 IkSekus ij 46 iz’u gSa tks gSa ftlesa ^^1** ls rkRi;Z ^îw.kZr% vlger gksuk** vkSj ^5^ ls rkRi;Z ^îw.kZr% lger gksuk** gSA iz’u-
koyh esa dksbZ udkjkRed iz’u ugha gSA 3 ls vf/kd dk vad ^vPNk* ekuk tk ldrk gS tcfd 3 ls de dk vad ^^fud`"V** ekuk tk ldrk gSA
izR;sd eq[; izkpy ds fy, vyx ls vad dh x.kuk fuEu izdkj ls dh tk ldrh gS &
-1- izR;sd izfrHkkxh ds fy, izkpy ls lacfa /kr enksa ds vkSlr vad dh x.kuk djsAa
-2- izkpy vad dh izkfIr ds fy, lHkh izfrHkkfx;ksa ds vkSlr vad dh x.kuk djsAa
‡ˆ
follows –

Pad.
Scoring
ered “Good” while a score below 3 can be considered “Poor”.
that has been rated below 3.
cern
57
-3- cSMa ¼xzMs ½ okj vad izkIr djus ds fy, xzMs cSMa esa izfrHkkfx;ksa ds vkSlr vad dh x.kuk djsAa
-4- foHkkxokj vad izkIr djus ds fy, foHkkx esa izfrHkkfx;ksa ds vkSlr vad dh x.kuk djsAa
izkpy mi&izkpy ensa

vLirky vuqj{k.k] LVkQ dh O;oLFkk] fu;e 1*]] 13] 14*]
14 ] 29] 30] 31] 42*]
42 ] 43*]
43 ] 44*
44
vkoklh; LFkku vkcaVu izfØ;k] ekud] vuqj{k.k 4] 10*]
10 ] 16] 17*]
17 ] 25] 26*
26
dSVa hu xq.koRRkk] Hkkstu ds fodYi] vuqj{k.k 45*
5] 9] 18] 34] 45
cPpksa dh f’k{kk Ldwy] f’k{k.k LVkQ] xq.koRrk 2*]] 3*]
3 ] 11] 12*]
12 ] 15] 27*]
27 ] 28*]
28 ] 32*]
32 ] 33*]
33 ] 40*]
40 ] 41*
41
[ksy lqfo/kk,a] [ksy] vk;kstu 19] 24] 35] 48
dk;ZLFky dk okrkoj.k vkjke] lqj{kk] lalk/ku] laLÑfr 7] 8] 21] 22] 23] 37
lkekU; laidZ] lkSna ;Z] euksjt
a u] ns[kjs[k 6*]] 20*]
20 ] 36] 38*]
38 ] 39*]
39 ] 46*]
46 ] 47
blh izdkj ls] izR;sd izkpy ds fy, lHkh xsMz okj vkSj foHkkxokj vad dh x.kuk dh tk,A

vki fu”d”kZ fudkyus ds fy, O;k[;kRed fo’ys”k.k ¼ek/;] xzkQ bR;kfn½ vFkok vuqferh; lkaf[;dh dks pqu ldrs gSAa
vkadM+s dk O;k[;kRed fo’ys”k.k djus ds fy, fuEufyf[kr pj.kksa dk vuqlj.k djsa &
-1- lHkh izkpy vadksa dk ckj pkVZ cuk,aA ;g tkuus ds fy, fd fdu izkpyksa dh jsfVax de gS vkSj fdudh vf/kdA ftu izkpyksa dh jsfVax
de gS] muds vlarks”ktud {ks=ksa dk irk yxkus ds fy, lacfa /kr en vad dh tkap djsAa ftl izkpy dh jsfVax 3 ls de gS muds fy,
;gh djsAa
-2- xsMz cSMa okj izkpy vadksa dk ckj&pkVZ cuk,aA leku izkpy esa xzMs cSMa ckjksa dh yackbZ dh rFkk vU; izkpyksa ds laxr xzMs cSMa ckjksa ds
lkFk ckjksa dh yackbZ dh rqyuk djsa rkfd fparktud {ks=ksa dk irk yxk;k tk ldsA
-3- foHkkxokj izkpy vadksa dk ckj pkVZ cuk,a vkSj Øe la- 1 vkSj 2 esa fn, vuqlkj rqyuk djsAa
-4- iwoZ ds vkadM+]s ;fn dksbZ gks rks] ds lkFk mDr fu”d”kksZa dh rqyuk djsAa
-5- fparktud {ks=ksa ds ckjs esa tkuus ds fy, deZpkfj;ksa }kjk [kqys fljs okys iz’uksa ds mRrj esa dh xbZ fVIif.k;ksa ,oa fn, x, lq>koksa ftUgsa
oMZ@uksV iSM esa vfHkys[kc) fd;k x;k gS] dks ns[ksAa
vuqferh; lkaf[;dh
vfHkys[kc) fd, x, vkadM+s dk fo’ys”k.k djus ds fy, fuEufyf[kr vuqferh; izy[s kksa dk mi;ksx fd;k tk ldrk gSA vki ,e,l ,Dlsy
vFkok eSuvq yh ¼gkFk ls½ Hkh ;g fo’ys”k.k dj ldrs gSAa ysfdu] bl iz;kstu gsrq ,lih,l,l lokZf/kd mi;qDr gSA
-1- xzMs okj vkSj foHkkxokj izkpy vadksa dh rqyuk djus ds fy, ,d ekxhZ vFkok f} ekxhZ ,uksok dk mi;ksx djsAa
-2- iwoZ esa vfHkys[kc) fd, x, leku vkadM+ksa ds lkFk vadksa dh rqyuk djus ds fy, ;qfXer rqyuk izy[s kksa tSls vkfJr uewuk Vh&ijh{k.k
vFkok f}ekxhZ ,uksok esa ls fdlh dk mi;ksx djsAa
‡‰
and 2.
58
Vkmuf’ki vkSj dY;k.k lqfo/kk,a iz’ukoyh

vuqn’s k
fuEufyf[kr iz’ukoyh vkidh ;wfuV esa fofHkUu Vkmuf’ki vkSj dY;k.k lqfo/kkvksa dh fLFkfr dk v/;;u djus ds fy, rS;kj dh xbZ gSA Ñi;k
Ñi;k
viuh Lora= vkSj fu”i{k jk; nsAa vkids mRRkj xksiuh; j[ks tk,axAs Ñi;k fuEufyf[kr dFkuksa dh 1 ls 5 ds IkSekus ij ftlesa ^^1** iw.kZ.kZr%
^^vlger gksuk** gS] mfpr dks”Bd esa lgh dk fpg~u ¼a½ yxkdj jsfVax djsAa
izfrHkkxh dk C;ksjk
xzMs -------------------------- foHkkx -------------------------------------
iz-la- dFku iw.kZr% vlger u rks lger gksuk lger iwoZr%

vlger gksuk vkSj u gh vler gksuk lger
gksuk gksuk gksuk
*11 Vkmuf’ki dk vLirky vPpNs <ax ls vuqjf{kr gS vkSj 1 2 3 4 5
lkQ lqFkjk gSAa
*22 Vkmuf’ki ds Ldwyksa esa lHkh vko’;d f’k{k.k lgk;d 1 2 3 4 5
lkexzh vkSj lqfo/kk,a miyC/k gSAa
*33 izca/ku }kjk cPpksa dh f’k{kk lac/a kh lqfo/kkvksa esa lq/kkj 1 2 3 4 5
djus gsrq mBk, x, dne larks"ktud gSAa
4 vkokl vkcaVu izfØ;k ikjn’khZ gSAa 1 2 3 4 5
5 dSVa hu esa fn;k tkus okyk Hkkstu vPNh xq.koRRkk dk gSAa 1 2 3 4 5
*66 lexz :i ls Vkmuf’ki [kwclwjr gS vkSj vPpNs <ax ls 1 2 3 4 5
vuqjf{kr gSA
7 esjk dk;ZLFky vkjkenk;d gSA 1 2 3 4 5
8 ;wfuV ds ofj”B izc/a ku ¼ifj;kstuk@foHkkx ize[q k½ dh ^ 1 2 3 4 5
[kqyk }kj uhfr* dk vkfyacu djrs gSAa
9 dSVa hu lkQ lqFkjh gS vkSj csgrj <ax ls vuqjf{kr gSA 1 2 3 4 5
10
*10 Vkmuf’ki dh vuqj{k.k lac/a kh f’kdk;rksa ij leqfpr 1 2 3 4 5
dkjokbZ dh tkrh gSA
11 cPPkksa dks Ldwyksa esa nkf[kyk fnykus ds fy, vfHkHkkodksa 1 2 3 4 5
dksbZ [kk+l fnDdrsa ugha is'k vkrhA
12
*12 deZpkjh vius cPpksa ds Hkfo”; ds fy, Vkmuf’ki ds 1 2 3 4 5
Ldwy ij fuHkZj dj ldrs gSAa
13 ,uVhihlh dh fpfdRlk lqfo/kk,a deZpkjh dY;k.k uhfr 1 2 3 4 5
dk egRoiw.kZ Hkkx gSAa
14
*14 Vkmuf’ki vLirky }kjk fufnZ”V nok,a fMLisaljh esa 1 2 3 4 5
rRdky miyC/k gksrh gSA
‡Š
Township & Welfare Facilities Questionnaire

Instruction
The following questionnaire has been designed to study the state of various township and welfare facilities at
your unit. Please give your free and candid opinion. Your responses shall be treated with utmost confidential-
ity. Please rate the following statements on 1-5 scale, “1” being “Strongly Disagree”, by putting a tick mark
() in the appropriate cell.
Neither
Strongly Strongly
Q.No Statement Disagree Agree nor Agree
Disagree Agree
Disagree
The township hospital is well maintained
1* 1 2 3 4 5
and hygienic
Township schools have all necessary teach-
2* 1 2 3 4 5
ing aids and facilities
Steps taken by management for improving
3* children education facilities are to my satis- 1 2 3 4 5
faction
4 House allotment process is transparent 1 2 3 4 5
The food served at canteen is of good qual-
5 1 2 3 4 5
ity
Overall, the township is aesthetic and well
6* 1 2 3 4 5
maintained
7 My workplace is comfortable 1 2 3 4 5
Senior management (Project/ Department
8 Heads) of the unit have an 'open door pol- 1 2 3 4 5
icy'
9 Canteen is hygienic and well maintained 1 2 3 4 5
Maintenance complaints at township are
10* 1 2 3 4 5
properly attended to
School admission for employee wards are
11 1 2 3 4 5
easy to come by
Employees trust township school with the
12* 1 2 3 4 5
future of their children
NTPC medical facilities are the cornerstone
13 1 2 3 4 5
of its employee welfare policy
59

gksuk gksuk gksuk
15 cPpksa ds fy, dksfpax@V~;’w ku lqfo/kk,a miyC/k gSAa 1 2 3 4 5
16 ,uVhihlh }kjk vPpNs Lrj ds vkoklh; LFkku miyc/ 1 2 3 4 5

k djk, tkrs gSAa
17
*17 daiuh }kjk miyC/k djk, x, vkoklh; LFkku 1 2 3 4 5
vkjkenk;d gSAa
18 dSVa hu }kjk nh tkus okyh lsokvksa dk Lrj larks”ktud 1 2 3 4 5
gSA
19 daiuh dh [ksy lqfo/kkvksa dks vPpNs <ax ls vuqjf{kr 1 2 3 4 5
fd;k tkrk gSA
20
*20 eq>s Vkmuf’ki ls utnhd ds jsy gsM@,vjiksVZ rd 1 2 3 4 5
vkus&tkus esa dksbZ dfBukbZ ugha gksrhA
21 esjk dk;ZLFky lqjf{kr gSA 1 2 3 4 5
22 esjs ikl dk;Z djus ds fy, lHkh vko’;d 1 2 3 4 5

lkt&lkeku mIyC/k gSAa
23 eq>s yxrk gS fd ge lapkj vkSj lwpuk ds vknku 1 2 3 4 5
iznku ds fy, baVjusV dk izHkkoh :i ls mi;ksx dj
jgs gSAa
24 le; le; ij [ksy lac/a kh dk;ZØeksa dk vk;kstu fd;k 1 2 3 4 5
tkrk gSA
25 LFkkukarj.k gksus dh n’kk esa daiuh }kjk deZpkjh vkSj 1 2 3 4 5
mlds ifjokj dks fuokl LFkku miyC/k djkus ij
fo"ks'k /;ku fn;k tkrk gSA
26
*26 Vkmuf’ki ds DokVZjksa vFkok gkLVyksa dh fu;fer #i ls 1 2 3 4 5
ejEer dh tkrh gS vkSj vuqj{k.k fd;k tkrk gSA
27
*27 Vkmuf’ki esa lq/kkj gsrq le;≤ ij deZpkfj;ksa ls 1 2 3 4 5
QhMcSd ekaxk tkrk gSA
28
*28 Vkmuf’ki Ldwy dk f’k{k.k LVkQ vius&vius {ks= esa 1 2 3 4 5
iw.kZr% l{ke gSA
29 ,uVhihlh ds fy, vius deZpkfj;ksa dh lqj{kk ls 1 2 3 4 5
c<+dj dqN ugha gSA
30 ,uVhihlh ds fpfdRlk fu;e oLrqijd gSa vkSj esjh 1 2 3 4 5
lHkh vko’;drkvksa dh iwfrZ djrs gSA
31 eq>s ,uVhihlh ds fpfdRlk lac/a kh LVkQ dh l{kerk 1 2 3 4 5
ij iw.kZ fo’okl gSA
‡‹
Neither
Strongly Strongly
Disagree Agree
Disagree
Medicines prescribed at township hospital
14* 1 2 3 4 5
are readily available in the dispensary
Coaching/ tuition facilities for children are
15 1 2 3 4 5
easily available
Reasonable standard of residential accom-
16 1 2 3 4 5
modation is provided by NTPC
Residential accommodation provided by the
17* 1 2 3 4 5
company is comfortable
Standard of service provided by canteen is
18 1 2 3 4 5
to my satisfaction
Company sports facilities are well main-
19 1 2 3 4 5
tained
I do not face any difficulty in commuting
20* from township to the nearest rail head/ air- 1 2 3 4 5
port
21 My workplace is safe 1 2 3 4 5
I have all necessary office equipment needed
22 1 2 3 4 5
to carry out my work
I feel we are effectively using the intranet
23 1 2 3 4 5
for communication and information sharing
24 Sports events are organized time to time 1 2 3 4 5
In case of transfer-in, care is taken by the

25 Company for accommodating employee and 1 2 3 4 5
his family
Township quarters or hostels are regularly
26* 1 2 3 4 5
repaired and maintained
Employee feedback for improving township
27* 1 2 3 4 5
schools is sought time to time
Teaching staff of township school is fully
28* 1 2 3 4 5
competent in their fields
For NTPC, nothing comes before the safety
29 1 2 3 4 5
of its employees
NTPC medical rules are objective and take
30 1 2 3 4 5
care of all my needs
I have full confidence in competence of
31 1 2 3 4 5
NTPC medical staff
60

gksuk gksuk gksuk
32
*32 Vkmuf’ki ds Ldwy deZpkfj;ksa ds cPpksa dks LoLFk 1 2 3 4 5
izfr;ksxh okrkoj.k miyC/k djk jgs gSAa
33
*33 eq>s yxrk gS fd Vkmuf’ki Ldwyksa esa i<+ jgs cPps 1 2 3 4 5
fdlh vU; Ldwy esa i<+ jgs cPpksa ds leku gh izfrLi/
khZ gSAa
34 deZpkfj;ksa ds ikl vkWfQl dSVa hu esa LuSDl vkSj Hkkstu 1 2 3 4 5
ds fofHkUu fodYi gSAa
35 deZpkfj;ksa ds ikl fofHkUu buMksj vkSj vkmVMksj [ksyksa 1 2 3 4 5
ds fodYi miyC/k gSA
36 eq>s vius fcyksa ¼Qksu] ØsfMV dkMZ bR;kfn½ ds Hkqxrku 1 2 3 4 5
esa lkekU;r;k dksbZ dfBukbZ ugha gksrhA
37 ;gka ij dk;kZy; vPpNs <ax ls lqlfTtr gSAa 1 2 3 4 5
38
*38 Vkmuf’ki esa ewyHkwr fnu&izfrfnu dh vko’;drkvksa 1 2 3 4 5
dks ljyrk ls iwjk fd;k tk ldrk gSA
39
*39 Vkmuf’ki esa euksjt
a u ds i;kZIr lk/ku miyC/k gSAa 1 2 3 4 5
40
*40 Vkmuf’ki ds Ldwy u dsoy cPpksa dh f’k{kk cfYd 1 2 3 4 5
muds lexz fodkl ij Hkh /;ku nsrs gaSA
41
*41 Vkmuf’ki ds Ldwyksa dk vuqj{k.k vPpNs <ax ls fd;k 1 2 3 4 5
x;k gSA
42
*42 tc Hkh vkSfpR;iw.kZ gks] MkDVj jksxh dks ‘kgj ds 1 2 3 4 5
vLirkyksa dks Hkst nsrs gSAa
43
*43 Vkmuf’ki ds vLirky esa lHkh vko’;d midj.k gSAa 1 2 3 4 5
44
*44 Vkmuf’ki ds vLirky esa MkDVjksa vkSj fpfdRlk lac/a kh 1 2 3 4 5
LVkQ dh dksbZ deh ugha gSA
45
*45 Vkmuf’ki ds esl@jsLVkjsVa esa vPNk Hkkstu miyC/k gSA 1 2 3 4 5
46
*46 deZpkfj;ksa dks vko’;drk iM+us ij utnhd ds 'kgj 1 2 3 4 5
rd vkus&tkus esa dksbZ dfBukbZ ugha gksrhA
47 deZpkfj;ksa dks Vªus @gokbZ fVdV dh cqfdax djus esa 1 2 3 4 5

dksbZ dfBukbZ ugha vkrhA
48 O;k;ke'kkyk@ fte vPpNs <ax ls vuqjf{kr gSA 1 2 3 4 5
ˆ0
Neither
Strongly Strongly
Disagree Agree
Disagree
Township schools are providing a healthy
32* 1 2 3 4 5
competitive environment to employee wards
I feel children studying at township schools
33* 1 2 3 4 5
are as competitive as those anywhere else
Employees get sufficient choice of snacks
34 1 2 3 4 5
and meals at office canteen
Choice of various in-door and out-door
35 1 2 3 4 5
games is available to employees
I generally do not face any difficulty in mak-
36 1 2 3 4 5
ing bill payments (phone, credit card etc.)
37 Offices here are elegantly furnished 1 2 3 4 5
Basic day-to-day needs can be easily met in
38* 1 2 3 4 5
the township
Sufficient means of recreation are available
39* 1 2 3 4 5
at the township
Township schools focus on overall develop-
40* 1 2 3 4 5
ment of children and not just on academics
41* Township schools are well maintained 1 2 3 4 5
Whenever justified, doctors refer cases to
42* 1 2 3 4 5
city hospitals
Township hospital is equipped with all nec-
43* 1 2 3 4 5
essary equipment
There is no shortage of doctors and medical
44* 1 2 3 4 5
staff at the township hospital
Good food is available at mess or restaurant
45* 1 2 3 4 5
in the township
Employees do not face any difficulty in
46* 1 2 3 4 5
commuting to nearest town if needed
Employees do not face any difficulty in
47 1 2 3 4 5
booking train/ air tickets
48 Gym facilities are well maintained 1 2 3 4 5

61
HR Audit System Updated as on: 31.01.2012
Page: 1 of 16
HR Audit System
1.0 Background
1.1 HR audit is one of the important instruments to assess the effectiveness of HR

systems and processes and provide feedback for improvement. NTPC
introduced the HR audit system long back in the year 1999. Since then number
of new HR systems, policies and initiatives have been launched. Besides,
periodical surveys in the area of organizational climate, values, HR initiatives and
employer branding are being undertaken, which gives feedback about various
HR systems and processes.
1.2 Keeping in mind the above, the existing HR audit system was reviewed and a
new “HR Audit System” was developed in 2006. In order to simplify the system
of audit and make it more objective and transparent, it has been reviewed again
so that it can give the accurate description of the effectiveness of HR policies,
systems and processes across all units in NTPC.
2.0 Objectives:
2.1 To assess the effectiveness and facilitate uniform implementation of HR policies,
systems and processes.
2.2 To know the impact of HR interventions and seek feedback from various internal
stakeholders for improvement.
2.3 To enhance HR function’s service delivery and effectiveness by identifying the
current strengths, areas of improvement including HR competency gaps.
2.4 To initiate appropriate preventive as well as corrective measures in HR policies,
systems and processes to enhance customer satisfaction.
2.5 To align HR policies, systems, and processes to meet the business needs.
2.6 To capture the internal HR best practices and disseminate across NTPC for
learning and implementation.
Page: 2 of 16
3.0 Scope of the Audit:

3.1 The HR audit would cover all the HR systems and processes related to
recruitment, industrial engineering, employee benefits, employee relations,
employee welfare, employee services, human resource development, training
and development, HR initiatives, new strategic interventions, TQM initiatives in
HR, HR-IT, legal maters, CSR, PR, Medical, Rajbhasha, special projects, MOU,
MIS systems, competency / roles & responsibilities of employees in HR
Department, credibility of HR Department etc.
3.2 During audit, the auditors would question, probe all events/sequences with
regard to implementation, service delivery including exceptions made and may
call for all relevant records and documents. The Unit HOHR/HR department is
required to extend all help and assistance in this regard. The auditors may also
interact with any employee/ stakeholders to understand and reinforce various
issues/problems during HR audit.
4.0 Audit Structure & Cycle:

4.1 Structure
4.1.1 The audit team would consist of a cross-functional team comprising members
from Corporate HR, Region HR, HRD Group, CC/Region and Unit line function
preferably from Technical Services Department as per structure mentioned at
Table No-1 mentioned below: -
SN Team Position
1 Regional Nodal Officer – Corporate HR Leader/Member*
2 Regional HR Head Member/Leader*
3 Nodal Officer – Corporate HR Member & Convener
4 Representative from Unit Technical Services Member
Department at E5/E6 level
* In the HR audit team, if the Regional HR Head is senior to the Corporate
Regional Nodal Officer, the team would be led by Regional HR Head.
Page: 3 of 16
4.2 Audit Cycle

4.2.1 HR audit would be undertaken every year in NTPC; however, a particular
Project/Station would be covered once in every 3 (three) years.
4.2.2 At least one unit from a Region must be covered for the HR audit every year.
However depending on the specific issues/problems of a particular unit, the
organizational requirements and concern of top management, the number of
units to be covered for HR audit in a Region may be increased. Corporate HRD
would constitute the team and notify the names of unit for the HR Audit every
year after obtaining approval of Director (HR).
4.2.3 At the time of obtaining approval of Director (HR), HRD group would indicate the
critical areas for each unit based on the findings of last HR audit, areas of
concern thrown up by various surveys and top management’s concern related to
the unit.
5.0 Elements of HR Audit:

5.1 The HR audit shall be undertaken by personal interactions/discussions with HR
executives, HOHR, scrutiny of documents/records, personal interactions with
HODs/Site Management Committee members, interaction with office bearers of
Unions/Associations, interaction with BUH, visits to important offices/locations
and personal observations.
5.2 The following tools would be referred and used by the auditors for conducting
the audit:-
5.2.1 Check-list: The check list as enclosed at Annexure-I is a comprehensive
compilation of various dimensions of various activities of HR. It highlights some
questions pertaining to an area having critical importance and also data &
documents support required to be furnished by the respective unit against each
question. The checklist is an illustrative guide to the auditors for conducting the
audit in a structured manner. However, the auditors may explore any other
area(s) relevant for understanding the uniform implementation of policies,
effectiveness of HR systems and processes and service delivery of HR.
Page: 4 of 16
5.2.2 Guideline for the Auditors: The guideline enclosed, as Annexure-II would be
used as a reference by the auditors for the scrutiny of documents, records and
interactions with the HODs/BUH/Unions and Associations.
5.2.3 Visits: The auditors must visit record rooms of HR, key locations in the office,
facilities such as canteen, recreation rooms, EDCs, Recreation Center, Executive
Club, Bal Bhawan, Ladies club, ET hostel and other facilities of the township.
5.2.4 Report Preparation: A sample report format is enclosed as Annexure-III
6.0 Duration & Schedule:

6.1 The HR audit team should spend at least 2/3 days for conducting the audit.
However, based on the size of the unit and the issues involved, the HR audit
team may spend 1-2 days more to make in-depth assessment and bring out the
local issues/barriers for effectiveness as per the spirit and intent of the system.
6.2 The schedule with targets and responsibility for the various activities pertaining to
the audit shall be as per Table No – 2 mentioned as under :-
SN Activity Target Responsibility
1 Identification, approval, constitution 30th April Regional Nodal
of team & communication to all Officer – Corporate -
concerned Unit/Region/Member of HR
the audit team.
2 Conduct of HR audit May- Leader, audit team
September
3 Audit Report with back-up data 15th Leader, audit team
November
4 Presentation of findings & Action 31st Head-HRD Group
Plan to D(HR) December
5 Final Action Plan Communication 15th Head-HRD Group
January
6 Implementation of action plan & As per plan Concerned HOHR
Corrective Measures
7 Monitoring & Follow-up On Concerned Division
continuous Head -& RHOHR/
basis Head HRD Gp.
Page: 5 of 16
7.0 Focal Person:

7.1 The Nodal Officer for the respective unit from Regional Head Quarter shall act as
the focal person for coordinating with all members of the audit team and
concerned HOHR of the unit for conducting, completion and submission of
report. For the purpose of HR audit in the unit, the concerned HRD officer shall
act as the unit level focal point.
8.0 Process:
8.1 The regional nodal of corporate HR will firm up the dates of audit and intimate all
the concerned. The Nodal Officer of Corporate Center before audit shall obtain
the following documents:-
I. A copy of the HR Audit System
II. All relevant papers / documents : Annexure I to III, Check-list, Guideline &
Report Format
III. Findings of BODH surveys, areas of concern with action plan.
IV. MOU and targets for the relevant period.
8.2 The concerned Nodal Officer shall forward a copy of the check list to the unit
HOHR at least 3 (three) weeks in advance for preparation. The unit would
compile all such data and keep ready for handing over to the audit team.
8.3 After completion of the audit, the report must be submitted as per the schedule
and timeline of the system in the prescribed format with a brief summary of the
findings indicating the good work/ achievement, the areas of improvement and
suggestions/feedback.
8.4 HRD group would compile the audit report of all the units covered in the year and
make a presentation to Director (HR) on the findings with brief draft action plan
for redressal unit wise and organizational level. The final action plan as approved
would be drawn and circulated for implementation.
8.5 HRD group shall put up the quarterly progress and status report to Director (HR)
on the areas of audit/action plan.
9.0 General:
Page: 6 of 16
9.1 Director (HR) is the competent authority for any interpretation, amendment and
modification etc related to this system.
9.2 The Management reserves the right to amend, modify or suspend the execution
of the system without giving any prior notice, any time during the execution of the
system.
Authority:
Page: 7 of 16
Annexure-I
HR Audit Checklist
ACHIEVEMENT
LEVEL (%) MARKS
SN AREAS MEASURE WEIGHTAGE TARGET 100 80 60 OBTAINED
HRD INTERVENTIONS
Implementation of
Performance Management
System:-
Workmen –
1 Timely submission of AARs date 5
2 Timely Completion of DPC date 10
Executives –
Timely Completion of PACE
Activities (Performance
planning, mid-term review,
Final appraisal) as per
Schedule
Normalization as per
3 scheduled date date 10
4 Communication of Score date 5
5 PACE Audit date 10
Appeals resolved / appeals
6 made % 10
PACE survey findings: %
change (+/-) from previous
7 year (+/-)% 10
Vision / Value Actualization:-
8 Trg. Program done on values no. 10
Participants :-
Executives covered / total
9 executives % 10
Non – executives covered /
10 total non-executives % 10
Value survey findings: %
11 year (+/-)% 10
Internal Customer Meets:-
12 Meetings actual / scheduled % 10
13 Issues resolved / agreed % 10
Plant level surveys:-
Surveys done as per
14 compendium no. 20
Sharing in SMC & report send
15 to CC & RHQ date 10
HR service effectiveness
Survey findings: % change (+/-
16 ) from previous year (+/-)% 10
HR Nodal Offices:-
17 Meetings attended / held no. 10
18 Sharing of issues / updates % 10
Mentoring:-
Page: 8 of 16
19 Mentor-mentee meetings no. 10

20 Coverage in mentoring training % 10
Ambassadors:-
21 Ambassadors / Departments no. 10
22 Meetings attended no. 10
Reward & Recognition:-
Reward & Recognition survey
findings: % change (+/-) from
23 previous year (+/-)% 10
TQM:-
24 Articles by HR personnel no. 10
Presentation by QC/PC in
25 ORT/PRT/SMC no. 5
SUBTOTAL 245
TRAINING
EDC & EDC activities:
26 Programs actual / planned % 10
Employees with 7 Mandays
27 Training / total employees % 10
28 Budget utilized % 5
T & D survey findings: %
29 year (+/-)% 10
Planned Interventions:
Dy. Managers attending the
Foundation Course / eligible
30 Dy. Managers % 10
Managers attending the
Capsule Programme / eligible
31 Managers % 10
Sr. Managers attending the
EMC Programme / eligible Sr
32 Managers % 10
DGMs/AGMs attending the
AMP Programme / eligible
33 executives % 10
HR Competency
Development:
Employees in HR attended 7
mandays training / total HR
34 manpower % 20
HR executives taking sessions
35 in training programmes no. 10
Eligible HR executives
attending planned
36 interventions in HR at PMI no. 10
SUBTOTAL 115
EMPLOYEE RELATIONS
Performance of bipartite
bodies such as
SLC/PLC/TAC/CMC etc.:-
37 Meetings actual / scheduled % 10
Issues resolved / issues
38 agreed % 10
Page: 9 of 16
Employee relations survey

Communication Meetings:
40 Open House by HOP / RED no. 10
Disciplinary Cases:
Nos. in which action taken /
41 total no. % 10
SUBTOTAL 50
EMPLOYEE WELFARE
Long-service awards to all
eligible employees till date -
42 leftouts no. 10
Sports Promotion Activities for
Children (Indoor / Outdoor)
43 actual / planned no. 10
Cultural programs & events
44 held / planned % 20
Township & Welfare survey
SUBTOTAL 50
PR
Timely publishing of Plant/
46 Region Journal date 10
SUBTOTAL 10
HINDI
Hindi Rajbhasha Workshops
47 actual / planned % 10
48 Hindi Week Celebration date 10
SUBTOTAL 20
EMPLOYEE BENEFITS
Joining & nominations:
Verification of character and
antecedents as per
49 Corporate/Govt. directives % 5 100%
Employee details of new
joinees captured in SAP &
50 verified % 10 100%
Documentation and storage of
51 HBA files in fireproof cabinet % 10 100%
Change in surety for HBA
52 when current surety resigns no. 10 100%
Hypothecation and insurance
of vehicle is being ensured in
53 all cases no. 10 100%
Unauthorized Absence:
Communication and further
action for unauthorized
54 absence as per system % 10 100%
Relieving/Retirement/Supera
nnuation:
No. of Exit Interview Formats
55 forwarded to RHQ & CC / no. % 5
Page: 10 of 16
of exits from the location

Analysis of exit interview
undertaken at Unit level and
56 action plan drawn or not date 10
SUBTOTAL 70
EMPLOYEE SERVICES
Regular recovery of license
fee & electricity charges for
quarters allotted to outside
57 employees % 10 100%
License fees and electricity
charges are being recovered
for the shops allotted in the
58 townships % 10 100%
SUBTOTAL 20
TOTAL MARKS 580 TOTAL MARKS OBTAINED
% ACHIEVEMENT = (TOTAL
MARKS OBTAINED / 580) *
100 =
Annexure II
Guideline for the Auditors:
1.0 Focus of the Audit:

1.1 The basic purpose of the audit is to assess the implementation of HR policies,
systems and procedures, assess the organizational climate, and identify the
issues, challenges and barriers in implementation and service delivery. Based on
the findings, the company would use it for initiating appropriate preventive and
corrective measures for effectiveness and higher employee satisfaction.
2.0 Briefing session:

2.1 Before going for Audit, the CC-HRD group should brief the audit team members
about the purpose of conducting the audit, process of audit to be followed,
activities to be captured, marking system, format of audit report, schedule for
conducting the audit and report submission etc.
2.2 Audit team should also brief the concerned HOHR and his team on the above
points before conducting the audit at his location.
Page: 11 of 16
3.0 Records and Documents:

3.1 The auditors may ask any questions and check all types of records to convince
themselves about the policy and system implementation.
3.2 All relevant record and documents must be seen on sample basis to understand
and see the consistency in implementation of HR systems and processes.
3.3 The documents and records such as benefits and advances administration, ESS
Administration, complaints/grievance management, participative management
processes, minutes of meetings, Action Plan and ATR of various decisions
implementation, employee involvement programmes, training and development,
PMS records, sample check of KPAs and their linkage & integrity, normalization
etc. are of utmost importance, which must be checked.
3.4 The exceptions/lapses wherever found should be noted with detailed description
of the issue, which may also be discussed with the concerned HOHR to
check/ascertain from him the circumstances of the exception and the plans being
taken by him for correction.
4.0 Checklist:
4.1 Checklist should be used/referred by the auditors during the audit process. They
should ensure that all questions pertaining to an area are covered in the HR
audit.
5.0 Interaction with HOHR, HR executives, Unions/Associations, SMC/RMC

members/HODs and Business Unit Head:
5.1 The interaction is primarily intended to capture qualitative feedback, suggestions
implementation of various HR systems and processes; understand the unit’s
uniqueness and the barriers in implementing systems and processes. In this
process, they should also clarify and probe in-depth about the HR service
delivery and effectiveness. However, individual grievances/issues may not be
discussed.
6.0 Report:
Page: 12 of 16
6.1 The Regional Nodal Officer will facilitate the process of Report generation in the
given annexure. The overall responsibility for report preparation will be with Unit
HR Nodal Officer at Regional Headquarter, who is also the focal person for
coordinating with all members of the audit team and concerned HOHR of the unit
for conducting, completion and submission of report.
Page: 13 of 16
Annexure III
HRD Audit Report
Station: Region:
Date of Visit: - Date of Report Submission:
Team Members:
1.
2.
3.
4.
5.
Signature of Regional Nodal Officer
Head Corporate HRD
Copy to
1. Regional ED/ ED (HR)

2. BUHs
3. HOHR / RHOHR – Respective units & Region
4. Audit Team Members
Enclosed:-
Report of activities as per checklist given as Annexure - I

Page: 14 of 16
HRD Audit Report

Station:
Region:
1. General Impressions in the following areas: (in detail)
SN Area
1 Recruitment
2 Employee Benefit
3 Employee Services / Administration (including furniture maintenance, entitled
items, Office & Township Maintenance/Admn. etc.)
4 Employee Welfare (functioning of various welfare bodies, sports, school,
transportation, coaching facilities to children etc.)
5 Manpower deployment
6 HRD Initiatives & Training (including Subordinate Development, EDC -
Infrastructure, ET hostel maintenance, classroom, faculty etc.)
7 Employee Relations (including Participative Management, Grievance
Management, Court cases, Contract Labour etc.)
8 Medical (Hospital maintenance, equipments, medicines, doctors)
9 Rajbhasha
10 CSR, R&R, Land acquisition, unauthorized occupation, encroachment, mutation of
land etc.
11 Benchmarking, Best Practices
o Organization Chart of HR Department (Enclose a copy)
SN Name Designation Qualification Area No. Last Job Entry DOJ Areas
looking of Rotation mode HR earlier
after years deptt. looked
in the after
same
area
2. Issues raised during the interactions with unions / associations:

Page: 15 of 16
3. Issues raised during the interactions with BUHs / HODs:
4. Critical issues brought out in the audit/discussion:

a.
b.
c.
d.
5. Final observations of the audit team with suggestions (on implementation of

HR systems / policies):
6. Final observations of the audit team with suggestions (on credibility of HR

department, structure of HR department and HR employees):
7. Any Best Practice implemented at the location (in detail or attach the related
documents as Annexure)
8. Overall Rating (based on the above information) on a scale of 10:
(0-2 marks: critical issues more than 10, 3-4: critical issues 8-10, 5-6: critical
issues 5-7, 7-8: critical issues 2-4, 9-10: critical issues less than 2)
9. % Achievement in HR Audit Checklist:
(Note: Kindly use separate sheet wherever required)

Page: 16 of 16
RECORD OF REVISIONS

No. Date
Revisions

Participative Forums in NTPC Updated as on: 31.01.2012
Page: 1 of 9
Participative Forums in NTPC
1.0 PREAMBLE
In order to bring about a sense of involvement and effective participation amongst the
employees at various levels, towards a coordinated and determined effort for better all-
round performance and improved efficiency, it is imperative to provide institutionalized
forums for joint participation/consultation of the employees in the timely completion of
projects and their smooth functioning. It is desirable to have such forums not only in the
areas of construction/production, productivity/efficiency, target-setting, reduction of cost,
elimination of waste, safety, house-keeping, and physical working conditions, etc. but
also in the areas of day-to-day concern of the employees away from their workplace,
such as in the areas of recreation and cultural activities, horticulture, environment, etc.
2.0 PARTICIPATIVE FORUMS

2.1 With the above broad objective of giving a sense of oneness with the
organization and the feeling of involvement, to make employees feel about the
various measures in hand for improving their working and living conditions, to
make use of the valuable suggestions put forth by the employees for the benefit
of the organization and the personnel working in it, it is desirable to have various
institutionalized forums.
2.2 During the construction stage when even the first unit has not been
commissioned, keeping in view the employee strength and other relevant factors,
the following committees may be constituted to start with:
2.2.1 Safety Committee
2.2.2 Township Advisory Committee
2.3 During the phase when both generation and construction activities are going on
simultaneously as well as after completion of construction activities, the
participative forums would be as follows:
2.3.1 Safety Committee
2.3.2 Township Advisory Committee
2.3.3 Joint Plant/Project Level Council
2.3.4 Shop/Departmental Level Council
Page: 2 of 9
2.3.5 Canteen Management Committee

2.3.6 Employees’ Welfare Committee
2.3.7 Sports Council
2.3.8 House Allotment Committee
3.0 SAFETY COMMITTEE
3.1 Objective
The objective of the Safety Committee would be to create safety consciousness
among employees and suggest ways and measures to the management for
creating safe working conditions and a safe working culture.
3.2 Constitution
The constitution of the Safety Committee would be as follows:
3.2.1 Dy. General Manager – Chairman
3.2.2 Manager/Dy. Manager from Erection/Operation
3.2.3 Safety Officer – Secretary
3.2.4 Officer(HR-Welfare)
3.2.5 One Executive from Civil Construction Department
3.2.6 Senior-most employee in the Supervisory category from Mechanical
Erection.
3.2.7 Senior-most employee in the Supervisory category from Electrical
Erection.
3.2.8 Senior-most employee in the Workman category from Mechanical
Erection.
3.2.9 Senior-most employee in the Workman category from Electrical Erection.
3.3 Meetings
The Committee will meet once in three months or at such frequent intervals as
felt necessary. The Safety Officer, who would work as the Member Secretary, will
do necessary follow-up for the implementation of conclusions reached at in these
meetings.
4.0 TOWNSHIP ADVISORY COMMITTEE
4.1 Objective
Page: 3 of 9
The objective of the Township Advisory Committee would be to advise the

management in the administration of matters relating to municipal affairs and
township maintenance and to make suggestions for the provision of township
facilities, horticulture and environment, etc.
4.2 Constitution
The constitution of the Township Advisory Committee would be as follows:
4.2.1 Dy. General Manager/Chief Construction Manager – Chairman
4.2.2 Manager(HR) – Secretary
4.2.3 One Officer from Finance Department.
4.2.4 One Officer from any other department.
4.2.5 Senior-most employees in the categories of unskilled and semi-skilled
workers taken together.
4.2.6 Senior-most employee in the category of skilled workers.
4.2.7 Senior-most employee in the supervisory category.
4.3 Meetings
The Committee will meet once in a month or at such frequent intervals as felt
necessary. The Manager(HR), Secretary of the Committee, would do necessary
follow-up on the conclusions arrived at in these meetings.
5.0 JOINT PLANT/PROJECT LEVEL COUNCIL (PLC)

The PLC is the apex level participative forum at the Project/Station level and is chaired by
BUH.
5.1 Objective
It is constituted to discuss and resolve plant level issues – information sharing on
generation & production targets, productivity, elimination of wasteful practices,
inventory reduction, general health, welfare & safety, and issues referred by shop
councils.
5.2 Constitution
The constitution of the PLC would be as follows:
5.2.1 Head of Project/Station – Chairman
5.2.2 Head of HR Department – Secretary
5.2.3 The number of representatives of employees and the Management
Page: 4 of 9
would be equal and would vary between 8 and 12 depending on the employee
strength.
The Management representatives would be recommended by the Heads
of Department and approved by the Head of Project. They would consist
of representatives from the Supervisory category whose number would
be 1 or 2 depending on whether the total number of Management
representatives is 4 or 6.
Workers representatives would be from representative Union.
5.2.4 The members once nominated would hold position for one year. Any
vacancies arising during the term would be filled in the same manner as
mentioned earlier, but only for the remaining period of the term.
5.3 Terms of Reference
5.3.1 Optimum/general efficiency and fixing of productivity norms and

generation/construction targets;
5.3.2 Matters concerning the unit or the plant as a whole, in respect of work
planning and achieving production targets/construction targets, especially tasks
assigned to a shop council but relevant to the unit as a whole, will be taken up by
the PLC.
5.3.3 Functions of a shop council which have a bearing on another shop or
the unit as a whole;
5.3.4 Matters emanating from shop councils which remain unresolved;
5.3.5 The development of skills of workmen and adequate facilities for
training;
5.3.6 The preparation of schedules of working hours and of holidays;
5.3.7 Optimum use of raw materials; and
5.3.8 General health, welfare and safety measures for the unit or the Plant.
5.4 Meetings
The Council will meet once in a quarter or at such frequent intervals as felt
necessary. The Secretary of the Council will prepare the minutes of the
discussions and will follow-up the implementation of the conclusions.
6.0 SHOP (DEPARTMENTAL) LEVEL COUNCIL (SLC)

The SLC is the participative forum at the departmental level and is chaired by Head of
Page: 5 of 9
Department. The number of SLCs is to be decided depending on the strength of the

employees. The factors to be kept in view are:
a) Homogeneity of the group;
b) Size of the group; and
c) Major areas to constitute separate identifiable groups, smaller areas can be pooled
together to constitute a Departmental Council.
6.1 Objective
It is constituted to discuss department level issues – Improvement of production,
productivity & efficiency, elimination of wastage, improvement in working
conditions, safety, etc.
6.2 Constitution
The constitution of the SLC would be as follows:
6.2.1 Head of Department – Chairman
6.2.2 An Executive from the HR Department – Secretary
6.2.3 The number of representatives of employees and the Management
would be equal and would vary between 8 and 12 depending on the
employee strength.
The Management representatives would be recommended by the Heads
of Department and approved by the Head of Project. They would consist
of representatives from the Supervisory category whose number would
be 1 or 2 depending on whether the total number of Management
representatives is 4 or 6.
Workers representatives would be nominated by representative Union.
The members once nominated or elected would hold position for one
year. Any vacancies arising during the term would be filled in the same
manner as mentioned earlier, but only for the remaining period of the
term.
6.3 Terms of Reference
6.3.1 Assist Management in achieving monthly/yearly generation/construction

targets;
Page: 6 of 9
6.3.2 Improvement of production, productivity and efficiency including

elimination of wastage and optimum utilization of machine capacity and
manpower;
6.3.3 Specifically identify areas of low productivity and take necessary
corrective steps at shop level to eliminate relevant contributing factors;
6.3.4 To study absenteeism in the shops/department and recommend steps to
reduce them;
6.3.5 Safety measures;
6.3.6 Assist in maintaining general discipline in the shop/department;
6.3.7 Physical working conditions, such as lighting, ventilation, noise, dust
etc., and reduction of fatigue;
6.3.8 Welfare and health measure to be adopted for efficient running of the
shop/department; and
6.3.9 Ensure proper flow of adequate two-way communication between the
management and the workers, particularly on matters relating to production
figures, production schedules and progress in achieving targets.
6.4 Meetings
The Council will meet once in a month or at such frequent intervals as felt
necessary. The Secretary of the Council will prepare the minutes of the
discussions and will follow-up the implementation of the conclusions.
7.0 NTPC JOINT PERFORMANCE COMMITTEE
7.1 Composition:
7.1.1 The management representatives will consist of Director (HR), General Manager (HR)
and all Regional Executive Directors.
7.1.2 The Union representatives will consist of one representative from each of such
Registered Trade Unions of the Projects and Plants as are represented in National
Bipartite Committee and one representative from each of the Central Trade Union
organizations to which one or more of the participating Unions are affiliated.
7.2 Terms of Reference:

7.2.1 Performance:
- Fixation of the targets
-Review of Performance-construction, generation and transmission
Page: 7 of 9
-Ensure timely availability and proper utilization of equipment/facilities

-Suggest ways and means to reduce wastages
-Improve utilization of all human and material resources for optimization of construction,
generation and transmission performance
-Promote cost effective performance
- Inventory control
- Suggest ways and means for improvement of organizational performance/productivity.
7.2.2 Joint Forums:
- Review the working of existing forums
- Suggest measures to strengthen working of the forums
-Ensure functional integration with organizational objectives.
7.2.3 Work Ethics:
-Develop positive attitudes towards dignity of labour, punctuality and commitment to
organization
-Dissuade adoption of wasteful, unproductive and unfair practices
-Improvement of work discipline at all levels
-Skill enhancement
- pursue and promote industrial peace and harmony
7.2.4 Quality of work life:
- Ensure proper utilization of welfare facilities
- Promote safety, health and clean environment
- Encourage active participation in social life
7.3 Frequency of Meetings:

At least once in a quarter.
8.0 OTHER PARTICIPATIVE FORUMS

A number of other participative forums have been set up to deal with specific areas, as
mentioned below, and comprise of equal number of employee and management
representatives.
7.1 Canteen Management Committee

Day-to-day issues of Plant Canteen Management.
7.2 Employees’ Welfare Committee

Organizing welfare, recreational and cultural activities.
Page: 8 of 9
7.3 Sports Council

Promoting sports consciousness.
7.4 House Allotment Committee

Allotment of house to entitled employees.
9.0 REFERENCES:
9.1 Approval of Policy paper on Participative Forums by the Management Committee in their
meetings held on 30.04.1985 & 01.05.1980.
9.2 CPC No. 55/80 dated 19.06.1980.
9.3 Decision taken in the 9th meeting of the Heads of Personnel held on 2nd & 3rd October
1981 and circulation of “Policy Documents on Welfare Facilities for NTPC employees”.
9.4 Decision taken in the meeting of GMs and PMs in April-1982, and the “Scheme of
Workers’ Participation in Management” as set out in the annexure to the minutes of the
said meeting.
9.5 Scheme of Employees’ Participation in Management circulated vide Corporate Personnel
Division endorsement No. 01: Pers:29(3) dated 21.08.1984.
Page: 9 of 9
RECORD OF REVISIONS

No. Date
Revisions
Neeraj Roy P H Saxena Sanjay Singh

M(HR) SM(HR) DGM(HR)
Grievance Procedure (for executives) Updated as on: 31.01.2012
Page: 1 of 7

GRIEVANCE PROCEDURE (FOR EXECUTIVES)
1.0 INTRODUCTION:
Employees grievances and complaints which are primarily manifestation of their

dissatisfaction against their working conditions, managerial decisions etc. if not promptly
attended to, are bound to explode. NTPC management believes in the philosophy of an
open door policy in the matter of redressal of grievances, and an aggrieved employee is
welcome to meet his departmental head or the concerned HR Officer (including the Head
of HR Department) and discuss his grievances. Nevertheless, in view of the ever
growing size of the industrial organizations and the accompanying complexities and
problems the need of a formal grievance machinery cannot be under estimated.
Accordingly, a time-bound grievance procedure for all non-executive employees was
introduced by the Company in June, 1980. The need of a formal grievance procedure for
executives has been felt since some time in the past by the Company and the same was
under consideration. Keeping in view this need and also the guidelines received from the
Govt. of India, NTPC has laid down a formal time-bound grievance procedure for
redressal of the grievances of executives.
2.0 OBJECTIVES:
The objectives of the grievance procedure will be:
2.1 to settle grievances of the employees in shortest possible time;
2.2 at lowest possible level of authority; and
2.3 to provide for various stages so that the aggrieved employees derive satisfaction of
seeking redressal, if required, even from the highest level of authority.
3.0 SCOPE AND COVERAGE:
The procedure will cover all executives of the Company upto the level of DGMs.
Executives in higher levels may take up their grievances, if any, with their reporting officer.
Grievance for the purpose of this procedure would only mean individual grievance and the
matters under the scope of this procedure, which can be invoked by an aggrieved executive
shall be those relating to the following:'
-Salary payment
NB: The above procedure was approved by the Management Committee in their meeting
held on 19.6.1986 and came into force w.e.f. 1.8.1986.

Page: 2 of 7

- Recoveries of dues etc.

- Increment
- Working conditions
- Leave
- Allotment of quarters
- Medical facilities
- Non-extension of benefits under rules
- Transfer
- Promotion
- Like issues
The grievance arising out of the following shall not come under the purview of
the grievance procedure:
- Terms of appointment settled prior to joining
- Annual performance appraisal
- Matters relating to disciplinary enquiry, action and vigilance cases
- Where the grievance does not relate to an individual executive
4.0 PROCEDURE:
The individual grievance of the executive shall be dealt with as per the procedure laid
down below:
4.1 Stage-I
4.1.1 The aggrieved executive shall take up his grievance orally with his immediate
superior (not below the rank of Deputy Manager) who will give a personal
hearing and try to resolve the grievance at his level within seven days.
For this purpose every project GM and Head of Region/Office shall nominate
and notify a list of Executives in different departments who will hear oral
grievances. Wherever necessary, the nominated officer will consult his Head of
the Deptt. and/or such other Department(s) before communicating back with
the aggrieved executive.
4.1.2 In case the executive is not satisfied he can submit his grievance in writing in Form-I within
15 days from the date on which the act of grievance arose or came to his notice to the
Head of Deptt. concerned.
4.1.3 The Head of Department concerned will record his comments on the grievance form

Page: 3 of 7

within 7 days after making necessary enquiries/obtaining necessary guidelines from other
departments, if any, as required.
4.2 Stage-II
4.2.1 In case the executive is not satisfied with the decision communicated to him at Stage-I or
if he fails to receive the reply within stipulated period, he may submit his grievance in the
prescribed form (Form-II) within a period of 15 days to a Staff Council in the
project/regional offices/Corporate Centre. The staff council will be constituted by BUH
concerned for project and ED for regional headquarters and Director(HR) for Corporate
Centre by the designation of the Member. The Council will consist of the following:
a. At Projects/Region:
- BUH/RED
- Concerned HOD of the aggrieved executive
- Head of Finance in the Project/Office
- Head of HR in the Project/Office (Member Secy.)
b. At Corporate Centre:
- Executive Director(any one from the Corporate Headquarter)
- Head of Department concerned
- Representative of Finance Department
- GM (HR)/DGM(HR) - Member Secy.
The Council thus constituted as staff council shall continue to function so long as no
further changes are required in its constitution.3
The Council will examine the details of the grievance and may also discuss with the
aggrieved employee, if felt necessary. The Staff Council shall give its reply to the aggrieved
executive within 30 days from the date of receipt of the grievance. However, wherever felt
necessary by the Staff Council, it may make a recommendation for a final decision of
Director(HR), who will convey his decision within 30 days from the receipt of grievance
from the Grievance Committee. The decision of the D(HR) shall be final subject to the
provisions: contained in paragraph below:
The executives of the levels of Head of the Department & DGM's may take up their
grievances verbally with their immediate superior officials (it could be a DGM or GM) to get
their grievances resolved within the stipulated 7 days, failing which they can communicate
the same in writing to the said superior official in Form-I. The superior official shall reply to
the individual within 7 days after ascertaining the requisite information from all the
departments concerned. 3
Wherever the executives of the level of HOD/DGM's do not receive reply within the
stipulated period or are not satisfied with the reply so received, they may choose to
submit their grievances in Form-II to the Staff Council. In such an eventuality, the

Page: 4 of 7

GM/Head of the Project/Office will have a dual role to perform in addition to being the
Head of the Department of the aggrieved executive.3
4.3 Stage-Ill
4.3.1 In exceptional cases, the aggrieved executive who is not satisfied with the decision will
have an option to appeal to CMD. The CMD will take a decision and communicate the
same within 30 days from the receipt of the appeal and his decision will be final and binding.
5.0 GENERAL CONDITIONS:
5.1 The executive shall bring up his grievance immediately and in any case within a period of
three months of its occurrence.
5.2 If the grievance arises out of an order given by the Management, the said order shall be
complied with before the executive concerned invokes the procedure laid down for
redressal of his grievance.
AUTHORITY:

2. Corporate Personnel Circular No. 191/86 Dt 30.7.1986
3. Corporate Personnel Circular No.197/87 Dt.20.1.1987

Page: 5 of 7

FORM-I
NTPC LIMITED
(Executive Grievance Procedure)
STAGE-I GRIEVANCE
Name:
Employee No:
Deptt. Code No:
Designation:
Grievance &
Reason;
in brief
Pay Scale:
Department:
Section:
Dated: Signature of employee
(For the use of the Head of the Department)
Grievance No. : Received on:
Whether interviewed the employee: Yes/No
Sources & Results of enquiry:
Replied on :
Dated: Signature of Head of the Department

Page: 6 of 7

FORM-II
NTPC LIMITED
(Executive Grievance Procedure)
STAGE-II GRIEVANCE
Name:
Employee:
Deptt. Code No:
Designation:
Grievance &
Reason;
in brief
Pay Scale:
Department:
Section:
(For the use of the Staff Council)
Sources & Results :

of enquiry
Replied on :
Dated: Signature of the Secretary Staff Council

Page: 7 of 7

RECORD OF REVISIONS

No. Date
Revisions


Grievance Procedure (for non‐executives) Updated as on: 31.01.2012
Page: 1 of 8

GRIEVANCE PROCEDURE (FOR NON-EXECUTIVES)
1.0 INTRODUCTION:
Employees grievances and complaints which are primarily manifestation of their

dissatisfaction against their working conditions, managerial decisions etc. if not promptly
attended to, are bound to explode. NTPC management believes in the philosophy of an
open door policy in the matter of redressal of grievances, be it collective or individual and
an aggrieved employee is welcome to meet his departmental head or the concerned HR
Officer (including the Head of HR Department) and discuss his grievances. Nevertheless,
in view of the ever growing size of the industrial organisations and the accompanying
complexities and problems the need of a formal grievance machinery cannot be under-
estimated. Accordingly the following time-bound grievance procedure is laid down for non-
executives.
2.0 OBJECTIVE:
The objectives of the grievance procedure will be: -
2.1 to settle grievances of the employees in shortest possible time;
2.2 at lowest possible level of authority; and
2.3 to provide for various stages so that the aggrieved employees derive satisfaction of
seeking redressal, if required, even from the highest level of authority.
3.0 SCOPE:
The matters coming under the scope of this grievance procedure which can be invoked by
aggrieved employee are those relating to: -
- Wage Payment
- Increment
- Recovery of dues
- Working conditions
- Leave
NB: The above Procedure was approved by the Management Committee in their meeting held

Page: 2 of 8

on 30.4.1980 and 1.5.1980.
- Allotment of quarters
- Medical facilities
- Seniority
- Transfer
- Promotion
- Like issues
The matters relating to collective dispute/bargaining such as wages and allowances,

bonus, hours of work and other benefits and also cases relating to disciplinary matters will
be outside the purview of this grievance procedure.
4.0 PROCEDURE:
There will be a three tier grievance procedure with further provision of appeal, as detailed
below:
4.1 Stage I
4.1.1 An aggrieved employee may in the first instance meet his immediate superior officer and
present the grievance orally to him.
4.1.2 In case he is not satisfied, he can present his grievance in the prescribed form (Form-I) to
the concerned HR Officer within 15 days from the date on which the act of grievance or
complaint arose or came to his notice.
4.1.3 The concerned HR Officer after making necessary enquiries will give reply to the
aggrieved employee within a time of 10 days.
4.2 Stage-II
4.2.1 In the case the employee is not satisfied with the decision communicated to him at
Stage-I or fails to receive a reply within stipulated period, he/she may submit his
grievance in the prescribed form (Form-II) within a period of 15 days to the Head of
Department for the latter's consideration.

Page: 3 of 8

4.2.2 The aggrieved employee who has filed a Stage-II grievance may be allowed to present
his/her case in person, if he/she so desires at this stage.
4.2.3 The aggrieved employee will be replied to within three weeks of the receipt of his
grievance at Stage-II.
4.3 Stage-III
4.3.1 At this stage, the grievance will be looked into by a Grievance Committee, to be constituted
by the respective BUH for the projects/stations/units, ED for the Regional Headquarter and
by General Manager (HR) for Corporate Centre, consisting of the following:
An executive not below the rank of Senior Manager or Manager, in Chairman

case the former is not readily available
An executive of Finance Department not below the rank of Member
Accounts Officer
An executive of HR Department not below the rank of Senior HR Secretary
Officer
4.3.2 If the employee is not satisfied or fails to receive a reply within stipulated period at Stage-
II, he may present his grievance for consideration at Stage-Ill in the prescribed form
(Form-Ill) within a period of one month. The employee concerned may be heard in person,
by the Grievance Committee, if it so likes. He may be allowed to be assisted by a coworker
before the Committee, if he so desires.
4.3.3 The Committee will meet at regular fixed intervals to deliberate upon all such grievances
as are addressed to it. During the course of examination the Committee will be assisted, if
required, by concerned employee to present facts/records pertaining to the grievance. In
the event of difference of opinion among the members of the Grievance Committee, the
views of the members along with relevant papers will be placed before General Manager
by the Secretary, Grievance Committee for a final decision.
4.3.4 The decision of the Grievance Committee will be communicated to the aggrieved
employee within 30 days from the date of receipt of the grievance at Stage-III
4.3.5 The Grievance Committee recommendations should be implemented by the

Management.
In case of major issues like non-allotment of quarters, grievances arising out of non-
promotion etc. a higher time limit of one month from the date of occurrence of the cause
of grievance will be allowed and the aggrieved employee will also be allowed to take up

Page: 4 of 8

the matter at Stage-III directly.
4.4 Appeal
4.4.1 In case the employee still remains dissatisfied even after Stage-Ill, he may appeal to
the General Manager of the Division within a period of 10 days from the date of receipt
of the decision from the Grievance Committee. After examination and consideration,
the decision of the General Manager will be communicated to the aggrieved employee
within a month of the receipt of his appeal.
5.0 GENERAL:
It would be the endeavor of the Management to ensure speedy implementation of the

decision of the Grievance Committee and the General Manager of the Division, as the
case may be.

Page: 5 of 8

FORM-I
NTPC LIMITED
STAGE-I GRIEVANCE
(To be submitted to HR Officer in duplicate)
Name : Pay Scale :

Employee No. : Department :
Deptt. Code No. :
Designation : Section :
Grievance & Reason;

in brief
(For use of HR Officer)
Sources & Results of enquiry:
Replied on :
Dated: Signature of HR Officer

Page: 6 of 8

FORM-II
N T P C LIMITED
STAGE-II GRIEVANCE
(To be submitted to the Head of Department in duplicate)
Name : Pay Scale :
Deptt. Code No. : Section :
Designation :
Ref. No. of Reply to Grievance

Stage-I
Reasons for appeal :
(For use of Head of Department)
Sources & Results of

enquiry:
Dated: Signature of Head of Department

Page: 7 of 8

FORM - III
NTPC LIMITED
STAGE-III GRIEVANCE
(To be submitted to Secretary, Grievance Committee in duplicate)
Name : Pay Scale :

Deptt. Code No. : Section :
Designation :
Ref. No. of Reply to Grievance

Stage-II:
Reasons of appeal :
Dated : Signature of employee
(For use of Secretary, Grievance Committee)
Result of Stage-I :
Grievance
Result of Stage-II :
Grievance
Grievance put up in Grievance

Committee on:
Decision of Grievance
Committee:
Replied on:
Dated: Signature of Secretary Grievance Committee

Page: 8 of 8

RECORD OF REVISIONS

No. Date
Revisions


Workers Education Scheme Updated as on: 31.01.2012
Page: 1 of 5
WORKERS EDUCATION SCHEME
1.0 PREAMBLE:
NTPC believes in the community of interest between Workers & Management

and has introduced the Workers Education Scheme with a view to promote
stronger, effective and responsible trade unionism; run and administered on
democratic lines with willingness to actively participate in furtherance of the
organizational goals, in particular, and the socio-economic development of the
country, in general.
The Workers Education Scheme is designed to supplement the efforts made in

promoting the Workers Education Scheme conducted under the auspices of
Central Board for Workers Education, a tripartite registered society sponsored by
the Ministry of Labour, Government of India.
The avowed objectives of the Workers Education Scheme are:
To equip all sections of workers for their intelligent participation in social and
economic development of the nation;
To develop among workers a greater understanding of the problems of their

social and economic environment, their responsibilities towards family members;
and their rights and obligations as citizen; as workers in industry, as members
and officials of their trade unions;
To develop leadership from among the rank and file of workers themselves;
To develop strong, united and more responsible trade unions through more
enlightened members and better trained officials;
To strengthen democratic process and traditions in the trade union movement;

and
To enable Trade Unions themselves to take over ultimately functions of Workers

Education. 2
2.0 SCOPE & COVERAGE:
The Scheme shall cover in its scope all the employees of NTPC in workman
category. The Scheme does not call for any formal educational qualification and
hence no discrimination needs to be made between those formally qualified and
others not so qualified.
Page: 2 of 5
3.0 DETAILS OF THE SCHEME:
The Workers Education Programme in India is conducted by the Central Board

for Workers Education, a tripartite body registered under the Societies
Registration Act and sponsored by Ministry of Labour, Government of India. The
Board has its headquarters at Nagpur and functions through a network of over 40
Regional Centres spread throughout the country. The scheme is implemented by
the Board at three levels namely National, Regional and Unit levels as detailed
below :
3.1 National Level:
The Board conducts National Level Programmes for Regional Directors and
Education Officers of the Board and for Trade Union Activists sponsored by
Central Trade Union organisations and federations at the Indian Institute of
Workers Education, Bombay, generally for four months duration.
3.2 Regional Level:
Selected workers are trained at the Regional and sub-Regional Centres as

Worker-Teachers in full time continuous training courses of three months duration
in batches of about 25 each. This is followed by a Study tour of about 14 days.
3.3 Unit Level:
The Worker-Teachers on completion of training at the Regional Centres revert to

their respective places of employment and conduct programmes for the rank and
file workers in their enterprises. The syllabus will be as prescribed by Central
Board for Workers Education from time to time. The duration of the training
course at the unit level is usually of three months, one hour a day for 5 days in a
week. Where facilities are available, full time unit level classes of three weeks
duration are also conducted. However, looking into all relevant aspects, the unit
level classes on full time basis is not recommended in NTPC. The course shall
be followed by an industrial study tour for 7 days or so.
4.0 FACILITIES:
In order to ensure successful and effective implementation of the Scheme, it

would be necessary to provide certain facilities as detailed hereinafter at the
behest of the HR Department concerned and with the approval of the respective
heads of projects/Units.
4.1 Accommodation:
Suitable accommodation for the conduct of Unit level classes for a batch of 20-25
Page: 3 of 5
workers with adequate furniture, drinking water, lighting, black board and other
related facilities shall be provided.
4.2 Book and Stationery:
The participants at unit level shall be provided, free of cost, with necessary
books and stationery. The study materials, booklets etc. which are available at
nominal cost from the regional centres shall be procured for this purpose.
4.3 Time off and absence to be treated as "on duty":
As an inducement and also to facilitate their attendance, the persons attending unit
level classes may be allowed 30 minutes time-off per day from the working hours.
The trainees sponsored for the Worker-Teachers programme at regional/sub regional

centres shall be released with full wages and shall be treated as "on duty".
4.4 Travelling Allowance:
The participants of unit and regional level programmes who are required to
undergo industrial study tour for 7 days/14 days, as the case may be as part of
the programme shall be allowed TA/DA as applicable to them under the
Company's TA Rules for the duration of their study tours.
4.5 Honorarium:
For the conduct of unit level classes the Worker-Teachers are paid honorarium
by the Central Board for Workers Education at prescribed rate (present rate
being Rs. 40/- per month) and a matching amount shall be paid by NTPC to the
Worker-Teachers.
5.0 CERTIFICATES & AWARDS:
On Successful completion of each course at unit level, the participants shall be

awarded certificates to that effect; and the participants who are adjudged as first,
second and third best trainees may be given cash Award of Rs. 201/--Rs. 101/-
and 51/- respectively in each batch.
6.0 NOMINATION & SPONSORSHIP:
While selecting and nominating or sponsoring the candidates for the programmes,
the same should be done in consultation with the Trade Union(s) registered and
operating at the Project/Units with due representation of the different Trade
Unions/Groups so as to evolve the best working arrangements. This working
arrangement is relevant for programmes at unit and regional levels only, but for
Page: 4 of 5
National Level Programmes the Central Trade Union Organisations are to

sponsor the candidatures. The regional/ sub-regional centres conduct worker
Teacher Programmes quarterly for batches of 25 and each project/unit may
sponsor a maximum of 2 candidates in a year. Where payment of full TA/DA is not
involved the number may be suitably increased, not exceeding 8 in all per year
per project/unit. For unit level; programmes, a batch of 20-25 workers may be
selected in consultation with the Trade Unions as mentioned earlier.
7.0 RESPONSIBILITY:
The responsibility for implementation of the scheme shall rest with the HR
Department of the respective projects/units and they are to coordinate the
activities in close cooperation with the nearest regional/sub-regional centres and
the various registered trade unions operating. They are also to supervise the
functioning of the unit level classes run under the auspices of NTPC. While
selecting and nominating/sponsoring the candidates for the programmes, apart
from consultation with the trade unions, the necessary administrative sanction for
release of the workers concerned wherever necessary from the concerned Head of
the Department should be ensured having due regard to the fact that no
disruption of work takes place on account of: such selection and
nomination/sponsorship.
8.0 GENERAL:
Within the broad parameters set out above, the Heads of the respective;
projects/units are empowered to sanction the necessary expenditure for the
implementation of the scheme through the respective HR Department.
8.1 In the first phase the programme may be initiated by sponsoring candidates for
Worker-Teachers Programme in such Projects/Units where there are no Worker-
Teachers and thereafter the unit level programmes may be conducted. In such
projects/ units where there are already trained Workers-Teachers, unit level
programme may be started straightaway.
AUTHORITY:
1. Corp. Pers. IOM Dt. 27.3.1985

Page: 5 of 5
RECORD OF REVISIONS

No. Date
Revisions

Adult Education Scheme Updated as on: 31.01.2012
Page: 1 of 4
ADULT EDUCATION SCHEME
1.0 OBJECTIVE:
The Scheme is introduced with a view to meet NTPC's social obligations towards
propagation of adult education consistent with the aims and objects of National
Adult Education Programme. The Scheme aims at providing functional adult literacy
with a view to endow the illiterate with skills for self directed learning leading to
reliance and active involvement in their own development and in the
development of their environment. Specifically it aims to impart functional literacy
supportive of self development programme to improve the level of awareness and
communication skills including literacy and functional up gradation.
2.0 ELIGIBILITY : 3
The Scheme is meant for the illiterate civilians at large living in and around
NTPC's project areas and is specifically directed towards the adult workers in the
employment of NTPC (including their dependants) and its contractors/sub-con-
tractors. The preferred age group of the persons is 15-35 years. 3
3.0 RESPONSIBILITY AND OPERATIONAL DETAILS OF THE SCHEME
3.1 Primary responsibility for implementation of the scheme rests on the HR Departments
of the respective Projects/Units and they are to co-ordinate the activities and
supervise the functioning of the Adult Education Centres run under the auspices
of NTPC with active involvement of respective State Government Authorities -
Regional Adult Education Centres and voluntary agencies working at or around
the project/unit areas. They have to enlist the cooperation of local academic
institutions like schools, .colleges and universities and other voluntary agencies like
Nehru Yuvak Kendras and National Service Scheme apart from the social workers.
The services of Ex-servicemen and teaching community may also be utilised as
instructional agents.
3.2 The concerned HR Departments in consultation with the Regional Centres may decide
upon the number of centres to be run for imparting functional adult education. While
deciding the number and location of the Adult Education Centres, proximity to the
beneficiaries, transport convenience and other requisite facilities needed for
effective working of the Centres should be kept in view.
3.3 The number of persons enrolled at a time at each centre may be restricted to about
30. The total duration of the course for a given batch may be limited to about nine
months with classes conducted for 1 1/2 hours per day for 5 days in the week.
3.4 Although the primary responsibility and ultimate control for the implementation of
the scheme rests with the HR Dept. concerned, it would be necessary to vest the
Page: 2 of 4
instructional responsibility with following agencies under the control and

supervision of the concerned HR Departments, for smooth and effective
implementation of the Scheme:
i) School teachers;
ii) Students through Nation Service Scheme and other agencies;
iii) Village youths with some education through Nehru Yuvak Kendras;
iv) Ex-servicemen and other retired personnel;
v) Field level Government and other functionaries like Gram Sewaks/

Sewikas, Village level workers etc. and
vi) Voluntary social workers.
3.5 The minimum number of required instructors may be selected by a selection

committee nominated by HOHR from amongst the above list of agencies who
volunteer to take up and carry out the assignment.
The names of selected persons would be approved by HOHR.
The instructors may be paid an honorarium of Rs. 800 per month. 3
4.0 FACILITIES:
4.1 In order that the Scheme is successfully and effectively implemented, it would be
necessary to provide certain facilities as detailed hereinafter at the behest of the
HR Department concerned and with the approval of the respective Heads of
Projects/Units.
i) Accommodation:
The regional Adult Education Centres would have to be suitably

accommodated in or around the project area with the best locational
advantage. Adequate furniture, drinking water, lighting, black board and
other related facilities would have to be provided free of cost. 3
ii) Book & Stationery:

The participants of the programme would be provided, free of cost, with
books and stationery at the scales recommended by the Regional Adult
Education Centres(RAEC) The study material , booklets etc. which are
available at nominal cost from these RAEC shall be procured by
concerned HR department. 3
iii) Time Off:

Page: 3 of 4
As a motivation and also to facilitate their attendance, the employees

attending Adult Education classes and working in NTPC may be allowed
30 minutes time-off per day from the working hours. However, since the
majority of the participants are expected to be those not directly working
with NTPC, the HR Deptt. concerned may try to persuade the employers
of the participants to give similar time-off facilities. 3
5.0 CERTIFICATE AND AWARDS:
On successful completion of each course, the participants shall be awarded

certificates to that effect; and the participants who are adjudged as first,
second and third best trainees in terms of proficiency achieved may be given
cash awards of Rs. 251/-, Rs. 200/- and Rs. 150/- w.e.f. 1/4/99 respectively
in each Centre/class.
6.0 GENERAL:
Within the broad parameters set out above, the Heads of the respective
projects/units are empowered to sanction the necessary expenditure for the
implementation of the Scheme through the respective HR Department.
AUTHORITY:
1. Corporate Personnel IOM Dated 26.8.1985.
2. Corporate Personnel Circular 413/99 Dt. 1.4.1999

Page: 4 of 4
RECORD OF REVISIONS

No. Date
Revisions

Allotment of residential accommodation rules Updated as on: 31.01.2012
Page: 1 of 12
ALLOTMENT OF RESIDENTIAL ACCOMMODATION RULES
1.0 SHORT TITLE:
These rules shall be called NTPC Allotment of Residential Accommodation

Rules. These rules shall come into force with immediate effect and shall remain
in force until further orders.
2.0 DEFINITIONS:
(a) 'Allotment' means the grant of permission to occupy a residence in

accordance with the provisions of these rules as may be in force from time to
time.
(b) 'Company' means the N T P C Limited, including the Projects/Units under its
management.
(c) 'Employee' means a person appointed against a regular post and includes
probationers and deputationsts, but excludes trainees, apprentices,
temporary employees and casual employees.
(d) 'Family' means the wife or husband, as the case may be, parents,
children, step children, legally adopted children, brothers or sisters as
ordinarily may reside with and are dependent on the employee.
(e) 'Local employee' means an employee who has got his residence within a
radius of 8 kms. from the concerned project or the station of posting, which is
owned either by himself and/or by his dependent family member If any
employee and/or his family member has been given plot/ plots of land by
the Company, then he will also be deemed, as a local employee for the
purpose of these rules.
(f) 'Management' means the General Manager of the concerned Project/ Unit of
NTPC or such other person or persons authorized by him for the purpose
of the rules.
(g) 'Pay' includes basic pay, personal pay, special pay, and such other pay on
which house rent is recoverable.
NB: These rules have come into effect from 21.1.1980.
Note: Non practicing allowance is not to be considered for either determining

Page: 2 of 12
entitlement/eligibility of various types of quarters or recovery of house rent.
(h) 'Standard rent' means rent of any accommodation fixed as such under the
orders of the management from time to time separately for the
employees and other agencies/individuals.
(i) 'Penal rent'16: Penal rent for company owned residential accommodation
shall be based on 12% of the current capital cost of construction of the
building for different types of quarters. The amount @ 12% of the current
capital cost of construction shall be the annual penal rent. Monthly Penal
Rent shall be equal to 1/12 of the annual rent so calculated. The rent so
calculated shall be notified by concerned project for information of all
employees and copy of the same be sent to Corporate Personnel Division.
The current capital cost in respect of different types of residential
accommodation shall be arrived at by respective projects based on present
actual cost or the estimated cost of construction of building. Further, the
capital cost so arrived at shall be reviewed every 2 years by the respective
Projects (This shall be with effect from 23.5.01).
(j) 'Subletting’ means allowing the use of an allotted accommodation in full

or in part, by another person, with or without payment of rent by such
other person.
3.0 ELIGIBILITY:
3.1 All employees, except the local employees, will be eligible for allotment of
residential accommodation in the township provided that if an employee is under
suspension pending enquiry, he will not be eligible for allotment of
accommodation during the period of suspension.
3.2 If husband and wife are both employee of the Company and working at the
same station, only one of them will be eligible for allotment.
3.3 If one of the spouses is employed by another Government/Semi-Government

organisation/Autonomous Bodies or Public Sector Undertaking and has been allotted
residential accommodation from his/her employer in the same station he/she shall
not be eligible for allotment of accommodation by the Company.
3.4 If father or mother and unmarried son and/or daughter are both employed by the
Company and are working at the same station, then only one of them will be
eligible for allotment.
3.5 Normally, bachelors will be allotted shared accommodation.
3.6 An employee who draws "house rent allowance” for retention of his family in a
place other than the place of posting under provision of the relevant Corporate
Personnel Circular will be allotted shared bachelor accommodation only subject
Page: 3 of 12
to the terms and conditions in force from time to time.
4.0 CLASSIFICATION:
Residential accommodation will be classified into the following four types, on the
basis of the plinth area, as per DPE guidelines:
Type Approx Plinth Area (Sq Mts)

(Permanent Accommodation)
A 36
B 56
C 84
D 139
5.0 ENTITLEMENT: The entitlement to different types of accommodation will be as

follows 17,18,19:
Type of Accommodation Non-Executives Executives

Type – A All All
Type – B W8/S1 to W 11/S4 & SG All
Type – C N.A. E3 – E4
Type – D N.A. E5 & Above
For workmen in grades W1 – W7 on rolls on 25.1.2001, the entitlement for different

types of accommodation shall be as under: 24
Basic Pay (2007 Pay Structure) Entitled type of Accommodation

Upto Rs.14249/- Type - A
Rs.14250/- & above Type - B
Note: 1) If an employee, who under the earlier rules of house allotment was allotted a particular
category of residential accommodation, consequent upon implementation of new
provisions becomes entitled to a lower type of quarter, the employee concerned shall
continue to be entitled to the same type of accommodation as allotted to him before the
issue of the circular16
2) The provision in respect of allotment of company accommodation as per the revised

structure are applicable only in respect of the existing place of posting. On being transferred
to a new place of posting, the allotment of quarter in respect of such employees is to be
treated entirely afresh in accordance with the revised structure20.
3) Those executives who have been allotted C-type quarters based on seniority rule and
Page: 4 of 12
are occupying C –type quarters, will continue to be entitled to C-type quarters and this
seniority shall be counted from the date of allotment of quarter irrespective of the grade of
employee21.
6.0 RESERVATION:
6.1 Ten(10) per cent of the total number of quarters in each type available for
allotment will constitute General Manager's quota, who will have the discretion to
allot the same on out-of turn basis. Whenever the number of quarters under the
GM's quota works out to be less than one, he will have at least one quarter in
each type for allotment, provided that GM's quota will be adjusted at the end of each
calendar year, on the basis of total number of allotments made.
Provided that during the initial period of the projects especially in the matter of
allotment of quarters in temporary townships, reservation of quarters in GM's
quota in C and D types may be exceeded beyond ten per cent upto fifty per cent
where the General Manager is satisfied that such a relaxation is essential keeping
in view, the manpower position vis-a-vis availability of quarters at the appropriate time. 2
6.2 Reservation in accommodation for the Scheduled Caste and Scheduled Tribe
employees will be made as per the directives of the Government applicable from time
to time.
NOTE4: As per the Government directives, the percentage reservations for SC/ST
employees are 10% for Types A & B and 5% for Types C & D quarters; and the
allocation of these percentages to SC vis-a-vis ST employees is to be in the
proportion of SC: ST: 2:1.
7.0 PROCEDURE:
7.1 The Employee Services/ Estate Department will maintain lists of eligible employees
as per the grade/basic pay, in respect of workmen i.e. W1 – W7 as mentioned in
Rule 5.0 above, in order of seniority. The seniority of an employee for allotment of
accommodation will count from the date of his entry into the respective grade / basic
pay. In case of transfers from other Project/Corporate Centre, the seniority will
count from the date of his entry into the grade/basic pay in the Company. When entry
into any grade/basic pay is the same, in case of more than one employee; the
employee having longer length of service in NTPC will rank senior in that grade.
However, if there is still a 'tie' the employee older in age will rank senior. The
seniority lists so prepared will be published in January and July every year.
7.1.1 Procedure for maintaining seniority list i.r.o. all employees for allotment of
Quarters at Noida, Asiad village and all projects near cities viz. Kayamkulam,
Simhadri, Faridabad & Sipat (This will also be applicable to all workmen employees
Page: 5 of 12
who have joined the company on/after 26.1.2001).
7.1.1.1 The Employee Services /Estate Department will maintain lists of eligible employees as
per the respective grade of employees in the order of seniority.
7.1.1.2 The seniority of an employee for allotment of accommodation will count from the date of
his entry in the respective grade. In case of transfers from other project/corporate center,
the seniority will count from the date of his entry into the respective grade in the
company.
7.1.1.3 When the date of entry into any grade is the same in case of more than one employee,
the employee having longer period of service in NTPC will rank senior in pay grade.
7.1.1.4 However if there is still a tie, the employee older in age will rank senior in that grade.
7.1.1.5 The seniority lists so prepared will be published in January and July every year.
7.2 Subject to provisions of rules 6.1 and 6.2, the accommodation of the entitled types as
per the grade/basic pay will be allotted to employees in order of seniority.
7.3 If an employee crosses over to the next higher grade/basic pay without any allotment
being made to him, he will also be considered for allotment of accommodation of lower
type on the basis of his seniority in the lower pay slab.
7.4 Eligible employees may signify their preferences for floors, blocks, location etc. and
subject to availability of accommodation of the preferred kind, the allotment will be
made on the basis of principle of seniority-cum-choice.
7.5 Bachelors will be given shared accommodation. However, if the General Manager is
satisfied that the employee needs to be allotted full accommodation on merits, the
same can be allowed.
7.6 The General Manager of the concerned Project/Division will constitute at his
discretion a House Allotment committee consisting of not more than 5 members
in addition to the Estate Officer who will act as Secretary of the Committee. As
and when quarters are available for allotment the House Allotment Committee will
consider the cases of eligible employees and, subject to policies and rules laid
down herein, will recommend allotments for approval of the General Manager
whose decision thereon will be final. On approval of the General Manager the
Estate Officer will notify the allotment in the prescribed form as at Annexure to
the individuals. This procedure, however, will not be applicable to the quarters
within the General Manager's quota for which he will order the allotments directly
at his sole discretion.
NOTE: Union/Association representatives may be allowed to be represented as

members of the House Allotment Committee. The exact modus operandi of the
representations may be decided locally in consultation with the unions or
associations of the project concerned.
Page: 6 of 12
The members of management nominees should not be less than the combined
number of representatives of the unions or associations in the House Allotment
Committee so reconstituted; and if needed, the number of members of the
Committee may be suitably increased beyond the existing prescribed number of
5 members. This House allotment Committee shall make their recommendations
for allotment of quarters in respect of Types A & B quarters only.5
8.0 GENERAL:
8.1 If an employee fails to take possession of the quarters allotted to him within 10
days from the receipt of the letter of allotment, he shall not be eligible for another
allotment for a period of one year from the date of allotment order. Provided that
this will not be applicable to cases of employees covered under rule 3.6.
8.2 If an employee occupying a lower type accommodation is allotted a quarter of the

type for which he is entitled but refuses to take possession of the same within the
stipulated time, the allotment will be cancelled and he may be permitted to
continue in the earlier allotted accommodation subject to the condition that he
shall not be eligible for another allotment for a period of six months from the date of
cancellation of allotment.
8.3 An allotment shall be effective from the date on which it is occupied by the
employee and shall continue until:-
a) the expiry of the permissible period under rule 8.4;
b) it is cancelled by the Management or is deemed to have been

cancelled under any provisions in these rules;
c) it is surrendered by the employee; and
d) the employee ceases to occupy the quarters.
8.4 An accommodation allotted to an employee may be retained on the

happening of any of the events specified below and for the period
indicated against each provided that the accommodation is required for
bonafide use of the employee or members of his family:
S.N. Events Permissible Period for

Retention of Quarters
1. Resignation, dismissal termination of 1 month

service
2. Retirement 4 months22
3. Death of the allottee 4 months22

Page: 7 of 12
4. Transfer to a place outside station 2 months
5. Leave (other than study leave) Full period of leave
6. Study leave, if any Not exceeding six

months
7. Leave on medical grounds Full period of leave
8. Leave on proceeding on training Full period
In special circumstances, on merit, the above periods may be extended upto

maximum of one month by the General Manager. Further extension may be
allowed only with the specific approval of the CMD provided, however, where
an employee is transferred to a place outside station in the midst of
an academic session the period of two months as mentioned at (4) above
may be extended not beyond the end of academic session by the concerned
General Manager in exceptional cases if the shifting of his family is likely to
adversely affect the education of his children. Retention beyond the above
permissible period will be taken as unauthorized occupation and the resident
may be charged the penal rent besides other action for eviction.10
NOTE : If a departmental candidate selected as executive trainee is married and is

keeping his family at the place of his posting he may be allowed to retain his
family at his existing place of posting.8
8.5 Change of residence:

i) Eligible employees who have been in occupation of company quarters may
be permitted, on specific application to this effect, a change of quarters
within the same type subject to the condition that such change shall not be
allowed more than once.
ii) If an employee fails to accept a change of accommodation offered to him

within a week of the receipt of such offer of allotment, he may not be
considered again for a change of allotment of that type for a period of one
year.
iii) Employees to whom accommodation of the same category have been

allotted under these rules may apply for permission to mutually exchange
their accommodation.
8.6 The occupant shall not allow any person who in the opinion of the management
is considered objectionable and/or undesirable to stay with the allottee even as
temporary guest in the quarters and failure .to comply with this condition will
entail cancellation of allotment and eviction therefrom besides rendering him liable
to disciplinary action.
Page: 8 of 12
8.7 Any allottee keeping domestic servants on whole time basis in the quarters shall
send particulars of such servants to the Estate/ Employee Services within 7
(seven) days of their employment.
8.8 If persons other than the family members have to stay in the quarters for periods
exceeding one month the employee shall take permission of the management.
8.9 No foreign national will be allowed to stay in the quarters with the allottee without
prior permission from the management to be obtained within 24 hours of the
arrival of such foreign national.
8.10 No employee who has been allotted a residential accommodation shall in any
circumstances sublet the allotted quarters or any portion thereof or any of the
attached out-house or garages to any employee or any outsider whatsoever.
8 .1 1 Normally married employees will be given full accommodation according to their

entitlement as may be in force, except in case of shortage of accommodation when
the married employees may also be given single sharing accommodation.
8.12 The accommodation allotted under these rules are for residential purpose of the
allottee and members of their families as defined above. The accommodation premises
or part thereof shall not be used for any purpose other than residence.
8.13 No allottee of a quarter shall be allowed to keep any cow, buffalo, goat or any other
cattle in the premises of the quarters allotted to him. Any employee desiring to
keep a pet animal will be required to take permission of the Estate/Administration
Department.
8.14 The allottee shall not effect any addition or alteration to the quarters allotted to him or
put up any temporary or permanent structure of any kind within the premises of
the allotted quarters without prior permission of the management.
8.15 The allottee shall conduct himself in a manner which is not prejudicial to the
maintenance of harmonious relations with his neighbours.
8.16 No loud-speakers should be installed inside or outside the quarters without the
specific permission of the management.
8.17 In case of an allottee's/his family's failure to vacate the accommodation before the
expiry of permissible period of retention of such accommodation on the happening
of any of the events as specified in rule 8.4, the management will be entitled to take
possession of the accommodation as per the provisions of the Public Premises
(Eviction of Unauthorised Occupants) Act, 1971.
8.18 An allottee under these rules shall only be an occupant of the quarters allotted to
him and will not acquire any right of a tenant under any circumstances. The
allotment ceases automatically on the severance of employer-employee
relationship or cancellation of the allotment of quarters.
8.19 In case of any infection or any contagious disease such as small-pox etc. which
is likely to spread into an epidemic to any inhabitants in the allotted quarters, the
employee would immediately report to the Company's Medical Officer and have
the patient segregated by removing him to the hospital.
Page: 9 of 12
8.20 Allotment of Quarter on compassionate appointment23:

Compassionate appointee may be allotted quarter as per entitlement of the
employees in the equivalent pay stage (For example if the compassionate
appointee is to be regularized subject to suitability in W3 grade, the quarter
entitlement will be corresponding to basic pay at minimum of W3 grade).
Provided that if the deceased employee was living in company township in a
higher type of quarter than the one allotted to compassionate appointee, as a
special case the compassionate appointee may be allotted a quarter in our
township of a type next higher one to which compassionate appointee is entitled
to. This allotment will be subject to availability and at the discretion of General
Manager, out of his quota.
9.0 RENT:
9.1 Except as otherwise provided, house rent to be realised from the employees for
residential accommodation allotted to them will be as declared from time to time.
In case the standard rent is lower than the usual rent or vice-versa, the lower
amount will be charged. In case of sharing accommodation, the rent charged will
be half of the chargeable rent. In case sharing is between more than two
employees, the rent will be charged on prorata basis.
9.2 All employees to whom quarters have been allotted shall be personally liable for
payment of rent and other allied charges thereof which will be deducted from
their monthly salary bill/dues payable to them and also for any damage beyond
normal wear and tear caused thereto or to the furniture, fixture, fittings or
services provided therein by the Company during the period for which the
quarters remain allotted to them or where the allotment has been cancelled
under any of the provisions in these rules until, the quarters along with the out-
houses appurtenant thereto, if any, have been vacated and full vacant possession
thereof has been restored to the Estate/Administration Department.
9.3 The assessment of damage or loss caused to the quarters except the normal wear
and tear shall be made by the Estate/Administration Department or such other
department as the management may decide whose decision in this regard shall
be final and the Company will have the right to realize the amount involved by
way of deduction from the salary/dues payable of the persons concerned,
provided that cost of the loss or damage caused to the quarters or to the fittings
may not be realised from the allottee if there are good and sufficient reasons to
establish that the same has occurred due to circumstances beyond the control of
the allottee.
9.4 Charges for water, electricity and special amenities such as for electrical
appliances, furniture and conservancy etc., if any, shall be recovered in addition to
house rent at such rates as may be prescribed by the management in this regard
from time to time.
10.0 SURRENDER AND CANCELLATION:

10.1 Where two employees in occupation of separate accommodation allotted under
these rules marry each other, they shall within one month of their marriage,
surrender one of the accommodation.
Page: 10 of 12
10.2 Violation of any of the allotment rules shall entail cancellation of the allotment
order from the date of detection of the violation and the allottee concerned shall
be bound to hand over the vacant possession of the quarters to the
Estate/Administration Department within a period of one month from the date of
receipt of the cancellation and shall in addition be liable to payment of penal rent
for the period of his continued occupation of the accommodation till the date on
which he hands over vacant possession.
10.3 The General Manager will have the right to cancel any allotment made in favour
of any employee whenever a particular accommodation is required for any kind of
use by the Project.
10.4 Subject to provision of rule 8.4, if an employee who has been allotted an
accommodation becomes ineligible for allotment of accommodation under these rules,
he will surrender the quarters within a month.
11.0 INTERPRETATION:
In case of any doubt or dispute regarding the interpretation of these rules, the
decision of the management will be final. An appeal may, however, be made to
the General Manager.
12.0 AMENDMENT OF RULES:
The management, reserves the right to amend, add, alter, vary, delete or modify
all or any provisions of these rules at any time without giving any notice or
assigning any reason thereof.
AUTHORITY:
3. Corporate Personnel Circular NO. 132/84 Dt. 24.4.1984.
4. Corporate Personnel IOM No. 01:Pers:7(27) Dt. 12.7.1984.
8. Corporate Personnel IOM No. 01:Pers:2(1.14) Dt. 19.9.1986.
13. Corporate personnel IOM No. 01:Pers:28(l)/218 Dt. 24.3.1992.
14. Corporate personnel Circular No. 305/93 dt. 03.09.1993
15. Corporate personnel IOM No. 01:Pers:28(l)/224 Dt. 23.6.1993
16. Corporate personnel IOM No. 01: Pers:7(27)/409 Dt. 23.5.01
17. Corporate personnel circular. No. 444/2000 Dt. 6.7.2000
18. Corporate personnel circular. No.457/2001 Dt. 2.3.01
19. Corporate personnel circular. No.464/2001 Dt. 19.4.01
20. Corporate personnel IOM No. 01:Pers:28(1)/385 Dt 14.8 01
21. Corporate personnel IOM No. 01:Pers: 7(27)/396 Dt. 8.12.2000
22. Corporate personnel IOM No. 01:Pers:7(5)/7(28)/7(27)/Admn./279 Dt.
Page: 11 of 12
27.12.95
23. Corporate Personnel IOM No. 01:Pers:7(6)/7(27) Dt. 26.11.96
24. Corporate IOM No. 01:HR:Wages:26A/750 Dated 25.04.2011
Page: 12 of 12
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Guidelines for providing various fittings and Updated as on: 31.01.2012
white/colour washing of company quarters at Page: 1 of 3
project sites/ townships

GUIDELINES FOR PROVIDING VARIOUS FITTINGS

AND WHITE/COLOUR WASHING OF COMPANY QUARTERS AT
PROJECT SITES/ TOWNSHIPS
1.0 Guidelines for provisions of various fittings in Company Quarters at Project

Sites/Townships1
S.N. Fittings to be provided in Company Type of Quarters

Quarters
A B C D
1. Fans 2 4 5 7
2. Tube light points/ fittings 2 3 5 10
3. No. of Power Points 2 4 5 8
4. No. of Mirrors 1 1 1 2
5. No. of Washbasins 1 1 2
6. No. of Call Bell 1 1 1 1
7. Peep hole on front door 1 1 1 1
8. Exhaust fan in Kitchen3 1(9") 1(9") 1(12") 1(12")
Bulbs/tube lights etc. are to be provided only once at the time of first allotment of
a new quarter and no replacement should be made. When the occupant leaves the
accommodation, all bulbs/tubes shall be taken over by the estate in working
condition like other fittings in the quarter.
2.0 Guidelines regarding white/colour washing of Dwelling units at Project Sites/

Townships2
i) Internal white washing and colour washing (inside bedrooms and living
rooms) including painting with synthetic enamel paints of doors, windows,
ventilators, grills, cupboards etc. once after two years only.
ii) External finishing of walls with water proofing cement paint, once after 2
years only.
AUTHORITY:
1. Corporate Personnel IOM No. 01:Pers:7(18) Dt. 29.5.1986


3. Corporate Personnel IOM NO. 01:Pers. 7(18) Dt. 26.3.1990


RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)

Guidelines on providing accommodation to Updated as on: 31.01.2012
outside agencies Page: 1 of 3

GUIDELINES ON PROVIDING ACCOMMODATION TO OUTSIDE AGENCIES1
The following guidelines shall be followed in the matter of providing accommodation to outside agencies
at the Project sites of the Corporation:
1. During the initial stage, temporary accommodations for housing post office, Bank, Police
Post and office of the Revenue Department may be provided.
2. Bank authorities will be advised to construct their own building for accommodating the
Bank.
3. In respect of residential accommodations for the employees of Bank, Post Office, Police
and CISF, the following guidelines may be followed:
a) Employees of Police Department may be given dormitory type accommodation,

without charging any rent.
b) Employees of CISF may be given accommodation in terms of the agreement made

with CISF, which inter-alia provides proportions of bachelor and non-bachelor
employees to be given housing accommodation, as per their rules.
c) Employees of Post Offices, subject to availability, may be given full or shared

accommodation for which they will pay rent as per rules applicable to them in case
the accommodation was provided by their own departments
d) Employees of Central Schools Organisation and other organisations which

establish schools at the sites, may be given housing accommodation as per the
terms of agreements.
e) Subject to availability of accommodation, only essential numbers of

accommodations may be given to the employees of Bank. The Bank authorities
may, however, be advised to construct their own housing accommodation as
early as possible. If the Bank authorities require land can be leased to them for
a period of thirty years at the rate prescribed by the State Government for the
purpose of lease in that area.
f) The above allotments will be made considering the availability and level of
satisfaction in respect of allotment of houses for NTPC's own employees, so that
no imbalance is created by providing accommodation to much larger proportion
of the employees of outside agencies than the proportion of our own employees.


(g) The above allotments will be in addition to the accommodation reserved in
GM's quota which can be used for allotment to the employees and outside
agencies like Consultants, Commercial Auditors, State Govt. Authorities.
AUTHORITY:
1. Corporate Personnel Circular No. 43/80 Dated 21.1.1980


RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)

NTPC Guest House Rules Updated as on: 31.01.2012
Page: 1 of 7
NTPC GUEST HOUSE RULES
1.0 Short Title
1.1 These rules shall be called the NTPC Guest House Rules.
1.2 These Rules will cover all NTPC Guest Houses, Transit Camps,
Field Hostels and Bachelor Accommodation.
2.0 Eligibility
The following persons shall be eligible to stay in the Guest House:
2.1 All members of the Board of Directors including ex-Directors.
2.2 Employees of NTPC and its Joint Ventures and Subsidiaries.
2.3 Senior officials of the Central Government / State Government /

CPSEs, Organizations having official dealing with the Company.
2.4 Foreign guests connected with the business of the Company.
2.5 Retired employees of NTPC.
2.6 Family members of employees on specific written requests.
2.7 Any other person authorized by the Management.
3.0 Period of Stay
3.1 Ordinarily, a person will be allowed to stay for a period upto 3 days.
However, under special circumstances he/she may be permitted to
stay for a maximum period of 5 days depending on the purpose and
nature of his/her stay. Employees on official visits can stay upto
the duration of business.
Page: 2 of 7
4.0 Lodging Charges
4.1 The following shall be the charges (in terms of Rs./day/bed) for
different types of accommodation:
Category A/C Non-A/C Dormitory

Room Room (Rs. (Rs. per
(Rs. per per day)
day/bed) day/bed)
Employees of NTPC/Central 40.00 25.00 10.00
Govt./State Govt. on official
tour
Employees of Public Sector
Undertakings on official tour /
Guests of NTPC Officials
a. Deluxe Suite (Full 1250.00
room)
b. Guest House (Full 750.00
room)
c. Field Hostel (full room) 250.00 160 80
Employees of NTPC and 65.00 40.00 15.00
their immediate family
members3 on unofficial/
personal / medical visit
Employees of Central Govt./ 130.00 80.00 30.00
State Govt./ Public Sector
Undertakings on unofficial/
personal visit
Retired NTPC employees on 65.00 40.00 15.00
personal visit
Other Agencies :
a. Deluxe Suite (Full 2500.00
room)
b. Guest House (Full 1500.00
room)
c. Field Hostel (Full 500.00 320.00 160.00
room)
Bachelor accommodation 25.00 15.00 5.00
(other than Guest House/
Transit Camp)
Page: 3 of 7
In case of double occupancy, additional 25% surcharge would

be levied.
4.2 The following shall be the rates for fractional halts :
a) For halt during night Full rate

b) Others Half of prescribed rate
4.3 At the time of checking out from the Guest House / Transit Camp,
the visitors shall make payment to the Supervisor, on account of
accommodation charges and charges for meals, snacks etc. in
cash. The Guest House Supervisor will issue receipt in this regard.
The receipts on account of lodging will be deposited with the
Accounts department once in a week and the amounts received in
this account will not be spent for any other purpose.
5.0 Reservation of Accommodation
5.1 The reservation will be made on the written/electronic request. On

receipt of request, officer-in-charge will respond to the concerned
official regarding confirmation of booking or otherwise. At a time
not more than 2 rooms shall be allotted to an individual, subject to
availability.
5.2 Family members shall mean only near relatives. The Guest House
will be booked in the name of guest only. For security reasons,
guest will have to tender proof of identity.
5.3 In case of emergent official visits, concerned Regional ED/Head of

Project can cancel/amend the reservation. In-charge of the Guest
House will accordingly inform the concerned person.
5.4 Competent Authority
The Competent Authority for approval of booking of rooms in Guest

House / Transit Camp / Field Hostel shall be as under:
Official / Personal visits -Dealing Officer not below the
(by employees of NTPC) level of E3 in HR
Personal visits (Others) -Head of HR
6.0 Boarding Charges

Page: 4 of 7
6.1 The charges for meal, breakfast, tea etc. will be made as per rate
fixed by the concerned outsourced agency on the basis of “No
Profit – No Loss” principle. The rates of meal, snacks etc. for the
visitors other than the employees of NTPC / Central / State Govt. /
Public Sector Undertakings will be twice the charges prescribed for
NTPC employees.
7.0 Company Guests
7.1 Head of Project/Executives at the level of GMs and above will be

the Competent Authority to approve Company Guest. No charges
in respect of boarding and / or lodging will be levied from Company
guest. The accommodation provided to them will be free of charges
and the expenses on account of breakfast, tea, meals etc. provided
by Guest House Kitchen will be borne by the Company.
8.0 Entitlement of Rooms
8.1 Subject to availability, the following will be the entitlements for

different types of accommodation :
S.N. Type of accommodation Level of employees
1. Suites E8 & above

2 AC Room E2A & above
3 Air cooled Room E1– E2
4. Dormitory Others
Depending upon the availability of accommodation, however, the

allotments can be made in higher or lower types of accommodation
with the specific approval of Head of HR.
8.2 In each Guest House / Transit Camp / Field Hostel, upto 2(two)
rooms may be kept reserved for any exigencies.
9.0 Bachelor Accommodation
9.1 The Bachelor accommodation shall be suitably furnished.

However, in Greenfield projects, bachelor accommodation shall be
in line with the policy of Bachelor accommodation under Hydro and
Mining Policy. The Bachelor Accommodation, other than
Page: 5 of 7
Greenfield Projects, will be on chargeable basis as per the table

given above at para 4.1.
9.2 In case of retention of family at previous place of posting /

anywhere in India / special facility of HRA, the employees will be
allotted single room Bachelor Accommodation/ Field Hostel
declared by the Local Management, subject to availability.
However, in case of executive in the level of E7A and above, 2
room set may be provided, subject to availability.
9.3 In case of families of employees visiting the project/station for short

duration, suitable accommodation may be provided subject to
availability of rooms on first-come-first-serve and on chargeable
basis as per table at para 4.1. Local Management can reserve 2/3
full bachelor accommodation for this purpose. In case, the
employee/family does not vacate the allotted temporary
accommodation within stipulated period, the permission for
retention of family at previous place of posting/anywhere in
India/special facility of HRA may be withdrawn.
10.0 General
10.1 All Guest Houses / Transit Camps / Field Hostels shall be declared
as “No Smoking Zone.”
10.2 Employees who come to join organization on first appointment or

on transfer from one unit to another will be allowed Transit Camp /
Field Hostel accommodation. As soon as an alternate
accommodation is allowed to the employees in townships they will
have to vacate the Guest House / Transit camp / Field Hostel.
Period of stay in the Guest House / Transit Camp / Field Hostel in
such cases should not exceed 15 days. An alternate arrangement
may be made in Bachelor Accommodation.
10.3 The Guest House Supervisor will maintain a register containing the
following columns :
i. S.No.
ii. Name and Designation of the guest
iii. Date and time of arrival
iv. Date and time of departure
v. Amount paid
vi. Signature of the guest
vii. Receipt No., Date
Page: 6 of 7
viii. Remarks
10.4 Accommodation shall be provided at the discretion of Management.
10.5 No private functions such as marriages, birthday parties etc. shall

be allowed in Guest House / Transit Camp. In case of Greenfield
Project where there is no Recreation Centre/Community Hall,
exemption can be given by Regional ED/Head of Project.
10.6 In case of visits by guests from foreign countries, necessary

information may be given to Government Authorities as required.
10.7 Company reserves the right to relax, modify or amend any of the
above provisions.
Authority:

2. Corporate IOM No. 01: HR-Policy: 7(42)/754 Dated 10.08.2011
Page: 7 of 7
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
Recoveries Updated as on: 31.01.2012
Page: 1 of 8

RECOVERIES
1.0 HOUSE RENT RECOVERY
The rate of recovery of house rent from the employees allotted family accommodation in
the Company's townships and Company leased residential accommodation shall be as
follows:
1.1 City based townships (including BTPS) 13
1.1.1 Executives
Type of Quarter occupied HRR/ License Fee (Rs./month)
A 710
B 1780
C 2180
D 2750
1.2 Company Leased Accommodation13
Entitlement for Quarter HRR/ License Fee (Rs./month)
B 1780
C 2180
D 2750
1.3 Project / Station townships 13,14,15
1.3.1 Executives
Type of Quarter occupied HRR/ License Fee (Rs./month)

Page: 2 of 8

A 355
B 890
C 1090
D 1375
1.3.2 Non Executives (S1-S4 & W8-W11 & SG)
Type of Quarter occupied HRR/ License Fee

(Rs./month)
Townships at Project /
Noida/ Stations
Badarpur
/other Cities
A 590 290
B 1330 660
1.3.3 Workmen (W7 & below)
1.3.3.1 For townships at Noida / Badarpur / Other cities

(Rs./month)
A 390
B 590
1.3.3.2 For Project / Station townships

Page: 3 of 8


(Rs./month)
A 190
B 230
2.0 ELECTRICITY CHARGES RECOVERY
The charges for electricity will be recovered at flat monthly rates for various types of
quarters together with additional charges for air conditioner and/or geyser, wherever
installed , from the date of allotment of quarters.
The monthly flat rates may be obtained by multiplying the assumed standard units of
consumption of different types of quarters per mensem with the unit rate of tariff at which
electricity is obtained from respective Electricity Boards as in force from time to time.
The assumed standard units of monthly consumption of different types of quarters are as
under:
Type of Quarter Assumed Standard Units of Monthly Consumption
A 20
B 36
C 60
D 90
Employees using air conditioners will be charged an additional amount which may be
obtained by multiplying the unit rate of tariff (at which electricity is obtained from
respective Electricity Boards as in force from time to time) with 198 - the assumed units of
monthly consumption for air conditioner. However, the recoveries for air conditioners shall
be effective only during the period between 15th March to 15th July.

Page: 4 of 8

Similarly, employees using geysers will be charged an additional amount which may be
obtained by multiplying the unit rate of tariff (at which electricity is obtained from the
Electricity Boards as in force from time to time) with 23 - the assumed standard units of
monthly consumption for geysers. The recovery for geysers shall be effected only
during the period between 15th November and 15th February.
The above flat rate will be subject to review as and when tariff is revised by the
concerned Electricity Boards. Those who fix air conditioners and/ or geysers in their
quarters will make a declaration to this effect and failure to do so will constitute a
misconduct.
3.0 RECOVERY OF RENT FROM CONTRACTORS AT PROJECT SITE FOR PREMISES

PROVIDED FOR RESIDENTIAL USE AS WELL AS SHOPS
1.0 Government of India 'Fundamental Rules' and 'relevant Supplementary Rules',

namely FR 45 A - III, which deals with fixation of rents for accommodation to be
provided to other than Government employees may be taken as the basis for
fixation of the licence fee/rent for accommodation for residential purposes and
shops to be provided to contractors.
2.0 Standard licence fee to be recovered from the contractors at project site for
residential use/shop shall be calculated in terms of FR-45-A-III and will be @ 6% per
annum of the capital cost of the building.
2.1 The capital cost of the building may be arrived at by taking into account the
average capital expenditure incurred for each type of quarter as on 1.1.1987.
The average capital cost so arrived may be reviewed every three years based on
the revised cost.
2.2 The standard licence fee shall be expressed as standard for a calendar month
and shall be equal to l/12th of the annual licence fee as calculated above.
2.3 The licence fee shall be exclusive of service charges such as water supply charges,
sanitation charges and electricity charges.
3.0 Electricity charges may be levied based on the actual consumption of electricity
calculated at the local prevailing Station Electricity Board tariff rate. However, other
services such as water supply and sanitation services etc. may be provided at a
nominal cost as deemed appropriate, to be decided by the project authorities.
4.0 The procedure detailed above does not cover fixation of room rent being levied for
hostel-type accommodation which is being provided at project sites to contracting
agencies on "per diem" basis. However, such hostel-type accommodation is
generally provided for brief periods only.
5.0 The residential accommodation for which the procedure for fixation of rents has

Page: 5 of 8

been broadly enunciated does not envisage provision of any furniture to the
allottees.
6.0 In case any special repairs other than normal maintenance and fixation works
are undertaken, and cost of such special repairs are in the nature of capital
expenditure resulting in increase in the capital cost of the building, the rental
charges shall be revised and refixed accordingly.
4.0 RECOVERY FOR PRIVATE USE OF COMPANY'S VEHICLES FROM

EMPLOYEES
1.0 As per Company's policy, senior executives of the Projects i.e. Heads of
Departments and also other Sr. Managers are entitled to use Company's jeep
for all official work and also for commuting between residence and
workplace. For this purpose, they are required to pay Rs. 245/- per month
subject to the condition that they shall not be allowed any conveyance
reimbursement or transport subsidy. In addition to the above, for any other
private use, the executives concerned have to make payment at the
prescribed rate. Similarly Company's vehicles are also provided to other
employees for their private use depending upon availability and subject to
permission of the competent authority, on realisation of charges to be
prescribed by the Management from time to time.
2.0 The recovery of charges from employees who avail of the facility of
Company's vehicles for their private use (car/jeep) shall be effected on the
following basis:
Type of Vehicle Rate of Recovery for Journeys (Rs per KM.)
Upto 50 KMs Above 50KMs
Car/Jeep (Petrol) 6.30 9.50
Car/Jeep (Diesel) 5.75 8.15
NOTE: In respect of local journeys (i.e. those performed within a radius of 50 KMs from the
Headquarters of the employee concerned), the recovery shall be effected as per the rates
mentioned above irrespective of the distance covered. Further, in respect of journeys
performed by the employees for their private use in Company's vehicles to outstation (i.e. to
places located beyond the radius of 50KMs from their Headquarters), the recovery shall be
effected as per above mentioned rates for the entire journey irrespective of the total
distance travelled.4

Page: 6 of 8

3.0 In addition to the above, the employee concerned are also required to pay detention charges in
case the Company's vehicles have been used for performing private journeys at outstation
i.e. places beyond the radius of 50 KMs from their Headquarters or outside municipal limits
of the Headquarters, whichever is more, @ Rs 195/- per day, if the absence is for 12 hours
or less and Rs 395 /- per day if the absence is for more than 12 hours.
4.0 It is, however, emphasized that with a view to effecting economy in the use of petroleum
products, it is desirable that private use of Company's vehicles is avoided to , the extent
possible excluding certain genuine cases to be decided with the approval of the Head of
the Project/ Unit.
AUTHORITY:
1. Corporate Personnel Circular No.33 & 34/79 dated. 6.9.79

2. Corporate Personnel Circular No. 59/80 dated 14-10-80
3. Corporate Personnel Circular No. 117 & 118/83 dated. 19.9 83

4. Corporate Personnel Circular No. 234/89 dated. 18-8-89
5. Corporate Personnel Circular No.29/79 dated. 25-6-79
6. Corporate Personnel IOM No.01:Pers:7(18) dated 12.3.82
7. Corporate Personnel IOM No.01: Pers:7(18) dated 14.9.87, 20.6.88 and 24.4.1989.
8. Corporate Personnel IOM No.01: Pers:7(16.3) dated 8.4.1986 & 10.5.1986.
9. Corporate Personnel IOM No.01:Pers:7(16.3) dated 3.1.96
10. Corporate Personnel Circular No. 444 / 2000 dated 6.7.2000

Page: 7 of 8

16. Corporate IOM No. 01: HR-Policy:7(18)/753 dated 08.07.2011

Page: 8 of 8

RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)

Procedure to be followed in case Company’s Updated as on: 31.01.2012
vehicle meets with an accident Page: 1 of 2

PROCEDURE TO BE FOLLOWED IN CASE COMPANY'S VEHICLE MEETS WITH AN

ACCIDENT1
The following procedure shall be followed to deal with the cases involving accidents by
Company Drivers:
a) Whenever there is an accident by a Driver, who is not on duty, the Company

shall not take any responsibility of giving bail or contesting the case. These will
have to be arranged by the Driver himself.
b) In case the vehicle meets with an accident while the Driver is on duty, the
Company shall arrange for bail of the Driver and release of the vehicle. The
Company will also contest the case in the court of law.
However, in cases, where prima-facie, it is established by police report or other
such report and the controlling officer is satisfied that the Driver was under the
influence of alcoholic drinks at the time of accident, the Company shall not take
any responsibility in providing bail or contesting case as mentioned above.
c) In case the Driver is required to attend the court in connection with the accident
case, he shall be treated as on duty/tour.
d) Once the court of law, in which the case has been filed by the police etc. against
the Driver, gives a final verdict convicting the Driver, the Company shall not take
any further responsibility for the fine, other punishment or appeal in the higher
courts etc. This will be met with by the individual Driver himself.
e) In certain cases when a Driver is fined for violations of traffic rules by the Traffic
Department, all these fines for such violations shall have to be paid by the Driver
concerned and Company shall not take any responsibility for any violation
whatsoever.
The above, however, shall be without prejudice to the right of the Company to take
departmental/disciplinary action against any Driver for misconduct/ violations of rules.
AUTHORITY:
1. Corporate Personnel IOM No. 01: Pers: 29 (22), Dated 12.5.1986.

Procedure to be followed in case Company’s Updated as on: 31.01.2012
vehicle meets with an accident Page: 2 of 2

RECORD OF REVISIONS

No. Date
Revisions


M(HR) M(HR) AGM(HR)

Norms for stationery items, furniture & office Updated as on: 31.01.2012
space etc Page: 1 of 35

NORMS FOR STATIONERY ITEMS, FURNITURE & OFFICE SPACE ETC.
It has been decided to revise and rationalize the norms for stationery items, furniture and space.
The lists of items covered under various heads are as under:
List-1 Routine stationery items as per index.

List of stationery items to be procured and issued by corporate HR-ES Group / project material
management Group, to employees.
List-2 Additional items to be procured and issued by corporate HR-ES Group / project material
management Group to-
(i) Employees (for items suitable for exclusive use of an employees) against requisition dul
approved by the controlling officer(E6 and above)
(ii) Department (for items suitable for departmental use against requisitions by executive
nominated by the Controlling officer (E7 & above) and requisition approved by the
controlling officer (E7 & above)
List-3 List of items to be procured /purchased directly by individual user departments on need basis and to
be claimed under contingency claims.
List-4 List of items to be procured and claimed by individual directly by the accounts department a
contingency claim as per entitlement on the self certification basis
List-5 List of items to be procured/issued/installed by the corporate HR-ES Group /project materia
management Group to employee against individual entitlement (frequency more than one year)
List-6 List of items to be procured /purchased (against specific indent to be raised by Deptt. An
approved as per D.O.P.)by Corp. Material Deptt./Project Material Management group Deptt.
List-7 List of items to be used by individual, department and/or general use of employee. These are to
be procured and issued by Corp. HR-ES Deptt. / Project Material Management group Deptt.
List-8 Norms for space, furniture and other items.
For procurement at project /stations / regional office, these items shall be procured/ purchased by the respective
materials management department.
Authority:


LIST –1
LIST OF STATIONERY ITEMS TO BE PROCURED AND ISSUED BY THE HR-ES

DEPARTMENT/CORPORATE MATERIAL DEPARTMENT/ PROJECT/ STATION MATERIAL DEPARTMENT TO
EMPLOYEE.
ITEM CODE ITEM ELIGIBILITY MAKE /

BRAND
1001 Cello Tape – Small All Employees - 02 nos.

1/2” x 10 yards (Life – 1 year)
1002 Clip – Gem – (30 Item shifted to list - 3
mm) Small - packet
( Plastic coated )
1003 Clip – Gem – Big All Employees - 02 nos. Zen
packets (Life – 1 year)
( Plastic coated )
1004 Coasters All Executive - One set of 6 nos. Cello
(Life – 2 year)
1005 Sup. & Workman One set of 2 (Life – 2 year) nos.
1006 Correcting fluid – Item shifted to list - 3

white – pen type
1007 Crockery CMD/Dir/Exe. Dir. Heritage
(As per requirement) Bharat Sea
1008 CMD/Dir/Exe. Dir Shell
(As per requirement) Kishco
1009 Crockery/ Cutlery E8/E7A One Bone China Tea set for six persons (cutlery)
(Cutlery - 3 years) with six teaspoons, one tray, Life- Cello /
(Crockery/Tray - 2 year) Nissan
(tray)
1010 E8/E7A 12 numbers each of full plates, quarter
(Cutlery - 3 years) plates, bowls, lunch spoons, knife,
Fork ,
Life- (Crockery/Tray- 2 year)
1009 Crockery/ Cutlery E7/E6-One Bone China Tea set for six persons with
six teaspoons, one tray,
Life-(Crockery/Tray - 2 year)
(Cutlery - 3 years)
1011 E7/E6 Six number each of full plate. Quarter plate,

bowl, (Cutlery - 3 years) lunch spoon knife, fork ,
Life-(Crockery - 2 year)
1009 Crockery/ Cutlery E5 one bone china tea set for six persons ( Cutlery
- 3 years) with six teaspoons, one trey , Life-
(Crockery/Tray - 2 year)



ITEM CODE ITEM ELIGIBILITY MAKE / BRAND
1012 Dak pad - 3 Flap Item shifted to list -3

Rexin
1013 Desk Diary Refill Executive - 1 no. To be decided
(New Year Issue) (Life - 1 year) locally
1014 Diary Being reviewed by Corporate
(Life - 1 year) PR Department and Will be
communicated by Corporate
P.R. separately.
1015 Duster cloth white All Employees -2 nos. To be decided

Yellow 600 mm x (Life – 1 year) locally
600 mm
1016 Eraser (2 Inch) Item shifted to list -3
1017 Eraser (1 Inch) All Employees – 02 nos. Staedtler/ lion
(Life – 1 year)
1018 Glue – roller stick Item shifted to list -3
1019 Greeting Card Being reviewed by Corporate PR Department

(New Year) and Will be communicated by
(Life - 1 year) Corporate P.R. separately.
1020 Highlighter E 5 & above - 1 set Luxor /

Life (1 year) ( set of 2 pens ) Rotomac
1021 Jug water – Plastic All Employees -01 no /K
National/Polys
Life (1 year) et/ Brite/
1022 Lunch plate E5 – W1 -02 nos. Life (2 year) C ll
Unbreakable
Material
1023 Lunch spoon E 5 – W 1 - 02 nos. (M l Kis )
.Life (2 year) hco
1024 Writing Pad 60 gsm. A4 E5 & above – 03 nos. E4-S1 -02 nos. NTPC
perforated 80 (Life – 1 year) Big Pad printed/ To
sheets. be procured
1025 Writing Pad (Spiral) E5 & above –03 nos. E4 - S1 – 02 nos. locally
50 sheets –Scribbling (Life –1 year) Small Pad
(Small)
1026 writing Pad A5 Item shifted to list -3
(Spiral ) 50 sheets
1027 Pad – Shorthand Stenographer -06 NTPC printed
- 200 pages nos.(Life - 1 year)
1028 Pen Executive -02 PilotV5/Uniball
nos.(Life - 1 year)
1029 Pen Pen (Ball point) -02 Reynolds Matalica
nos. All Employees
(life -1 year)
1030 Pen – Ball point Item shifted to list -3
( no refills ) – Blue
(Life - 1 year)



ITEM ITEM ELIGIBILITY Make / Brand

CODE
1031 Pen – Ball point All Employees – 02 Any equivalent

( no refills ) – Blue(Li nos. brand
- 1 year) (Reynolds 045)
1032 Pen–Ballpoint (Black) Item shifted to list -3

1033 Pen – Ball point (Red) Item shifted to list -3
1034 Pen – Sketch Set Item shifted to list -3
( 12 colours )
1035 Pencil All Employees(HB)–03 nos. Natraj/Kohinoor/
(life -1 year) Fabber Castell
1036 Stenos- (Shorthand)- 06 nos. Kohinoor
1037 Executive(Clutch 0.5mm with Faber castell/
3 pack of lead refills )-1 no. Rotring
1038 Pin container – All Employees -01 no Kebica or
Magnetic – plastic (Superior) equivalent
(life -1 year)
1039 Item shifted to list -3

1040 Rubber Band (100 Item shifted to list -3
grams Pack ) – 75mm
1041 Scale Plastic 6” Item shifted to list -3
1042 Scale –plastic & transparent 12? All Employees – 1 no.
with or w/o built – (life -1 year)
in templates
1043 Sharpener ( pencil ) All Employees - 2 nos. Omega/Netaraj

(life -1 year)
1044 Signature pad Item shifted to list -3
1045 Soap Cake Item shifted to list -3
1046. Staple pin ( small ) - packet All Employees – 02 nos. Kangaro / Kores
(life -1 year)
1047 Stapler All Employees - 1 no Kangaro / Kores
(life -2 year)
1048 Towel Large size - E5 & above – 2 nos. Size (750 –
(life -1 year) 1500 mm)
1049 Towel Large size - E6 & E5 – 2 nos. Size (750mm) Bombay

(life -1 year) Med. Dyeing/DCM
1049 Towel Medium Size – Item shifted to list -3
500 mm x 750 mm
For official cars
1050 Tray (Pen / Pencil) Item shifted to list -3
1051 Tumbler E4 - W1 - 4 nos.

(life -1 year) ( Plain Glasses)
1052 E5 (Cut Glasses) - 6 nos. Yera


1052 E6 & above - 12 nos.
( Cut Glasses )
(life -1 year)
1053 Vim Powder (Small packs 1 Item shifted to list -3
Kg )
Notes:
1. Each Requisition form / Store issue voucher (SIV) shall have the provision to write code Number of the item for
record in the Store department / Accounts department. The entry number with date shall be quoted in the
requisition form / Store issue voucher (SIV) before sending to the Store department.
2. The HR-ES / Store department shall assess the quantity to be distributed during the next financial year.
3. Items, which can be halved, shall be issued on six monthly basis, twice in a financial year (preferably in July and
January). Items that cannot be halved shall be issued in July each year.
4. All forms / pads / papers / forms shall be standard size A4 & A5. These shall have two holes for filing. The files /
folders shall be able to carry such documents.
5. For quantities over and above the entitled limit. Additional requirements may be obtained by individuals under
contingency claim as per list -3.
6. If the Brand / Make mentioned above are not available in local market, a committee consisting of HR, Finance &
Store may decide the Brands / Make with the approval of GM / Project incharge.
7. Casual leave Form – 60 gsm in separate colours (for 12 number Casual Leave & 2 number Restricted
Holidays)-size A5 shall be provided by HR Department to all employees at the beginning of each calendar
year i.e. 1st January, along with the issue of the Casual leave Card. Additional sheets, if required, shall be
obtained from the HR department.
8. All employees shall be intimated that the Greeting Card providing by NTPC shall NOT be sent to their NTPC
colleagues. All employees (including S&W) may place additional requirement of greeting cards on cost basis to
the public relation department by 15th September along with an authorization for deduction from their salary.
---x---



LIST-2
ADDITIONAL ITEMS TO BE PROCURED AND ISSUED BY THE HR-ES DEPARTMENT/CORPORATE

MATERIAL DEPARTMENT/PROJECT/STATION MATERIAL DEPARTMENT
- TO EMPLOYEES (FOR ITEMS SUITABLE FOR EXCLUSIVE USE OF AN EMPLOYEE) - AGAINST

REQUISITIONS TO BE APPROVED BY CONTROLLING OFFICER (E6 AND ABOVE)
-TO DEPARTMENTS (FOR ITEMS SUITABLE FOR DEPARTMENTAL USE)

- AGAINST REQUISITIONS BY AN EXECUTIVE NOMINATED BY CONTROLLING
OFFICER (E7& ABOVE) AND REQUISION TO BE APPROVED BY CONTROLLING OFFICER
(E7 & ABOVE)
ITEM ITEM Make / Brand

CODE
2001 All Pin ( Packet )

Bell / Vikram
2002 Ball Point Pen ( coloured ) Reynolds 045/any equivalent brand
2003 Bond Paper (A3/A4) Gateway / Modi / Exact
2004 Bond Paper ( A 4 ) ( 21 lb ) Modi/Gateway / JK Laser
2005 Bulb Electric Philips / Surya /Bajaj/GE
2006 Calculation Sheets To be decided locally
2007 Carbon Paper Kores
2008 Cello Tape ½ “ x 72 yards
2009 Civil Maintenance Items Good Quality/Indenters choice
2010 Clip (pressure) 1” To be decided locally
2011
2012 Clip (pressure) 2”
Clip (pressure) 3”
2013 Clipper Ishavkoo
2014 Computation Sheets To be decided locally
Computer Stationery Item Printed To be decided locally
2015 With fanfold 10” x 12”
2016 Without fanfold 10” x 12”
2017 With fanfold 12” x 15”
2018 Without fanfold 12” x 15”
2019 Folder Rexin Cover for computer stationery To be decided locally

2020 Continuation Sheets ( A 4 ) – 80 gsm Bond To be decided locally
2021 Continuation Sheets ( A 5 ) - 80 gsm Bond To be decided locally
2022 Drawing folder ( 4 flaps ) ( Superior Quality ) To be decided locally
2023 Duster yellow – computer To be decided locally


ITEM Make / Brand

ITEM CODE
2024 Electrical Choke Copper/Electronic To be decided locally

Maintenance
2025 Items Energy saver CFL type
2026 Miniature Circuit Breaker
2027 Plug top
2028 Starter holder
2029 Switch
2030 Tube light (Fluorescent)
Envelopes – 80 gsm ( plastic coated ) - Reusable / To be decided locally
Lines drawn
2031 (Light Blue colour)
2032 - 16 “ x 12 “
10 “ x 12 “
Envelopes – White ( Window ) To be decided locally
2033 220 mm x 100 mm
2034 150 mm x 90 mm
Envelopes – White – Reusable/ Horizontal Lines To be decided locally
2035 drawn
2036 220 mm x 100 mm
Fans (without150 90from employees) -
requisition Khaitan/Usha/Orient/Bajaj/
2037 - Ceiling/ Bracket Fan Crompton/GEC
2038 - Exhaust/ Fresh Air Fan
2039 - Pedestals Fan
2040 Fax Pad ( Format to be revised ) To be decided locally
2041 File Cover ( Light Blue colour ) suitable for retrieving To be decided locally
papers (
2042. li Index
File d ) Cover
d R ( Rexin
bl t ) - 2 holes(Box
d Li d File) AJS
2043 File Index Cover ( Rexin ) - 4 holes (Box File) AJS
2044 Fire Fighting equipment As per the
Recommendation of Safety
Department
Forms - to be modified – 25 sheets – 60 gsm ( These forms shall be available on

(printing paper) in separate colours for easy copy printer and / or
identification – A4 size - White Printing Paper P C ( LAN )
2045 - Bank Payment Voucher ( sky blue colour )
2046 - Bank Receipt Voucher ( yellow colour )
2047 - Cash Payment Voucher ( green colour )
2048 - Cash Receipt Voucher ( pink colour )
2049 - Contingent Claim
2050 - Festival Advance
2051 - Goods Return Note - white, pink and yellow
2052 - I S O related forms

2053 - Incentives for Higher Additional qualifications
2054 - Journal Voucher Pad
2055 - L T C Advance
2056 - L T C Claim
2057 - L T C Request - white, pink and yellow
2058 - Local Travelling Allowance and Expenditure
Claim
2059 - Medical Reimbursement – Non Hospitalisation


2060 - Medical Reimbursement - Hospitalisation

2061 - Movement Order – white, pink and yellow
2062 - * Cancellation –white, pink and yellow)
2063 - Overtime Claim
2064 - Payment Advance - white, pink and yellow
2065 - Permit Slip ( A 5 )
2066 - Print Room Requisition ( A 5 ) – white, pink and
yellow
2067 - Reception Gate Pass ( A 5 ) for Visitors
2068 - Stores Issue Voucher – white, pink and yellow
2069 - Stores Receipt Voucher – white, pink and yellow
2070 - Tour Advance
2071 - Tour Travelling Allowance Claim
2072 - Transfer / Joining / Travelling Allowance Claim
2073 - Transfer / Joining / Travelling Advance
(Request )
2074 Glass Mat Plastic To be decided locally
2075 Glue Bottle ( 300 ml ) Fevicol
2076 Glue Bottle ( 700 ml ) Fevicol
2077 H P M V Lamp To be decided locally
2078 Hot plate (3 years) – departmental requisition To be decided locally
2079 Ink - Stamp Pad To be decided locally
2080 Inter Office Memo (A4) – 60 gsm – light blue paper To be decided locally
2081 Lead - Clutch Pencil To be decided locally
2082 Letter Head ( A 4 ) - 80 gsm Bond To be decided locally
2083 Letter Head ( A 5 ) – 80 gsm Bond To be decided locally
2084 Letter Head D.O. ( E7 & above ) – 80 gsm Executive To be decided locally
Bond – bilingual – A4 & A5
2085 Letter Head D.O. Continuation Sheets (E7 & above ) – To be decided locally
80
2086 Mat (Door) To be decided locally
2087 Mono Block Pump Motor Crompton
Pad - 60 gsm - perforated - A 4 - 80 sheets with two To be decided locally
hole
2088 -
2089
2090 W
i
2091 Pad – Engineering (21 lb) To be decided locally
2092 Pamphlet Boxes To be decided locally
2093 Paper – Copy Printer ( A 4 ) To be decided locally
2094 Paper – Engineering Plot Printer To be decided locally
2095 Paper – Photocopy ( A3 ) To be decided locally
2096 Paper – Photocopy ( A4 ) To be decided locally
2097 Paper – Roll – Fax 210 x 30 m To be decided locally
2100 Paper Weight ( design ) – flat base To be decided locally
2101 Pencil – colour set To be decided locally


2102 Pencil ( H ) Apsara / Kohinoor
2103 Pencil ( 2B ) Apsara / Kohinoor
2104 Pencil ( 6B ) Apsara / Kohinoor
2105 Personal Record Book ( to all Item shifted Design/ Pattern to be finalized later
employees) to list - 3
Plastic Folder – clear holder & sheet protector To be decided locally
2106 - with clip (Non metallic)
2107 - L Shaped
2108 - For files
2109 Photocopy Paper- full scap To be decided locally
2110 Rain Coat Duck Back
2111 Rubber Band ( 500 grams ) To be decided locally
2112 Refrigerators ( 250 liters ) Frost Free - E9 & above To be decided locally
2113 Telephone sets DOT approved
2114 Torch ( Doctors / Security Guards To be decided locally
/ Tradesmen ) Life 2 Year
2115 Tracing Cut Sheets ( Drawing Plotting ) 85 / 90 gsm –
Standardised size AO Gateway
Standardised size A1 Gateway
Standardised size A2 Gateway
Gateway
Standardised size A3
Gateway
Standardised size A4
2120 Tracing Graphs Sheets To be decided locally
2121 Tracing Paper Roll ( 85 / 90 gsm) To be decided locally
2122 Wall Clocks in all open and closed cabins 1 : 50 hall Ajanta / Prestige
NOTES:
1. In case of non - availability of these items in the Stores for more than 15 days, and are
urgent in nature / requirement, the employees may buy the items, after certification
of non-availability by the Stores Department. The claim for reimbursement shall
be done as per contingent claim as per procedure set out at the footnote of List-3.
2. All the items whether individual or Departmental requirements shall be entered in the
Departmental register after the requisition in approved by the controlling officer (E7
and above) .Each requisition form / Claim form/store issue voucher (SIV) shall have the
provision to write code number of the item for record in the store Departmental /
accounts Department. The entry number with date shall be quoted in the requisition
form / claim form / store Departmental. The departmental register shall be
subjected to audit.
3. Personal record book shall have the provisions to record each month /year the income,
deduction, bonus, saving s, contributions, loans, and leave particulars. LTC, TA, Tour,
training, leave encashment, medical, payments etc.
4. The HR-ES department shall provide hook for hanging coats, subject to space
availability near the seat of the officers provided in half of full height cabins.


5. All forms / pads / papers/ pads/ forms shall be of standard size A4 and A5. These shall
have two holes for filing. / the files folders shall be able to carry such documents.
6. The items need NOT be returned to the Stores and be written-off on
superannuation / retirement , transfer , These items may be written-off as per
delegation of power ( DOP) on case to case basis in cases of resignation/
separation , suspension and termination from the services of the corporation.
---x---
LIST – 3
LIST OF ITEMS TO BE PROCURED / PURCHASED DIRECTLY BY INDIVIDUAL

USERS / DEPARTMENTS (on need basis) AND TO BE CLAIMED UNDER CONTINGENCY
CLAIMS
ITEM ITEM
CODE
3001 Alarm Clocks for Drivers ( Life – 01 year )

3002 Attendance Card (Manual)
3003 Brown Paper Sheet
3004 Bucket – Water Plastic (Life – 06 Month)
3005 Bucket’s Mug – Water Plastic (Life – 06 Month)
3006 Cartridge for plotter (Black & Colour)
3007 Cartridge for Printer ( Black & Colour)
3008 Cells – Alkaline / Button / Pencil type for: clocks/ Pager/ Torch( to whom items are issued):
Clocks & Wall Clocks Life - 4 months
Doctors Life - 2 months
Maintenance Staff Life - 2 months
Pager Life - 1 months
Security Life - 3 months
3009 Cloth Markin

3010 Computer Item – Cartridges
3011 Computer Item – Digital Audio tape for Back-up

3012 Computer Item – Floppy Disc.
3013 Computer Item –Ink
3014 Computer Item- Media Storage Box
3015 Computer Item – Printer Heads
3016 Computer Item – Ribbon
3017 Correcting fluid – White-15 ml bottles(with diluter)
3018 Dak Bag ( E 7 & above )
3019 Drawing / Draftsman Instruments
3020 Drawing Ink
3021 Drawing Material
3022 File Board


3023 Folder ( Ring Binder) A4 size with additional side pockets, colour dividers, indexes and metallic
ring along with Refillable note Books.
3024 Franking ink


ITEM
ITEM
CODE
3025 Graph Sheets
3026 Hanger (Wooden/ Plastic Coated)

3027 Kettle ( Electric ) – Departmental Requisition
3028 Lock – Brass – Doors
3029 Matte film four meters (Roll)
3030 Measuring Tape
3031 Numbering Machine – Departmental Requisition
3032 O H P Marker Set
3033 Packing Tape ( Brown ) 2”

3034 Paper Bond - Full Scape
3035 Paper Cuter -Knife
3036 Paper Manifold – Double Full Scap
3037 Paper Manifold – Full Scape
3038 Paper Plain - Full Scape
3039 Paper Plain – Double Full Scape
3040 Paper Ruled - Double Full Scape
3041 Paper Ruled - Full Scap
3042 Paper Ruled Sheet Account Statement
3043 Pencil ( all grades except H B ) (including coloured)
3044 Pencil Sharpening Machine – Departmental Requisition
3045 Phenyel
3046 Plotting Paper Opaque Bond 80 gsm (Roll)
3047 Poly Carbonate Sheet-4 mm thick (for executives’ Chair)
3048 Post –it-Pad
3049 Punching Machine – Four holes
3050 Punching Machine - Heavy Duty 800 – Departmental Requisition
3051 Register Attendance
3052 Register Ruled 2 Quire ( of ledger paper & leather bound)
3055 Rubber stamp bi lingual with name /designation etc.
3056 Safety helmet
3057 Scissors – Big
3058 Scissors – Small
3059 Single Punching Machine
3060 Spares / Accessories required for machine / equipment being used & maintained by
department – Departmental Requisition
3061 Spring Clips of Sizes-19mm, 25mm, 32mm, 41mm
3062 Stamp Pad (Big ) – Blue
3063 Stamp Pad (Big ) – Red
3064 Stamp Pad (Medium ) – Blue
3065 Stamp Pad (Medium ) – Red
3066 Stamp Pad ‘ink – Blue
3067 Stamp Pad ‘ink – Red
3068 Staple Pin – Heavy Duty
3069 Stapling Machine - Heavy Duty– Departmental Requisition
3070 Stationery Box /Pouch
3071 Suitcases and Briefcases – other than entitlements – Departmental Requisition


3072 Sutlee Jute
3073 Sutlee Nylon
3074 Sutlee Socophene
3075 Table Lamp – Departmental Requisition
3076 Tape Dispenser
3077 Thread Reel
3078 Tissue paper (Napkins)
3079 Tools – Functional for Technician / Artisan/ Mali etc. Departmental Requisition
3080 Transparencies Jackets
3081 Transparencies Markers

3082 Transparencies Sheet – 100 microns – in box ( A4 )
3083 Visiting (Bossiness) Card
3084 Visiting (Bossiness) Card Holder / Album
3085 Wax Sealing – Stick
3086 Washing Powder (like Rin Powder etc.)
3087 Washing Soap (like Rin Soap etc.)
3088 White Board – Eraser
3089 White Board – Marker
3090 Writing Ink
1002 Gem Clip Plastic Coated Small) These items shifted from list No. 1
1006 Pen Correcting Fluid White
1012 Dak Pad Rexine
1016 Eraser 2” White
1018 Glue – roller stick
1026 Writing Pad A5 (Spiral ) 50 sheets These items shifted from list No. 1
1030 Pen Ball Point Blue (Jetter)
1032 Pen Ball Point Black (0.45)
1033 Pen Ball Point Red (0.45)
1034 Pen Sketch Set
1039 Pin container – Magnetic – plastic

1040 Rubber Band 75 Mm (100 Grms)
1041 Scale Plastic 6”
1044 Signature Pad Raxine
1045 Soap Cake
1049 Towel Medium 500 x 750
1050 Tray (Pen / Pencil)
1053 Vim Powder
2105 Personal Record Book This item shifted from list No. 2
5014 Tray for Paper Plastic These items shifted from list No. 5
5015 Tray for Stationery Items
NOTES:
1. Each requisition form /Claim form / Store Issue voucher (SIV) shall have the provision to write code
Number of the item for record in the Stores Department / Accounts Department.
2. Contingent claim shall NOT require the formality of store Issue Voucher (SIV) and Store Receipt Voucher
(SRV) and shall be supported by duly paid bill only.


3. Contingent claim bills shall be approved as per Delegation of Power (DOP).
4. All Controlling officers (E7 & above) or his authorised representative shall ensure that proper
Departmental stock register are maintained. The items shall be entered in the Departmental Stock Register
along with the code number of the item. The entry number in the register is to be written on the Contingent
claim form.
5. This stock register shall be subject to Audit.
6. After registering, the bills shall go straight to the accounts department for release of payment .Account
Department shall release the payment and record the code number so those total Claim against each code
may be known.
7. The items procured for a department and found to be obsolete/ unserviceable shall NOT be returned to
the stores. The entries shall be accordingly made in the Departmental Stock Register.
8. The items need NOT be returned to the Stores and be written–off on superannuation, retirement and
transfer resignation / separation, suspension and termination from the services of the Corporation.
9. Visiting (Business) card to all executive shall be on sel f requisition basis, however for contingent claim bill
upto E6 level to be approved by controlling officer (E7 and above) and E7 and above approval of
controlling officer shall not be required .Rate for printing visiting card to be decided by a committee at
the beginning of the every year locally.


LIST – 4
LIST OF ITEMS TO BE PROCURED AND CLAIMED

BY INDIVIDUALS DIRECTLY FROM THE ACCOUNTS DEPARTMENT AS ‘CONTINGENCY
CLAIM’ AS PER ENTITLEMENTS ON ‘SELF CERTIFICATION BASIS’
Item Code Item Description Grade of Employee Entitlement
4001 BRIEF CASE CMD /Director /E-9 As per requirement

or or
4002 LADIES
PORTFOLIO BAG
4003 E8 - E7A Samsonite Focus 14 Regular
(life : 4 Financial Year
or Current cost ceiling Rs.2,774/-
)
4004
4005 E7 - E5 VIP Odyssey
or Model OD BX-1
4006 Current cost ceiling Rs.1,900/-
4007 E4 - E1 VIP Odyssey
or Model OD BU-1
4008 Current cost ceiling Rs.1,600/-
4009 CALCULATOR/ Executive Casio cost Rs.995/-
or DIGITAL DIARY/
4010 WITH CELL (Life: 3
Fin.Years) Supervisor On functional basis after the
approval of E7A & above.
4011 News Grade Rs. Grade Rs.
paper/Professional Per Per
literature month month
W7-W1 80/- W7-W1 80/-
S4-S1/ W 11-W8 100 S4-S1/ W11-W8 100
Selection Grade 125 Selection Grade 125
E4-E1 175 E4-E1 175
E5 & above 400 E5 & above 400
NOTES:
1. Digital Diary of any brand of calculator in lieu of calculator (Casio) may be bought by the individuals
within the overall cost limit indicates against Code -4009 & 4010.
2. The executive may procure brief case and the calculator / digital diary against a ceiling amount to be
circulated by Policy Group .The Policy group shall circulate the price of the item valid for the
concerned financial year periodically. The current rates shall be valid from 01/04/2001 till further orders.
3. Contingent claim shall NOT require the formality of Stores Issue Voucher (SIV) and Stores Receipt Voucher
(SRV) and shall be supported by duly paid bill only .
4. Each requisition form / claim / Store Issue Voucher (SIV) shall have the provision to write Code Number of
the item for record in the Store Department /Account Department.


5. The entries shall be maintained in the ‘Register’ available with the Stores department. Noting by
the Stores department on claim from shall be required before release of payment by Accounts
Department.
6. Life of an item shall be counted in terms of financial years.
7. If a claim is not preferred in a financial year when the claim is due, the same shall lapse and the life of
items shall be counted from such financial years in which the claim is made.
8. Item shall be written off automatically at the expiry of the life.
9. The item shall need NOT be returned to the Stores and be written–off on
superannuation/retirement/resignation / separation, suspension and termination from the services of the
Corporation.
10. Sample Calculation for the determination of the due financial year.
Claimed between Next entitlement year for claim

In case of 4 years entitlement In case of 3 years entitlement
01-04-1995and 31-03-1996 01-04-1999 to 31-03-2000 01-04-1998 to31-03-1999
01-04-1996 and 31-03- 01-04-2000 to 31-03-2001 01-04-1999 to 31-03-2000

1997
11. Reimbursement of cost of newspaper/professional literature shall be on certification basis; claims to be made
in April & October every year for the preceding 6 monthly period; and shall further be subject to rules in this
regard.


LIST - 5
LIST OF ITEMS TO BE PROCURED AND ISSUED BY THE HR-ES DEPARTMENT / PROJECT / STATION
MATERIALS DEPARTMENT TO EMPLOYEES AGAINST INDIVIDUAL ENTITLEMENTS
(FREQUENCY MORE THAN ONE YEAR)
ITEM ITEM ELIGIBILITY MAKE/BRAND

CODE
5001 Desk Diary Stand E5 & above with 4 pens To be decided

Along with calendar, clips, (Life 3 years) locally
Diary pens, pins, etc.
5002
5003 E4 – E1 with 2 pens To be decided

(Life 3 years) locally
5004 Punching machine – All Employees -1 no. Kangaroo

Two holes (Life 3 years)
5005 Land line (Telephone) With E9 & above (connection by DOT Approved
STD & ISD facility Corporate HR-ES Department)
or Rent/call charges to be
reimbursed if the employee has
a telephone connection at his
residence


ITEM ITEM ELIGIBILITY MAKE/BRAND

CODE
5006 Land line (Telephone) E8—E7 DOT Approved
With STD facility (connection by Corporate HR-ES
Department) or Rent/call charges to be
reimbursed if the employee has a
telephone connection at his
residence
5007 Land line (Telephone) E6 DOT Approved

Without STD / ISD Reimbursement of Rental/local call
facility charges, if the employee has a
telephone connection at his residence
5008 Land line (Telephone) E5 DOT Approved

Without STD / ISD Reimbursement of Rental/ local call
facility charges, if the employee has a
telephone connection at his residence)
STA to E9
(Reimbursement only with
approval of concerned E9)
5009 Land line (Telephone) STA & two PA/PS/ES to CMD/Dir. DOT Approved
With STD facility (connection by Corporate HR-ES
Department) or Rent/call charges to be
reimbursed if the employee has a
telephone connection at his residence
5010 Telephone Answering E9 & above DOT Approved

Machine along with (Life - 3year)
Cordless Set
5011 Telephone * E8-E6
Cordless Set (Life - 3 year) Current ceiling Rs 3500/-
5012 Telephone * * Committee to

Instrument Current ceiling 800/- finalise Brand
5013 Thermos Flask E5 & above -1 no Eagle/Milton

( 1 litre ) (Life - 3years)
5014 Tray (for papers) Plastic Item shifted to list – 3 Polyset
5015 Tray (for stationery) – Item shifted to list – 3 Polyset

plastic
5016 Umbrella Functional Basis (Life – 2 years) To be decided locally
5017 Waster paper Basket – 250 All Employees (Life – 3 years) Polyset
mm
*Dialing facility in Handset only, ** DOT Approved Telephone set


NOTES:
1. Life of an item shall be counted from the financial year in which it is due to be issued by the HR-ES
department/Project/Station Materials Department.
2. All items shall be procured by Corporate HR-ES Department / Project/Station Materials Department &
issued against SIV. For item code 5011 & 5012, the executive may procure the Telephone themselves
against a ceiling amount to be circulated by Policy group. The Policy group shall circulate the price of
the items valid for the concerned financial year periodically. The current rates shall be valid from 01/04/2001
till further orders.
3. The Corporate HR-ES (Stores) Department / Project/Station Stores shall assess the quantity to be
distributed during the next financial year.
4. Umbrella shall be approved by the controlling officer (E7 & above) on functional basis. The entry
shall be recorded in the Departmental register.
5. The items need not to be returned to the Stores and be written-off on superannuation/ retirement,
transfer, resignation / separation, Suspension and termination from the services of the Corporation
Except item code No. 5011 & 5012. Record for these items shall be transferred to new place of posting
& life span shall be counted from the financial year of purchase of that item in case of transfer.
6. Whereever employee is promoted to next higher grade the entitlement shall be considered from financial
year, if Promotion circular is issued during the period from January to March otherwise the same
financial year.


LIST -6
LIST OF ITEMS TO BE PROCURED / PURCHASED BY CORPORATE MATERIALS

(against specific indent to be raised by a department and approved as per DOP)
ITEM ITEM
CODE
6001 Computer Systems - Hardware(in consultation and association with IT Dept.)

6002 Computer Systems - Software (in consultation and association with IT Dept.)
6003 Copy printer
6004 E P A B X ( in consultation and association with IT )
6005 Fax machine
6006 Items of high technology
6007 Items of specialised nature
6008 Photocopiers
6009 Projectors
6010 Wireless sets (in consultation and association with IT)
6011 Laptop
6012 Scanner
6013 CD- Writer
NOTES:
1. These items are generally high value items and are suitable for departmental use. Few items like
computer systems may be allocated to Specific Executives and PA /PS For other General
Departmental Use items, These shall be under the supervision of an employee to be
designated by the controlling officer (E7 & above ) for the purpose for allover upkeep and
maintenance.
2. Specifications shall be in consultation with IT Department.
3. FAX Machines and Photocopying machines shall be kept in the hall, under the supervision of an
Executive to be nominated by the controlling officer (E7 and above) and shall remain accessible to
all users.
4. All items particularly Fax machine and Photocopier shall be preferably be covered under Annual
Maintenance contract.


LIST – 7
LIST OF ITEMS TO BE PROCURED & ISSUED BY CORPORATE HR-ES DEPARTMENT/ PROJECT

/STATION MATERIALS DEPARTMENT.
These items are of use by individual, a department and / or for official use of employees.
Item Item
Code
7001. Bicycle
7002. Bicycle – Tube
7003. Bicycle- Tyre
7004. Car Battery (officinal cars)
7005. Car tyre(officinal cars)
7006. Computerized card punching system(to be installed by HR in consultation and
association with IT Department.
7007. Conference room Items- additional to be assessed by HR (notified department by
GM& above to own the facility.
7008. Constant Voltage Transformer (CVT)
7009. Cooler Desert
7010. Cooler Room
7011. Dictaphone (approval by E7A & above)
7012. Document Binding Machine
7013. Generator set (portable)
7014. Hot case
7015. Inverters
7016. Paper shredding machine
7017. Pesticide (like Finit, Baygon etc. )
7018. Vacuum cleaner/Floor scrubber
7019. Vending machine for coffee & tea , cold drink etc. (@1:100 employee or
minimum one vending machine per floor, preferably in pantry area)
7020. Water cooler
Note:
1. Computerized card punching system: specification shall be in consultation with IT
Department.
2. The items that are for general use of employee shall be provided at common place.
3. All department requisitions shall be approved by the controlling officer (E7& above)


LIST – 8
Space and Furniture & other items
Area / space indicated in this list is as per present eligibility or practice subject to availability
of actual space.
These shall be provided to employees by HR department without any formal requisition.
Wherever level is not indicated, it shall mean requisition by concerned department - with
approval not less than E7A.
All these items shall be maintained by the HR-ES Department.
A: SPACE AND FURNITURE
Space. (subject to availability):
Item Level Description

Code
8001. E7A & above Cabin ( Carpet area - 250 sq ft )

8002. E7 Cabin ( Carpet area - 200 sq ft )
8003. E6 Cabin ( Shoulder height ) ( Carpet area -100 sq ft )

8004/8005 E5 – E1, S & W Hall
Furniture:
Almirah: preferably built – in;
Item Code Level Description

8006. - Furniture Standardization is under review and shall be
8007. - intimated separately.
8008. -


Book Cases with Glass Door:

8009. -
Furniture Standardization is under review and
8010. -
shall be intimated separately.
Call Bells ( Closed Cabin only ):

8011. E5 & above Electrical or Mechanical or remote.
Carpets: (Closed Cabin only): (Tiles of reputed make / size)

8012. CMD / Dir /ED 1500 grams Woollen Carpet/ Tile
Head of Projects
8013. E7A- Above 1000 grms. Woollen Carpet/ Tile
8014. E7 800 grms Acrylic Carpet/ Tile
8015 E6 Non Woven Carpet/ Tile
Chair: (Revolving, Tilting and with Castors)

8016. E9 & above Furniture Standardization is under review and shall
8017. E8-E7 be intimated separately.
8018. E6 – E1
8019. S&W
Chair Visitor: (without Castors)

8020. E7 & above ( 3 numbers ) Furniture Standardization is


8020. E6 – E5 ( 2 numbers )
Compactor:

8021. - Furniture Standardization is under review and shall
be intimated separately.
Filing Cabinet:

8023. - Furniture Standardization is under review and shall
8024. - be intimated separately.
8025. -
Glass Top (For Table):

8026. All Glass Top ( Table ) ( also Replacements when
broken )
Employees
Name Plate:

8027. E6 & above Name Plate
8028. E5 – E1 Tripod
Numbering of Seats: (For easy access by all)

8029. All Seat Number
Employees
Sign Boards:


8030. - Departmental Board
8031. - Indoor Directional Sign Board
8032 - Sign Boards (inside Building)


Sofa Chair (single seater) & Centre / SideTable:

8033. E7A & above Furniture Standardization, as
8034. E7A & above intimated separately.
8035. E7A & above
8033 E7
.
8034 E7
8033 E6
8035 E6
Tables & Side Rack:

Elan Desking Range (M D 1, 2, 3 & E R U 1, 2 )

8036. E7A & above Furniture Standardization, as intimated separately.
8037. E7A & above
8038. E7A & above
8039. E7 – E5
8040. E7 – E5
8041. E4 – E1
8 E4 – E1
8042. S & W
Tack Board (Pin – up Board):

8043. E7A & above 4’ X 8’
8044. E7 – E5 3’ X 6’
8045. E4 – E1 3’ X 3’(with approval of E7 &above)


B. Facilities to be provided by HR-ES department in all the Conference Room: (E9 and above to
nominate the controlling officer of conference room in their respective department /floor etc.

8046. - Crockery: (Bone China) cup and saucer, lunch plate, bowe,
service spoon knife Fork spoons etc. under the supervision of
HR-ES department.
1052. Cut Glasses
1020. Highlighters (Set of 5 or 6 pens)
8013. - 1000 grams Woolen Carpet
8018. - Chairs Furniture Standardization is under
8047. - Table review and shall be intimated separately.
8051. - Telephone ( EPABX)
8054. - Telephone (local dialing)
6008. - Photocopiers
6009. - Projectors
C. Cooling / Heating Arrangement:

8048. All Employees Administrative offices, air –cooling only. However, in
exceptional cases engineering may consider Air
Conditioning only when it become absolutely
necessary due to the climatic conditioning, provided
the same has been provided for in the project
budget. This would take into account our concern
for austerity while also addressing the need of the
employees in case of extreme hardships.
8049. E7 & above Room Air Conditioner


D. Communication facilities in office

8050. CMD / D Land line (Telephone)with STD & ISD facility –2 numbers
8051. CMD / D EPABX – 1 number
8052. CMD / D Satcom
8050. E9 Land line (Telephone) with STD & ISD facility –1 number
8051. E9 – E5 EPABX – 1 number
8052. E9 – E7 Satcom
8053. E8-E7 Land line (Telephone) with STD facility – 1 number
8054. E6 Land line(Telephone)with Local dialing facility –1 number
8054. E5 Land line(Telephone)with local dialing facility –20% strength
8051. E4 –E1 EPABX – 1 number ( in ratio of 1 : 3 )
8051. S&W EPABX – 1 number ( in ratio of 1 : 6 )
8050/8053 PA, PS, ES Attached instrument
attached to E7
& above -
Land line
(Telephone)
8051. PA, PS, ES EPABX – 1 number
attached to E7
& above
E. Computer with ink jet printer on functional requirement: (Laser printer

for E7A & above)

8055. E6 & above PC and related peripheral will be
8055. E5 provided on functional requirement
8055. E4 – E1 with the approval of concerned GM
8055. S&W
8055. Typist, Steno typist, Stenographer, PA, (substitute to typewriters &
PS, ES & Draftsman Drafting Board)
Note:
1. All items shall be gradually standardized by the corporate HR-ES department and the brands shall be
reviewed every two year as far as possible. All other units shall follow the same standards. Variation if any
without exceeding the cost of standardized products depending on availability or other specific factors shall
be with the approval of Head of the Project/ Regional Head Quarters in consultation with their Finance.
2. Functional requirement will be decided by executive at the level of E8 & above.
-
x
-



GENERAL INSTRUCTIONS
HT TH
1.0 CORPORATE IDENTITY:
The Corporate identity should be reflected in all items procured by NTPC and issued to the
employees. The items should bear the logo (in Cerulean Blue Colour, except noted otherwise) of the
organisation.
2.0 UNIFORMITY:
In order to bring uniformity, and make available standardised products all items (as given in LIST – 1, 2,
5 to LIST-8) should be continued to be procured by Corporate HR-ES Department/ Corporate
Materials department/Project/Stations Materials Department.
3.0 STANDARDISATION OF BRAND AND QUALITY:
All items shall be of brand names (leading in market) and of superior quality. Most of the items has been
standardized and mentioned against each item as far as possible. However remaining to be decided
locally.
4.0 FINANCIAL YEAR BASIS:
Items shall be issued on financial year basis with the financial year in which the items are issued to be
counted as (one) financial year for the purpose of calculating the life of item.
5.0 NOTIONAL LIFE:
Item once issued to individual employee shall be automatically written off at the end of such
notional life. The employee shall be entitled to get these items afresh. In case of death,
superannuation/retirement/resignation/termination and transfer these items need not to be returned. In
case of transfers, the employees shall be entitled the items at list 04 code no. 4001 to 4010 and list 05
code no. 5010 to 5012, only once during life span of item indicated against them.
6.0 ROUTINE STATIONERY ITEMS:
The normal stationery items, which are routine in nature, (list-1), shall be procured and issued by
Corporate HR-ES Group/ Project/Station Materials department. The quantity of those items, which can be
halved, shall be issued on six months basis (twice in a financial year).
7.0 ADDITIONAL REQUIREMENTS:
In addition to the routine stationery items (list -1), if some items covered in List-1 are additionally required
due to official consumption, or due to special departmental requirements, these may be obtained on
the basis of contingent claim as per procedures set out at the end of list -3 (Contingent claim).
Other additional items as per list-2 for official use by department/individual shall be procured and
issued by Corporate HR-ES department/ Project/Station Materials department. These items shall be
issued on the basis of Store Issue Voucher (SIV) to be presented to the Stores department, with the
approval of controlling officer (E7 & above)
8.0 ANNUAL REQUISITION:
As a step towards effective procurement i.e. to determine the quantity requirements in a particular year,
The departments shall be asked to indicate an estimated quantity for the department annually by the
month of January each year, for the items (List-2 )to be distributed in the next financial year as per the
distribution roster finalized by corporate HR-ES Department / Project / Stations Materials Department.


9.0 AUTHORISATION FOR ISSUE FROM STORE:
Each department shall nominate a representative/alternate representative (authorized by controlling

officer (E6 above) to get the items issued from the stores.
10.0 EFFECTIVE DATE :
The revised system, procedures and entitlements shall be made effective w.e.f 13.10.2003.
11.0 OTHER INSTRUCTIONS:
11.1 It is preferred to have ‘Water Mark’ and NTPC logo on each paper and each item.
11.2 All items shall be gradually standardized by the Corporate HR-ES department as per the laid down
procedure and the brands shall be reviewed every two years as far as possible. All other units shall
follow the same standards. Variation if any without exceeding the cost of standardized products
depending on availability or other specific factors shall be with the approval of Head of the Projects
/Regional Headquarters in consultation with their respective Finance.
11.3 The Makes / brands shall be common for all wings of corporate centre/ project/station; it means that there
should be uniformity in a unit with respect to procurement of items.
11.4 Write-off of an item, which has become non-functional or damaged or lost, shall be with the approval as per
Delegation of Power.
11.5 The items need NOT be returned to the store and be written off on superannuation/retirement, transfer,
resignation, separation, suspension and termination from the services of the corporation.
11.6 For E-9 and above there is no need of entitlement. The items may be provided as per requirement.


RECORD OF REVISIONS

No. Date
Revisions
Dilip Mehra Harjeet Singh A N Verma

SM(HR) DGM(HR) AGM(HR)

System for disposal of old personal Updated as on: 31.01.2012
computers / laptops and peripherals Page: 1 of 4
SYSTEM FOR DISPOSAL OF OLD PERSONAL COMPUTERS / LAPTOPS

AND PERIPHERALS
1.0 The operating life of Personal Computer (PC) / Laptop computer including
peripherals, presently is 5 years. On the expiry of the operating life, the old
PCs/laptops and peripherals are replaced.
2.0 The matter regarding disposal of the old PCs/laptops and peripherals which have
out-lived their operating life of 5 years has been reviewed and it has been
decided as under:
2.1 Personal Computer and peripherals
On completion of the prescribed life and on replacement of the PC and

peripherals, the replaced PC & peripherals shall be disposed off, in the following
order of preference:-
a) Option to employee (whose PC has been replaced) to buyback at

Five percent (5%) of the actual purchase price.
b) Option to other employees to buy back at Five percent (5%) of the

actual purchase price.
c) Donation to Registered NGOs / NTPC Foundation.
d) Disposal as scrap without any reserve price through Scrap

Disposal Committee.
2.2 Notebook / Laptop
(ii) The Note Book/laptop computers to entitled officers i.e. GMs and above
shall also be disposed off in the manner as given above at 2.1(a) to (d).
(iii) Disposal of Note Book/laptop computers issued to non-entitled officers on

functional basis shall be in the following order of preference:
a) The employee who is the custodian of the Laptop at the time of

expiry of operating life of 5 years shall have the option to buy-back
at the reserve price of 5% of the actual purchase price.
b) In case the custodian does not opt for buy-back, any other
employee in the department as per approval of HOD shall have
the option to buy-back the same.
c) Option to other employees to buyback at Five percent (5%) of the

actual purchase price.
d) Donation to registered NGOs / NTPC Foundation.
e) Disposal as Scrap without any reserve price through Scrap

Disposal Committee.
2.3 The existing old PCs / Laptops and peripherals available in stores or lying in
various departments, which have already completed operating life of 5 years and
are obsolete and not in use may be disposed off without fixing any reserved price
through Scrap Disposal Committee.
3.0 Procedure for buyback / disposal:
3.1 Indentor while raising the indent for PC/laptop and peripherals against
replacement shall indicate on the indent itself, the details of existing PC/Laptop
and peripherals & whether he is opting for buyback, or not. Copy of the
approved indent should be forwarded to Sores. The revised indent form shall be
circulated by Corporate HR-ES Group separately.
3.1.1 In case the custodian of laptop does not opt for buy-back but any other employee
in the department as per the approval of HOD opts to buy-back the same shall
also be communicated to Stores In-charge.
3.1.2 In case of exercising option to buyback, the concerned employee shall be

communicated the exact buyback price by Stores In-charge and the employee
shall be required to deposit the amount with the respective Finance Group within
a week.
3.2 For all cases in which option for buyback is not exercised, Stores shall issue
circular inviting options from other employees for buy back of PCs/laptops and
peripherals available in Stores, which shall be given on first-come-first-served
basis.
3.3 If some PCs/Laptops and peripherals still remain, information regarding the same
shall be intimated by the Stores In Charge to the concerned Welfare Deptt / CSR
Group or NTPC Foundation for donation to registered NGOs/NTPC Foundation
or to the Scrap Disposal Committee for disposal as scrap.
4.0 Competent Authority for buyback / disposal of PCs/Laptops as at 3.2 & 3.3 above
shall be as under:
Project / Stations: Business Unit Head

Regional HQs : GM, to be nominated by the concerned Regional ED
Corporate Centre: GM (HR)
Authority:
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Scheme for reimbursement of Updated as on: 31.01.2012
litigation expenses to executives in Page: 1 of 4
cases arising out of motivated false
complaints against them
NTPC SCHEME FOR REIMBURSEMENT OF LITIGATION EXPENSES

TO EXECUTIVES IN CASES ARISING OUT OF MOTIVATED FALSE
COMPLAINTS AGAINST THEM
1.0 OBJECTIVE: To enable executives to initiate legal action in India against private
parties who make baseless allegations, pass derogatory remarks, lodge
motivated false complaints against them with a malafide intention on matters
arising out of bonafide execution of company’s work. This scheme shall not be
applicable in case of a complaint/allegation from another executive of NTPC.
2.0 APPLICABILITY: This scheme shall be applicable to all executives on the regular
rolls of the corporation. It shall also be applicable to NTPC executives on
secondment / deputation to Joint Ventures and Subsidiaries of NTPC.
3.0 DEFINITIONS: In these rules, unless the context otherwise requires.
3.1 Private party means any outsider other than a Government Agency such as CBI,
CVC, PSU etc.
3.1.1 A motivated false complaint/communication shall mean a written

complaint/communication other than anonymous or privileged. For the purpose of
this scheme a privileged complaint/communication shall mean any written
complaint/communication which is protected under law.
3.1.2 A baseless allegation, a derogatory remark shall mean so only if it is in writing.
3.1.3 Litigation expenses shall mean court fee and other related miscellaneous
expenditure, advocate fee, TA, DA, accommodation charges as per entitlement.
3.2 Baseless allegation, derogatory remarks, motivated false complaints against

executives of the company by a private party for the purpose of this scheme shall
herein after be referred to as the ‘Cause of Action.”
4.0 PROCEDURE:
4.1 If an executive desires to initiate any legal action in respect of any ‘ Cause of
Action’, he / she may put up the facts alongwith the relevant documents, seeking
permission to initiate legal action through proper channel.
4.2 All such proposals shall be placed before a Committee at Corporate Centre
consisting of one member of the level of E7 and above from Law, HR, Finance
and Company Secretary. The Convener of this Committee shall be the
representative from HR Department. The committee shall examine the gravity of
the ‘Cause of Action’, and recommend for grant or rejection of request for
permission to pursue legal action to the Competent Authority within a period of 15
days on receipt of such proposal.
4.3 The Competent Authority for executives upto the level of E7A shall be GM (In-
charge) in case the court fees in these cases is upto Rs 50000. For GMs and
EDs and those cases where the court fees exceeds Rs 50000, the Competent
Authority shall be the respective Functional Directors.
4.4 Once the permission is granted, the Corporate Law Department will identify a
suitable advocate in each case. The fee and other charges payable shall be as
per the NTPC scheduled rates for hiring of advocates.
4.5 The concerned executive shall execute a deed of undertaking as per the format
enclosed, agreeing to comply with the provisions of this scheme.
4.6 Since CMD and Functional Directors are more susceptible to slandering, wild
allegations made by persons inside or outside the organization, they would be
competent to decide and file a suit (Criminal / Civil or both) against the individual
(s) who has made such allegations / complaints against them.
5.0 OTHER TERMS AND CONDITIONS

5.1 In the event the Court Orders for payment of any compensation in favour of the
concerned executive, the amount so received shall be retained by the concerned
executive after payment to the Company, of the amount spent by the Company in
connection with the case.
5.2 The concerned executive shall pursue the case with due diligence and in the
event concerned Officer retires before the culmination of the case, even then the
concerned officer shall pursue the case till its conclusion at Company’s cost, as
mentioned above.
5.3 In the event the employment of the Concerned executive with the Company
comes to an end for whatever reason except otherwise than by superannuation or
on health grounds, the company shall not provide aid any further.
6.0 GENERAL:
6.1 The decision of the Competent Authority for granting permission to initiate legal
action shall be final and binding.
6.2 Company reserves the right to amend, modify or withdraw this Scheme at any
time.
Authority:
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)
NTPC Policy on HIV-AIDS at Workplace Updated as on: 31.01.2012
Page: 1 of 5
NTPC POLICY ON HIV-AIDS AT WORKPLACE
1.0 INTRODUCTION
HIV-AIDS is one of the biggest challenges in the history of Public Health. In India, nearly
4 million persons are estimated to be HIV positive. In the workplace, it can have a
potentially crippling impact. NTPC as a responsible corporate citizen recognizes the
seriousness of AIDS and its impact at the workplace.
2.0 OBJECTIVE
To ensure a consistent and equitable approach to the prevention of HIV- AIDS, and to the
management of the consequences of HIV-AIDS, including suitable care and support of
employees living with HIV-AIDS at the workplace.
3.0 APPLICATION
The provisions under this policy shall apply to all employees on the regular rolls of the
corporation.
4.0 GUIDELINES OF NTPC POLICY ON HIV – AIDS AT WORKPLACE
4.1 NTPC shall not carry out pre-employment HIV-AIDS screening tests for medical fitness of
new recruits.
4.2 NTPC shall maintain confidentiality regarding medical information, including HIV-AIDS
status of an employee. NTPC employees will not have any right to acquire or disclose
information about HIV status of their co-workers / subordinates.
4.3 NTPC shall not discriminate against its employees on the basis of their HIV-AIDS status,
and will continue to provide all standard social security benefits and occupation related
benefits to such employees.
4.4 NTPC shall ensure the dignity of the HIV affected employee by ensuring that other
employees in the workplace do not discriminate against him/her.
Page: 2 of 5
4.5 NTPC shall ensure access to all relevant information including treatment, counseling etc.
for the patient employee and his / her relatives.
4.6 On diagnosis of HIV in an employee, NTPC shall not ask him /her to cease attending
work solely on the basis of the diagnosis.
4.7 In case fitness to work of an employee is impaired by HIV related illness, NTPC shall
ensure reasonable working conditions.
4.8 NTPC shall not terminate the employment of any employee contracting AIDS, and shall
allow a person with HIV related illness to work as long as he / she is medically fit, for
available and appropriate work.
4.9 NTPC will carry out awareness campaigns about HIV-AIDS through pamphlets, posters,
leaflets, trainings, talks and interactive sessions to ensure a climate of mutual
understanding and for prevention of the disease among employees, their family
members, CISF and surrounding community. NTPC will also spread the information that
HIV virus is not transmitted through ordinary workplace contact.
4.10 NTPC shall also ensure prevention of HIV-AIDS through popularizing appropriate
protection measures like usage of condoms, healthy lifestyle, non usage of used
syringes, safe blood transfusion etc.
4.11 NTPC shall not withdraw any facilities provided to an employee if he / she is diagnosed
with HIV-AIDS.
4.12 NTPC shall provide adequate care to its HIV affected employees, extending to them the
same facilities as any other employees, especially for the treatment of any HIV related
opportunistic infection such as tuberculosis etc.
4.13 NTPC shall not include HIV-AIDS test as part of its annual health check ups unless called
for.
4.14 NTPC shall work in close coordination with agencies working for AIDS control like
National Aids Control Organization (NACO), supporting them in the furtherance of their
Page: 3 of 5
objectives and shall also make due efforts to create awareness about HIV-AIDS
prevention and control in society at large.
4.15 NTPC is committed to implement all policies and directives issued by the Govt. on HIV-
AIDS from time to time.
4.16 NTPC Management shall be committed to communicate their support of these policies to
workers in simple, clear and unambiguous terms.
5.0 STEPS TO BE TAKEN BY NTPC HOSPITALS TOWARDS PREVENTION OF AIDS
5.1 Sharp items (needles, scalpel, blades and other sharp instruments) shall be considered
potentially infected and handled with extraordinary care to prevent injuries.
5.2 Disposal syringes, needles, scalpel blades and other sharp items shall be promptly
placed by the NTPC staff in puncture resistant containers located as close as practical to
the area in which they are used. To prevent needle stick injuries, needles shall not be
recapped, purposely bent, broken, removed from disposable syringes, or otherwise
manipulated by hand.
5..3 When the possibility of exposure to blood or other body fluids exists, 'Universal
precautions' shall be followed. Blood body fluid, spills shall be quickly cleaned with
disinfectant solution such as sodium hypochlorite.
5.4 Protective covering like gloves, masks, gowns, eye covering shall be used when
performing surgical procedures where potential splashing or aerosol contact is possible.
Hands should be washed thoroughly and immediately if they accidentally become
contaminated with blood.
5.5 To minimize the need for emergency mouth to mouth resuscitation, NTPC shall ensure
location and availability of mouthpiece, resuscitation bags or other ventilation devices, in
all areas where the need for resuscitation is possible.
5.6 Before disposing articles contaminated with blood and other body fluids, these shall be
placed in thick polythene bags or plastic containers. The disposable items shall be
incinerated or autoclaved and discarded.
Page: 4 of 5
6.0 GENERAL
The Company reserves the right to modify, add, amend or withdraw any / all of the above
provisions.
Authority:
Page: 5 of 5
RECORD OF REVISIONS

No. Date
Revisions

M(HR) M(HR) AGM(HR)

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RECRUITMENT POLICY AND PROCEDURES

NTPC is therefore resolved to provide a framework of policies which will

In pursuance of the above objectives and consistent with the Company's

2.0 Manpower Planning and Budgeting

2.2 Based on the requirements of additional manpower of the individual

2.4 Annual manpower plans including the additional manpower requirements

3.0 Creation of Posts

S.N. Posts Authority

Top posts, as per Board's resolution Board of Directors

b All executive posts in the level of E7 Chairman &

c All executive posts including Executive Director (HR)

d All non-executive posts including GM (HR) at

Provided that no extension will be granted to any employee in such casual

4.1 Job specifications indicating the eligibility requirements in terms of minimum

fulfills the minimum eligibility requirements and conforms to the specifications

Provided, however, that in special and exceptional cases appointments may

5.0 Induction Levels

6.0 Agencies for Recruitment

6.3 In respect of all other non-executive personnel, recruitments will be done by

7.0 Sources and Modes of Recruitment

7.1 For recruitment of professional personnel in Company's executive cadre

7.2 In respect of recruitment to non-executive posts carrying a maximum basic

Provided that notifications for recruitment to reserved vacancies will also be

7.3 In respect of recruitment to non-executive posts carrying a basic pay of above

7.4 In addition to the above induction of executive and specialist non-executive

(a) deputation from Central/State Governments/ Electricity Boards and

view of the number or nature of posts to be filled.

(c) candidates located through personal contacts and talent survey,

8.0 To fill Job Openings by Selection from within

8.3 Subject to fulfillment of minimum eligibility requirements and other prescribed

8.4 Applications of all internal candidates will be forwarded to the HR

(b) Assessment of the performance of the candidate.

(c) Remarks whether or not candidate can be released in case he is

9.0 Preference for Candidates Belonging to Scheduled Castes/ Scheduled

10.0 Application Formalities

10.1 No appointment other than appointments on deputation will be made in the

11.0, Forwarding of Applications of Candidates from Government and Public

fund and other benefits or transfer on movement to another organization in the

Provided, however, that applications from candidates from public undertakings

(a) he will be agreeable to forego the benefits of carry forward of

(b) he will be able to produce a 'No Objection Certificate' and secure

11.2 In respect of candidates from public undertakings who, despite the

Applications submitted through proper channel may be processed on the

1 1 .4 In respect of candidates from Government and public sector organisations

12.0 Requisition of Manpower

12.1 The respective departments will forward their manpower requirements in

(a) out of acceptable transfer requests pending, if any.

(b) recommended inter-functional adjustments of posts.

(c) record of surplus staff (internal) suitable for deployment.

(d) executive trainees, diploma trainees and other trainees / apprentices

whose completion of training coincides with the requirements.

13.0 Processing of Applications

13.1 All applications received against a specific notification/ advertisement will be

(a) Applications are duly completed and accompanied by the prescribed

(c) Qualifications and experience of the candidates conform to those

(d) Applications have been submitted 'Through Proper Channel' whenever

14.0 Selection Process and Constitution of Selection Boards

association with the concerned Department wherever necessary will evolve

1 4 .3 All appointments to the executive and managerial cadres of the Company

14.4 All appointments to posts in various non-executive categories including

(a) Concerned Department/Function

(c) District/Local Administration at appropriate level but not below

14.5 The Selection Boards/Committees will be constituted by the HR Department