.!

ITT , T117,7,7,172117,;

CHAPTER-V
CONSULTATION WITH AND RECRUITMENT THROUGH THE U.P.S.C.
1. Basic Principles

The matters in respect of which it is necessary to consult UPSC are generally speaking
those detailed in Article 320(3) of the Constitution. Under the proviso to clause (3) of that
Article, the President as respects the All India Services and also as respects. other services and
posts in connection with the affairs of the Union may make regulations. specifying the matters
in which either generally, or in any particular class of cases or in particular circumstances, it
shall not be necessary for the Union Public Service Commission to be consulted. The Union
Public Service Commission (Exemption from Consultation). Regulations,,1958 have been framed
under that. proviso.
2. Matters requiring Consultation with the UPSC by virtue of Statutory Provisions.
2.1 (a) all matters relating to methods of recruitment to civil services and for civil
posts;
(b) on the principles to be followed in making appointments to civil services and posts
and in making promotions and transfers from one service to another and on the suitability of
candidates for such appointments, promotions or transfers;
(c) on all disciplinary matters affecting a person serving under the Government of India
in a civil capacity including memorials or petitions relating to such matters;
(d) on any claim by, or in respect of a person who is serving or has served under the
Government of India in a civil capacity, that any costs incurred by him in defending legal
proceedings nistnuted against him in respect of acts done or purporting to be done in the execu-
tion of his duty should be paid out of he Consolidated Fund of India;
(e) on any claim for the award of a pension in respect of injuries sustained by a person
while serving under the Government of India in a civil capacity, and any question as to the
amount of any such award; and
(f) on any other matter which the President may refer to the Commission.
[Article 320(3) of the Constitution]
2.2 Recruitment to certain categories of posts in the Delhi Municipal Corporation. the
Employees State Insurance Corporation and the 'Employees' Provident Funds Organisation as
provided for in the relevant Acts made under Article 321 of the Constitution.
[D.M.C. Act (No. 66) of 1957, Sec. 96, ESI Act (No. 34), Sec. 17; EPF Act 1952.
Sec. 5D]
i. Hatters requiring Consultation with the Union Public Service Commission fry conven-
tions or by virtue of Government Orders.
3.1 Proposals for upgrading a Group C post recruitment to which has already been made
without consulting the Commission or down-grading a Group B post.
[MliA O.M. No. 18: 45 1 51-Ests. dt. 29-9-1951].
3.2 Promotions : (i) The Union Public Service Commission should be associated with the
Departmental Promotion Committees in respect of all Central Civil Services/Posts belonging to
Group 'A' where promotion is hal. -._d on principles of Selection unless it has been decided by a
special order of the Government not to associate the Union Public Service Commission, with
Group 'A' Departmental Promotion Committee. The Commission need not be associated with
t4
 95

the DPC in respect of posts belonging to Group A, if the promotion is not 'based on the princi-
ples of selection but only on seniority-cum-fitness (Please See 'Aimexure4).
[Home Department CM No. 33 1 46/Ests(R), dt. 17-6-46 and DOP OM No. 22011 6 '75-
Estt( 0- ). dt. 30-12-76]. '
(ii) In respect of DPCs belonging to Group B association of the Commission is not neces-
sary. In Cartral Serviees/Posts in Group C, association of the,:Commission is impracticable.
POP OM No. 1/1Ci/68-Estt(D)., dt. 3-3-72].
A Member of the Commission _need not be associated for assessing the suitability of officers
for (1) retention in service beyond the age of 55 years; and Considering EB Cases.

Confirmations ..--,Prior to 14-3-1977 a Chairman/Member of the Commission was required

to be associated with the DPC relating to confirmation of officers whose selection was within
the purviewof the Commission. With the issue of the DOP OM.No. 39011/2/S/75-Estt(B),
dt. 14-3-1977 the association of the Chairman/Member of the UPSC with the DPC considering
confirmation of officers has been dispensed with. The Ministries/Departments are, however,
required to send the .proceedings of such DPCs to the Commission for their approval. The pro-
posal for approval of the recommendations of the .DPC shotild be made to Commission in the
prescribed proforma at Annexure-11 alongwith the following information dul!, authenticaterl
seniority and integrity certificate :
(i) Whether the officers have completed satisfactorily the period of ,probation.
(ii) Whether appropriate reservation for SC/ST in services/posts has.been made.
(iii) Complete and up-to-date CR dossiers of the officers who have been asse ,
`Notyefi'rcnma.
(iv) Whether the Ministries/Departments have convened the DPC in time to c
confirmation, and if not the reasons therefor.
(DO? OM No. 22011/6/75-Estt(D), dt. 30-12-7( DOP 0 MNo. 18011/1/78-
,dt. iU-3-78; DOP and dt. 22-1-72].

While doing so the cases of the officers not found fit for confirmation are requir(
sent alongwith their records as required in DOP OM No. -39011/2/S/76-Estt(D) dt.
In case the Commission do not agree with the recommendations .of :the DPC :a fresh meeting
the DPC is convened to be presided over by Chairman/Member of the Commission.
[MBA OM No. 39011/2/75-Estt(D), dt. 23-2-78].
3.3 Recognition of any educational qualification as eqUivalent to the Matriculation •xami-
nation for purpose of entry into .any _service or post under the Central Government
[MHA OM No. 197/47-Ests., dt. 10-10-1947]
3.4 Recognition of degrees and diplomas awarded by private bodies and institutions for
the purpose of employment under the Government of India.
[MHA 0 MNo. 32/10/.49-Ests., dt. 24-6-1949]
3.5 In cases of doubt whether thc duties of a post are Ministerial or non-ministerial in
character.
[MBA OM No. 20/16/48-Ests. dt. 23-11-1949 (para 3)].

NOTE :—Reference in such cases should be made to the Departnient of Personnel & A.R.
who will decide whether it any particular case the Commission's advice should he
sought.
[MilA OM No. 12/48 `52-Ests., dz. 17-1-1953].
 3.6 Cases in which the Central Government proposed to take action against an officer of
the All-India Services under Rules 3, 6 and 7 of the A.I.S. (Death-cum-Retirement Benefits)
Rules, 1958.
[MHA letters No. 1 /4/55-AIS(III) , dt. 244-58. No. 12/13/ 60-AIS(11) , di.. 28-11-60
and No. F.29/20/63-AIS(II), dt. 5-8-1965.1
3.7 Association of the Chairman or a Member of the UPSC with the special Recruitment
Board for making selections for the scientists pool.
[MHA Resolution No. 8/4/57-M.P., dated' 14-10-1958.]
3.8 In case the officer to be confirmed in a post is recruited through the Commission follow-
ing instructions should he observed while referring his case of confirmation to the Commis-
sion :—
(i) If an officer is recruited through the Commission for appointment to a post, which has
been advertised as 'Permanent' or 'Temporary" likely to become 'Permanent' he could he con-
firmed therein without a fresh advertisement. If there are no other officers in the grade eligible
for confirmation, the UPSC need not be consulted on the question whether to re-advertise the
post .

(ii) Where an officer is initially recruited through the Commission for a post advertised as
temporary and it is proposed to confirm him therein a reference should be made to the Corn-
nission to dein& in each case whether the post should be re-advertised on becoming penna-
nt or the officer confirmed therein.
[MBA OM No. 18/64/59-Estt(D), dt. 13-1-1951 & DOP OM No. 20/40/70-Estt(D),
dt. 13-10-76.1
9 According to Recruitment Rules—"Power to Relax Clause".—Where the Central
anent is of the opinion that it is necessary or expedient so to do, it may, by order, for
...to be recorded in writing, and in consultation with the UPSC, relax any of the provisions
rules with respect to any class or category of persons.
e Commission do not have any power to relax the recruitment rules on their own accord
for direct recruitments for which a provision already exists in the recruitment rules. The
1 for relaxation, if any. is to be initiated by the concerned Ministries/Departments who
also obtain clearance of Department of Personnel before referring the case to UPSC.
Ae.Commission are only to advise the Ministries/Departments as and when proposals are made
to them.
3.10 Adoption of principles of seniority different from those laid down in annexure to MBA
OM No. 9/11 /.55-RPS., dt. 22-12-59 in respect of any Service/Post.
[Para 1-01 the Annexure to MHA 01%.4•No. 9/11/55-RPS, dated 22-124959]
4. Nuf., -c excluded from the purview of the Commission
4.1 As respects the manner in which any provision for the reservation of appointments or
posts in favour of any backward class of citizens is to he made under Article 16(4) of the Cons-
titution or as respects the manner in which effect may be given to the provision of Article 335
relating to the claims of Scheduled Castes and Scheduled Tribes to services and posts under the
Union Government.
[Article 320(4) of the Constitution].
4.2 In regard to any of the matters mentioned in clauses (a) and (b) of para 2.1 above in
the case of the services and posts specified in Annexure-III.
4.3 In regard to any of the matters specified in paragraphs 3 to 6 of the UPSC (Exemp-
tion from Consultation) Regulations. 1958, as amended from time to time. (These arc explained
in detail under the relevant headings below).
 97

[Article 320(3), proviso, of Constitution read with U.P.S.C. (Exemption from Consulta-
tion) Regulations, 1958, MHA Notifn. No. 18y4/51-Ests(B), dt. 1-9-58 (Regulation 2)].
5. Procedure for consultation with the Commission
5.1 General :
5.1.1 It should first be examined whether on any matter under consideration consultation
with the Commission is necessary or not in terms of statutory requirements or by convention or
in accordance with any extant orders.
[MHA OM No. 18/18/48-Ests., dt. 20-8-1949.1
5.1.2 Where consultation is necessary an officer of the Ministry not below the rank of
Deputy Secretary, should, in the first instance, discuss the matter personally with the Secretary
of the Commission or his nominee In case of recruitment to posts requiring technical or special
qualifications, the technical experts of the Ministry could also with advantage participate in such
discussions. At such discussions all aspects of the proposals should be considered and an agreed
memorandum of the conclusions, including.the points of difference, if any, recorded. For re-
solving such differences, conferences should be arranged at higher levels between the Ministry
and the.Chairman or Member(s) of the Commission concerned. The Establishment Officer will
be available to assist on such occasions.
[MHA OM No. 18/20/54-Ests.(8), dt. 8-9-1954.]
5.1.3 All references should be made direct to the Commission by the administrative Minis-
try concerned in the form of an official letter with which all relevant papers or copies of papers
should be forwarded, provided that no reference which is not obligatory under article 320(3) of
the Constitution or under any direction issued by the GovernMent shall he made, save with the
previous concurrence of-
(i) the Department of Personnel and Training; and
(ii) in cases involving financial considerations, also Of the Ministry of Finance.
In the case of the Ministry of Railways, the reference should be made to the Financial Commis-
sioner, Railways, it being left to him to consult the Ministry of Finance if he considers it neces-
sary to do so.
[MHA OM No. 18/18/48-Ests., dt. 20-8-1949, Appendix II Para I.]
NOTES :—(i) It is important that on all occasions where a reference has to be made to
the Commission in any matter no letter should issue until after an officer not below the
rank of Deputy Secretary has discussed the matter personally with the Secretary of the
Commission or his nominee.
[DO Letter No. F.31(7)-EC/55. dt. 12-3-55 from I.S., MHA and MHA OM No. 23/37/
68-Ests(B), dt. 23-10-1968.]
(ii) As most cases of unresolved differences between Ministries and the Commission
ultimately require a reference to the Appointments Committee of the Cabinet, the
Establishment Officer to the Government of India. who acts as Secretary to that
Committee, should be utilised as a general liaison officer between the Government
and the Commission; and any instances of failure to follow this procedure should he
brought to his notice.
[MI-TA OM No. 18/20/54-Ests(B), dt. 8-9-1954.,
(iii) All Heads of Attached and Subordinate Offices can directly correspond with the
Commission on matters relating to promotion/recruitment to posts for which they
are the appointing authorities. However. in cases where it is proposed not to accept
the advice of the Commission or of a D.P.C. presided over by a member of the
U.P.S.C.. all further references to the Commission. antecedent if necessary to the
 98

submission of the case AO the appointments Committee ..of the • Cabinet, .should be
made by the administrative Ministry concerned and not by the head,of the Attached/
Subordinate Office.
[MI-IA OM No. F. 18/1/59-Ests(B). dt. 24-2-1959.]
5.1.4 The Commission have the right to call for any information which may be required
by them in the discharge of their functions.
[HD. OM No. 33/46-E.sts(B). dt. 17-6-1946, para 121
5.2 Recruitment Rules.
5.2.1 It it not necessary to consult the Commission in framing the recruitment rules for the
services and posts specified in the Schedule to the UPSC (Exemption from Consultation) Regu-
lations, 1958. For all other posts and *Services including those to which appointments may be
made without consulting the Commission under the provisions of regulation 3. Recruitment
Rules should be framed in consultation with the Commission.
[MHA OM No. 18/10/58-Ests(B)., dt. 94-1959, read with Regulation 3 of iT.P.S.C.
.Exemption from Consultation Regulations.]
5.2.2 In consulting the UPSC on the framing of the recruitment rules for services/posts in
Group 'A' or Group cfr. the following procedure should be followed : •
Recruitment Rules as drafted in the form at Annexure IV by the administrative Ministry
Department should first be referred to the Department of Personnel & A.R. and after consulting
them. the draft rules should immediately be referred to the Commission along with the informa-•
-

Lion .snecified in the proforma at Annexure V. While making a reference to the Commission, the
fact that the draft recruitment rules have been concurred in by the Department of Personnel
A. R. should be clearly stated. Before, however. a reference is made to the Commission. it is
necessary to .discuss the proposals :with the Commission's Secretariat as laid down .in para 5.1.2.
above. This procedure will also apply to .amendments to existing recruitment rules except 'that
the .profornia will be as at Annexure-VI.
(NB A OM No. 20/3/67-Ests(D), dt. 11-8-1967.1
[See also Chaptef on "Mode of Recruitment and Appointment"]

5.3 Recruitment.
5.3.1. When new posts are created or the requirements for existing posts altered (unless any
newly created nosts sre covered by the existing recruitment rules or instructions framed in con-
stiltation with the UPSC), the Commission should be consulted (unless. under the Regulations.
the case is outside the Commission's pumiewl before qualifications are prescribed, method of
recruitment • decided upon and .advertisements drafted for inviting applications.
I HD. OM No. 12(6)/46-Ests., 16-8-46 read with MBA OM No. 18'20/54-Ests(B),
dt. 8-9-54.1
5.3.2. The mere fact that a newly created post has not yet been formally classified on
account of some administrative or other delay is itself not sufficient authority to dispense with
consultation with the UPSC in making appointment thereto. In such a case the classification of
the post may be assumed. by comparison with any similar posts which have already been classified.
and the question whether consultation with the Commission is necessary decided on that 'basis.
[MHA OM No. 38/18/48-Ests.. dt. 20-9-1949. Appendix-1 Para 61
5.4. Appointments which may be. made without consulting the Commission.
5.4.1. Save as otherivise expressly provided in the rules governing recruitment n' the civil
 '99

service or civil post concerned, it is not necessary to consult the Commission in regard to the
selection for appointment—
(a) to a post included in an All-India Service, of any officer who is already a member
of an All-India Service;
(b) to a post included in the Central Services Group A, of any officer in .me Armed
Forces of the Union or any officer who is already a member of an All-India Service
. or a Central Service, Group 'A';
.(c) to a Central Service Group B or to a post included in a Central Service, Group B of
.any officer who is already a member of a Central Service, Group B, or Central Service,
Group C or of any officer in the Armed Forces of the Union; and
(d) to a tenure post included in a Central Service Group A, or a Central Service, Group B
of an officer of a State Service.
NOTES : (i) The terms "Central Service, Group A, Central Service, Group 'B' and Central Service,
Group 'C' include corresponding Railway Service and Defence, Services (Civilian).
(ii) The term "Officer means a person appointed to an All India Service, or the Armed
Forces of the Union, or a Central Service, Group 'A', or a Central Service Group 13'
or a Central Service, Group or a State Service, as the case may be in accordance
with the relevant Recruitment Rules.
(iii) The term "State Service" means service in a State appointments to which are made
by the Governor.
. (iv) The term "Tenure Post" means a post, whether permanent or temporary, which has
been classified as a tenure post in consultation with the Commission. [U.P.S.C.
(EFC) Regulations, Regulation 3].
Explanation :Posts sanctioned from year to year are not tenure posts. .
I H.D. 'OM No. 12/4/47, dt. 21-6-47 read with F.P.S.C. letter No. 5/11/47-S, dt. 6-6-47.]
5.4.2. Consultation with the Commission in the above matters will be necessary, if the
method of recruitment for the grade/service in question has not been finalised in consultation with
-the'Commission:
IMHA OM No. 18/10/58-Ests(B), dt. 9-1-59 Para 2.]
It is not necessary to consult the Commission in regard to the selection for a tempo-
rary or officiating appointment to a post, if
,(a) the person appointed is not likely to hold the post for a period of more than one
year; and
(b) it is necessary in the public interest to make the appointment immediately and a
reference to the Commission will cause undue delay.
Provided that :
(i) such an appointment should be reported to the Commission as soon as it is made;
'fin if the appointment continues beyond a period of six months, a fresh estimate as to
the period for which the person appointed is likely to hold the post should be made
and reported to the Commission; and
(iii) if such estimate indicates that the person appointed is likely to hold the post for a
period of more than one year from the date of appointment, the commission should
immediately he consulted in regard to the filling of the post.
[UPSC (E.F.C.) Regulations, Regulation 4.]
If it becomes necessary for Ministries/Departments to make ad-hoc appointments pending
selection through the Commission. they should make sure that the persons appointed conform
14-35Per Trg, /87
 1.0 0

to the age limits prescribed in the Recruitment Rules. In making such an appointment it is
equally important. for the appointing authority to take into account the qualifications and experience
etc. prescribed, so that cases do not arise where persons thus appointed cannot even be considered
for being called for interview on the ground that they do not possess the requisite qualifications
and experience.
[MHA OM No. 4/7/68-Ests.(D) dt. 10-4-19691

5.4.4 Recruitment to all posts which arc temporary but are likely to be made permanent
should be made through the Commission and resort to the exception in regulation 4 should not
be had in such cases. Such posts should be advertised as temporary but likely to become perma-
nent so as to attract suitable candidates.
[(MHA OM No. 18/18/48-Ests., dt. 20-9-1949, Appendix I Para 51

5.4.5 (i) Before making temporary or officiating appointment, the appointing authority
should ascertain from the Commission whether they have an approved list of candidates considered
suitable for the post and should ordinarily appoint the first person from such list in preference
to.any candidate from the open market.
(ii) Since temporary or officiating appointment without consultation with the Commission
is intended to avoid delays usually involved in recruitment by the Commission by open advestise-
ment, such recruitment, where it is proposed to be made by open advertisement, should be
entrusted to the Commission.
[(MHA OM No. 18/18/48-Ests., dt. 20-8-1949; Appendix 1, Para 4.1
(iii) There is no provision for approval by UPSC for any appointment initially made without
consulting them. The objective behind reporting of ad hoc appointments to the UPSC under
Regulation 4 is not to secure their concurrence to continuance of ad hoc appointment beyond one
year but to enable the Commission to discharge their constitutional responsibility to bring to the
notice of the Parliament, through their Annual Report, the cases in which the Government have
not followed the constitutional provision of making regular appointment through UPSC.
(iv) In cases in which recruitment rules already exist, after a temporary or officiating appoint-
ment has been made under the provisions of regulation 4, the appointing authority must forward
to the Commission within a period of six months of such appointment, a requisition for recruitment
to the post or for regular promotion thereto or take such other action as may be required under
the recruitment rules (including the convening of their own D.P.C. in cases in which the Commis-
sion are not to be associated.) In cases in which recruitment rules do not exist the appointing
authority should finalise the recruitment rules for the post in consultation with the Department of
Personnel and the Commission within, say, a maximum period of six months from the date the
'post is sanctioned.
[MHA OM No. 23/27/68-Ests(B), dt. 26-12-68 read with Department of -Personnel OM
No. 23/51/71-Ests(B), dt. 25-9-1972.1
(v) It is irregular to make temporary officiating appointments up to one year without consul-
tation with the Commission even though the appointments are likely to be continued beyond a
period of one year and to initiate action for regular appointments only when the officer has
completed or is about to complete one year in that appointment. When it is known at the time
of the initial consideration of the case itself that a particular appointment would last for more
than one year, steps should he taken without delay for making a regular appointment in accord-
ance wth the recruitment rules where such rules exist; and where no such rules exist. the annointing
authorities should ensure that the recruitment rules are finalised in consultation with the Commis-
sion within a maximum period of six months from the date the appointment is made and action
initiated soon thereafter to fill the post in accordance with the recruitment rules so finalised.
fMHA OM No. 23 '27/68-Ests(B). dt. 26-12-68 read with Department of Personnel OM
No. 23 '51 '71-Ests(B), dt. 25-9-1972.1
 (vi) in order to enable the Commissoin to exercise a close check on ad hoc appointments,
the Ministries/Departments are required to furnish the following returns to the Commission of all
appointments made by them to Group 'A' and Group S' Central Services and Posts :—
(i) A miuthly report of all ad hoc appointments in the proforma prescribed for the
purpose as at Annexure-VII (a) .
(ii) A six monthly review of all ad hoc appointments in terms of Regulation 4 should be
made by all the Ministries/Departments and the results thereof reported every month
to the Commission in the.proforma.prescribed for the .purposes as at Annexure-VII(b).
E
The returns are to be submitted to the Commission by the 20th of every month, in respect of the
appointments made dUring the previous month. The attached and subordinate offices are required
to send their returns to the Ministry concerned in the first week of every month to enable -the
latter to send a consolidated return to the Commission by the due date. If there are no such
appointments in.a particular month, a NIL 'Report should be send for that month by the prescfibed
date to the Commission.
(vii) If the Commissionfind.that any ad hoc appointment was.not included in the Statement,
a special mention of all such cases will be made by the Commission in 'their Annual Report;
the : Ministry concerned will be required to fix responsibility on the officer concerned for not report-
ing such cases.
2. The situations in whieh the ad hoc appointments are made may be of two types :-
(a) where the xecruitment rules exist for the posts; and
(b) where the recruitment rules for the posts do not exist.
In cases Jailing in the first category in .respect of anticipated vacancies on account of factors
like superannuation or ,promotion to the, higher rank, the Ministries/Departments concerned
should be able to make reference to the Commission at least 4 months prior to the date on
which vacancies are expected to arise. (Please See Annexure-VIII).. Where recruitment rules
are available and an unanticipated vacancy occurs on account of factors like death, resignation
or compulsory/voluntary retirement, and the vacancy cannot be allowed to remain unfilled even
for 'a petiod of 3 to 4 months, then ad hoc promotions/appointments can be made by the
Ministries/Departments, strictly in accordance with the recruitment rules and after observing the
procedure for promotion/appointment laid down in the rules, but without consulting the UPSC.
Simultaneously with such ad hoc appointment an indent will have to be forwarded to UPSC for
regular appointment.
in so far as the appointments in the second category are concerned, hithertofore a view had
been taken that in the absence of recruitment rules laying down definite mode of recruitment for
ailpost, the normal procedure should be that the post is filled up by competitive selection through
the Commission. It has been provided that when for some unavoidable reasons delay is anticipated
in finalising the recruitment rules for a post, recruitment for that post should be entrusted to the
Commission as soon as the post is sanctioned and it is decided to fill it, to enable the Commission
to take necessary action for filling it up by competitive selection. In accordance with this proce-
dure, in the absence of recruitment rules the only type of regular appointment made was by open
advertisement and 'selection through the Commission. In the absence of recruitment rules,
appointment by promotion or transfer on deputation was not being considered and the posts were
continued to be filled on ad hoc basis and with the delay in finalising the recruitment rules such
ad hoc appointments continued beyond the period of one year.
In should be possible to fill such posts by transfer, on deputation or by promotion also in
consultation with the Commission. even if the recruitment rules are yet to be framed. In such
cases the Ministries/Departments should make an immediate reference to the Commission for
deciding the mode of recruitment to the post alongwith their suggestions. On receipt of such a
reference, the Commission will advise on the mode of recruitment. Where the Commission advise
 1112

direct recruitment, the post will be advertised by the Commission; where the Commission. advise
the filling of the post by transfer on deputation or by promotion from lower .grade or short-term
contract, the Ministry will take further action as per advice of the Commission and fill the post
in consultation with the Commission accordingly. Since the appointment by transfer/deputation/
short-term contract/promotion will be made in accordance with the advice given by the Commis-
sion, it will be treated as regular appointment. In other words, where recruitment rules have
not been framed, there shall not be any ad hoc appointment and there will only be regular
appointment in consultation with UPSC. However, simultaneously, steps to frame recruitment
rules should be taken by the Ministry and the rules finalised in consultation with the Department
of Personnel and the Commission as expeditiously as possible so that they could be made applicable
to the future vacancies. Where the Recruitment Rules provide for re-:employment as ‘a ,niethod
of recruitment, the proposal should be made to the Commission for selecting .an officer „for
appointment on re-employment, basis in accordance with the provisions of the Recruitment Rules.
Re-employment made under Regulation may be dealt with on the lines of ad hoc appointment.
(viii) When the UPSC are addressed for their concurrence in upgrading a 'Group C post to
Group B to which recruitment has already been made without consulting the Commission, reference
should simultaneously be made to them for the assessment of the suitability of the incumbent(s)
of the Group C post(s) for appointment to the upgraded Group B post(s) and such reference
should be accompanied by the seniority list (s) and up to date character Roll(s) of the incum-
bents) of the Group C post(s) to enable the Commission to tender their advice.
(ix) (a) Administrative Ministries/Departments should furnish the Commission with Monthly
returns of all appointments made by them without consulting the 'Commission, in the proforma
at annexure VII, by the 20th of the month following the month to which the returns relate. The
returns should be sent in a consolidated form and should indicate all appointments made in the
Ministry/Department including its attached/subordinate office and other organisations appoiniment
in which are within the purview of the Commission. Even if there are no such appointments in a
month, nil report. should be sent.
(b) A list of all appointments made from time to time in the Ministry/Department (including
attached and subordinate offices) without reference to the Commission should be kept in the
coordinating section on the basis of the returns sent to the Commission and this list should be.
reviewed by an officer not lower in rank that of a Joint Secretary, by the 25th of every month
and action to consult the Commission should be taken immediately thereafter . wherever necessary
under the rules. The Ministries/Departments should also intimate to the Commission the name
of the officer appointed for the above purpose to enable the Commission to bring to his notice
any irregularity observed by them in the matter. •
(c) Files relating to such appointments should not be closed, but should be entered in •the
Call Book and reviewed periodically according to the instructions in the manual .of office procedure.
(d) In cases of delay and irregularities in the procedure mentioned above, responsibility for
such delays and irregularities should be fixed and suitable action taken against officer(s)
concerned.
[H.D. OM No. 12/9/46-Ests., dt. 24-7-1946, MHA OM No. 23/24/63-Ests(B), dt.
10-4-64, No. 23/27/68-Ests(B), dt.. 26-12-68, and Deptt. of Personnel OM No. 23/25/71-
Ests(B), dt. 25-9-1972.]
(x) Each Ministry/Department should undertake a review of all appintments made under
Regulation 4(1) of the UPSC (Exemption from Consultation) Regulations, 1958, immediately
after three months from the date of appointment, complete the review within a . period of six
months and make a reference to the Commission under the proviso to the said regulation if the
appointment continues or is likely to continue beyond a period of six months.
[MHA OM No. 23/27/68-Ests(B) , dt. 26-12-1968.]
 1 05

(1) All the Ministries/Departments should also make a mention in their letters forward-
ing requisition for recruitment to UPSC that the vacancies to which recruitment is
being sought for do not attract the ban or have been exempted with the approval
of competent authority. In the absence of any such clear indication, the requisition
should be returned to the Ministries concerned.
[DOP&T OM No. 24012/57/84-Estt(B), (Vol. II), dated the 8th October, 1985]

5.6.3 If a post has been advertised by the Commission on a definite scale of pay and if that
scale undergoes a revision before the selected candidate has been offered the appointment, the
fact of revision of the time scale should be noticed to the Commission to enable them to consider
whether the post should be re-advertised in order to secure a better qualified candidate or whether
the selection .already made by them would suffice. Further action should be taken in accord-
ance with the advice of the Commission.
[MHA OM No. 18/5/49-Ests, dated 22-4-1949].

5.6.4 Participation of Departmental Representative in Interview Boards :

Where the Commission asked for association of a Departmental representative with an in-
terview board constituted by them in connection with the requisitions sent to them for recruitment,
the Ministries/ Departments should, save in eceptional circumstances, depute only one represen-
tative of the appropriate rank. The Ministry can decide whether the representative should be
an officer from the Secretariat of the Ministry /Department or a technical officer or some duly
qualified officer; but the officer should be well-acquainted with the requirements of the post for
which recruitment is to be made.
[MHA OM No. F.23/54/68-ESTS(B), dated 28-9-1968.]
5.6.5 Qualifications prescribed for posts which are required to be filled by direct recruitment
through the Commission, should be carefully drafted by Ministries/Departments in unambiguous
terms so that no difficulty arises in regard to their interpretation.
[MHA OM NO. 23/37/68-Ests(B). dated 23-10-1968].
5.6.6. Offers of Appointment.—In order to avoid inconvenience to candidates as also
embarrassment to the Administration, the Ministries/Departments are required to ensure that
the offers of appointment are sent to the candidates recommended by the Commission within
three to four months of the receipt of Commission's recommendations. Special watch should be
kept in respect of cases where the offers are not sent within the specified period mentioned above.
'In addition to the fortnightly review of such cases by the Head of Department or Joint Secretary
concerned, a quarterly review statement is required to be submitted by the Head of the Depart-
ment and Joint Secretary concerned to the Secretary to the Department/Ministry in the prescribed
proforma by 10th of the following month.

Also particulars of cases in which offers of appointment to candidates selected by the UPSC,
are not issued within two months of the date of receipt of the recommendations of the Com-
mission should be forwarded to the Department of Personnel & AR for each half-year by the
15th of the following month, i.e. by the 15th July and 15th January each year.
[MHA OM No. 21/23/62-Ests(B), dated 4-10-1962. 23/2/65-Ests(B), dated 11-2-1965,
30/12/66-Ests(B) dated 15-9-1966 & No. 23/97/68-Ests(B). dt. 26-2-1969.]

5.7 Assessment Reports on Candidates

Ministries/Departments should send to the Commission annual assessment reports on candi-
dates appointed on the recommendation of the Commission, in the proforma prescribed for the
purpose (Annexure XI). These reports should be sent for the first five years of their service in
respect of officers selected through the competitive Examinations (excluding Defence Services and
Ministerial Services Examinations) and for a period of two years after appointment (excluding
 10 6

the period of probation) in the case of officers selected through interview. Reports need not be
sent for officers /Services below Group A-Junior scale.
[Department of Personnel OM No. 23/12/71-Ests(B), dated 27-4-71]

5.8 Absorption of Surplus Central Government Servants

(i) Officers declared surplus under the scheme for redeployment of surplus staff as indicat-
ed in MHA OM No. 3/27/66-CS.II, dated 25-2-1966 will be redeployed by the Central (Sur-
plus Staff) Cell of the Department of Personnel. Following procedure has been prescribed for
the redeployment against Group A & Group B services/posts which are required to be filled
through the UPSC
The cases of redeployment of surplus staff in the Cell will be considered by the Union Public
Service Commission (if necessary on the basis of an interview) for appointment against Group
A and Group B Services/Posts filled otherwise than on the 'basis of competitive examinations
held by them. For the purpose, the Controlling Authorities, who are already required to send
to the Director General, Resettlement Ministry of Defence, copies of requisitions for filling of
vacancies in Group A/Group B Services/Posts simultaneously when they are placed with the
Commission [Cf. Para 1(ii) of Ministry of Home Affairs OM No. 14/42/65-Estt(D), dated
29th March, 1966] should also simultaneously send the copies of requisition to the Central
(Surplus Staff) Cell in. the Department of Personnel. The Central Cell will forward to the
Commission within 10 days of the receipt of a requisition, the detailed particulars of staff who
may be considered by them to be prima facie suitable for appointment against the vacancies in
question. If no recommendations are received from the Cell within the aforesaid period of 10
days or if the candidates recommended for consideration by the Cell are not found suitable by
the Commission, the Commission will proceed with the recruitment for the posts in the usual
manner.
•[MHA OM No. 1/2/66-CS.111, dated 25-3-1968]
5.9.1 Promotions/Confirmations.
5.9.2 Where a member of the 'UPSC has to preside over meeting of the DPC, the necessary
documents should be sent to the Commission along with the references requesting the commis-
sion to nominate one of their Members to preside over the DPC. The papers should be com-
plete as per the proformac as given in Annexure-II, duly filled in and should be sent in good
time before the meeting. It should be ensured that the information furnished to the UPSC/DPC
is factually correct and complete in all respects. Cases where incorrect information has been
furnished should be investigated and suitable action taken against the person responsible for it.
The recommendations made by the DPC before they are implemented require approval of
the Commission, if
(i) consultation with UPSC is compulsory under UPSC (Exemption from Consultation)
Regulations, 1958, as amended from time to time; or
(ii) the Member of the Commission who presided over the DPC specifically desires that
the Commission should be consulted.
In such cases the Commission convey their approval while sending the proceedings of the DPC.
MOP OM No. 39011/215/73-Estt(D), dated 14-3-1977, OM No. 22011/6/75-Estt(D),
dated 30-12-1976].
5.9.3 Where UPSC is associated with the DPC, the recommendations of the DPC should
be treated as recommendations of the UPSC. If it is considered necessary by the appointing
authority to vary or disaeree with the recommendations made by the DPC, the procedure prescrib-
ed for over-ruling the recommendations of UPSC should be followed. The relevant portion of
 103

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

(i) the initial appointment to the Delhi, H.P. and Andaman and Nicobar Islands Civil
Service of any person who was previously a permanent member of the Punjab Civil
Service (Execuitve Branch) and who has been finally allotted to H.P. under sub-
section (2) of Section 82 of the Punjab Reorganisation Act, 1966 (31 of 1966); '
and
(ii) the initial appointment to the Delhi, H.P. and Andaman and Nicobar Islands Police
Service of any person who was previously a permanent Deputy Superintendent of
Police or a permanent Prosecuting Dy. Superintendent of Police of the Punjab Police
and who has been finally allotted to H.P. under sub-section .(2) .of Section 82 of the
Punjab Reorganisation Act, 1966 (31 of 1966). •
[UPSC (Exemption from Consultation) Supplementary Regulations, 1969, MHA Notifin.
No. 1'8/7/67-E,sts(B), dt. 15-3-1969.]
5.4.7. It .is mot necessary to consult the Commission in regard to the appointment of hono-
rary workers .in Civil Posts provided that they are not made in any but the most exceptional cases
and that they would be confined to obtaining the services of highly qualified persons in clearly
advisory posts and not in any "cadre" post or other existing post.
[MHA OM No. 18/15/54-Ests(B), dt. 26-2-1955.]

.5.5 Direct Recruitment by Competitive Examination.

5.5.1 The examination rules laying down inter alia the conditions of eligibility and the
scheme of examination for direct recruitment are required to be notified by Government; and the
drafting of the rules of an examination is primarily the concern of the Government. It is essential
that the draft rules/comments on the draft rules for the examination are referred to the Commis-
sion for their advice in time. Proposals, if any, for making changes in the conditions of eligibility,
etc. in respect of any particular examination should also 'be -referred to the Commission for their
consideration well in time. Before doing so, such proposals should invariably be discussed with
the Commission's Secretariat, with a view to ascertaining whether it would be feasible to consider
those proposals for the ,examination concerned, without delaying the scheduled date for the
notification of the rules.
The. above procedural matters should be strictly observed as failure to do so is liable to
upset the schedule of the examination, with repercussions On the schedule of other examinations.
[MHA OM No. 23/11/67-Ests(B), dt. 14-7-1967 read with OM No. 23/38/69-Ests(B),
dt. 13-34969 and OM No. 9/21/58-RPS, dt. 10-6-1959.]

5.5.2 (a) Estimate of Vacancies.—The Ministries/Departments should assess carefully, on

an annual basis, the 'number of vacancies required to be filled during a particular recruitment
year, with due regard to all relevant consideration, including the vacancies likely to occur as a
result of retirement, promotions, etc., and report these to the Commission in time for being notified
by them in their Notice for the information of prospective candidates.
(b) Any vacancies arising thereafter, but before the results are announced, should be notified
forthwith to the Commission. In Other words, firm requirements of the Ministry/Department
should be 'intimated to the Commission well before the results are announced.
(c) Once the results are published, additional persons should not normally be taken till
the next examination. Nor should vacancies reported before declaration of the results be ordi-
narily withdrawn after the declaration of the results. If, however, some of the candidates recom-
mended/allotted for appointment against the specific number of vacancies reported in respect of a
particular examination do not become available for one reason or other, the Commission may be
approached within a reasonable time for replacements from the reserves, if available. When
 IL 04

replacements are not available, the vacancies remaining unfilled should be reported to the Corn-
mission for being filled through the next examination.
LIVIEIA OM No. 23/11/67-Ests(B), dt. 14-7-67, OM No. 23/38/69-Ests(B), dt. 13-3-1969
and OM No. 9/21/58-RPS, dt. 10-6-1959.]

5.6 Direct Recruitment•by Selection after interview.

5.6.1 (Estimate of. Vacancies.—Employing Departments should estimate the number of
vacancies which are likely to occur in the normal course during the succeeding year and .commu-
nicate to the Commission. Whenever a Ministry/ Department anticipates that its activities in a
particular field have been expanding and that the requirements of the staff, therefor are likely
to be heavy, the personnel requirements should be planned carefully, so as to avoid sporadic
recruitment.
[MHA OM No. 9/21/68-RPS, dt. 10-6-1969 read with OM No. 23/38/69-Ests(B), dt.
13-3-1969.]
5.6.2 Requisition for Recruitment.—At the time of placing requisitions with the Commis-
sion the requisitioning authorities should satisfy themselves inter cilia on the following points :
(a) If recruitment rules for the posts in question were framed in consultation with the
Commission-
(i) a requisition should be placed on the Commission only if direct recruitment,
otherwise than through a Competitive Examination, is prescribed as a method of
recruitment for the posts, if a percentage of vacancies are to be filled by this
method, the vacancies in question should fall in the, relevant quota;
(ii) if direct recruitment is prescribed as a residuary method of recruitment, a requi-
sition should be placed if the prior methods of recruitment prescribed in the
rules, like deputation, promotion etc., have been tried and have failed;
(iii) the age limits, qualifications etc. proposed in the requisition should be in accord-
ance with those laid down in the prescribed recruitment rules.
(b) If recruitment rules for the posts have not been framed in consultation with the Com-
mission or if the recruitment is proposed to be made in a manner which departs in
any respect from the provisions prescribed in the recruitment rules, a requisition
should be placed with the Commission after an officer of the Ministry, not below
the rank of a Deputy Secretary. has discussed the proposals personally with the
Secretary of the Commission or his nominee.
[MHA OM No. 18/20/54-Ests(B). ch. 8-9-54; MHA DO No. 31(7)/E0/55, dt. 12-3-55;
MH A OM No. 18/2/63-Estt(B), dt. 18-1-63; MHA DO No. 24/15/65-M.P. dt. 28-10-65;
UPSC Circular letter No. 2/58/65-RA, dt. 17-10-66; MHA OM No. 23/37/63-Ests(B),
dt. 23-10-68.]
The orders of Government issued in connection with reservation of posts for certain
(c)
communities (or for certain categories of persons) should be carefully borne in mind
and requisitions should clearly indicate whether any of the posts are reserved. and
if so, for whom they are reserved, whether the posts may be treated as unreserved
in case the Commission are unable to find suitable persons of the communities (or
categories) for whom the posts are reserved.
(d) The requisition for recruitment should be carefully drafted by Ministries/Departments ,
sothaeyrcmplfoabiguty,prcleadingquftos
for the post.
[MHA OM No. 23/37/69-Ests(B). dt. 23-10-68.]
(e) Requisitions for recruitment should be intimated to the Commission in the prescrib-
ed requisition Proforma UPSC 33 (Annexure X) inviting a reference to the earlier
requisition on the subject, if any.
 107
Ivy 0 - 4-4-wrma,, ajt:cr

the procedurekas set out in the Ministry of Home Affairs OM No. 18/42/50-Estt. dt. 27-11-1950
is reproduced below :-
"The Government of India have decided that where the Union Public Service Commission
have been consulted in regard to any appointment(s) the recommendations made
by the Commission should not be departed from unless, in the opinion of the
Honourable Minister concerned, exceptional circumstances exist which in the public
interest require such departure. In such a case the reasons for holding this opinion
should be communicated to the Commission and the Commission given an oppor-
tunity of further justifying their recommendations. On the receipt of the observa-
tions of the Commission their recommendations should be considered further by the
Ministry concerned. If, after further consideration, the Ministry still consider that
the recommendations made by the Commission should not be accepted, the case
should be referred with a self-contained summary to the Establishment Officer of
the Government of India who will place it before the Appointments Committee of
the Cabinet consisting of the Hon'ble Minister administratively concerned with the
appointment(s)• In cases in which the Hon'ble Home Minister or the Hon'ble
Prime Minister happens to be the Minister concerned with the appointment, the
Hon'ble Finance Minister will be added to the Committee. The decision reached by
the Appointments Committee in all such cases should be communicated to the
Commission by the Ministry administratively concerned. Final orders in accordance
with the decision will also be issued by that Ministry, copy being endorsed to the
Commission."
5.10 Appointments on transfer/Deputation/Short term Contracts.
-

The Ministries/Departments of the Government of India are required to observe the follow-
ing steps in filling up vacancies by transfer, on deputation (including short-term contract) /
transfer :—
(i) an accurate assessment of the vacancies to be filled by the above method should be
macie sufficiently in advance to enable them to follow the prescribed procedure pro-
perly.
(ii) Where-ever the recruitment rules prescribed different sources and
where various cate-
gories of officers are eligible for being considered, it can be considered by c: proper
circulation of the vacancies only where the Ministry concerned ensures that all such
sources /categories are tapped simultaneously. In other words, the Departments -
should not confine circulation of the vacancies to only one or two sources mentioned
in the recruitment rules.
(iii) a minimum period of at least two months should, as far as possible, be given for
receiving nominations.
(iv) As a corollary to item (ii) mentioned above where-ever employees of the public
sector undertakings/autonomous bodies and non-Secretariat Officers are also eligible
under the recruitment rules, the Administrative Ministry concerned should specifically
request the Departments to reciculate the vacancy to all such organisations with whom
they are concerned so that the requirement of the recruitment rules are duly met.
It is also considered that the Posts to be filled by transfer/deputation should be published
in all Employment News.

While making reference to the Commission for making selection the following information/
documents should be sent :-
(!l the details of the applicants, both eligible and ineligible in the proforma at Annexure
Ix.
15-35 Pers. & Tgr.187
 108

(II) Em-data of all the applicants signed by officers themselves indicating their qualifica-
tions, experience, assignments held in the post, contributions made by them in the
field of research, etc..
(III) Complete and uptodate CRs.
(IV) Sob description/duties attached to •the post.
Besides,•the approval for appointment on transfer should be made keeping in view the following
guidelines :—
The cases of transfer fall in two categories viz.
(a) where recruitment rules provide for appointment by transfer on deputation/transfer
and the proposal is only to absorb an officer already selected on deputation.
(b) where recruitment rules provided for transfer on deputation only at the time of initial
selection of the officer concerned, but have been amended subsequently to.include
transfer.
So iar as the first category is concerned, the Commission will consider the proposals for absorption
where the following conditions are fulfilled ;—
(i) the initial selection on deputation basis should have been made in consultation with
the Commission.
(ii) the administrative Ministry should .certify that there is no other deputationist in
position appointed earlier to the. officer now proposed for absorption, and in case
there is any such person, he is not willing to be considered for appointment on transfer
basis.
(iii) the person concerned and the lending authority have given their willingness for such
permanent absorption.
(iv) the original circular letter calling for nominations for deputation should have clearly
mentioned the possibility of permanent absorption (i.e. transfer).
In the second category of cases, i.e. where the "transfer" has been provided in the rules subse-
quent to the selection of person on deputation, the Ministries/Departments should recirculate
the post, clearly indicating 'transfer' as a mode of recruitment and then only make a reference to
the Commission.
[DOP OM No. 39011/2/S/75-Estt(D) dated 14-3-1977; OM No. '30011 /8/81-Estt(D) ,
dated 18-7-1981 and 27:7-1981; OM No. 14017/17/83-Estt(RR). dated 17-7-1985 and
'OM No. 39012/20/85-Estt(B), dated '31-40-851.
6. Disciplinary Cases
A. Officers Serving under the Government of India in a. Civil capacity other than. All India
Service Officers.
(c) of clause (3) of Article 320 of the
6.1 Matters requiring consultation—Sub-clause
Constitution requires that UPSC should be consulted on all disciplinary matters affecting a person
serving under the Government of. India in a civil capacity, including memorials or petitions re-
lating to such matters. It is not however, necessary to consult the Commission in regard to the
making of eny •order in any disciplinary cases other than—
(a) an original order by the President imposing any.of the following penalties :-
(i) Censure;
(ii) Withholding of increments or promotion;
(iii) Recovery from pay of the whole or part of any pecuniary loss caused to the
Government by negligence or breach of orders;
 109

(iv) Reduction to a lower stage in the time scale of pay for a specified period with
further directions as to whether or not the Government servant will earn incre-
ments of pay during the period of such reduction and whether on the expiry of
such period, the reduction will or will not have the. effect of postponing the future
increments of his pay.
(v) Reduction to a lower time scale of pay, grade, post or service with or without
'further directions regarding conditions of restoration to the grade or post or
service from which the Government servant was reduced and his seniority and
pay on such restoration to that grade. post or service;
(vi) Compulsory retirement.
(vii) Removal from service.
(viii) Dismissal from service.
(b) an order by the President on an appeal against an order imposing any of the said
penalties made by a subordinate authority;
(c) an order by the President over-ruling or modifying after consideration of any petition
or memorial or otherwise, an order imposing any of the said penalties made by the
President or by a subordinate authority;
(d) an order by the President imposing any of the said penalties in exercise of his
powers of review and in modification of an order under which none of the said
penalties has been imposed.
[UPSC (EFC) Regulations, 1958, Regulation 5]

6.2 It is alSo not necessary to consult the Commission :

(i) in regard to any disciplinary matter affecting a person belonging to a Defence Service
(Civilian)'; and
(ii) in any case where the President proposed to make an order of dismissal, removal or
reduction in rank after being satisfied that such action. is necessary in the interest of
the security of the State.
(UPSC (EFC) Regulations, 1958, Regulation 5).

B. Officers of All India Services

6.3 The Commission are required to be consulted in regard to the making of the following
orders in any disciplinary case affecting a person belonging to an All India Services :
(a) an original order by the Central Government or the State Government imposing on
a member of the All India Service any penalty specified in Wile 6 of the AIS
(Discipline and Appeal) Rules, 1969; [Rules 9, 10, 19, 4 and 24-A of the A.I.S.
(DA) Rules, 1969].
(b) an order by the Central Government on an appeal against an order by the State
Government imposing any penalty specified in clauses (i) to (vi) of rule 6 of the
A.I.S. (Discipline and Appeal) Rules. 1969;
(c) an order by the Central Government or the State Government revising of its own
motion or otherwise under rule 24 or 24A of the A.I.S. (Discipline and Appeal)
Rules. 1969 an order passed by it after consultation with the Commission.

6.4 Procedure.
6.4.1 ll references should be made direct to the Commission by the Administrative Minis
try concerned in the form of an official letter. On all occasions where a reference has to be made
 1 10

to the Commission, no letter should ordinarily issue until after an officer not below the rank of
Deputy Secretary has discussed the matter personally with the Secretary of the Commission or
his nominee.
[MHA OM No. 18/18/48-Ests., dt. 20-8-49 & MHA D.O. No. F. 31 (7) -E.0./55, dated
12-3-55]
6.4.2 Disciplinary cases referred to the Commission should be accompanied by all the
papers and information necessary to enable the Commission to tender their advice. If any further
documents or information are required by the Commission, an officer of the Commission will
communicate the request personally to the appropriate officer of the Ministry concerned who
should immediately initiate necessary action.
[MHA OM No. 18/20/54-Ests(B), dt. 8-9-1954].
6.4.3 The official letter of reference to the Commission should invariably he accompanied
by the prescribed proforma (Annexure-XII) showing the service particulars etc. of the officer
concerned and the details of case records. The proforma should be filled in completely in all
cases and care should betaken to ensure that the cases are sent to the Commission complete in
all respects, with all relevant information and records arranged in the sequential order, as per
proforma, including the officer's CRs, in original. The relevant documents are also to be ref-
renced for facility of quick verification and cross-checking of facts.
[MHA OM No. 234/2/66-AVD.II. dt. 30-3-66 & 18-3-68 & Min. of Pers. & Trg., AR &
PG & Pension, DP&T OM Letter No. 142/13/84-AVD.I, dt. 28-5-85].
6.4.4 Original Cases (i) where an original order in a disciplinary cases is to be passed by
—

the President, care should be taken, so.far as possible, to avoid expressing any opinion on.tbe
merits of the case while referring it to the Commission. Where no enquiry has been held, i.e. so
far as proceedings under rule 16 of CCS (CC&A) Rules or a corresponding rule are concerned.
only the memorandum containing the allegations and the official's reply thereto should be sent
to the Commission and it shall not be necessary to send a self-contained factual notes as a rule.
But a note should be sent where clarifications/comments have to be given to explain the points
made in the official's explanation. These clarifications/comments should, however. be only factual
and procedural and should form part of the record.
(ii) Where an enquiry has been held, the Government will consider the explanation fur-
nished by the charged officer and the findings of the Enquiry Officer, and come to a conclusion
whether a penalty is called for. While referring such cases to the Commission, there may not be
any need for preparing a self-contained note except where it is necessary to clarify the factual/
procedural points in the light of any remarks contained in the enquiry report. The note should
not, however, discuss the merits of the case and should not record any findings on the charges or
express any opinion regarding the penalty to be imposed on the officer.
[MBA, DOP&AR OM No. 39021/4/81-Estt(B), dt. 29-5-82).
(iii) While referring a disciplinary case to the Commission for advice. the Ministries!
Departments are to clearly indicate that the disciplinary authority has come to a provisional
conclusion that a formal penalty is to be imposed on the charged officer.
[MHA DOP&AR OM No. 39021/13/84-Estt(B). dt. 17-9-84].
6.4.5 Cases of Appeal. While forwarding an appeal to the Commission, there should not
—

be any expression of opinion on the merits of the case. It should, however, be ensured that
comments of the Disciplinary Authority on the appeal, as required under the rules. are invariably
sent to air Commission.

6.4.6 Procedure in cases of review on Menzorials/Petitions or otherwise—In terms of the

provisions of the Union Public Service Commission (Exemption from Consultation) Regulations. .
the Commission are required to be consulted only when the President proposes to pass an order
over-ruling or modifying, after consideration of any petition or memorial or otherwise, an order
 1 11

imposing any of the penalties, made by him or by a subordinate authority, or an order imposing
any of the penalties in exercise of his powers of review and in modification of an order under
which none of the penalties has been imposed. In such cases, the Ministry/Department should
indicate, in a separate note, or in the forwarding letter, the considerations on account of which a
modification of the order already passed in the case is called for and the extent to which the
modification is sought.

6.4.7 In cases where, as a result of the review, it is proposed to impose a penalty where no
penalty has been imposed or to enhance the penalty, and a show-cause notice to this effect is
issued to the officer, a note containing the Government's comments on any factual/procedural
points raised by the officer in the reply to the show-cause notice should be forwarded to the
Commission together with other relevant papers, without, however, expressing any view regard-
ing the findings on the charges, or the penalty to be imposed on the officer.
[DOP&AR OM 39021/4/81-Estt(B), dt. 29-5-82].
6.4.8 In disciplinary cases where orders of penalty/exoneration passed by a subordinate
authority are proposed to be modified on revision or review by the President, the said orders
should not be set aside/cancelled, as strictly speaking cancellation of the penalty, if done in the
name of the President, amounts to modification by the President of the earlier order of the
subordinate authority, for which prior consultation with the UPSC is necessary under Regula-
tion 5(1) of the UPSC (Exemption from Consultation) Regulations, 1958. The correct pro-
cedure in such a case would be to take action in accordance with rule 29(1) or 29-A of the CCS
(CCA) Rules, 1965, without cancelling/setting aside the orders of the subordinate authority and
it is only in the final stage when the orders are issued modifying the original penalty that it would
be necessary to set aside the original order of penalty.
C. Pensions
6.4.9 The Commission are required to be consulted in regard to the making of the following
orders in the disciplinary cases of pensioners :
(a) An order of the President withholding or withdrawing the pension or any part of it;
whether permanently or for a specified period or recovering from the pensioner of
the whole or part of any pecuniary loss caused to Governinent if, in a departmental
or judicial proceedings, the pensioner is found guilty of grave misconduct or negli-
gence during the period of his service, including service rendered upon re-employ-
mefit after retirement.
[M.F. Notification No. F.4(30)-EV(C) /62, dt. 22-8-62].
(b) An order of the President. in his capacity as the appointing authority or pension
sanctioning authority as the case may be; withholding or withdrawing a pension or
part thereof, whether permanently or for a specified period, if the pensioner is con-
victed of a serious crime or is found guilty of grave misconduct.
[M.F. Notification No. F.19(1)-EV/68, dt. 20-4-68].
(c) Any order which the President may deem fit to make, in his capacity as the appel-
late authority. in respect of appeals made by pensioners against orders passed by the
appointing authority or pension sanctioning authority as the case may be in cases of
the nature specified in (b) above.
(d) An order of the President (whether original) appellate or in the exercise of power
of review) awarding a pension less than the full compensation pension admissible.
under the relevant rules, to an officer compulsorily retired from service as a penalty.
6.4.10 In all cases of withholding/withdrawing a pension, as a sequel to departmental/
judicial proceedings instituted against a Govt. servant, the Commission are required to he con-
sulted before orders are passed by the President. In these cases, it shall be necessary to issue a
 112

show cause notice to the Government servant concerned in accordance with the instructions con-
tained in the Ministry of Finance •(Deptt. of Expenditure) OM No. F.1.9(9)-EV/66 dt. 6-6-1967,
precisely indicating the extent of the proposed cut in pension. The •official's reply ihereto should
be sent to the Commission, together with other relevant papers and with a .note containing the
clarifications/comments explaining the points made•in.the official's reply.
[MHA. OM ,No. 39021/4/81-Estt(B). dt. 29-5-82].

6.4.11 The Commission should be informed of the action taken on their advice in all cases.
Ordinarily, an endorsement forwarding copies of communications in which orders are conveyed
will be sufficient. The letter containing the findings of the Commission shall form part of the
records of the case and shall be communicated to the officer or officers concerned along with the
orders of the authority empowered to pass orders in the case.

7. Reimbursement 01 Legal Expenses.

7.1 Cla-use (d) of Article 320(3) of the Constitution requires consultation with the UPSC
on any claim by a Government servant for reimbursement of the costs incurred by him in
defending legal proceedings instituted against him in respect of acts done or purporting to be
done in the execution of his duty. The question whether a case falls under Article 320(3) (d)
of the Constitution so as to require consultation with the Commission may at times be difficult
to determine. It may be stated generally that the consultation is obligatory in a case where a
reasonable connection exists between the act of Government servant and the discharge of his
duties; the act must bear such relation to the official -duties•that the Government servant could
lay .a reasonable but not a pretended or a fanciful claim that he did it in the course of the per-
formance of his duties. In this respect, the appropriate authority for taking decision in each
ease is the administrative Ministry of the Government of India concerned (the Comptroller &
Auditor General of India in respect of personnel of IA and A Department), who will consult
the Finance and Law Ministries, where necessary.
In cases iv which consultation with the Commission is not obligatory, it will be open to
Government to seek the Commission's advice if considered necessary.
[MHA 00 No. 45/5/53-Ests(A), dt, 8-1-1959. para 3].
7.2 References to the Commission on cases involving reimbursement of legal expenses,
should be accompanied by the proforma at Annexure-XIII, duly completed in all respects and
with all the necessary documents referred to in item 9 thereof.
[UPSC letter No. 55/34/67-S.11, dt. 16-12-67 forwarded to Ministries with circlar endor-
sement No. 45/1/68-Ests(A), dt. 18-1-1968].

8. Extra Ordinary Pension

8.1 Under UPSC (Exemption from Consultation) Regulations consultation with the
Commission in regard to claims for award of a pension in respect of injuries substained by a
person while serving under the Government of India in a civil capacity-vide Article 320(3) (e)-
is not required in the case of—
(a) A person belonging to an All India Service. or a Central Service, Group A or a
• Central Service. Group B, in so far as claims arising out of injuries sustained at
any time during which the proclamation, issued on 26th October, 1962, by the
President under clause (1) of Article 352 of the Constitution. remains in opera-
tion, are concerned;
(b) a person belonging to a Central Service. Group C or a Central Service, Group D.
[UPSC (Exemption from Consultation) Regulations. Regulation 61.
 113

8.2 A person 'who is serving with a military force in a civil capacity, irrespective of the
fact that he is subject to the Army or the Air Force Act, serves in a civil capacity Within the
meaning of clause ( 3) (e) of Article 320 of the Constitution. The fact that he is paid from the
.

Defence Estimates does not affect the nature of his service. A civilian officer subjected to the
Army Act, 1950 by reason of Section 2(1).(i) of that Act and a civilian officer subjected to the
Air Force Act, 1950, by reason of section 2(1)(d) of the Air Force Act would not lose his
civilian capacity. The UPSC should therefore be consulted on any claim for the award of a pen-
sion to such person in respect of injuries sustained by them while serving in a civil capacity
with the military or Air Force.
[MHA OM No. 18/26/50-Ests., dt. 6-11-50 read with OM No. 18/39/55-Ests(13), dt.
20-12-55].
8.3 The Commission are also required to be consulted in respect of any proposal to reduce
or enhance or discontinue any such pension or award.
ilv11-1A OM No. 18/18/48-Ests., dt. 20-8-19491.
9. Acceptance of, or disagreement with the Commission's advice—conventions regarding.
9.1 A convention has been established by the Government that in the following classes of
cases referred to the Commission the recommendation made by that body should be accepted
sa-.c in exceptional circumstances :
(1) Quasi-judicial cases, .i.e.-
(a) Original orders, appeals. memorials, and petitions relating to .disciplinary
matters.
(b) Interpretation of existing conditions of service.
•(c) Equitable treatment in the matters referred to the Commission in regard to
. payment of compensation to officers affected by abolition of posts.
) Selection for appointment of candidates by nomination subject to any special
directions that may .be given to the Commission in the matter of -the -class of candi-
dates to be nominated.
NOTE :—Where the appointing authority considered the circumstances so exceptional as
to justify a:departure from the recommendation of the Commission the reasons for
that opinion should be stated and the Commission given an opportunity, if they so
desire, for further justifying their recommendations before a final decision is taken.
3) Recommendations made by the Commission for. the appointment of a candidate on
a higher initial pay than the minimum pay of the post, when the requisition for
recruitment sent to the Commission admits of such higher initial pay being recom-
mended by the Commission or where the Commission are consulted on the question
of initial pay to be given to any candidate.
(4) Claims for cost incurred by Government servants in defending legal proceedings
instituted in respect of . acts done or purporting, to be done in the execution or duty,
referable to the Commission.
[MHA OM No. 18/18/48-Ests, dt. 20-8-1949. Appendix-II Para 7].

9.2 Difference of opinion regarding recommendations of Commission regarding Appoint-

ments•As indicated against paragraph 5.9.3.

9.3 In cases involving matters other than appointments. whenever any Ministry/Depart-
ment propose not to accent the advice of the Commission the case has to be shown to the Depart-
ment of Personnel before the orders are passed.
(Department of Personnel OM No. 18/6/70-Ests(B). dt. 9-12-1970].
 114

9.4 In all cases in which the Department of Personnel propose. in respect of services/posts
under its control, not to accept the advice of the Commission, whether in regard to appoint-
ments or other matters. the proposal should be placed before the Secretaries' Committee on
Internal Affairs and only thereafter should the case be submitted to the Minister.
[Department of Personnel OM No. 18/6/70-Ests(B), dt. 9-12-1970].

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

The Commission should be informed of the action taken on their recommendations in all
cases. Ordinarily, an endorsement forwarding copies of communications in which orders are
conveyed, recommendations are made or other action taken, will suffice.
[MHA OM No. 18/18/48-Ests, dt. 20-8-1949. Appendix-II. para 5].
10. Returns to be sent to the Commission.
The following returns are required to be sent to the Commission regularly by the Minis-
tries/Departments :
(1) As indicated against paragraph 5.4.5.(vi).
(2) Quarterly return in the prescribed proforma (Annexure-XIV) showing' the progress
of framing of recruitment rules for Groups A—C posts under the various Minis-
tries/Departments, etc.
[MHA OM No. 20/21/66-Ests(D). dt. 2-3-67, MHA OM No. 2/74/68-Ests(D). dt.
5-6-68].
NOTE.—The yearly return showing the lists of Group A and Group B officers attaining the age
of superannuation during the subsequent year prescribed in MHA OM No. 18/8/56-
Ests(B), dt. 11-6-56 has been discontinued. It should, however, be noted that re-
employment of a superannuated officer attracts the provisions of regulation 4 of the
UPSC (Exemption from Consultation) Regulations. 1958, and reference in such cases
to the Commission should be made as required under the proviso to reeulation 4(1)
and should not be delayed till after the person re-employed has completed one year
in the post.
[Department of Personnel OM No. 18/11/72-Ests(B), dt. 22-9-1972].
 ANNEXURE-I
Para 3 -2)
(Vide

PROFORMA FOR REFERRING PROPOSALS FOR PROMOTION TO THE

UNION PUBLIC SERVICE COMMISSION

1. Name of Ministry/Department/Offioe.
2. Names and designation of Members of the Departmental Promotion Committee (copy of the orders consti-
tuting the DPC to be attached).

Name Designation Office Telephone No.
3. Grade or post to which promotion is to be made.
Designation Classi- Scale No. of posts Total No. of posts filled No. of regular vacancies
fication of pay in the grade on ad-hoc basis falling in Promotion
quota
Filled Unfilled Pmt. Temp. Total Existing/Anti- Total
mated
(for
current
year
panel
only)

1 2 3 4 S 6 7 8 9 10

3. (a) Year-wise break un of the number of regular vacancies indi- Tear Gen SC ST Total
cated in column 7 of item 3 [as required vide MHA OM No.
22011/3/76-Estt. (D) dt. 24-12-1980]
Note : Regular vacancy means as defined in Section IV of the DOP&AR OM
No. 22011/6/75-Estt. (D). dt. 30-12-76.
4. Recruitment Rules for the grade/post :
(a) Date on which the Recruitment Rules were notified in the
Gazette of India and UPSC reference under which they were
approved.
(b) Method of recruitment prescribed :
(i) % direct recruitment.
(ii) % promotion.
(iii) % deputation/transfer.
(c) Whether an up-to-date copy of the recruitment rules has been
enclosed (this should invariably be sent for reference). If any
changei in the recruitment rules have been agreed to by the
Commission after they were notified, details should be atta-
ched. It, after the approval oc" the recruitment ruld any other
post has been created which should normally be included in
the field of promotion, give details :
5. Grade or Po0. from which promotion is to be made.
. .
Dmignation Classification Scale of pay Recruitment pres- Whehter reservations are re-.
cribed for eligiblity quired to be made for SC
for promotion and ST for promotion from
this G radt/post indicated in
S. No. 3 above, in accordance
with the orders in this regards

16-35 Per & Trg./87 115

 116

6. UPSC reference No. under which promotion to the gtadefpost

were last considered.

7. Seniority List

(a) Whether a seniority list as in the prescribed

proforma (Annexure-IB) has been enclosed.
(b) Whether all eligible officers, including those
belonging to SC and ST and those
deputation etc. are included and whether those
belonging to SC, ST and those are on rieputa-
tion are clearly indicated in the seniority list.
(c) Whether the list, before finalisation was circu-
lated to all concerned.
(d) Whether there are any officers whose seniority has
not been finalised. If so, give details.
(e) Whether the Seniority List (Annexure-IB) has
been duly authenticated by an officer not below
the rank of Under Secretary to the Government
of India.
7.(A) An eligibility list showing sparately officers who
are eligible for different years for which the Select
List is to be prepared should be drawn up and
enclosed. The eligibility list for past years
should be drawn up as on the 31st December of
the year for which the panel is drawn. In cases
where there are more than one feeder grade for
which no specific quotas have been earmarked,
a common eligibility list should be forwarded.

8. Character Rolls.
Complete and up-to-date character rolls of all the eli-
gible officers are required.
(a) Whether a list (in duplicate) been attached
showing the names of officers whose character
rolls are enclosed with this reference ;
(b) Are the character rolls complete and up-to-date?
(Character rolls should be sent only after they
have been completed.)

9. Integrity Certificate :
Whether an integrity certificate, in terms of the
instructions contained in the Ministry of RA
OM No. 119/71-Estt (D), dt. 22-1-1972 has been
enclosed.
10. Self-Contained note for the DPC :
Whether a self-contained note for the DPC, ex-
plaining the proposals for promotion, has been
enclosed.

Signature
Designation .
Date
 117

ANNEXURE.-IA

Vide Item 6 of the DPC Proforma

Particuiarb of changes in the Seniority List.

(I)

Name of the Officers which were included

in the last seniority list but have been deleted in the Reasons for deletion
present seniority list.

1 2

!O .

Names of officers andell in the present Seniority List.

6.
 1 18

ANNEXURE-IB

Vide Item 7 of the DPC Proforma

Seniority list of officers it the grade of as on

Sr. No. Name of the Officer Whether belongs to Date of Birth Date of regular
Scheduled Caste or appointment to
Scheduled Tribe. If the grade
not, say neither

4 5

UPSC Reference in which recommended/ Post held substantively Remarks

approved
nn ••n•••n••
6 7 8

*Signature of Authenticating Officer.

Designation

Dat e

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

 ANNEXUR13-II
(Vide Para 3.2)

PROFORMA FOR REFERRING PROPOSALS FOR CONFIRMATION

I. Name of Ministry/Department/Office :

2. Names & Designation of Members of the Departmental Promotion Committee :—

Designation Office Telephone No.
Name

(Note:—Copy of orders constituting the DPC to be attached)

3. Grade or post in which confirmation is to be made :

(a) Designation

(b) Classification

(c) Scale of pay

(d) Total number of permanent posts in the grade.

(e) (i) Total number of vacancies available for confir-
mation and the dates on which available.

*(ii) Number of vacancies falling in the direct re-

cruitment quota with dates on which they oc-
curred.

*(iii) Number of vacancies falling in the promotion

quota with the dates on which they occurred.

•(iv) Number of vacancies available for being filled

by transfer with dates on which they occurred.

(v) Whether appropriate reservation for SC/ST

in Service/Posts has been made ?

(vi) Details of Vacancies reserved for Scheduled

Castes/Tribes.

o be furnished only in cases of posts/services where

specific quotas have been prescribed for substantive
appointment of promotees/direct recruits/departmental
examination candidates etc.

4. UPSC reference number under which confirmation to

the post/grade were last considered.

3. Recruitment Rules for the Grade/Posts :

(a) Date on which the Recruitment Rules were notified
in the Gazettr.. of India & UPSC reference num-
ber under which they were approved.
119
 Ito

(b) Metod of recruitment prescribed :—

(i) %direct recruitment

(ii) % promotion
(iii) % deputation/transfer

(c) Whether an up-to-date copy of the recruitment

rules has been enclosed? (This should invariably
be sent for reference). If any change in the Re-
cruitment Rules have bean agreed to by the Com-
mission after they were notified, details should be
attached.

6, Seniority Lists :

(a) Whether a seniority list as in the proscribed pro-

forma (Annexure-IB) has been enclosed ?

(b) Whether all eligible officers, including those on

deputation and those holding the higher post
on a local or purely ad-hoc or temporary basis
are included in the list ?

(c) Whether the list, before finalisation was circulated

to all concerned ?

(d) Whether there are any officers whose seniority

has not been finalised ? If•so, give details.

(e) Whether the seniority list (Annexure-IB) has been

duly authenticated by an officer not below the
rank of an Under Secretary to the Government of
India ?

(f) Whether the list has undergone any changes since

it was last placed before the DPC ? If so, give
necessary details in the Annexure-I(A).

(g) In cases of confirmation of officers appointed by

different methods e.g. promotion, Direct Re-
cruitment or transfer, please enclose separate
seniority lists also in addition to combined list.

7. Character Rolls :

Complete and up-to-date character rolls of all the officers

assessed as 'Not Yet Fit' are required.

(a• Whether a list (in duplicate) has been attached.

showing the names of Officers whose chara-
racter rolls are enclosed with this reference.

(b) Are the character rolls complete & up-to-date ?

(Character rolls should be sent only after they
have been completed).

(c) Names of officers, if any, in whose cases adverse

remarks in their character rolls were communicated
to them and the time allowed for submission
of a representation is not yet over.

(d) Names of officers, if any, who have submitted

representations against adverse entries in their
character rolls, but decisions on the represen-
tations have not yet been taken.
 121

Probation

Whether the officers have completed satisfactorily the

period of probation ? The date of regular
appointment & the date of completion of pro-
bation should also be given.

9. Integrity Certificate

Whether integrity certificate in terms of MHA No. 1/9/

7I-Estt.(D) dated 22nd January, 72 has been enclosed ?
A certificate regarding integrity should also be re-
corded in the DPC minutes.

10. Whether the DPC for confirmation has been convened

in time ? If not. state the reason therefor.

11. Self-contained Note for the DPC :

Whether a self-contained note for the DPC explaining

the proposals for confirmation has been enclosed ?

Signature

Designation

Date.

Office Tele No.

 ANNEXURE r

SERVICES & POSTS EXCLUDED FROM THE PURVIEW OF THE UPSC. (Para 4.2)
(1) Posts in respect of which the authority to appoint is specifically conferred on the President by the Cons-
titution.
(2) Posts of Chairman or Members of any Board, Tribunal, Commission, Committee or other similar
authority created by or under the provisions of a Statute.
(3) Posts of Chairman or Member of any Board, Tribunal, Commission, Committee or other similar body
appointed by or under the authority of a resolution by either House of Parliament or by a resolution of Govern-
ment for the purpose of conducting any investigation or enquiry into or for advising Government on specified matters.
(4) Posts of Heads of Diplomatic, Consular and other similar Indian Missions in countries abroad (e.g.
Ambassadors, High Commissioners, Ministers, Commissioners, Consuls General, Representatives, Agents).
(5) Posts on the personal staff attached to holders of posts mentioned in items (1) to (4) above.
(6) Posts in the Secretariat of the Lok Sabha and the Rajya Sabha.
(7) All technical and administrative posts in or under the Atomic Energy Commission.
(8) Judicial Commissioners, Additional Judicial Commissioners, District Judges, Sessions Judges, Addi-
tional District Judges and Additional Sessions Judges in the Union Territories.
(9) All Civil and criminal judicial posts in Union Territories under the control of a High Court or a Court
of a Judicial Commissioner, other than those included in item (8).
(10) All Group C and D Services and posts, save as otherwise expressly provided in the relevant rules or
orders governing recruitment thereto.
(11) Save as otherwise expressly provided in the relevant recruitment rules or orders governing recruitment
thereto, any service or posts concerned with the Administration of the Union Territories of Arunachal Pradesh and
Mizoram.
(12) Posts in the Secretariat and Personal staff of the President and Vice-President.
(12A) Posts in the Government Hospitality Organisation under the Ministry of External Affairs.
(13) National Research Professors under the Ministry of Scientific Research and Cultural Affairs.
(14) Posts of Consutants and Chief Consultant in the Planning Commission.
(15) Posts of Private Secretary to the Solicitor General of India and the Additional Solicitor General of
India.

(16) All technical and administrative posts in or under—

(a) the Electronics Commission, constituted by the Resolution of the Government of India in
the Department of Cabinet Affairs No. 26/7/70`E.C., dated 1st Feburary, 1971.
(16A) The posts of Private Secretary to the Speaker and Private 'Secretary to the Deputy Speaker of
the Legislative Assembly of Goa, Daman and Diu.
(16 B) All technical adminstrative posts in or under the Commission on Additional Sources of Energy,
constituted by the Resolution of the Government of India in the Cabinet Sectt. No. 64/1/1/80-Cab., dated the 12th
March, 1981, for a period of three years from the commencement of the Union Public Service Commission (Exemp-
tion from Consultation (Second Amendment) Regulations, 1982.
(16 C) All Group A and Group B Scientific and Technical posts in or under the Department of Non-Con-
ventional Energy Sources for a period from 15-5-1982 to ,14-5-1986.
[DOP&T Notification No. 39018/3/84-Estt (B), dt. 30-4-85 and 18-9-85) .File No. 1/14/84-S. II)
(16D) Recruitment/Promotions of scientific and technical personnel in the Defence Research and develop-
ment Organisation (DRDO) under the Ministry of Defence.
(DOP&T Notification No. 39018/4182'Estt (B), dt. 18-5-1985--File No. 1/24/84-S. In.
(16E) All Group 'A' and Group 'W posts in or under the central administrative Tribunal.
(17) Any Service or post or class of posts in respect of which the Commission has agreed that it shall not be
necessary for it to be consulted.
122
 ANNEXURE-TV
(See Para 5 •2 '2)

in the Ministry/Department of
Recruitment Rules for File No.

Name of Post No. of Classifica- Scale Whether Age for Whether Educational
Posts tion of pay selection direct benefit and other quali-
post Or recruits of added heat ions requi-
non-selec- years of red for direct
tion post service recruits
admissible
under rule
30 of the
CCS (Pen-
sion) Rules,
1972

1 2 3 4 6a 7

Whether age and edu- Period of Method of rectt, In case of rectt. If a DPC exists, Circumstances
cational qualifications probation, whether by direct by Promotion/ what is its in which UPSC
prescribed for direct if any. rectt. or by pro- deputation! composition is to be
recruits will apply in motion or by transfer, grades consulted
the case of promotees deputation/transfer from which in miking
& percentage of the promotion/ tectt.
vacancies to be deputation/
filled by various transfer to be
methods made

8 9 10 11 12 13

17-35 Per & Trag./87



ANNEXURE-V
(See Para 5.2'•2)

FORM TO BE FILLED BY THE MINISTRY/DEPARTMENT WHILE FORWARDING PROPOSALS

TO THE DEPTT. OF PERSONNEL AND THE UNION PUBLIC SERVICE COMMISSION FOR
FRAMING RECRUITMENT RULES FOR POSTS.
1. (a) Name of the posts . •
(b) Name of the Ministry/Department
(c) Number of posts . .
(d) .Scale of pay
(e) Class. and Service:to which the posts belong (cf MHA
Notification No. 20/16/60-Estt. [A), dt. 13-3-621 .
(f) Ministerial or non-ministerial (cf F.R. 9 (17).
2. Appointing Authority
3. Duties of the posts in details.
4. Describe briefly the method (s) adopted for filling the
posts hitherto.
5. Method (s) of recruitment proposed.
6. If the promotion is proposed as a method,of recruitment —
(a) Designation and number of the posts proposed to be
included in the field of promotion.
(b) Number of years of qualifying service proposed to be
fixed before persons in the field be come eligible for
Promotion (cf MHA OM No. 1/5/58-RPS,
dt. '26-2-58.)
(c) Percentage of vacancies in the grade proposed to be
• filled by promotion. •
(d) Reasons for proposing the percentage in (c) above.
(e) Have recruitment rules beenframed for the posts
proposed in the field of promotion? If framed
in consultation with the Commission, please quote
Commission's reference No. If consultation with the
Commission was not required, please attach a copy of
rules framed.
(f) In case the feeder posts are filled by promotion,
the recruitment rules for the still lower posts
(including the lowest post to which direct recruit-
ment is one of the methods of recruitment) may
be furnished.
(g) if Recruitment rules were not framed for the post
in the field of promotion-
(i) Please indicate briefly the method of recruit-
ment actually adopted for filling the posts.
Please also state the percentages of vacancies
filled by each of the methods.
(ii) Please state briefly the educational quali-
fications possessed by the persons in the
field of promotion.
(h) (i) Is the promotion to be made on selection or
non-selection basis ?
(ii) Reasons for the proposal in (i) above.
(i) If aDPC.exists, what is its composition..
124
 12b

(j) indicate if the feeder posts are having promotion

channels to posts other than the one under
consideration.
7. If promotion is not proposed as a method, please state
why it is not considered desirable/possible/necessary.
S. If direct recruitment is proposed as a method of recruit-
ment (cf MHA OM No. 2/45/55-RPS, dt. 8-12-1955)
please state:—
(a) The percentage of vacancies proposed to be filled
by direct recruitment.
(b) indicate if there are any promotional avenues for
the direct recruits.
(c) (i) Age for direct recruits (of MHA OM No.
2/41/59-RPS, dt. 3-12-1959).
(ii) Is age relaxable for Government servants ?
(d) Educational and other qualifications required for
direct recruits. (It may please be noted that
the essential qualifications prescribed are relax-
able at Commissions' discretion in case of
candidates otherwise well qualified).
Essential :
Desirable :

(e) Whether EQ to be prescribed are in accordance

with any Act(s) ? If so, please quote the rele-
vant Act(s) under which it is necessary and also
supply relevant extracts from the Act(s).
(f) Has the post been advertised by the Commission
in the past ? If so, please quote Commission's
reference No.
9. If Direct recruitment is not proposed as a method,
please state why it is not considered desirable/
possible/necessary.
10. (i) If promotion and direct recruitment are both
Proposed as methods of recruitment will the
educational qualifications proposed for direct
recruits apply in case of promotees ?
(ii) If not, to what extent are the educational
qualifications proposed to be relaxed in case
of promotees.
(a) Is deputation/transfer proposed as a method of
11.
recruitment ? If so, please state the reasons
for the proposal. Please state clearly whether
deputation or transfer or both are proposed.
(b) The percentage of vacancies proposed to be
filled by this method.
(e) The period of which deputation will be limited.
(d) The names of the posts or grades or services
etc. from which deputation/transfer is proposed
MHA OM No. 2/25/60-Estt. (D), dt. 19-8-19601.
If any of the methods proposed fails, by what
12.
method are such vacancies proposed to be filled ?
(a) Whether the recruitment rules relate to a post
13. which has been upgraded `from Group , 'C' to
Group `B or Group 'B' to Group `A' or within
the same Group ? If so, whether the necessary
provision for initial constitution has been
proposed ?
 12 6

(b) Whether the recruitment rules relate to a post

which is proposed to be down graded 7 If so,
whether necessary safeguards have been suggested
in respect of the existing incumbents of that
post 7
14. Special circumstances, if any, other than those
covered by the rules, in which the Commission
may be required to be consulted.
15. (a)_Whether the Department of Personnel and
Training have concurred in the proposal 7
(b) Whether the Department of Pension and Public
Grievances have concurred in for the grant of
benefit of added years of service under the
Pension Rules
16. 1f these proposals arc being sent in response to
any reference from the Commission, please quote
commission's reference No.
17. Names, Addresses and telephone Numbers of the
Ministry's Representatives with whom these Pro-
. posals may be discussed, if necessary. for clarifi-
cation/early decision.

Signature of the Officer

sending the proposals.

Date : Telephone No.

Place :
 ANNEXURE--VI
(See Para 5 2.2)

FORMS TO BE FILLED BY THE MINISTRY/DEPARTMENT WHILE FORWARDING PROPOSALS TO

THE DEPARTMENT OF PERSONNEL AND THE UNION PUBLIC SERVICE COMMISSION FOR
AMENDING APPROVED RECRUITMENT RULES

1. (a) Name of the posts.

(b) Name of the Ministry/Department

2. Reference number in which Commission's advice on

recruitment rules was conveyed.

3.

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

4. Names, addresses and Telephone numbers of the

Ministry, Representatives with whom these proposals
may be discussed if necessary, for clarification/early
decision.

Signature of the Officer.

Sending the proposals

Date :
Place: Telephone No.

127
 ANNEXURE—VII (a)
(Vide Para 5 -4 .5) (vi)

STATEMENT SHOWING APPOINTMENTS TO GROUP A Sr. B SERVICES/POSTS IN THE MINISTRY

AND ITS ATTACHED AND SUBORDINATE OFFICES.

MONTH-- —_
MINISTRY
PART I

Ad-hoc appointments made during the mmitit under Regulation 4 of UPSC (Exemption from
Consultation) Regulations, 195$.

1. Particulars in respect of the Post filled

(a) Name of' the post.
(b) Pay scale and qualification :
(c) Is the post permanent/temporary or a tenure
post '? If temporary ; state period for which sanc-
tioned and if this period is likely to be extended.
(d) is the vacancy regular or short-term ? If short-
term state how it has been caused and its
duration.
(e) Whether, recruitment rules framed, if not, reasons
therefor.
(f) If the recruitment rules exist the number and
date of Commission's letter approving the rules.
(g) Indicate how the vacancy is required to be
filled, as per the recruitment rules and roster.
2. Particulars in respect of the person appointed :

(a) Name
(b) Date of application
(e) Whether appointment made by direct recruitment/
transfer on deputation/promotion etc.
(d) Whether the appointment is in accordance with
recruitment rules, if not, state reasons and quote
authority under which appointment is made.

(e) Appointment, if any, held under Govt. prior

to the present appointment :—
(i) Name of Post.
(ii) Pay Scale and qualification.
(iii) Whether held on substantive/regular/ad hoc
basis.
(iv) Number and date of Commission's letter if the
appointment was made in consultation with the
Commission.
PART II
*Results of review made during the month of ad-hoc appointments continued beyond a period
of six months under priviso (b) to Regulation 4.

(a) Number of cases where ad hoc appointments

were continued beyond a period of six months.

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

128
 1 29

(b) Number of cases where fresh estimate as to

the period to which the present appointee
is likely to hold the post, was made.
(c) Reasons for not making fresh estimate in the
remaining cases.
(d) Whether the results •of review reported to the
Commission and if so, indicate the number and
date.
(e) Number of cases in which the estimate indicated
that the present appointee is likely to hold the
post for a period of more than one year.
(f) Number of such cases [as in (e)1 where the
Commission has been consulted for filling up
the post on regular basis.
(g) Reasons for not consulting the Commission
for making regular appointment in other cases,
if any.

Signature
Designation
Telephone No.

ANNEXURE—VII (b)
(Vide Para 5 4 .5)

HALF YEARLY STATEMENT SHOWING AD HOC APPOINTMENTS TO GROUP A & B POSTS!

SERVICES IN THE MINISTRIES/DEPARTMENTS vartai HAVE CONTINUED BEYOND ONE
YEAR.
For the Half-year ending :
Name of the Ministry/ Department :
Pay scale & Is the post permanent/ Date of Whether notified Whether any
Name of occurance rectt. reules exist. proposal has been
Post Classification Temporary, if Temp,
state period.for which of vacancy/ If so how the made to UPSC
sanctioned & if this vacancies vacancy-is required for making a
Period is likely to be to be filled as per selection, if so,
extended. rectt. rules/roster. Ministry/Deptt
letter No. & Date.
may be indicated
4. 5. 6.
1. 2. 3.

1.
2.

Whether UPSC have recornatcnied Name of the officer appointed or. Whether the ad-hoc appointment has
any officer for appointment on regular ad-hoc basis and the date from already been reported to the Com-
bas s. If so what is the delay in which appointed. mission. If so, Ministry's letter No
appointment ? and date in which rep) .ted.
7. 8. 9.
 ANNEX/IRE VIII
(fide Para 5.4.5 (yip]

STATEMENT OF INFORMATION REGARDING PROPOSALS FOR RE-EMPLOYMENT

Name of the Officer

2. Date of Birth/Superannuation .
(i) Designation, Classification and scale of pay, of the past
in which re-employment is proposed to be made. Whe-
ther the post is scientific/technical • •
(ii) Comparative statement (to be enclosed) of the educational
qualifications, experience etc. required for the post and
those possessed by the officer
Period of proposed re-employment
Designation, Classification and scale of pay of the post held
by the officer on a regular basis before superannuation (quote
number and date of the Commission's letter approving the
appointment).
Reasons for proposing re-employment of the officer .

(i) The methods and fields of reertitment prescribed in the

recruitment rules for the post (The Commission's letter
approving the recruitment rules to be quoted). If pro-
motion is the method of recruitment, whether this has
been tried and it has failed (quote Ministry's reference
forwarding the proposal for D.P.C.).
(ii) In case the recruitment rules have not been finalised, quote
number and date of the Ministry's letter forwarding the
recruitment rules to the Commission. .
(iii) In case draft rules have not been forwarded to the Com-
mission, indicate action taken to frame the rules .

Specific action taken to make regular arrangements for filling

the post on expiry of the proposed period of the re-employ-
ment
(i) (a) Action taken to obtain the services of a younger
officer to fill the post in accordance with the recruit-
ment rules and .
(b) the date on which such action was actually initiated .
(ii) Action taken to train a younger officer to take-over from
the superannuated officer on completion of proposed
period of re-employment
(iii) Whether the MinistryiDepartmem are satisfied that
adequate steps have been taken to ensure that the younger
officer will he able to take-over on the expiry of the
proposed period of re-employment
Whether this is the first re-employment or continuation of
an earlier re-employment, if latter, date of expiry of the
period and number and date of the Commission's letter of
approval. State the initial date from which re-employment
in the post has continued.
10. (a) Total number of posts in the grade .
(b) Number filled on a regular basis .
(c) Number filled on ad liar basis and .
(d) Number un-filled
130
 131

I I. Whether a reference to the Ministry of Home Affairs has

been made, in case such a reference is required before the
Commission are consulted (of in this connection Para 4 (d)
of MiiA OM No. 33/27/67-Esti. (A), dt. 30-11-1967). .
12. .Enclose complete and up-to-date character roll of the officer .
13. If the proposal is made when the officer is about to retire or
has already retired, wily a reference to the Commission could
not be made well in time . . . .

14. Name, Designation and telephone number of the Ministry's/

Department's representative to be contacted for further in-
formation/papers, if necessary. .

Signature of the Officer—

Designation
Telephone No.

18-35 Per. & Trag.(8"

 ANNEXURE-IX
(Vide Para 5.10)
No.
Government of India
Ministry of
(Department of
New Delhi, the

To
Subject t--
Sir,
1 am directed to say that it is proposed to fill up a post of
in in the scale:of pay of Rs.
on transfer on deputation basislfrom 'amongsi

Possessing the following qualifications and experience. The period of deputation/contract shall ordinarily not ex-
ceed ------years.
Essential : (1)
(2)

(3)
Desirable : (1)

(2)
Note :
2. The officer selected will have the option to draw his grade pay plus deputation (duty) allowance (in accor-
dance with the Ministry of Finance OM No, 10 (24)-E. 111/60, dated 4th May, 1961 as amended from time to time)
or to have his pay fixed in the scale of pay of the post subject to the restrictions contained in the Ministry of Finance
OM No. F. 10(2)-E.Ill (B):60, dt. 9-3-64 as below :—
(i) For officers drawing basic pay above Rs. 7501- . 25% or Rs. 225!- whichever is less.

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

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

Yours faithfully,

PROFORMA

1. Name:
2. Date of 'Rink: • •
3. Date of retirement under Central!State Govt. Rules. •
4. Educational Qualifications. •
5. Whether Educational Qualification Required for the post
are satisfied If any qualification has been treated as equiva-
lent to the one prescribed in the rule;, state the authority for
the same.
132
 133

Qualifications Required. Qualifications Possessed by the Officer--

Essential
(1)
(2)
(3)

Desired
(1)
(2)
6. Present post held, - date from which held and the scale of pay
wad pay therein.
7. Ixperienc,e in the subject field of selection.
E. Details of service:
(1) Name of post and Employer.
(2) From- To
(3) Scale of Pay:—
(4) Nature of appointment i.e. whether • ad-hoc or re-
gular.
(5) Nature of duties performed in brief
9. Whether belongs to SC or ST. •
10. Remarks.

Signature of Candidate.

Proforma showing names and qualifications possessed by candidates and those prescribed in R. Rs.
Present Essential Eligibility service Whether Biodata Remarks
S. Name of officer
post held Qualifications in terms of scale of C.R.s. Eligible'
No. & date of birth
with ---1-4.--,—,.......1--J--•--1-1 pay recd. Ineligi-
date & Required Possessed — complete ble. If
scale of as per by Officer Required Possessed ineligi-
pay & pay R. Rs. as per by Officer ble the
therein R. Rs. reasons
there-
for

3 4 5 6 7 8 9 10
1 2
E.Q. 1.
2.
D.Q. I.
2.
 ANNEXURE—X

FORM OF REQUISITION FOR RECRUITMENT

(See Para 5 .6 .2)
To be Furnished in Duplicate
Ministry/Department/Office.

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

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

*Higher initial pay may be recommended by the Commission for specially qualified and experienced candidates.
MI: (a) Number of vacancies for which this requisition is Permanent Temporary Total
being sent.
(b) How have the vacancies arisen?
(c) If a vacancy is permanent, whether it is to be filled
on a permanent or temporary basis.
(d) If a vacancy is temporary, how long it is expected
to last irrespective of the period for which it has been
sanctioned.
IV. Break-up of the vacancies in column III above.
(a) (i) Reserved for SC and not to be treated as unreserved.
(ii) Reserved for SC but to be treated as reserved for ST
if no suitable SC candidates are available.
(iii) Reserved for SC but to be treated as unreserved if
no suitable SC/ST candidates are available.
(iv) Reserved for ST but not to be treated as unreserved
if no such suitable candidates are available.
(v) Reserved for ST but to be treated as reserved for
SC if uo suitable ST candidates are available.
(vi) Reserved for ST but to be treated as unreserved if
no suitable SC/ST candidates are available.
Total
(b) (i) Reserved under the quota prescribed by Govt. for
ECOs/SSCOs who were commissioned during the
Emergency on a temporary basis in the Armed
Forces on or after 1-11-1962 and released later
according to the phased programme/invalided out
of service owing to a disability attributable to
or aggravated by military service.
(ii) Reservation of (b) (i) above for—
(1) SC
(2) ST
Total
Note : The number of vacancies indicated against col. IV (b) (ii), for which no suitable SC or ST candidates be-
come available will be treated as reserved for general candidates belonging to the category of ECO./SSCOs.
If no such candidates are available. the reserved vacancies will be treated as unreserved.
1 34
 i36

(c) Unreserved vacancies

Total of (a), (b) (i) & (c) above (Should tally with Col.
Ill (a) above
V. (a) Have recruitment rules for the posts been approved
by the UPSC?
(b) If so, please quote the number and date of-
(i) the Commission's letter.
(ii) the notification promulgating the rules.
(c) If, according to the rules, a promotion of vacancies
should be filled by direct recruitment, please state
clearly whether-
(i) The present vacancy or vacancies fall in the
direct recruitment quota.
(ii) all vacancies falling in the direct recruitment
quota have been included in the requisition.
(iii) If the answer to (ii) above is in the negative,
please state clearly the number of vacancies
not being reported and the reasons therefor.
(d) If the recruitment rules provide for other methods
being tried before resorting to direct recruitment
please indicate clearly the action taken in this be-
half.
VI. *Particulars of persons who last held the post(s) regularly
against the vacancies in Col. HE (a) about.
(a) Name
(b) Reference number & date of the Commission's
letter.
VII. If any ad hoc interim arrangements were or have been
made to fill the vacancies mentioned in Col. III(a)
above, pending selection by the UPSC, please state
(a) the names of the persons so appointed the dates and
duration of their appointments and their age, quali-
fications, experience etc.
*NOTE:—(If necessary, this information may be given, in the
form, above, or in an enclosure, duly signed by the officer
who signs the requisition).
(b) whether the Commission were consulted in making
the ad hoc arrangements mentioned in (a) above,
if so, the number & date of the Commission's letter.
(c) If the answer to (b) is in the negative please state
reasons for which a reference to the Commission was
not made.
VIII. (a) Is the post pensionable or non-pensionable ?
(b) Are there any Provident Fund or other benefits,
and if so, please specify. •
(c) Any special concessions. such as free quarters,
light, water, etc.? • •
IX. Period of probation.
X. (a) Duties. • •
(b) Place or Places where the officer(s) will be required
to serve.
XI. When istarc the selected candidate(s) required to join? .
XII. Prospects of promotion to higher posts or time-scale
if provided in the approved recruitment rules.
(Please indicate if it is desired to bring this information
to the notice of candidates).
 236

>an. Qualifications required:

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

XIV. (a) Age limit(s) if any.

(These will be strictly adhered to by the UPSC save
in exceptional circumstances but will in no case be
relaxed beyond a limit of three years).
(b) Are the age limits relaxable for Government
servants?
(c) Are the limits & the relaxation under (a) & (b)
above in accordance with the prescribed recruit-
ment rules ? If not, please state reasons for the de-
viation.
XV. Any other requirements or conditions not covered by
the above columns.
XVI. If this requisition is being sent in response to any re-
ference from the UPSC please quote their latest
reference.
XVII. If direct recruitment was made previously for iden-
tical posts please quote-
(i) Your latest reference number and date.
(ii) the Commission's latest reference number and
date.
XVIII. Name, address and telephone number of the repre-
sentative of the Ministry/Depte who will be de-
puted to assist the UPSC at their interview.
?SIX. Name of the officer of the UPSC with whom the re-
quisition has been discussed (vide MHA OM No.
23/37/68-Ests(B) dated 23rd October1968.

•It is certified that all vacancies on date which fall within the direct recruitment quota have been included in this
requisition.
It is also certified that the number of vacancies reserved for Scheduled Castes & Scheduled Tribes as men-
tioned in Col. IV above is in accordance with the reservation quota fixed by Government for these communities.
Place. Signature of the Officer
authorised to send the requisition.
Date. Telephone No.
*In case it has been decided that any of the vacancies should not be filled, full details thereof together with the
period for which these are to be held in abeyance may be given separately in an annexure to be signed by the officer
signing this requisition.
NOTE :-All answers in the requisition form should be given in words and not by dashes and dots. No column should
be left blank.
 ANNEXURE—XI
(See para 5.7)
PART-1 FACTUAL
Name:
Date of Birth:
Service/Department:
Post Held:
Record of Employment.
(a) Record of training Institutes attended, if any (for officers
undergoing formal training).
Percentage of marks secured at (1) the tests/examinations
held (ii) during and at the end of the (iii) period of
training. •
(Separate sheet may be added, if necessary).
(b) Nature of duties on which he has been employed, e.g.
Duties requiring public relations and field work, Formu-
lation of Plans, general direct and execution thereof.
Secretarial work of general nature.
Supervision and control of subordinate staff.
(Please list the above duties in order of importance.)
NoTE :— In the case of officers undergoing formal training at the National Academy of Administration or any
other training institution. Please state, in brief, the duties/activities in which they were expected to
participate outside the class-room.
EXPERIENCE PRIOR TO APPOINTMENT ON PROBATION

Period of probation/trial ends

Number of days' leave (other than casual leave and special casual leave)
Assessed by Dated
Approved By Dated

PART—II

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

1 2 3 5 6

I. Mental Capacity
1. Efforts made to acquire know-
ledge relevant to job.
2. Analtical ability
3. Power of Grasp.
4. Spirit of enquiry.
5. Power of expression
(a) Oral
(b) Written.
6. Sense of responsibility.
7. Ability to participate in dis-
cussions and seminars.
137
 3 4 = 6
1

II. Work Habits and Attitudes

1. Aptitude.
2. Interest in work.
3. Promptness.
4. Initiative.
5. Originality.
6. Self-reliance.
7. Manner of performance(whether
methodical & orderly).
8. Thoroughness.
9. Punctuality.
10. Resourcefulness.
III. Stability
1. Poise
2. Fairness
3. Dependability.

IV. Ability to act along

1. Tact
2. Dealings with:
(a) Subordinates .
(b) Fellow-Officials
(c) Superiors.
(d) Public
3. Ability to -inspire others.
V. Ability to Manage
1. Quality of judgement
2. Decision making
3. Ability to plan and programme.
4. Direction and control.
5. Ability to evaluate the work
of individuals and projects or
schemes.

VI. Physical Fitness

State of health, sportsmanship,
etc.
COMMENTS
General appraisal of the officer's good and bad qualities in narrative form particularly those related to his integrity
and ability to correct himself if his faults are pointed out to him.
Decisions if any taken regarding fitness for drawing lst/2nd increments (where applicable).
Signature:
Designation: Date:
REMARKS OF REVIEWING OFFICER
Brief remarks indicating what assessment of the reporting officer may be accepted or rejected or otherwise modified,

Signature of Reviewing Officer

Designation
Date
 139

REMARKS AND RECOMMENDATIONS OF THE REVIEWING BOARD -COMMITTEE.

Recommendation whether the probationer:

(1) Is Fit for retention/confirmation
or
-4
(2) Should be watched for another-months (here list what
improvements are required in the probationer.)
or
(3) May be tried or for some other post where such a course
is permissible under the relevant recruitment rules)
or
(4) May be reverted to his substantive post (here give reasons
for recommending this course of action).
Or
(5) Should be discharged from Govt. service (here give reasons
for recommending this course of action)
OVERALL GRADING FOR DUTIES
(1) Outstanding
(2) Very good
(3) Good
(4) Satisfactory with some shortcomings.
(5) Not really satisfactory.
(Please put a ring round the appropriate grading).
Signature of Chairman
Reviewing
Board/Committee.
ORDERS OF THE HEAD OF DEPARTMENT OR THE ADMINISTERING/CONTROLLING DEPARTMENT/
MINISTRY

(Signature of Head of Deptt. or

Administering Controlling Department/
Ministry).

R.

19-35 Per.&Trg./87
 ANNEXURE—XII
(See Para 6 .4 .3)

PROFORMA FOR FORWARDING DISCI PLINARY CASES TO THE UNION PUBLIC

SERVICE COMMISSION
PART 1—SERVICE AND RELATED PARTICULARS
1. Name of charged officer and the service on which borne
2. (i) Whether temporary/permanent/contract service.
(ii) If confirmed, date of confirmation
(iii) Post, if any, in which quasi-permanent.
*3. Post held substantively if in permanent service.
(a) Designation
(b) Scale of pay (indicating stages. EB etc.)
(c) Pay drawn
(d) Date from which pay shown against (c) drawn.
(e) Date of next increment.
4. Post held at present.
(a) Designation
(b) Scale of pay . .
(indicating stages, EB etc.)
(c) Pay drawn
(d) Date from which pay shown against•(c) drawn.
(e) Date of next increment.
5. The next lower post (along with pay scale)! Grade, th e officer
would have hold but for his appointment to the present post
he is holding.
6. Date of Birth
7. Date of joining Government service
B. Due date of retirement or actual date of retirement, If already
retired.
9. (a) hitunum of monthly pension AdmIssibleisauctiouad
all Amount of gratuity admissible
Oh Amount of gratuity sanctioned
(This information is required only in respect of cases
recovery from, or withholding of pensionary bene-
fits)
of

(a) Appointing authority in respect of the post held at pre-

sent, or the authorit,, which actually appointed the per-
son, if that authority is higher
(b) Authority comneten• to impose the penalty in respect of
the post held at present. .
(e Anoellate authority in respect of the post held at present.
Whether an oral enquiry. if reauired under the rules, has been
hew
Name and destenation or the Inquiry Officer, appointed if
any.
*Not to be filled in the case of All India Service Officer
140
 PART D.—DETAILS OF CASE RECORDS

ALIZTHE RECORDS ARE REQUIRED TO BE ARRANGED AND C tOSS-REFERENCED, AS INDEXEi

;FLOW AND PAGE NUA4B3K.S OF TH.C. Fil.E/Fai.DERS TO BE INDICATED AGAINST EACH ITEM.
ITEM Reference/Comments•
(A) Original Cases
(Wnere the President or the Central Govt. or the State Govt. is the Disciplinary Authority and an order of
penalty is to be passed for the first time)
(a) Complaint, if any, received by the authorities.
(b) (i) Report of the Preliminary enquiry, if any, held in
the matter leading to the institution of formal
disciplinary proceedings against the charged officer
(together with depositions recorded).
(ii) Order, of suspension revocation of suspension, if any
(c) Order, if any of the competent authority for joint/com-
mon proceedings where two or more government ser-
vants are involved
(d) Charge sheet together with the statement of imputations,
if any, alongwith records to prove its delivery or
otherwise . .
(e) Reply of the charged officer
(f) A note from the disciplinary authority explaining the
factual or procedural points, if any, raised in the charged
officer's reply—in minor penalty cases where no en-
quiry has been held. . .
(g) Order of the disciplinary authority appointing the In-
quiry Officer. . . . .
(h) Order of the disciplinary authority appointing the
Presenting Officer. . .
(i) Daily order sheets maintained by the inquiry Officer
indicating the progress of oral enquiry. . .
U. Correspondence of the Inquiry Officer, if any, with
the disciplinary authority, Charged Officer, Presenting
Officer, Witnesses etc.
(k) (i) Depositions oral statements recorded from prose-
cution witness and defence witnesses; replies of
the charged officer to the questionaire, if any,
prepared by the Inquiry Officer . . . •
(ii) Exhibits, both prosecution and defence alongwith
a list thereof giving description of each exhibit.
(iii) Written statement of defence, if any of the Charged
Officer before the Inquiry Officer
(1) Written brief, if any, submitted by the presenting
Officer . . . • •
(m) Written brief, any, submitted by the Charged Officer.
(n) Inquiry Officer's report • • • -
(o) Whether the disciplinary authority has considered the
merits of the case and come to the conclusion that a
formal penalty is called for.
(B) Appeal Cases
(Where the order of penalty has been passed by a subor-
dinate authority and an appeal lies to the President)
In . these cases all the documents listed in (A) should
also be sent)
(a) Order passed by the disciplinary authority together with
a note, if any, containing the conclusion, arrived at by
him in respect of each cbarge
*Indicate references in terms of page numbers, file numbers, folders etc. Do not leave any column blank:
f a document is not enclosed, indicate reasons.
 1 42

(b) Appeal of the Office-/concerned.

(c) Comments of the disciplinary authority on the appeal
including clarification on procedural points, if any, raised
by the appellant.
(C) Revision/Review Cases
(Where the appellate authority is subordinate to the
President and a modification of the appellate order is
sought by way of revision/review or where the President
has passed the original order)
[in these cases all the documents listed in (A) and (B)
should also be sent]
(a) Appellate Authority's Order/President's Order
(b) Petition/Memorial submitted by the Officer
(c) Note indicating the Reviewing Authority's findings
on the charges, detailing the reasons warranting modi-
fication of the penalty already imposed and the extent
of such modification. . .
(d) Additional comments on the procedural or factual
points, if any, raised in petition.
(D) Pension Cases
(Where the President proposes to withhold or withdraw
pension otherwise admissible to the Officer as a result
of disciplinary proceedings instituted deemed to continue
in respect of an officer who has retired from service)
[In these cases all the documents listed in (A) should
also be sent.]
(a) Order of the President* if any, that the disciplinary pro-
ceedings should be instituted/continued under the
relevant Pension Rules.
(b) Show cause notice issued to the Officer indicating pre-
cisely the quantum of cut proposed to be made in his
pension and the period which it shall be operative.
(c) Reply of the officer to the aforesaid notice.
(d) Comments on factual or procedural points raised by the
officer in his reply.

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

(E) General
(a) Miscellaneous documents regarding evidence such as the
exhibits, statements, etc. referred to in (A) to (D) and
extracts of relevant Rules, Codes, Manuals, Acts,
judgements etc.
(b) Whether complete and uptodatt Confidential Roll of
the Officer has been enclosed.

Signature
Name in Block letters of Officer of
the Ministry/Department/State Govt.
signing this statement
Designation
Date
Telephone No
 ANNEXIJRE Xlii
(See I'ara 7 .2)
PARTICULARS RELATING TO THE CLAIM FOR REIMBURSEMENT 01- LEGAL EXPENSES
REFERRED TO THE COMMISSION UNDER ARTICLE320 (3) OF THE CONSTITUTION WITH
LETTER NO. DATED
(A separate form should be used for each claimant)
1. Name of the Officer
2. Post held
3. Charges for which the officer was prosecuted. . (i) Case No Charge
(ii) „
(iii) „
4. (i) Date of alleged incident(s)
(ii) Date when the case(s) was/were instituted
(iii) Date of final judgement
5. The amount(s) claimed in reimbursement by the officer
in the case(s).
6. (i) Whether the officer was prosecuted along with anybody
else. If so, whether the defence was conducted jointly
or separately.
(ii) case of joint defence, was payment made by the clai-
In
mant alone or was it shared with others? .
(iii) In the latter case, what was the proportion borne by the
claimant?
7. Is any claim preferred by any other officer prosecuted along
with the claimant pending with the MinistrylDepartment ?
If so, the details of his claim may be furnished.
8. The basis on which the amount suggested by the Law Minis-
try/Law Officer has been worked out, may be clearly indicated.
9. Whether all the relevant documents, particularly the follow-
ing, have been enclosed:
(i) Original claim preferred by the officer.
(ii) Certified copy of judgement obtained from the Court
or a copy of judgement certified by the Ministry/De-
partment. • • • • • •
(iii) Certified copies of order sheet(s) or an authenticated
document showing the dates when the case(s) was/
were posted for hearing and when the case(s) was/
were actually heard. -
(iv) Lawyer's stamped receipts (not Bills still to be paid
by the claimant.)
(v) Vouchers and other authenticated receipts for stamps,
clerkage and miscellaneous expenses claimed.
In case receipts are not forthcoming due to any reason,
the Ministry/Department may please certify that the
expenditure claimed was, to their satisfaction, actually
incurred.
10. Was the claimant punished as a result of departmental pro-
ceedings instituted against him in connection with the acts
for which he was prosecuted in the court of law; if so, com-
plete record of such proceedings may be furnished.

Signature
Name in block letters
Designation
Date
Tele. No.
143
 ANNEXURE XIV
[Sae Para 10(2)]

STATEMENT SHOWING THE NAMES ETC. OF SERVI CRS/POSTS IN RESPECT OF WHICH

RECRUITMENT RULES HAVE NOT BEEN FRAMED.

Name of Date of cons- Details of Reasons for Remarks

Name of the
Ministry/ Service/ titution of steps delay in
Department post and the Service/ taken to framing
its classi- creation of frame R/ R/Rules for
fication the post Rules for Services/
Services/ posts shown
posts in column 2'
shown in
column 2

1 2 3 4 5 6

144