Lok Sabha Question No. 3529 (UNSTARRED), answered on 2019-01-02
Subject: New System for Promotion
Ministry: PERSONNEL, PUBLIC GRIEVANCES AND PENSIONS
Asked by: BOORA NARSAIAH GOUD

## GOVERNMENT OF INDIA MINISTR Y OF PERSONNEL, PUBLIC GRIEVANCES AND PENSIONS

## (DEPARTMENT OF PERSONNEL AND TRAINING)

## LOK SABHA UNSTARRED QUESTION NO. 3529

(TO BE ANSWERED ON 02.01.2019)

## NEW SYSTEM FOR PROMOTION

## 3529. DR BOORA NARSAIAH GOUD:

Will the PRIME MINISTER be pleased to state:

- (a) whether the Government is proposing to have a new system introduced to assess the integrity and reputation of bureaucrats on the basis of which promotion is given;
- whether there is a proposal to send these guidelines to the States; and ( if so, the details thereof?
- (b) when this is likely to be introduced;

## ANSWER

## MINISTER OF STATE IN THE MINISTRY OF PERSONNEL, PUBLIC GRIEVANCES AND PENSIONS AND MINISTER OF STATE IN THE PRIME MINISTER 'S OFFICE (DR. JITENDRA SINGH)

(a) to (d): Promotions are given in accordance with the provisions in the Recruitment Rules Service Rules for the respective posts. The consolidated guidelines on Departmental Promotion Committees (DPC) for making recommendations in regard to fitness of officials for promotion dated 10.04.1989\_ The policy contained in this OM with to Benchmark, assessment of fitness, sealed cover procedure in respect of officers under cloud, zone of consideration for promotion, and other related matters has been reviewed and amended from time to time The important amendments made in the promotion guidelines during past three years are a8 under: regard

- i. OM No. 22011/3/2013-Estt: (D) dated 25/01/2016 regarding promotion of  Government Servants exonerated after retirement-procedure and Guidelines to be followed.
- iii. OM No. 22011/4/2013-Estt (D) dated 08/05/2017 regarding procedure to be observed by the Departmental  Promotion Committees(DPCs) Model Calendar for DPCs to which APARs are to be   considered and  Model Calendar   for conducting DPCs and crucial date for eligibility.
- ii. OM No\_ 22011/4/2007-Estt: (D) dated 21/11/2016 regarding Guidelines on treatment of effect of penalties on promotion role of Departmental Promotion Committee.
- iv. OM No. 22011/3/2013-Estt. (D) dated 15/11/2018 regarding promotion of Government servants found fit by review DPC after retirement procedure and guidelines to be followed.

These   instructions are applicable to all Central Government  Civilian Employees and Central Services except Railways Services and services under the control of the Department of Scientific and Technical Services under the Department of Defence Research and Development:

The state services are under Schedule VII of Constitution and States are empowered to make rules under Article 309 in respect of services and posts under them.

## No.22011/3/2013-Estt (D) Government of India

## OFFICE MEMORANDUM

Subject:- Promotion of Govt  Servants  exonerated after retirement Procedure and Guidelines to be followed Regarding:

The undersigned is directed to invite reference to the Department of Personnel and Training Office Memorandum No: 22011/4/91-Estt(A) dated September, 1992 regarding procedure and guidelines to be followed by DPC in respect of Government servants against whom disciplinary/court proceedings are pending or whose conduct is under investigation; In case the Government servant is covered under any of the three conditions as mentioned in Para 2 of OM dated 14.09.1992, the recommendations of the DPC are to be kept in 'sealed and subsequent action regarding opening of sealed cover will depend on the outcome of the disciplinarylcriminal proceedings 14th cover'

- 2 Ifon conclusion of the disciplinary/ criminal proceedings, the Government servant is exonerated, 3 of the followed: This provides as under:-

"On the conclusion of the disciplinary caselcriminal prosecution which results in dropping of allegations the Govt. servant; the sealed cover or covers shall be opened. In case the Government servant is completely exonerated the due date of his promotion will be determined with reference to the position assigned to him in the findings kept in the sealed cover/covers and with reference to the date of promotion of his next junior on the basis of such position   The Government servant may be promoted, if necessary, by reverting the junior most officiating person: He may be promoted notionally with reference to the date of promotion of his junior: However; whether the officer concerned will be entitled to any arrears of pay for the of notional promotion preceding the date of actual promotion, and if so to what extent, will be decided by the  appointing  authority by   taking  into consideration all the facts and circumstances of the disciplinary proceedingslcriminal prosecution. Where the authority denies arrears of salary or part of it; it will record its reasons for doing so. It is not possible to anticipate and enumerate exhaustively all the circumstances under which such denials of arrears of salary or of it may become necessary.  However; there may be cases where the proceedings, whether disciplinary o criminal, are, for example delayed at the or  the clearance in the   disciplinary  proceedings or in the criminal proceedings is with benefit of doubt O o account of nonavailability of evidence due to the acts attributable to the employee etc. These are only some of the circumstances where such denial can be justified ' against period part acquittal

## Ministry of Personnel, Public Grievances and Pensions (Department of Personnel and Training)

North Block; New Delhi Dated- 25.01.2016

- 3 The applicability of above provisions in SO far aS it relates to cases where the Government Servant; Who has retired by the time he is exonerated of all the charges has been considered in respect ofthe following cases:
- 1 Where the promotion order pertaining to the relevant DPC has been issued and the   officers   empanelled have   assumed charge   prior to the superannuation of the retired Government Servant; and
- ii, The retired Government Servant would have been in service and assumed of the post had the disciplinary proceeding not been initiated against him/her: charge
- 4\_ It has been] decided in consultation with the   Department of Expenditure, Department of Pensions & Pensioners Welfare and the Department of Legal  Affairs that notional promotion and payment of arrears of pay, ifany, for the period of notional promotion till the date of retirement; to such a retired Government servant if found fit on opening of the sealed cover is to bel decided by the  appointing   authority in  terms  of Para 3 of OM No.22011/4/91-Estt (A\_ dated 14/9/1992.
- A retired Goyernment employee who is considered for notional promotion from the date of promotion of his next junior after opening of the sealed cover would also be entitled to fixation of pension on the basis of such notional pay on his notional promotion.
- 6 The provisions  contained in this Office Memorandum shall become operational Past cases settled in accordance with the earlier provisions shall not be reopened.

(Gayatri Director (E-I) Phone No. 23092479

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to:Copy

- 1, The President's Secretariat; New Delhi.
3. The Prime Minister'$ Office, New Delhi.
2. The Vice-president's Secretariat; New Delhi.
- 4 The Cabinet Secretariat, New Delhi,
6. The Lok Sabha Secretariat; New Delhi.
- 5 . The Rajya Sabha Secretariat; New Delhi.
7. The Comptroller and Audit General of India, New Delhi:
- 9\_ The Staff Selection Commission; New Delhi.
8. Union Public Service Commission, New Delhi
- 10 All attached offices pnder the Ministry of Personnel, Public Grievances  and Pensions.
12. Establishment(D) Section, DoP&T (10 copies)
13. NIC for updation 0n the website

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EIL

(Gayatri Mshra) Director (E-I)

## No.22011/4/2007-Estt. (D) Government of India Ministry of Personnel, Public and Training

## (Department of Personnel and Training)

North Block; New Delhi \_ 110 011

## OFFFICE MEMORANDUM

November 21,2016

Sub: Guidelines on treatment of effect of penalties on promotion role of Departmental Promotion Committee

The Department of Personnel & Training vide its OM of even number dated 28.4.2014 issued instructions on the above subject. Paragraph 7(d), 7(f) and 7(g) of the said OM provides as follows:

- 7(d) If the official under consideration is covered under any of the three condition mentioned in paragraph 2 of OM dated 14.9.1992, the DPC will assess the suitability of Government servant along with other eligible candidates without into consideration the disciplinary case criminal prosecution pending: The DPC including 'unfit' for promotion and the grading awarded are kept in a sealed cover: [Paragraph 2.1 of DoPT OM dated 14.9.1992] taking
- 70) If any penalty is imposed on the Government servant as a result of the disciplinary proceedings or if he / she is found guilty in the criminal prosecution against him / her, the findings of the sealed cover / covers shall not be acted upon: His her case for promotion may be considered by the next DPC in the normal course and having regard to the penalty imposed on him / her [paragraph 3.1 of DoPT OM dated 14.9.1992].
- 7(g) In assessing the suitability of the officer on whom a penalty has been imposed, the DPC will take into account the circumstances leading to the imposition 0f the penalty and decide whether in the light of general service record Of the Officer and the fact of imposition of penalty, the officer should be  considered for promotion. The DPC; after due consideration, has authority to assess the officer aS promotion. However; where the DPC considers that despite the penalty

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the officer is suitable for promotion, the officer will be actually promoted only after the currency Of the penalty is over [paragraph 13 of DoPT OM dated 10.4.1989].

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- 2 Questions have been   raised  by the Ministries   and  Departments   asking whether applicable in the Censure' also. In this regard, it is reiterated that paragraphs 7d), 7(f) and 7(g) cited above are applicable in all the recognized  penalties under  CCS (CCA) Rules   including the minor   penalty of Censure as well for which no currency has been prescribed, it would mean that as per 7(g), if the DPC considers the officer fit for promotion notwithstanding the award of censure, he she can be promoted without referring to the currency of penalty. @ Jayanbhi para

All Ministries Departments of the Government of India

## to: Copy

- The President' s Secretariat; New Delhi
- (ii) The Vice- President' s Secretariat; New Delhi
- (iii) The Prime Minister's Office; New Delhi
- (iv) The Cabinet Secretariat; New Delhi
- (v) The Rajya Sabha Secretariat; New Delhi
- (vi) The Lok Sabha Secretariat; New Delhi
- (vii) The Controller and Auditor General of India, New Delhi
- (viii) The Secretary, Union Public Service Commission
- (x) AIl Attached offices under the Ministry of Personnel, Public Grievances and Pensions
- (ix) The Secretary, Staff Selection Commission
- (xi) All Officers and Section in the Department of Personnel & Training
- (xiii) NIC for uploading on the website under
- (xii) Establishment (D) Section, DoP&T (10 copies)
- (b) OMs Orders ~ Establishment ~CCS (CCA) Rules:

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(Rajesh Sharma) Under Secretary to the Govt: of India Tel no. 2304 0340

(G. Jayanthi) Director Tel. no. 2309 2479

## No. 22011/4/2013-Estt(D) Government of India Ministry of Personnel, Public Grievances and Pensions

## (Department of Personnel and Training)

8th 2017 May,

## OFFICE MEMORANDUM

Sub: Procedure to be observed by the Departmental Promotion Committees (DPCs) Model Calendar for DPCs Relevant year up to which APARs are to be considered and Model Calendar for conducting DPCs regarding:

The undersigned is directed to invite reference to the Department of Personnel and Training OM of even number dated 8th September; 1998 prescribing a 'Model Calendar' for DPCs in order to ensure that DPCs are convened in advance and approved select panels are ready on the date of commencement of the relevant vacancy year and that the last date for sending complete proposal to the UPSC is 15 July (in ACC cases) and 31 July (in non-ACC cases) of the year preceding the vacancy year:

- 2\_ Reference is further invited to the Department of Personnel and Training OM of even number dated 16th June, 2000 wherein it was prescribed/clarified that only such ACRs (now APARs) should be considered which became available during the year immediately   preceding the vacancylpanel year  irrespective of the date of convening of the DPC. In other words, for the vacancylpanel year 2000-01, it was prescribed that ACRs (now APARs) up to the year 1998-99 (five years preceding T year) are required to be considered: Accordingly, for the vacancy year 2017-18, APARs up to the year 2015-16 are required to be considered. 7st
- 3\_ Reference\_is\_also invited to the Department of Personhel and Training OM No. 22011/1/2005- Estt(A)-(Pt-II) dated July, 2009 on the subject 'Preparation and Maintenance of APARs' wherein a time schedule for preparation/completion of APAR has been\_prescribed. As per this schedule, entire APAR process is to be completed by 30th November of the year following the completion of time period of APAR year: 23rd
- 4\_ As per the extant  instructions , say for   vacancy year 2017-18, complete 2016 (in non-ACC cases) with APARs up to the year 2015-16. However; the entire process of recording APAR for the year 2015-16 is complete by 30th November, 2016 only: After the issue of guidelines regarding time schedule for completion of make make the last APAR (the APAR of the year immediately preceding T-1th year) available for DPCs , i.e. the APAR for the year 2015-16 does not attain finality and thus may not be available before sending proposal for DPC for vacancy 2017-18. In this background, the instructions regarding the procedure for convening DPCs have been reviewed in consultation with UPSC . year
- 5\_ In order to streamline the process of timely convening of DPCs, it has been now decided that henceforth, the following changes may be effected in the DPC procedure in partial modification of this Department OM No. 22011/5/86-Estt.(D) dated 10.4.89, OM No. 22011/9/98-Estt.(D) dated 16.6.2000 , OM No. 22011/9/98Estt (D) dated 8.9.98 and OM No 22011/6/2013- Estt (D) dated 28.5.2014(crucial
- The vacancy year may be shifted to Calendar Year from the year 2018 onwards, wherever the financial year based vacancy year being followed now.
- (iii) The APARs for five years preceding year may be taken as reckoning APARs, i.e: for the vacancy year 2019 (January 2019 to December; 2019), the reckoning APARs shall be 2016-17 , 2012-13. T-2nd
- The  crucial date of eligibility will be 1st of January f the Vacancy year W.e.f 2019.
- (ivv) The year of 2018 being the transitional year, the vacancy period shall be from 1st April 2018 to 31st December; 2018. The reckoning APARs for this year.
6. Ministries/Departments are requested to give wide circulation to these instructions for guidance in the matter and also to ensure strict adherence to the time-schedule prescribed as per the 'Model Calendar' for DPCs.

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Encl: as above

(Jayanthi: G) Director(E-I)

To

## to: Copy

- The President's Secretariat; New Delhi
- The Prime Minister's Office , New Delhi
- The Vice- President's Secretariat, New Delhi
- iv The Cabinet Secretariat; New Delhi
- V The Lok Sabha Secretariat, New Delhi
- The Rajya Sabha Secretariat; New Delhi
- (vii) The Controller and Auditor General of India, New Delhi
- The Secretary, Staff Selection Commission (ix)
- (viii) The Secretary, Union Public Service Commission
- X) AIl Attached offices under the Ministry of Personnel, Public Grievances and Pensions
- (xii) NIC for uploading on the website under
- (xi) AIl Officers and Section in the Department of Personnel & Training
- OM's Orders Establishment Promotion; and

## MQDEL CALENDAR FQR CONDUCTIG DEPARTMENTAL PROMOTION COMMTTEESDPCs)

## A. ACC cases:

| S No.   | Events                                                                                                                                                                                                           | Transitional year (01.04.2018 to 31.12.2018)   | Calendar- year based   | 2019                   |
|---------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------|------------------------|------------------------|
|         | Vacancy year                                                                                                                                                                                                     |                                                | 2018                   | 2019                   |
| 2       | Crucial date for determining_eligibility                                                                                                                                                                         | 01 April, 2018                                 | 01 January, 2018       | 01 January, 2019       |
| 3_      | Compilation of ACRs/Integrity Certificatesl Vigilance clearance/Seniority List/Penalty and Vacancy position etc_ and forwarding DPC proposal to UPSC                                                             | April 15 July 2017                             | January 15 April, 2017 | January 15 April, 2018 |
| 4       | Last date for sending complete proposal along with relevant RecruitmentIService Rules to the UPSC. (Effort should be made to send the proposal to the UPSC as soon as possible without waiting for the last date | 15 July 2017                                   | 15 April 2017          | 15 April 2018          |
| 5_      | DPC to be held                                                                                                                                                                                                   | 15 July November; 2017                         | 15 April August; 2017  | 15 April August; 2018  |
| 6_      | On receipt of DPC minutes from the UPSC , post-DPC follow-up action by the administrative Ministry Department                                                                                                    | December, 2017                                 | September, 2017        | September, 2018        |
|         | Approval of the ACC including communication of its approval to the administrative Ministryl Department                                                                                                           | January March, 2018                            | October December, 2017 | October December, 2018 |
| 8       | Last date for getting ready the approved select panel by the                                                                                                                                                     | 31 March, 2018                                 | 31 December; 2017      | 31 December, 2018      |

| administrative Ministry/Department   |
|--------------------------------------|

Note: Dateslperiods suggested in the Model Calendar for DPCs put no bar on earlier completion of various pre-post DPC related actions. Every effort may, as such; be made for taking speedy action in the matter without waiting for the last date or completion of the period as suggested by the Model Calendar for DPCs.

## B. Non-ACC cases:

| S. No.   | Events                                                                                                                                                                                                         | Transitional year (01.04.2018 to 31.12.2018)   | Calendar- year based     | 2019                      |
|----------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------|--------------------------|---------------------------|
| 1        | Vacancy year                                                                                                                                                                                                   | 2018-19                                        | 2018                     | 2019                      |
| 2        | Crucial date for determining eligibility                                                                                                                                                                       | 01 April, 2018                                 | 01 January, 2018         | 01 January , 2019         |
| 3        | Compilation of ACRslIntegrity Certificatesl Vigilance   clearance/Seniority ListlPenalty and Vacancy position etc , and forwarding DPC_proposal                                                                | April July 2017                                | January April, 2017      | January April, 2018       |
| 4        | Last date for sending complete proposal along with relevant Recruitment/Service Rules to the DPC. (Effort should be made to send the proposal to the DPC as soon as possible without waiting for the last date | 31 July 2017                                   | 30 April 2017            | 30 April 2018             |
| 5_       | DPC to be held                                                                                                                                                                                                 | August, 2017 January, 2018                     | October, 2017 May        | October, 2018 May         |
| 6.       | On receipt of DPC minutes, post-DPC follow-up action(including approval of the Competent Authority) by the administrative Ministry-Department                                                                  | February- March, 2018                          | November- December; 2017 | November- December , 2018 |
|          | Last date for   getting ready the approved select panel by the administrative Ministry Department                                                                                                              | 31 March, 2018                                 | 31 December, 2017        | 31 December, 2018         |

Note: Dateslperiods  suggested in the Model   Calendar for DPCs put no bar on earlier completion of various pre-post DPC related actions. Every effort may, as such, be made for taking speedy action in the matter without waiting for the last date or completion of the period as suggested by the Model Calendar for DPCs.

## F No. 22011/3/2013-Estt: (D) Government of India Ministry of Personnel, Public Grievances and Pension

## Department of Personnel & Training

## QFFICE MEMORANDUM

North Block; New Delhi Dated 15th November, 2018

Sub:

Promotion of Government servants found fit by review DPC after   retirement procedure and guidelines to be followed

The undersigned is directed to invite reference to this Department's OM of even number dated 25.1.2016 which deals with the   grant of  notional  promotion to a Government exonerated in a disciplinary  proceedings` after  retirement: However, the cases of servant servants who are found fit by review DPC after their retirement on account of revision Government of the feeder cadre, upgradation of below benchmark APARs of seniority list OM. These cases have now been etc are not covered under the said examined and it has been decided to lay down procedure as narrated in subsequent paragraphs for with such cases

- 2\_ A Government servant who is not recommended in the panel by the the benefit of notional promotion W.e f the date oi promotion of his immediate be given panel and fixation of notional pay subject to the fulfilment of the junior in the reviewed following conditions: may
- Thatithe officer who is immediate junior to the retired Government servant the higher post on or before the date of superannuation of the retired assumed charge of Government servant.
- That the said retired Government servant was clear from vigilance promotion of his immediate junior. angle on the date of
- (iii) A retired  Government  servant who is considered for   notional promotion of his immediate junior on the promotion from the date of entitled to fixation of recommendation of a review DPC would also be pension on the basis of such notional pay:
- (iv) subject to pension shall be given only from the date of approval of reviewed Actual increase in authority: No arrears shall be panel by the competent paid.
- 3 Thehprovisions contained in this Office Memorandum shall become operational from the of issue of this Office Memorandum: Past cases settled in accordance date not be reopened. with the earlier provision shall
- 4 In so far as persons serving in the Indian Audit & Accounts orders issue after consultation with the Comptroller & Auditor Department are concerned, these General of India.
- 5\_ Hindi version will follow:

To

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AII Ministries and Departments of Government of India.

(G. Jayanthi Joint Secretary (E.I)

## to:Copy

- 1\_ President's Secretariat, New Delhi
- 3\_ The Prime Minister's Office , New Delhi
2. Vice-President's Secretariat, New Delhi
- 4 Cabinet Secretariat, New Delhi
- 6\_ The Registrar General, the Supreme Court of India. New Delhi .
- 5\_ Rajya Sabha Secretariat/Lok Sabha Secretariat; New Delhi
- 7 The Registrar, Central Administrative Tribunal, Principal Bench, New Delhi.
- 9\_ The Secretary , Union Public Service Commission, New Delhi
- 8 The Comptroller and Auditor General of India New Delhi
10. The Chairman, Staff Selection Commission, New Delhi
12. National Commission for Scheduled Castes National Commission for Scheduled Tribes, National Commission for OBCs, New Delhi
- 11\_ All attached offices under the Ministry of Personnel, Public Grievances and Pensions
15. Secretary, National Council (JCM), 13, Ferozeshah Road, New Delhi.
17. All Officers and Sections in the Department of Personnel and Training:
16. Establishment Officer
18. Facilitation Centre, DOP&T (20 copies) Establishment Section (10 copies):
19. NIC (DOP&T} for placing this Ofiice Memorandum on the Website of DOPET.

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(Rajesh Sharma) Under Secretary to the Government of India