Lok Sabha Question No. 182 (UNSTARRED), answered on 2018-07-18
Subject: Promotion Policy For Bureaucrats
Ministry: PERSONNEL, PUBLIC GRIEVANCES AND PENSIONS
Asked by: KAMLA DEVI PATLE

## GOVERNMENT OF INDIA MINISTRY OF PERSONNEL, PUBLIC GRIEVANCES AND PENSIONS

## (DEPARTMENT OF PERSONNEL & TRAINING)

LOK SABHA UNSTARRED QUESTION NO. 182 (TO BE ANSWERED ON 18.07.2018)

## PROMOTION POLICY FOR BUREAUCRATS

## +182. SHRIMATI KAMLA DEVI PAATLE:

Will the PRIME MINISTER be pleased to state:

- (a) whether the Government has formulated a new comprehensive   policy   regarding promotion of bureaucrats;
- the manner in which new system is better than old system and the steps taken/being taken by the Government to prevent discrimination;
- if so, the details thereof with the aims and objectives; (6) along
- (d) and if s0, the details thereof; and
- (e the  number of officials given  compulsory retirement due to poor work performance during each of the last two years and the current year?

## ANSWER

## MINISTER OF STATE IN THE MINISTRY OF PERSONNEL, PUBLIC GRIEVANCES AND PENSIONS AND MINISTER OF STATE IN THE PRIME MINISTER'S OFFICE

- (a) to (c): The 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 have been issued vide Department of Personnel & Training's OM No. 22011/5/1986Estt (D) dated 10.04.1989. in this OM with to Benchmark; cover procedure in  respect of  officers under   cloud, zone of consideration for promotion, and other related matters have been reviewed and amended from time to time. The important amendments made in the promotion guidelines past three years are as under:regard during
- 1 OM No. 22011/2/2014-Estt.D dated  30/01/2015 regarding Procedure for  conduct of supplementary DPC:
- iii. 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.
- ii. Servants exonerated after retirement-procedure and Guidelines to be followed.
- iv. 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 relevant year up to which APARs are to be considered and Model Calendar for conducting DPCs and crucial date for eligibility.
- (d) & (e): Yes Madam. As per information available on Probity portal, up to 2018, a total of 25,082 Group A and 54,873 Group B' officers have been reviewed; out of which provisions of FR 56 (j) and relevant rules were invoked recommended against 93 A' and 132 B' officers. May; Group

## No. 22011/2/2014- Estt.D Government of India Ministry of Personnel, P.G. & Pensions Department of Personnel &

## Training

North Block, New Delhi, Dated the January, 2015. 30th

## Office Memorandum

Subject:- Procedure for conduct of supplementary DPC

This Department instructions issued vide OM No. 22011/5/86-Estt (D) dated 10.4.89 vacancies occurring due to death, voluntary retirement; new creations etc: could not be foreseen at the time of placing facts and therefore, another material before the of DPC (commonly referred to supplementary DPC) should be held for up a panel for these vacancies. DPC, meeting drawing

- 2 References have been received with regard to the zone of consideration, the eligibility list fcr the supplementary DPC and whether officers panel by the original DPC who are included in the or in the extended panel but could not be promoted anticipated vacancies do not actually become as these additional available could be appointed against the vacancies later becoming available for the same vacancy year.
- 3 These issues have examined in  consultation decided: with UPSC and following is been
- (i) The zone of consideration, in case of per the provisions supplementary DPC, shall be fixed as in this Department OM No\_ 22011/2/2002-Estt(D) dated 6.\_ keeping in view total number of vacancies 1.2006 in a particular vacancy year i.e. vacancies accounted in Original DPC + additional vacancies the same becoming available subsequently year. holding arising during
- The eligibility list for supplementary DPC shall be all such officers prepared by removing the names of who have already been assessed by earlier DPC as unfit or the sealed cover by the original DPC before placed in placing the same for consideration by the supplementary DPC fit,
- (iii) The officers who have already been empanelled or placed in the extended panel but could not be promoted due to these vacancies not be actually becoming available; need not re-assessed by the supplementary DPC as the assessment matrix remains the same\_ may be appointed against the additional vacancies of the same vacancy as per They year

recommendations of the earlier DPC: In such situation the number of vacancies for supplementary DPC shall be accordingly adjusted.

- 4 While calculating the vacancies for a DPC, it is incumbent upon administrative department to ensure that there is no arbitrariness in calculation of anticipated vacancies. regular
- 5 To provide clarity in implementation of these instructions some situation specific illustrations are enclosed as Annexure to this OM:

<!-- image -->

(Mukta Goel) Director (E.I)

## to:Copy

1. The President's Secretariat, New Delhi:
2. The Vice-president's Sectt, New Delhi
3. The Prime Minister's Office, New Delhi:
4. The Cabinet Secretariat, New Delhi:
5. 5\_ The Lok Sabha /Rajya Sabha Secretariat, New Delhi:
6. The Comptroller and Audit General of India, New Delhi:
7. The Secretary, Union Public Service Commission, New Delhi
8. The Staff Selection Commission, New Delhi:
9. AIl attached offices under the Ministry of Personnel, Public Grievances and Pensions
10. All Officers and Sections in the Department of Personnel and Training:
11. 11, Establishment (D) Section, DoP&T (20 copies)
12. NIC for updation on the website

## Wustration

No. of vacancies 2

of consideration will be decided taking into account total number of vacancies in the vacancy year, 7 (Vacancies at the time of original DPC + unanticipated vacancies for the same year i.e. 5+2) in this case. Zone

For 7 vacancies, normal zone is 7x 2+4=18

Extended Zone

7x5=35

Situation 1 In the original DPC, first 5 officers are assessed as 'Fit' and no officer is assessed for extended panel or assessed as 'Unfit' and/or kept in 'Sealed Cover'

Zone of consideration for   Supplementary DPC will now be 13 (Normal Zone of consideration for total number of vacancies for that year number of officers assessed by earlier DPC i.e 18-5).

As such, in the eligibility list of Supplementary DPC in the above illustration, 13 officers (9 left over officers from the original DPC and 4 additional officers) shall be included.

Situation 2 In the original DPC, first 5 officers are assessed as 'Fit' and next 3 officers are assessed for extended panel and no officer is assessed as 'Unfit' and /or kept in 'Sealed Cover'

Zone of   consideration for  Supplementary DPC will now be 10 (Normal Zone of consideration for total number of vacancies for that year number of officers assessed by earlier DPC 18-8). i.e

As such, in the eligibility list of Supplementary DPC in the above illustration, 10 officers (6 left over officers from the original DPC and 4 additional officers) shall be included.

## Original DPC

No, of vacancies

5

Normal zone

5x 2+4=14

Extended zone

## Supplementary DPC

## ANNEXUR-I

Situation 3 2 officers are assessed for extended panel and 4 officers are assessed as Unfit' and/or kept in 'Sealed Cover'

Zone of consideration for Supplementary DPC will now be 7 (Normal Zone of consideration for total number of vacancies for that year number of officers assessed by earlier DPC i.e 18-11)

As such, in the eligibility of Supplementary DPC in the above illustration, 7 officers (3 left over officer not assessed in the original DPC and 4 additional officers) shall be included in the norrnal zone:

## Extended Zone in situation 1,2 & 3 above:

Extended zone in the Supplementary DPC, wherever resorted may be operated accordingly leaving out the Sc/ST officers assessed by the original DPC. to,

ImportantIn the Supplementary DPC, (a) Zone of consideration (Normal as weli as into account total number of vacancies in the relevant vacancy year; and (b) all the officers already assessed in the original DPC are not to be included in the fresh zone of consideration in respect of the S-DPC taking

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

North Block; New Delhi Dated- 25.01,.2016

## (Department of Personnel and Training)

## 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 14th 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 cover and subsequent action regarding opening of sealed cover will depend on the outcome of the disciplinarylcriminal proceedings.

- 2\_ If on conclusion of the disciplinary/ criminal proceedings, the Government servant is  exonerated, the procedure prescribed in  para 3 of the OM dated 14-9-1992 is to be 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 coverlcovers and with reference to the date of promotion of his next junior 0n 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 period of notional promotion preceding the date of actual promotion; and if so to what extent; will be decided by the   appointing  authority  by into consideration all the facts and circumstances of the disciplinary proceedings/criminal prosecution: Where the authority denies arrears of salary O1 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 O part of it may become necessary.  However; there may be cases where the proceedings, whether disciplinary or criminal, are; for example delayed at the instance or acquittal in the criminal proceedings is with benefit of doubt or on 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 taking

- The applicability of above provisions in S0 far as it relates to cases where the Government Servant; Who has retired by the time he is exonerated of all the has been considered in respect ofthe following cases: charges
- Where the promotion order pertaining to the relevant DPC has been issued and to superannuation of the retired Government Servant; and charge prior
- ii, The Ietired Government Servant would have been in service and assumed of the post had the disciplinary proceeding not been initiated against himlher. charge
- 4 It has decided in consultation with the Department of Pensions & Pensioners Welfare and the Department of   Expenditure, notional promotion andk Department of Legal Affairs that payment of arrears of pay, ifany, for the period ofnotional promotion till the date of retirement; to such a retired Government servant if found fit sealed cover is to be decided on opening of the terms of Para 3 of OM dated 14/9/1992.
- 5 retired GoYernment employee who is considered for notional promotion from the date of promotion ofhis next junior after opening of the sealed cover would also be entiled fixation of pension on the basis of such notional pay on his notional to promotion:
- 6\_ The provisiofs contained in this Office Memorandum shall become from the date of issue Of this Office Memorandum: Past operational earlier cases settled in accordance with the provisions shall not be reopened

## AllMinistries[Departments of the Government of India:

Copy to:-

- 1 The President's Secretariat; New Delhi.
- 3\_ The Prime Minister$ Office, New Delhi.
- 2 The Vice-president's Secretariat; New Delhi.
- The Cabinet Secretariat; New Delhi.
6. The Lok Sabha Secretariat; New Delhi,
- 5\_ The Rajya Sabha Secretariat; New Delhi.
- 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 under the Ministry of Personnel, Public Grievances and Pensions,
12. Establishment(D) Section, DoP&T (10 copies)
- Training:

<!-- image -->

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

<!-- image -->

(Gayatri Mishra) 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

## QEFFICE MEMORANDUM

November 21, 2016

Sub: Guidelines 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: the said OM Paragraph 7(d), 7(f) and 7(g) of 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 with other eligible candidates without into consideration the disciplinary case 1 criminal prosecution pending: The assessment of the DPC including 'unfit' for promotion and the grading awarded are kept in @ sealed cover: [Paragraph 2.1 of DoPT OM dated 14.9.1992] along taking
- 7(f) 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 / the findings of the sealed cover / covers shall not be acted upon: His 1her case for promotion may be considered by the next DPC in the normal course and regard to the penalty imposed on him / her [paragraph 3.1 of DoPT OM dated 14.9.1992]. her, having
- In assessing the suitability of the officer on whom 0 penalty has been imposed, the DPC will take into account the circumstances leading t the imposition of the penalty and decide whether in the light of general officer   should be considered for promotion. The DPC; after due consideration, to assess the officer unfit'   for promotion However; where the DPC considers that despite the penalty 7(g)

<!-- image -->

the officer is suiteble the   officer will be actually promoted only after the currency of the penalty is over [paragraph 13 of DoPT OM daied 10.4.1989].

- 2 Questions have been   raised   by the ` Ministries and case of Censure also\_ this regard,  it is reiterated that paragraphs 7(d) 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 para 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 of currency penalty. asking

@

(G. Jayanthi) Director

<!-- image -->

All Ministries / Departments of the Government of India

## to: Copy

- (ii) The Vice- President' s Secretariat; New Delhi
- (i) The President' $ Secretariat; New Delhi
- (iii) The Prime Minister'$ Office; New Delhi
- (v) The Rajya Sabha Secretariat; New Delhi
- (iv) The Cabinet Secretariat; New Delhi
- (vi) The Lok Sabha Secretariat; New Delhi
- (viii) The Secretary, Union Public Service Commission
- (vii) The Controller and Auditor General of India, New Delhi
- (ix) The Secretary, Staff Selection Commission
- (x) All Attached offices under the Ministry of Personnel, Public Grievances and Pensions
- (xi) AlI 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)
- (a) OM's Orders ~Establishment \_Promotion; and
- (b) OMs / Orders ~Establishment \_CCS (CCA) Rules.

<!-- image -->

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

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

New Delhi, 8th 2017 May,

## QFFICE MEMORANDUM

Sub: Procedure to be observed by the Departmental Promotion  Committees (DPCs) Model Calendar for DPCs to be considered and Model Calendar for conducting DPCs regarding:

The undersigned is directed to invite reference to the Department of '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 vear and that the Iast 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 furthet invited to the Department of Personnel and Training OM 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 1 vear) are required to be considered: Accordingly, for the vacancy year 2017-18, APARs up to the year 2015-16 are required to be considered .
- 3 No. 22011/1/2005- Estt(A)-(Pt-II) dated July; 2009 on the subject 'Preparation and Maintenance of APARs' wherein a time schedule for preparationlcompletion of APAR has been\_prescribed. As per this schedule, entire APAR process is to be completed by 30l 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 Proposal to the UPSC has to be sent by 15 July, 2016 (in ACC cases) and 31 July, 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 APAR, the time lines make it practically impossible to make the last APAR (the APAR of the year immediately preceding T-1"h 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 year 2017-18. In this background, the instructions regarding the procedure for convening DPCs have been reviewed in consultation with UPSC.
- In order to streamline the process of timely convening of DPCs, it has now decided that henceforth; the following been procedure in partial modification changes may be effected in the DPC dated 10.4.89, OM No\_ of this   Department OM No.  22011/5/86-Estt (D) Estt (D) dated 22011/9/98-Estt. (D) dated 16.6.2000,\_ OM No, 22011/9/988.9.98 and OM No. 22011/6/2013- Estt (D) dated 28.5.2014(crucial date of eligibility):
- Ohewvacancyevear may be shifted to Calendar Year from the year 2018 onwards, Wherever the financial year based vacancy year followed being
- W.e.f 2019. year
- (iv) The year of 2018 the transitional from 1st April 2018 to 31st" year;\_the vacancy period shall be December; 2018. The reckoning APARs for this year. being
- (iii) The APARs for five years preceding APARs, i.e. for the year may be taken as reckoning the reckoning APARs shall be 2016-17,2015-16, 2014-15, 2013-14 2012-13. and T-2nd
- 6\_ Ministries/Departments are requested to give wide circulation to these instructions for guidance in the matter and also to ensure strict adherence time-schedule prescribed as per the 'Model Calendar' for DPCS, to the

<!-- image -->

Encl: as above

(Jayanthi. G) Director(E-I)

To

## to: Copy

- The Presidents Secretariat; New Delhi
- iii The Prime Minister's Office, New Delhi
- The Vice- President's Secretariat; New Delhi
- The Cabinet Secretariat; New Delhi
- The Lok Sabha Secretariat; New Delhi
- The Rajya Sabha Secretariat; New Delhi
- (vii) The Controller and Auditor General of India, New Delhi
- (ix) The Secretary, Staff Selection Commission
- (viii) The Secretary, Union Public Service Commission
- (x) Pensions Grievances and
- NIC for uploading on the website under

OM's / Orders 'Establishment 'Promotion; and

- (xi) AlcOficers and Section in the Department of Personnel & (xii) Training

## A. ACC cases:

## CQMMTTEES(DPCs)

| No.   | Events                                                                                                                                                                                                               | Transitional year (01.04.2018 to 31.12.2018   | Calendar- year based   | 2019                   |
|-------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------|------------------------|------------------------|
|       | Vacancy year                                                                                                                                                                                                         | 2018-19                                       | 2018                   | 2019                   |
| 2     | Crucial date for determining_eligibility                                                                                                                                                                             | 01 April, 2018                                | 01 January, 2018       | 01 January, 2019       |
| 3_    | Compilation of ACRs/Integrity Certificates/ Vigilance clearance/Seniority ListPenalty and position etc. and forwarding DPC proposal to UPSC Vacancy                                                                  | April 15 July 2017                            | January 15 April, 2017 | January 15 April; 2018 |
| 4     | Last date for complete proposal with relevant Recruitment/Service Rules to the UPSC. (Effort   should be  made to send the proposal to the UPSC as soon as possible without for the last date) sending along waiting | 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 the select approved panel by the ready                                                                                                                                                         | 31 March, 2018                                | 31 December; 2017      | 31 December; 2018      |

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

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 0f 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                     |
|---------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------|--------------------------|--------------------------|
|         | Vacancy year                                                                                                                                                                                                      | 2018-19                                       | 2018                     | 2019                     |
| 2       | Crucial date for determining eligibility                                                                                                                                                                          | 01 April; 2018                                | 01 January, 2018         | 01 January , 2019        |
|         | Compilation of ACRslIntegrity Certificatesl Vigilance   clearance/Seniority ListIPenalty 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 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 for the last date or completion of the period as suggested by the Model Calendar for DPCs , put waiting