Dr H S Rana Additional Director National Institute

Dr. H. S. Rana Additional Director National Institute of Public Adminisration 701, Barton Centre M. G. Road, Bangalore PIN: 560 001 E-mail: hsrana 1@gmail. com

Doctrine of SC/ST - An SC must be a Hindu or a Sikh or a Baudh / Neo Baudh. - An ST may be from any religion. ARTICLES 15 16 (4) (a) (b) 46 338 341 342 67 335 + Proviso

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

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

SCHEDULED TRIBES • They live in inaccessible hilly and remote areas and are cut off from the mainstream. They were specified for the first time after Independence only. • Main Characteristics which are common to all STs, are • • • 1. 2. 3. 4. 5. Tribal origin Primitive way of life Habitation in remote and less easily accessible areas Generally backward Traditional occupation

HISTORICAL BACKGROUND AND CONSTITUTIONAL SAFEGUARDS FOR SCHEDULED CASTES AND SCHEDULED TRIBES • YEAR POPULATION SC% ST% Total% 1951 15. 3% 6. 3% 21. 55% 1961 14. 67% 6. 8% 21. 47% 1971 14. 80% 6. 94% 21. 74% 1981 15. 47% 7. 85% 21. 74% 1991 16. 33% 8. 01 24. 34% 2001 16. 20% 8. 20% 24. 40%

HISTORICAL BACKGROUND AND CONSTITUTIONAL SAFEGUARDS FOR SCHEDULED CASTES AND SCHEDULED TRIBES • Amount 25% which constitutes the poorest section of the population and also Socially, Educationally and Economically backward.

YEAR IMPORTANCE 1901 27. 4% Population DC 1909 Minto - Morley Reforms 1928 Simon Commission 1931 Hutton’s Census 1932 Second Round Table Conference at London : a. Separate Electorate b. Communal Award c. Poona Pact 1934 Open competition – No success 1935 Government of India Notification

YEAR IMPORTANCE 1936 SC - 1935 – Rest - BT 1937 Congress Governments 1938 Removal of Civil Disabilities of Malabar Entry of Temple act 1942 Review 1943 Res. 8. 33% Population 12. 72% No Fee - - Age 3 Years 1946 12. 50% Reservation 1947 16. 66% In Direct Recruitment. Assam, Bihar, Madhya Pradesh, Orissa Special Provision 1949 Scheduled Tribes Census 1950 Ad hoc – 5% Res. for ST 1957 First order regarding Reservation in promotion was issued 1961 15% SC and 7. 50% ST rationalized

YEAR IMPORTANCE 1967 Yardi Committee on Reservation 1968 Parliamentary Committee on welfare of SC/ST 1978 Reservation in Promotion in Banks 1989 De-Reservation in DR banned w. e. f. 01. 04. 1989 ( 25. 04. 1989) 1990 Benefits of Reservation to Buddhists 1990 National Commission for SC/ST was setup 1992 50% ceiling in reservation by Supreme Court – Still in Vogue 1993 OBC orders were implemented (08. 09. 1993) 1997 Post based Rosters for Reservation (02. 07. 1997)

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

MOTION OF PROMOTION YEAR IMPORTANCE 1950 ARTICLE 16(4) EMPOWERED THE STATE TO PROVIDE FOR RESERVATION IN APPOINTMENTS (DR) % AGE – 15% SC 7. 5% ST - EXCLUDING DEFENCE AND JUDICIAL SERVICES. - % AGE OF PROMOTION 15% SC, 7. 5% ST = 22. 5% UPTO ENTRY LEVEL OF GROUP ‘A’ ( L R) ALONGWITH RELAXATIONS, CONCESSIONS, LOWERING LEVEL OF EVALUATION 1957 LTD DEPTT. COM. EXAM.

1962 1971 1981 RANGACHARI V/s RAILWAYS : MADRAS HIGH COURT 16 (4) – DR - INVALID. SUPREME COURT REVERSED HIRALAL V/s STATE OF PUNJAB : HIGH COURT – TURNED DOWN – SUPREME COURT AGAIN UPHELD AKHIL BHARATIYA SHOSHIT KARMACHARI V/s UNION OF INDIA CHALLANGED RELAXATIONS, CONCESSIONS, LOWERING LEVEL OF EVALUATION SUPREME COURT UP-HELD RELAXATIONS, CONCESSIONS, LOWERING LEVEL OF EVALUATION.

1986 1992 ARTICLE 335 JAGANNATHAN Vs AUDITOR – GENERAL OF INDIA – SUPREME COURT ESTABLISHED RESERVATION IN DR & PROMOTIONS ARTICLE 16(4) INDIRA SAWHNEY V/s UNION OF INDIA (MANDAL COMMISSION) LARGER BENCH OF SUPREME COURT DECIDED – 16 (4) NDID NOT PROVIDE RES. FOR PROMOTION W/o LOWERING LEVEL OF EVALUATION EFFICIENCEY OF ADMINISTRATION : 15. 11. 1997

1996 77 th AMENDMENT (1995) 1997 22. 07. 1997 AND 13. 08. 1997 VINOD KUMAR V/s UNION OF INDIA. UPTO 15. 11. 1997 WITH ADDITIONAL TRAINING OR CR – YES LOWERING LEVEL OF EVALUATION – NO RELAXATIONS, CONCESSIONS, SPTE STD OF EVALUATION – WITHDRAWN. PROMOTION POLICY TO CONTINUE BEYOND 16. 11. 1997 W/o WITHDRAWING OM DT. 22. 07. 1997

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

MERIT ( DR & PR ) RELAXATIONS - Age – Limit - Experience - Qualification - Permitted number of Chances in WT -EZOC O. M. DATED 22 -05 -1989 02 -07 -1997 01 -07 -1998 11 -07 -2002 31 -01 -2005 METHOD : NON – SEELCTION (SENIORITY) GROUPWISE (15% SC -7. 5% ST) A B C D YES / CF / TY

METHOD : SELECTION GROUPWISE (15% SC 7. 5% ST) TIME BOUND A B C D UPTO LR/NOCF/SY YES / CF / TY YES / CF/ TY YES. BUT…. ELEMENT OF DR EXCEEDS 75% NO RES. SINGLE VACANCY RES P UR C/F TY

ZONE OF CONSIDERATION No. of vacancies 1 2 3 4 5 Normal size of Extended Zone of of Consideration for SC/ST 5 5 8 10 10 15 12 20 14 25

No. of vacancies Normal size of Extended Zone of of Consideration for SC/ST 6 16 30 7 18 35 8 20 40 9 22 45 10 24 50 11 24 55 12 24 60 13 24 65

No. of vacancies Normal size of Extended Zone of of Consideration for SC/ST 14 24 70 15 26 75 16 27 80 17 29 85 18 30 90 19 32 95 20 33 100 30 48 150

No. of vacancies Normal size of Extended Zone of of Consideration for SC/ST 40 63 200 50 78 250 60 93 300 70 108 350 80 123 400 90 138 450 100 153 500

SAFEGUARDS AGAINST SUPERSESSION OF SCHEDULED CASTES AND SCHEDULED TRIBES IN PROMOTION • (1) In promotion to Group ‘A’ and within Group ‘A’ and to Group ‘B’ and within Group ‘B’, the cases should be submitted to the Board of Directors for its approval. • (2) In promotion to and in Group ‘C’ & ‘D’, the cases should be submitted to the Managing Director, for approval

ALLOTMENT OF QUARTERS • 60 Point Roster CATEGORY SC/ST ( 2 : 1 ) A & B Type SC = 10, 20, 40, 50 ST = 30, 60 C & D Type SC = 20, 40 ST = 60

MIGRATION • Within the State YES • Out of State NO • MARRIAGE Does not change the Status • Conversion And Re-conversion YES • ADOPTIONS 15 Years, Residing, Customs, Approval DC

OBC’S • Only in Direct Recruitment = 27% with Exclusion to Creamy Layer. • (Exclusion no to apply to persons working as artisans or engaged in hereditary occupations, callings. ) • OBCs reservation applied to all groups of Posts A/B/C/D. • Effective date of reservation for OBCs is 8 -9 -1993. • No reservation in Promotions for OBCs.

Relaxation for OBCs • Relaxed standards may be provided to OBC candidates as in case of SC/ST candidates in written examinations and interviews in order to fulfill the quota earmarked to OBCs. (1) The upper age limit prescribed for Direct Recruitment shall be relaxed by 3 years in respect of OBCs. (2) No De-reservation and all those vacancies reserved for OBCs should be C/F for 3 years or till the vacancies be filled, whichever is earlier.

PERSONS WITH DISABILITIES (PWDs) 3% VH = 1% HH = 1% OH = 1% • VH • (1) Total absence of sight. • (2) Visual acuity not exceeding 6/60 or 20/200 (Snellen) in the better eye with correcting lenses • (3) Limitation of the field of vision subtending an angle of 20 degrees nor worse.

PERSONS WITH DISABILITIES (PWDs) 3% VH = 1% HH = 1% OH = 1% • HH • The Hearing Impaired are those in whom the sense of hearing is non-functional for ordinary purposes of life. Those who do not hear, understand sounds at all with amplified speech and those having hearing loss more than 90 decibels in the better ear or total loss of hearing in both ears. • OH • 40% PPD. (permanent partial – disability) • Reservation in all Four Categories for DR. • In Promotions : “C” & “D” Categories only

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

DEFINITION OF EX-SERVICEMAN • (i) who retired from such service after earning his/her pension ; or • (ii) Who has been released from such service on medical grounds attributable to military service or circumstances beyond his control and awarded medical or other disability pension ; or (iii) Who has been released, otherwise than on his own request, from such service as a result of reduction in establishment ; or

DEFINITION OF EX-SERVICEMAN • (iv)Who has been released from such service after completing the specific period of engagements, otherwise than at his own request or by way of dismissal or discharge on account of misconduct or inefficiency, and has been given a grapery ; and includes personnel of the Territorial Army of the following categories, namely: • (i) pension holders for continuous embodied service • (ii) persons with disability attributable to military service • (iii)gallantry award winners

DEFINITION OF EX-SERVICEMAN As per clarification issued in the Notification No. 36034/5/85 -Estt. (SCT) dated 27. 03. 1987 any person who has been released up to 30 th June, 1987 (a) at his own request after completing 5 years service in the Armed Forces of the Union ; or • (b) after serving for a continuous period of six months after attestation, otherwise at his own request or by way of dismissal or discharge on account of mis-conduct or inefficiency or has been transferred to the reserve pending such release ; shall also deemed to be an ex-serviceman.

OPERATIVES FOR MAINTENANCE OF POST – BASED ROSTERS • 1. Dates • Reservation for SC/St from the Inception/receipt of Government orders. date of • Reservation for OBC with effect from 08 -09 -1993 • Post-based Rosters with effect from 02 -07 -1997 • Plotting of appointments / Promotions as on 02 -071997 • (Only persons in positions to be plotted chronologically. Persons retired, Promoted, died, etc are not to be included)

2. 2 Percentage (Promotion) Category SC ST PWD “A” 15% 7. 5% - “B” 15% 7. 5% - “C” 15% 7. 5% 3% “D” 15% 7. 5% 3%

OPERATIVES FOR MAINTENANCE OF POST – BASED ROSTERS 2. 3 Reservation of each of the reserved category should at NO POINT OF TIME exceed the prescribed share.

3. Definition Categories of Classes “A” or Class I Scale of Pay Rs. 8, 000 -13, 500 and above (CDA) “B” or Class II Rs. 6, 500 -10, 500 and 5, 500 -9000 “C” or Class III Rs. 4, 000 and above but less than “D” or Class IV Rs. 9, 000/Less than Rs. 4, 000/- “D(s)” or Class IV Less than Rs. 4, 000/- “D(s)” Means Chowkidar /Farash /Waterman /Safai wala

• In Banks-Officer Cadre, Clerical Cadre and sub-staff cadre only. Cadre = No. of Posts in a particular • Post or = • Appointment = Grade Appointment, Job, Office Employment Direct Recruitment or Promotion or Deputation or • Vacancy = Transfer or Contract Unoccupied post or office

• Position =To which a person is • Appointed • Reserved Post =Earmarked for a reserved • Category • Unreserved Post=Not earmarked for reserved • Category (single vacancy in a • Year becomes unreserved) • De-reserved Post=Owing to non-availability of • Reserved candidate, vacancy is de-reserved (Banned in

• Back log & Shortfall = Shortfall of a particular Shortfall reserved category in a Cadre means the difference between the total numbers of Posts reserved for that Category as per the post based reservation roster in that cadre and the number of persons belonging to that category who are holding the posts in the cadre. Backlog reserved vacancies are the vacancies, which were earmarked reserved in an earlier recruitment year but remained unfilled in the previous recruitment year due to non-availability of suitable candidates belonging to that category and are still lying

• Replacement = Vacancy should be filled up by the earmarked category only, on completion of quota only. • Grouping = Isolated posts to be grouped with main groups (Earlier 20, Now 13)

ROSTER –(MAIN) Category/ Class Mode Post ‘A’ / I All India Basis by open No. of posts competition (200 points) ‘B’/ II All India Basis by open No. of posts competition (200 points) ‘A’ / I All India Basis No. of posts otherwise than by open (120 points) competition ‘B’ / II All India Basis No. of posts otherwise than by open (120 points) competition

Promotion Category/ Class 200 points for Main Roster and 13 points ‘A’ / I for Mini Roster ‘B’ / II ‘C’ / III ‘D’ / IV ‘D(s) / IV 200 points for Main Roster and 13 points for Mini Roster

Roster (Mini) Horizontal Roster for 13 or lesser posts based on 200 or 120 posts. Please see the Difference between points No. 13 of mini Roster of open competition and otherwise than by open Competition. Roster can be contracted or extended in future.

Category/ Class Mode Post ‘C’/III Direct Recruitment on (100 Points)* local basis ‘D’/IV Direct Recruitment on (100 Points)* local basis ‘D(s)/IV Direct Recruitment on (100 Points)* local basis Reserved points for Main and Mini Rosters are calculated based on state-wise reservation.

2. Percentage (Recruitments) Category Mode Direct Recruitment on All India Basis ‘A’ By open competition ‘B’ By open competition ‘A’ Otherwise than by Competition ‘B’ Otherwise than by competition SC ST OBC PWD X. Man 15 7. 5@ 27 3(x) - 16. 66 7. 5@ 25. 84 @ 3(x) Cont. .

2. Percentage (Recruitments) SC ST ‘C’ Local Recruitment As per Regional Percentage - - - 3(x) 14. 5(x) ‘D’ Local Recruitment as per Regional Percentage - - - 3(x) 24. 5(x) ‘D’(s) Local Recruitment as per Regional Percentage - - - 3(x) 24. 5(x) Category Mode Direct Recruitment on All India Basis OBC PWD X. Man (X) Vertical reservation becomes horizontal reservation (interlocking PWD & X-man will be accommodated as per their castes). @ Never venture to round it off.

Re-Casting the Rosters Ensure that reservation should in no case exceed 50% of the cadre strength Separate Rosters for Direct Recruitments and Promotions. Single Vacancy concept year-wise. For 50% ceiling, year is a unit.

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

EARMARKING SC /ST senior most official in a cadre considered fit for Promotion On senioritycum fitness basis will be promoted despite excess representation and would be shown as reserved for SC/ST and would be adjusted in future. 50% Ceiling = Merit SC / ST / OBC candidates would be excluded in DR and PR

EARMARKING - Separate Rosters for selection and nonselection posts. - Reservation % age is different in DR and promotion. In a cadre total will be taken – 50% - Backlog of SC/ST/OBC is to be determined a fresh. - PWD & Ex. Man : Vertical = Horizontal = Interlocking. - No Roster for ad-hoc appointments

EARMARKING - No Roster for adhoc promotion - No Roster for time bound promotion (Relaxation to SC/ST up to the extent of short fall) - No Roster for promotion by selection, in the posts of above the lowest rung of group ‘A’ - No entry for transfers or deputations. However, on absorption take them in to DR. - New post-based Rosters are written on replacement bases and not on running accounts basis.

EARMARKING - Squeezing as per your requirement without violating 50% ceiling. - SC/ST/OBC appointed on merit but with relaxation of age, experience or qualification will be adjusted Against reserved points but without these relaxations, they will be adjusted against UR points. - Surplus / excess to be adjusted in future recruitments. - Tally to be made as on 02. 07. 1997 initially and thereafter, every year on 31 st December. In case of combined cadres, number of recruitments and number of Promotions should be taken into account to know the total representation.

6. Important Operatives - Effective date if 02. 07. 1997. Vacancybased Roster should be closed. Backlog or excess will be calculated as on 02. 07. 1997. Earlier back-log or excess has got no meaning now. - Grouping in DR is possible. Isolated posts can be clubbed with regular cadre, based on similar scale / Qualification / Nature of work/category. However, no clubbing in Promotion and D(s) posts in DR is allowed.

- Excess No. of SCST/OBC will be adjusted in future. OBC recruitments will be calculated from 08. 09. 1993. Earlier appointments are to be ignored. - No Roster for promotional posts where element of DR exceeds 75%. - No Roster for Transfers/deputations. - No Roster for daily rated staff. - No Roster for appointment made for less then 45 days.

• Rosters should be prepared with pencil initially. These may be got written in good hand writing in hard bound/leather bound Register in the prescribed format. • Hard bound cover page of Recruitment Roster may be green and cover of promotion Roster may be red.

- A label should be affixed on all the cover pages, which may contain : Name of Organization : Recruitment / Promotion Roster : Class / Category : Posts : - The first Page ( inside ) of the Roster may carry this certificate :

CERTIFICATE Certified that this Recruitment / Promotion Roster contains Pages ______ from 01 to ____ and it has come into existence with effect from ______________ Place : Signature : Date : Name : *Designation / Seal *Preferably of appointing authority or of authorized person. The second page (inside) may contain following information :

A-INDEX SL. NO. POST PAGE ____________________ B- Post clubbed ( if any ) C- Percentage: SC : ST : OBC : PWD : X-Man: All the headings in all the Registers (Rosters) should be got printed bilingually. Appointing authority / Authorized person should initial all the entries with dates.

R. P RES NAME DATE 07 SC A 01 -041999 SC/ UTILIZED (+)/ ST/ BY SC/ (-)/ OBC/ ST/ OBC/UR UR SC SC - SC SCM/UR SC(-1) ST ST SC(-1), ST(+1) ST ST-M/UR SC(-1)

R. P RES NAME DATE 07 SC A SC/ UTILIZED (+)/ ST/ BY SC/ (-)/ OBC/ ST/ OBC/UR UR 01 -04 - OBC 1999 OBC OBCM/UR UR UR KNOW RESERVATION NO RESERVATIONS THANK YOU. SC(-1) OBC(+1) SC(-1)