11

RESERVATIONSRESERVATIONS

LEGISLATIVE CONSENTLEGISLATIVE CONSENT

FOR SC/ STFOR SC/ STArticles 16(4), 335, 341 and 342 of the Constitution Articles 16(4), 335, 341 and 342 of the Constitution

of India of India

FOR OBCsFOR OBCsMandal Commission Report Mandal Commission Report with effect from 13-8-1990 with effect from 13-8-1990

22

RESERVATIONS - whyRESERVATIONS - why

In a multiple undulating society like ours, In a multiple undulating society like ours, early achievement of the objective of early achievement of the objective of social justice as enshrined in the social justice as enshrined in the Constitution is a MUST Constitution is a MUST

certain weightage has to be provided to certain weightage has to be provided to such classes in the services such classes in the services

33

POST BASED ROSTERSPOST BASED ROSTERS

OBJECTIVEOBJECTIVE

to know how the principal of roster works in to know how the principal of roster works in respect of reserved posts in various modes of respect of reserved posts in various modes of recruitment and promotion recruitment and promotion

to analyze and apply it in the eligible and to analyze and apply it in the eligible and deserving cases deserving cases

To know the details of percentages applicable to To know the details of percentages applicable to different categories of reserved candidates different categories of reserved candidates

44

RESERVATIONS AND ROSTERSRESERVATIONS AND ROSTERS

ROSTERROSTER

POST BASED POST BASED ROSTERROSTER

a list or plan showing turns a list or plan showing turns of duty or leave for of duty or leave for individuals or groupsindividuals or groups

a list maintained showing a list maintained showing turns of appointment and turns of appointment and promotion for individuals promotion for individuals belonging to different belonging to different categories, e.g., SC, ST, categories, e.g., SC, ST, OBC or General’OBC or General’

55

Evolution of Post Based RosterEvolution of Post Based Roster

Prior to 1972 - before the judgment in the case Prior to 1972 - before the judgment in the case of R.K. Sabharwal Vs. State of Punjab, given by of R.K. Sabharwal Vs. State of Punjab, given by the Apex Courtthe Apex Court

rosters were based on vacancies rosters were based on vacancies

judgment in the case declared that reservation judgment in the case declared that reservation for SC/ST for appointments in services should for SC/ST for appointments in services should be with reference to the posts and not vacancies be with reference to the posts and not vacancies which may occur in the cadre which may occur in the cadre

66

RESERVATIONS IN RESERVATIONS IN APPOINTMENTSAPPOINTMENTS

Basic concept of reservations in appointmentsBasic concept of reservations in appointmentsAs per the directions of the Constitution, percentages of As per the directions of the Constitution, percentages of reservations are in force in favour of SCs/STs and OBCs reservations are in force in favour of SCs/STs and OBCs in filling vacancies in posts by appointment.in filling vacancies in posts by appointment.To obviate the difficulty due to fractions, etc., in the To obviate the difficulty due to fractions, etc., in the calculation of the number of reserved vacancies on the calculation of the number of reserved vacancies on the percentages, special rosters have been prescribed percentages, special rosters have been prescribed Rosters intended to be an aid to determining the number Rosters intended to be an aid to determining the number of vacancies to be reserved categories in any particular of vacancies to be reserved categories in any particular examination, recruitment, etc. and not meant for examination, recruitment, etc. and not meant for determining the order of actual appointment determining the order of actual appointment

77

RECRUITMENT ON ALL INDIA RECRUITMENT ON ALL INDIA BASISBASIS

By open competitionBy open competition

All recruitments are made by All recruitments are made by UPSC whether through written UPSC whether through written examination or by interview or examination or by interview or both and recruitment made by both and recruitment made by other authorities including Staff other authorities including Staff Selection Commission or any Selection Commission or any other appointing authority other appointing authority through written competitive through written competitive examination or tests (but not by examination or tests (but not by interview alone) interview alone)

Otherwise than Otherwise than by open by open competitioncompetition

Any recruitment not Any recruitment not made by the UPSC made by the UPSC or not made through or not made through written competitive written competitive tests held by any tests held by any other authority other authority

88

PERCENTAGES AND POINTS OF PERCENTAGES AND POINTS OF RESERVATION IN RESERVATION IN APPOINTMENTSAPPOINTMENTS

Direct recruitmentBy Open Competition

SC ST OBC

7 ½% 27%15%

30 Points 15 Points 54 Points

99

Reservation in Direct Recruitment on All Reservation in Direct Recruitment on All India basis by open competition in a 200 point India basis by open competition in a 200 point

rosterroster Schedule Castes - 15% (30 Points)Schedule Castes - 15% (30 Points)

Points 7 41 74 107 140 174Points 7 41 74 107 140 174 15 47 81 114 147 18015 47 81 114 147 180 20 54 87 121 154 187 20 54 87 121 154 187 27 61 94 127 162 19427 61 94 127 162 194 35 68 99 135 168 19935 68 99 135 168 199

Schedule Tribe -71/2% (15 Points)Schedule Tribe -71/2% (15 Points) Points 14 55 95 136 175Points 14 55 95 136 175 28 69 108 148 18828 69 108 148 188 40 80 120 160 19840 80 120 160 198

1010

Reservation in Direct Recruitment on All Reservation in Direct Recruitment on All India basis by open competition in a 200 point India basis by open competition in a 200 point

rosterrosterOther Backward Castes – 27% (54 Points)Other Backward Castes – 27% (54 Points)

Pts 4 26 49 71 93 115 138 161 182Pts 4 26 49 71 93 115 138 161 182 8 30 52 75 97 119 141 163 186 8 30 52 75 97 119 141 163 186 12 34 56 78 100 123 145 167 18912 34 56 78 100 123 145 167 189 16 38 60 82 104 126 149 171 19316 38 60 82 104 126 149 171 193 19 42 63 86 109 130 152 176 197 19 42 63 86 109 130 152 176 197 23 45 67 89 112 134 156 178 20023 45 67 89 112 134 156 178 200

The remaining 101 points will be unreserved.The remaining 101 points will be unreserved.

1111

Direct Recruitment to Groups ‘C’ and ‘D’ Direct Recruitment to Groups ‘C’ and ‘D’ Posts Normally Attracting Posts Normally Attracting

Candidates From a Locality Or a Candidates From a Locality Or a RegionRegion

Percentages of reservations are fixed generally Percentages of reservations are fixed generally in proportion to the population of SCs and STs in proportion to the population of SCs and STs and OBCs in the respective States/ Union and OBCs in the respective States/ Union Territories. Territories.

A 100 point roster is maintained in such case.A 100 point roster is maintained in such case.

1212

Recruitment Made Through Staff Recruitment Made Through Staff Selection Commission Selection Commission

SSC

ALL INDIA LIST PREPARED BY SSC

CENTRE LINKED ZONALBASIS

200 point roster 100 point roster

SC 15%

ST 7 ½%

OBC 27%

SCFixed in relation

to the population of SCs in the State

OBC27 %

ST7 ½ %

1313

Determination of VacanciesDetermination of Vacancies

The actual number of reserved vacancies in any The actual number of reserved vacancies in any recruitment year should be determined on the recruitment year should be determined on the basis of the points in the roster and also taking basis of the points in the roster and also taking into account the reservations brought forward into account the reservations brought forward from the earlier years. The total number of from the earlier years. The total number of reservation should not, however, exceed 50% of reservation should not, however, exceed 50% of the total number of vacancies filled in that year the total number of vacancies filled in that year excluding the excluding the “backlog vacancies”“backlog vacancies”

1414

RESERVATIONS IN RESERVATIONS IN PROMOTIONSPROMOTIONS

same as prescribed for 200-point roster for same as prescribed for 200-point roster for All India Recruitment by open competition All India Recruitment by open competition

out of 200 points, reservation will beout of 200 points, reservation will be Scheduled Castes 15% (30 Points)Scheduled Castes 15% (30 Points) Scheduled Tribes 7.5% (15 Points)Scheduled Tribes 7.5% (15 Points)

no reservation for OBCs in promotionno reservation for OBCs in promotionremaining 155 points will be Unreserved remaining 155 points will be Unreserved

1515

Promotions to which Promotions to which Reservations applyReservations apply

Through limited Departmental Competitive ExamsThrough limited Departmental Competitive Exams in in GroupsGroups ‘B’, ‘C’ and ‘D’, OR by Selection in Groups ‘C’ & ‘B’, ‘C’ and ‘D’, OR by Selection in Groups ‘C’ & ‘D’‘D’

By selectionBy selectiona) From Group ‘C’ to Group ‘B’.a) From Group ‘C’ to Group ‘B’.b) Within Group ‘B’.b) Within Group ‘B’.c) From Group ‘B’ c) From Group ‘B’ I) to the lowest rung of I) to the lowest rung of Category in Group ‘A’.Category in Group ‘A’. II) direct to Group ‘A’II) direct to Group ‘A’ to senior scale.to senior scale.

1616

Promotions to which Promotions to which Reservations applyReservations apply

Seniority subject to fitnessSeniority subject to fitnessWithin Group ‘A’Within Group ‘A’Promotion to Selection Grades Promotion to Selection Grades Appointment to Non- functional Selection Appointment to Non- functional Selection

Grade in Group ‘A’Grade in Group ‘A’Ad hoc PromotionsAd hoc Promotions

1717

Through limited Departmental Competitive Through limited Departmental Competitive Exams in Groups ‘B’, ‘C’ and ‘D’, OR by Exams in Groups ‘B’, ‘C’ and ‘D’, OR by

Selection in Groups ‘C’ & ‘D’Selection in Groups ‘C’ & ‘D’Selection only from Selection only from SC/ST officials who are SC/ST officials who are within the normal zone within the normal zone of considerationof consideration Separate list to be Separate list to be prepared for category prepared for category candidatescandidatesWhen adequate When adequate number of SC/ST number of SC/ST candidates are not candidates are not available within the available within the normal field of choice, it normal field of choice, it shall be extended to five shall be extended to five times the number of times the number of vacanciesvacancies

No. of No. of vacanciesvacancies

Normal zoneNormal zone Extended Extended zone for zone for consideratioconsideration of SC/STn of SC/ST

11 55 55

22 88 1010

33 1010 1515

44 1212 2020

5 & 5 & aboveabove

2 x No. of 2 x No. of vacancies + vacancies + 44

5 x No. of 5 x No. of vacanciesvacancies

1818

Normal zone Extended zoneNormal zone Extended zone

Twice + 4

once

No. of vacancies

5 times

1919

Through limited Departmental Competitive Through limited Departmental Competitive Exams in Groups ‘B’, ‘C’ and ‘D’, OR by Exams in Groups ‘B’, ‘C’ and ‘D’, OR by

Selection in Groups ‘C’ & ‘D’Selection in Groups ‘C’ & ‘D’

SC and ST officers who are within the SC and ST officers who are within the normal zone of consideration should be normal zone of consideration should be considered for promotion along with othersconsidered for promotion along with others irrespective of their merit as compared to irrespective of their merit as compared to other officersother officers

SC/ST candidates who have not acquired SC/ST candidates who have not acquired the general qualifying standard should also the general qualifying standard should also be considered for promotion provided they be considered for promotion provided they are not found unfitare not found unfit

2020

Through limited Departmental Competitive Through limited Departmental Competitive Exams in Groups ‘B’, ‘C’ and ‘D’, OR by Exams in Groups ‘B’, ‘C’ and ‘D’, OR by

Selection in Groups ‘C’ & ‘D’Selection in Groups ‘C’ & ‘D’

Non-availability of SCs or STsNon-availability of SCs or STsDereservation to be considered subject to Dereservation to be considered subject to

• Reservations being C/F to 3 subsequent Reservations being C/F to 3 subsequent R.Ys R.Ys

• Exchange of vacancies between SCs Exchange of vacancies between SCs and STs in the last year to which the and STs in the last year to which the reserved vacancies are carried forwardreserved vacancies are carried forward

2121

BY SELECTIONBY SELECTION

Group B

GroupA

Lowest rung

Group ASenior Scale

Group C

Group B

BY Selection

Same as Same as in case in case of of departmdepartmental ental exam exam procedurprocedure excepte exceptNo No separate separate list to be list to be mademadeNo C/F No C/F of of reservatireservationon

2222

Seniority subject to fitnessSeniority subject to fitness

principle of zone of consideration not principle of zone of consideration not applicable applicable no need for a comparative evaluation of the no need for a comparative evaluation of the individual officers’ respective merits individual officers’ respective merits only suitability of each individual officer or the only suitability of each individual officer or the unfitness of an officer to be decided unfitness of an officer to be decided 40-point roster40-point roster vacancies reserved for SCs and STs-separate vacancies reserved for SCs and STs-separate lists should be drawn up lists should be drawn up DPC to adjudge the SC and ST officers DPC to adjudge the SC and ST officers separatelyseparately if no SCs and STs found fit - action for if no SCs and STs found fit - action for deservation should be takendeservation should be taken

2323

Within Group ‘A’Within Group ‘A’

In promotions by selection to posts within In promotions by selection to posts within Group ‘A’ there is no reservationGroup ‘A’ there is no reservation

SC/ST officers who are senior enough in the SC/ST officers who are senior enough in the zone of consideration for promotion so as to be zone of consideration for promotion so as to be within the number of vacancies for which the within the number of vacancies for which the select list has to be drawn up, to be included in select list has to be drawn up, to be included in that list provided they are not considered unfit that list provided they are not considered unfit for promotionfor promotion

2424

Promotion to selection Promotion to selection gradesgrades

Appropriate orders relating to Appropriate orders relating to reservation/ concessions for SCs and reservation/ concessions for SCs and STs in promotions made by ‘selection’ STs in promotions made by ‘selection’ or on the basis of ‘seniority subject to or on the basis of ‘seniority subject to fitness’ apply to these appointmentsfitness’ apply to these appointments

2525

Appointment to non-functional Appointment to non-functional selection grade in Group ‘A’ selection grade in Group ‘A’

servicesservices

SC/ ST officers considered for being SC/ ST officers considered for being appointed in their turn to posts in the appointed in their turn to posts in the

non-functional selection grade against non-functional selection grade against available vacancies may be included in available vacancies may be included in the select list even if they do not fulfil the select list even if they do not fulfil

the criteria laid down provided they are the criteria laid down provided they are not considered unfit not considered unfit

2626

Ad hoc promotionsAd hoc promotions

no formal reservation for SCs and STs in such no formal reservation for SCs and STs in such promotionspromotions vacancies for periods in excess of 45 days to be vacancies for periods in excess of 45 days to be placed on roster- the number of vacancies falling placed on roster- the number of vacancies falling to the share of SC and ST, if the vacancies were to the share of SC and ST, if the vacancies were to be filled on regular basis, to be identifiedto be filled on regular basis, to be identified If number of SC/ST candidates found fit is If number of SC/ST candidates found fit is

• Less than the number of vacancies identified as Less than the number of vacancies identified as falling to their share when filled on regular basisfalling to their share when filled on regular basis

then additional SC/ST candidates to the extent required then additional SC/ST candidates to the extent required should be located by going down the seniority list but should be located by going down the seniority list but within five times the number of vacancies within five times the number of vacancies

2727

Filing up of reserved vacancies Filing up of reserved vacancies falling in promotion quotafalling in promotion quota

In a cadre where recruitment is made both In a cadre where recruitment is made both by direct recruitment and by promotion as by direct recruitment and by promotion as

prescribed in the Recruitment Rules, prescribed in the Recruitment Rules, reserved vacancies falling in the reserved vacancies falling in the

promotion quota which cannot be filled promotion quota which cannot be filled due to non availability of eligible persons due to non availability of eligible persons of SCs/STs in the feeder grade may be of SCs/STs in the feeder grade may be

temporarily diverted to the direct temporarily diverted to the direct recruitment quota recruitment quota

2828

GOVERNMENT GUIDELINES ON GOVERNMENT GUIDELINES ON RESERVATIONSRESERVATIONS

rosters not for determining seniorityrosters not for determining seniority

two fundamental principles in drawing up two fundamental principles in drawing up rosters rosters

reservation shall be kept within the prescribed reservation shall be kept within the prescribed percentage, andpercentage, and

total reservation shall not exceed 50% of the total reservation shall not exceed 50% of the cadrecadre

number of points in each roster will be equal to number of points in each roster will be equal to the number of points in the cadre the number of points in the cadre

2929

GOVERNMENT GUIDELINES ON GOVERNMENT GUIDELINES ON RESERVATIONSRESERVATIONS

Separate rosters shall be maintained for each Separate rosters shall be maintained for each type type

RecruitmentRecruitmentPromotion Promotion

Posts filled by transfer/ transfer on deputation Posts filled by transfer/ transfer on deputation not to be entered in the roster not to be entered in the roster Roster will be operated on the replacement Roster will be operated on the replacement principle and not as a ‘running account’ principle and not as a ‘running account’ SCs/ STs/ OBCs candidates selected on merit SCs/ STs/ OBCs candidates selected on merit will not be shown against the reserved points but will not be shown against the reserved points but shown against Unreserved points shown against Unreserved points

3030

MODEL ROSTERS FOR CADRE STRENGTH UP TO 13 POSTS - MODEL ROSTERS FOR CADRE STRENGTH UP TO 13 POSTS - by open competition by open competition

Cadre Cadre strengtstrengthh

Initial Initial recruitrecruitmentment

11 22 33 44 55 66 77 88 99 1010 1111 1212 1313

11 URUR URUR URUR OBCOBC URUR URUR SCSC OBCOBC URUR URUR URUR OBCOBC URUR STST

22 URUR URUR OBCOBC URUR URUR SCSC OBCOBC URUR URUR URUR OBCOBC URUR STST

33 URUR OBCOBC URUR URUR SCSC OBCOBC URUR URUR URUR OBCOBC URUR STST

44 OBCOBC URUR URUR SCSC OBCOBC URUR URUR URUR OBCOBC URUR STST

55 URUR URUR SCSC OBCOBC URUR URUR URUR OBCOBC URUR STST

66 URUR SCSC OBCOBC URUR URUR URUR OBCOBC URUR STST

77 SCSC OBCOBC URUR URUR URUR OBCOBC URUR STST

88 OBCOBC URUR URUR URUR OBCOBC URUR STST

99 URUR URUR URUR OBCOBC URUR STST

1010 URUR URUR OBCOBC URUR STST

3131

MODEL ROSTERS FOR CADRE STRENGTH UP TO 13 POSTS - MODEL ROSTERS FOR CADRE STRENGTH UP TO 13 POSTS - Otherwise through open competition Otherwise through open competition

Cadre Cadre strengtstrengthh

Initial Initial recruitrecruitmentment

11 22 33 44 55 66 77 88 99 1010 1111 1212 1313

11 URUR URUR URUR OBCOBC URUR URUR SCSC OBCOBC URUR URUR URUR OBCOBC SCSC STST

22 URUR URUR OBCOBC URUR URUR SCSC OBCOBC URUR URUR URUR OBCOBC SCSC STST

33 URUR OBCOBC URUR URUR SCSC OBCOBC URUR URUR URUR OBCOBC SCSC STST

44 OBCOBC URUR URUR SCSC OBCOBC URUR URUR URUR OBCOBC SCSC STST

55 URUR URUR SCSC OBCOBC URUR URUR URUR OBCOBC SCSC STST

66 URUR SCSC OBCOBC URUR URUR URUR OBCOBC SCSC STST

77 SCSC OBCOBC URUR URUR URUR OBCOBC SCSC STST

88 OBCOBC URUR URUR URUR OBCOBC SCSC STST

99 URUR URUR URUR OBCOBC SCSC STST

1010 URUR URUR OBCOBC SCSC STST

3232

MODEL ROSTERS FOR CADRE STRENGTH UP TO 13 POSTS - MODEL ROSTERS FOR CADRE STRENGTH UP TO 13 POSTS - in Promotions in Promotions

Cadre Cadre strengtstrengthh

Initial Initial recruitrecruitmentment

11 22 33 44 55 66 77 88 99 1010 1111 1212 1313

11 URUR URUR URUR URUR URUR URUR SCSC URUR URUR URUR URUR URUR URUR STST

22 URUR URUR URUR URUR URUR SCSC URUR URUR URUR URUR URUR URUR STST

33 URUR URUR URUR URUR SCSC URUR URUR URUR URUR URUR URUR STST

44 URUR URUR URUR SCSC URUR URUR URUR URUR URUR URUR STST

55 URUR URUR SCSC URUR URUR URUR URUR URUR URUR STST

66 URUR SCSC URUR URUR URUR URUR URUR URUR STST

77 SCSC URUR URUR URUR URUR URUR URUR STST

88 URUR URUR URUR URUR URUR URUR STST

99 URUR URUR URUR URUR URUR STST

1010 URUR URUR URUR URUR STST

3333

MAINTENANCE OF ROSTERSMAINTENANCE OF ROSTERS

Separate Rosters Separate Rosters For appointmentFor appointment For PromotionFor Promotion Temporary appointmentsTemporary appointments

Common RostersCommon Rosters cases where Permanent appointments and temporary cases where Permanent appointments and temporary

appointments are likely to become permanent or to appointments are likely to become permanent or to continue indefinitely continue indefinitely

Reservation roster is not a confidential Reservation roster is not a confidential document and can be shown to individual official document and can be shown to individual official

3434

APPOINTMENTS AGAINST APPOINTMENTS AGAINST RESERVED ROSTER POINTSRESERVED ROSTER POINTS

Appointment of SC/ST CandidatesAppointment of SC/ST Candidates

Against reserved pointsAgainst reserved points Reservation deemed to have been consumedReservation deemed to have been consumed No carry forward allowedNo carry forward allowed

Against unreserved pointsAgainst unreserved points Appointment to be adjusted against reserved Appointment to be adjusted against reserved

points in future recruitment yearspoints in future recruitment years

3535

APPOINTMENTS AGAINST APPOINTMENTS AGAINST RESERVED ROSTER POINTSRESERVED ROSTER POINTS

Appointment of General Category CandidatesAppointment of General Category CandidatesAgainst reserved pointsAgainst reserved points points to be shifted to the subsequent points in the points to be shifted to the subsequent points in the

roster for being filled in the next recruitment occasion roster for being filled in the next recruitment occasion Dereservation, carry forward, etc., will start from the Dereservation, carry forward, etc., will start from the

next recruitment year, in the event of non-availability next recruitment year, in the event of non-availability of reserved category candidates against shifted points of reserved category candidates against shifted points

Against single vacancy falling on a unreserved Against single vacancy falling on a unreserved point point The vacancy will be treated as unreserved and The vacancy will be treated as unreserved and

reservation will be carried forward but the point will reservation will be carried forward but the point will not shiftnot shift

3636

GROUPING OF ISOLATED GROUPING OF ISOLATED POSTSPOSTS

isolated individual posts and small cadres isolated individual posts and small cadres may be grouped with posts in the same class may be grouped with posts in the same class for purpose of reservation consisting of not for purpose of reservation consisting of not less than 25 posts less than 25 posts

Keeping due regard to Designation and Keeping due regard to Designation and number of each post, Group to which the number of each post, Group to which the posts belong, Scale of pay, Method of posts belong, Scale of pay, Method of recruitment, Minimum qualifications recruitment, Minimum qualifications Proposal for grouping of posts should be Proposal for grouping of posts should be made to the Department of Personnel and made to the Department of Personnel and Training Training

3737

Plotting of vacanciesPlotting of vacancies

determining the reservationdetermining the reservation - the - the vacancies occurring in various vacancies occurring in various constituents of the Group should be constituents of the Group should be plotted on the roster strictly in a plotted on the roster strictly in a chronological orderchronological order Total Reservation not to Exceed 50 % Total Reservation not to Exceed 50 % in any of the Posts/ Services Groupedin any of the Posts/ Services Grouped