Reservation

[1] Overview [2] Scope of Reservation [3] Relaxations & Concessions [4] Quota of Reservation [5] Reservation & Roster Registers [6] Filling up of Reserved Vacancies [7] De-reservation [8] Verification of SC/ST/OBC certificate [9] Miscellaneous

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[1] Overview

1.1 Reservation: In India, Reservation is a system of affirmative action which provides historically disadvantaged groups representation in education, employment and politics.

1.2 As per the provisions laid down in Indian Constitution, Government is allowed to set Reserved Quota or seats which lower the qualifications needed in exams, job etc. for socially & economically backward citizens.

1.3 Necessity of Reservation: The main objective or necessity to provide reservation to socially & economically backward citizens (SC/ST/OBC) aims at empowering SC/ST/OBC and ensuring their participation in the decision making process of the State.

1.4 Scheduled Caste (SC): Article 341(1) defines as to who would be Scheduled Caste (SC). As per Article 341(1), The President may with respect to any – (a) State; (b) Union Territory and where it is a State after consultation with the Governor thereof, by public notification, specify the – (i) casts; (ii) races or (iii) tribes or parts of or (iv) groups within casts, races or tribes which shall for the purpose of this Constitution be deemed to be Scheduled Caste in relation to that State, or Union Territory, as the case may be.

1.5 As per Article 341 (2) of the Constitution, Parliament may by law include or exclude any (i) casts; (ii) races or (iii) tribes or part of group within any caste, race or tribe from the list of Scheduled Caste declared under Article 341(1).

1.6 The Constitution (Scheduled Castes) Order, 1950 as amended from time to time states that “no person professing a religion other than (a) Hindu; (b) Sikh; (c) Buddhist can be deemed to be a member of Scheduled Caste (SC)”. There is no religious bar for being treated as Scheduled Tribe (ST) Or Other Backward Class (OBC).

1.7 Scheduled Tribe (ST): Article 342 (1) defines as to who would be Scheduled Tribes (ST). As per Article 342(1), The President may with respect to any – (a) State; (b) Union Territory and where it is a State after consultation with the Governor thereof, by public notification, specify the – (i) tribes; (ii) tribal communities or parts of (iii) groups within tribes (iv) tribal communities which shall for the purpose of this Constitution be deemed to be Scheduled Tribes (ST) in relation to that State, or Union Territory, as the case may be.

1.8 As per Article 342 (2) of the Constitution, Parliament may by law include or exclude any (i) casts; (ii) races or (iii) tribes or part of group within any caste, race or tribe from the list of Scheduled Tribes (ST) declared under Article 341(1).

1.9 Other Backward Classes (OBC): The Constitution of India does not define OBC. In pursuance of Hon. Supreme Court Judgement in Indira Sawhney & Ors. Vs Union of India & Ors., Government enacted the National Commission for Backward Classes (NCBC) Act in 1993.

1.10 As per Section 2 of NCBC Act, Backward Classes means such backward classes of citizens, other than SC & ST as may be specified by the Central Government in the lists. Such list is prepared by the Central Government for providing reservation in appointments to backward classes of citizens.

1.11 Ministry of Social Justice & Empowerment notified the lists of Castes/Communities which are treated as Other Backward Classes (OBC).

1.12 The Constitution of India imposes inter-state area restrictions regarding assessment to qualify for SC or ST status for upliftment and participation in decision making process of the people of that particular area. Similar restrictions are applicable to OBC also.

1.13 Residence of a person in a particular locality assumes a special significance for classified as SC/ST as there is a possibility that two persons belonging to the same caste but residing in different States/UT may not both be treated to belong to SC/ST/OBC as their status and participation in decision making differs from place to place.

1.14 Constitutional & Legal Provisions of Reservation: Provision for grant of reservation to SC & ST are discussed widely in the Constitution under several Articles specially, Article – 16(4), 16(4A), 46 & 335. Even Hon. Supreme Court vide its judgment in Indra Sawhney & Ors Vs UoI & Ors. declared that ‘public employment gives a certain status and power besides the means of livelihood’.

1.15 Article 16(4): It provides power to a State for making provision for reservation of appointments or posts in favour of any backward class of citizens which in the opinion of the State, is not adequately represented in the services under the state.

1.16 Article 16(4A): It provides power to a State for making any provision for reservation in matters of promotion with consequential seniority under the State in favour of SC & ST which in opinion of the State are not adequately represented in the services under the state.

1.17 Article 46: It provides that the State shall promote with special care the educational and economic interests of the weaker sections of the people particularly, SC & ST and shall protect them from social injustice and all forms of exploitation.

1.18 Article 335: It provides that the claims of SC & ST shall be taken into consideration consistently with the maintenance of efficiency of administration in the making of appointments to services and posts in connection with the affair of the Union or a State.

1.19 Economically Weaker Section (EWC): It is discussed in Para – 9.29

1.20 Reservation in employment: Reservation in employment is given to – (a) in Direct Recruitment (SC/ST/OBC/EWC) & (b) in Promotion (SC/ST only).

1.21 Direct Recruitment: It has two categories – (i) Recruitment is made by open competition & (ii) Recruitment made by otherwise than by open competition.

1.22 Recruitment by Open Competition: It means all recruitments by – (a) UPSC whether through written examination or by interview or by both; and (b) other authorities including SSC or any other appointing authority through written competitive examination or tests (but not by interview alone).

1.23 Recruitment made by otherwise than by Open Competition: It means, any recruitment not made by UPSC or not made through written competitive test held by any other authority.

1.24 Promotion: It is defined and discussed in Para – 6.12

[2] Scope of Reservation

2.1 Scope of reservation is fixed (in percentage) in terms of appointment/recruitments. The quantum of Reservation in Direct Recruitment to Civil Posts and Civil Services on All India basis are tabulated below:

Reservation in Direct Recruitment by Open Competition
SC	ST	OBC	EWC	Remark
15 %	7.5 %	27 %	10%
Reservation in Direct Recruitment otherwise than by Open Competition
SC	ST	OBC	EWC	Remark
16.66 %	7.5 %	25.84 %	10%
Resource: DoP&T OM No. 36011/33/1981-Estt.(SCT)05 dtd: 05/10/1981.

2.2 Reservation for SC & ST in case of Direct Recruitment to Group ‘C’ (including erstwhile Group ’D’) posts normally attracting candidates from a locality or a region is generally fixed on the basis of proportion of their population in the respective State/UT as the case may be. Delhi is an exception in such cases.

2.3 Reservation for OBC in such cases (as mentioned in para 2.2), is fixed keeping in view the proportion of their population in the respective States/UT subject to a limit of 27% and total reservation for SC/ST & OBC should not exceed 50%.

2.4 State-wise quantum of reservation fixed for SC/ST/OBC (other than Creamy Lear) in is tabulated below:

S.No	Name of State/UT	Percentage of Reservation
S.No	Name of State/UT	SC	ST	OBC*
01	Andhra Pradesh	16	07	27
02	Arunachal Pradesh	01	45	00
03	Assam	07	12	27
04	Bihar	16	01	27
05	Chhattishgarh	12	32	06
06	Goa	02	12	18
07	Gujrat	07	15	27
08	Haryana	19	00	27
09	Himachal Pradesh	25	04	20
10	Jammu & Kashmir	08	11	27
11	Jharkhand	12	26	12
12	Karnataka	16	07	27
13	Kerela	10	01	27
14	Madhya Pradesh	15	20	15
15	Maharashtra	10	09	27
16	Manipur	03	34	13
17	Meghalaya	01	44	05
18	Mizoram	00	45	05
19	Nagaland	00	45	00
20	Odisha	16	22	12
21	Punjab	29	00	21
22	Rajasthan	17	13	20
23	Sikkim	05	21	24
24	Tamil Nadu	19	01	27
25	Tripura	17	31	02
26	Uttarakhand	18	03	13
27	Utter Pradesh	21	01	27
28	West Bengal	23	05	22
29	Andaman & Nicobar Islands	00	08	27
30	Chandigarh	18	00	27
31	Dadra & Nagar Haveli	02	43	05
32	Daman & Diu	03	09	27
33	Delhi	15	7.5	27
34	Lakshadweep	00	45	00
35	Pondicherry	16	00	27
* The members of OBC who fall in creamy layer shall not get the benefit of reservation.

2.5 In case where recruitment is made for Zones or Circles or Regions consisting of more than one State, the percentages of reservation for SC & ST is generally fixed on the basis of the proportion of SC & ST in that respective Zones or Circles or Regions as the case may be and reservation for OBC is fixed by keeping in view their proportion in the population of respective Zones or Circles or Regions subject to restriction of 27% and total reservation of 50%.

2.6 In case of Recruitment on local or regional or zonal or circle basis, SC/ST/OBC candidates not belonging to the concerned locality shall also be eligible to get the benefit of reservation.

2.7 Reservation in Promotion: Reservation to the members of SC & ST only shall be provided in promotion also when promotion is made through –

(a) Limited Departmental Competitive Examination (LDCE) in Group B & Group C (erstwhile Group D) posts;

(b) by selection from Group B posts to Group A post or in Group B, Group C (erstwhile Group D);

2.8 Quantum of reservation in all cases incorporated in Para 2.7 (a) (b) & (c) are fixed as 15 % for SC & 7.5 % for ST. However, reservation in promotion is not given in the grades in which the element of Direct Recruitment, if any, exceeds 75 % [DoPT OM No. 36012/17/88-Estt.(SCT) dtd: 25/04/1989].

2.9 Reservation in case of Single Vacancy: In case, where only one vacancy occurs in the initial recruitment year and according to the scheme of reservation, the vacancy is reserved for SC or ST or OBC, it should be treated as unserved and filled accordingly.

2.10 In subsequent year, even if there is only one vacancy, it should be treated as reserved against the carried forward reservation from the initial recruitment year and it shall be filled up by the relevant reserved category.

2.11 Reservation in case of Single Post Cadre: If any particular post has 01 (One) sanctioned strength/Single Post Cadre then there will be no reservation for it. The post shall be treated as reservation and hence, no reservation roster is maintained.

2.12 Reservation in PSU/Autonomous Bodies etc.: Autonomous Bodies, Public Sector Undertakings (PSU), Statutory Bodies, Semi-Government Bodies, Institutions including Municipal Corporations, Cooperative Institutions, Universities etc. receive grants-in-aid from Government and are under the control of the Government have to make reservation for SC, ST & OBC in their service on the lines of the reservations in services under the Government [O.M. No. 39/40/74(SCT)(I) dtd: 30/09/1974].

2.13 Reservation in post of Industrial Workers: Every posts in Industrial establishment under Government of India are covered by the reservation scheme for SC, ST & OBC.

2.14 Reservation in appointment of Casual Workers to Regular Post: Any appointment of casual workers against regular posts will be a case of Direct Recruitment and reservation policy shall apply accordingly.

2.15 Reservation in Scientific & Technical Posts: Reservation applies to appointments made to scientific & technical posts upto and including the lowest grade of Group A in the respective services.

2.16 Reservation in NGO/Voluntary Agencies: If any Non-Government Organization, Voluntary Agency gets grants-in-aid from Central Government, then Government should insist as a pre-condition before sanctioning the aid that quantum of reservation 15%, 7.5% & 27% for SC, ST & OBC respectively be applicable.

2.17 Non-Applicability of Reservation: Reservation does not apply to –

(a) Temporary appointments of less than 45 days of duration.

(b) Work charged posts which are required for emergencies like flood relief work, accident restoration and relief etc.

(d) Appointments to Scientific and Technical posts which are above the lowest rank of Group A and the post which is specifically for conducting research for organizing, guiding and directing research.

(e) Deputation/Absorption

(f) Single Post Cadres.

[3] Relaxations & Concessions

3.1 Concession and relaxations are provided to members of reserved categories. It is discussed in length in successive paras.

3.2 Concession in Promotions within Group A: There is no reservation in case of promotion by selection from a Group A post to another Group A post.

3.3 Age Relaxation in Direct Recruitment: Maximum age limit prescribed for Direct Recruitment (DR) to a service or post shall be increased by 5 years for members belong to SC & ST & 3 years for members of OBC category [DoP&T OM No. 43013/2/95-Estt(SCT), dtd: 25/01/1995 & MHA No. 15/1/55/-SCT dtd: 30/04/1955].

3.4 Age Relaxation in Promotion: In case where, upper age-limit not exceeding 50 years is prescribed for promotion to a post, it shall be relaxed by 5 years for members belong to SC & ST.

3.5 Concession in Fee: The candidates who belong to SC or ST will not be required to pay any fee for admission to any recruitment examination/selection except to payment incurred towards any correspondence/postal expenses [OM No. 36011/3/84-Estt(SCT) dtd: 01/07/1985].

3.6 Relaxation in Qualifying marks: Relaxation in minimum qualifying marks for in an examination is relaxed and fixed accordingly for SC & ST candidates appearing against a reserved post.

[4] Quota of Reservation

4.1 The quota of reservation in different posts for Direct Recruitment (for SC, ST, OBC & EWS) or promotion (for SC & ST only) is required to be determined and fixed accordingly. Quota of reservation depends on number of posts in a cadre (Sanctioned post). It is determined by multiplying the cadre strength with respective percentage of reservation.

4.2 Calculation of Reserved posts: Reserved posts in reservation roster are earmarked as follows:


SC (15%)	15% = 15/100 = 0.15. This fraction is required to be multiplied until it becomes a whole number. (2×0.15 = 0.30), (3×0.15 = 0.45), (4×0.15 = 0.60), (5×0.15 = 0.75), (6×0.15 = 0.90), (7x0.15 = 1.05). Hence, 7^th point in the reservation roster shall be earmarked as reserved for SC candidate. Fraction is ignored.
ST (7.5%)	7.5% = 7.5/100 = 0.075. Here, 14×0.075 = 1.05. hence, 14^th point shall be earmarked as reserved for ST candidate in a reservation roster.
OBC (27%)	27%=27/100 = 0.27. 4×0.27 = 1.08. Hence, 4^th point shall be earmarked as reserved for OBC in a reservation roster.
EWS (10%)	10% = 10/100 = 0.10. Here, 10×0.10 = 1.00. Hence, 10^th point shall be earmarked as reserved post for EWS.

4.3 There shall be no reservation if sanction strength for a post in a cadre is 1 (One).

4.4 If the number of posts in a cadre (Sanctioned strength) is 2 (Two) but less than 14 then reservation is provided in L-Shaped Roster [DoP&T O.M. No. 36012/2/96-Estt(Res) dtd: 02/07/1997].

4.5 L-Shaped Roster: It is a 14 – Point based roster in which reservation is provided by rotation on the basis of 14 – point. In this kind of roster is used where sanctioned post of the cadre is between 2-13. It runs upto 14 point as all reserved categories get seats by the 14^th post. Reservation Roster is defined in Para 5.1 below.

4.6 It is called 14-point Roster as it runs upto 14 points and then it works as per replacement point laterally causing ‘L’ in shape.

4.7 14 – Point (L-Shape) Reservation Roster is prepared as followed:

Cadre

Strength

Initial Recruitment

Replacement No.

1^st

2^nd

3^rd

4^th

5^th

6^th

7^th

8^th

9^th

10^th

11^th

12^th

13^th

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWS

OBC

4.8 Process of operation of L-Shaped roster: The operation of L-shaped roster depends on the number of Sanctioned strength. If total number of sanctioned strength for a particular cadre post is 6 then posts shall be recruited upto point No. 6 and after that it will run on replacement No. making it L-Shaped. The patter will repeat itself after every 14 appointments as 14 is the minimum point where all categories get seats for reservation. This is illustrated below in shade area.

Cadre

Strength

Initial Recruitment

Replacement No.

1^st

2^nd

3^rd

4^th

5^th

6^th

7^th

8^th

9^th

10^th

11^th

12^th

13^th

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWC

OBC

EWS

OBC

4.9 The L-shape will take its shape as all initial appointments are made in the vertical pattern and the subsequent appoints follow the horizontal pattern (forming the shape ‘L’). Once sanctioned strength appointments are made and then it runs upto 14 appointments (14 point cycle).

4.10 The problem with 14-point roster is that, reserved categories candidates have to wait for a long time in order to get their turn as it depends on recruitments when subsequent vacancy arises.

4.11 It sanctioned strength of any cadre post is rationalised (increased or decreased), the earmarked points in the reservation roster will change accordingly. Excess or shortfall of reservation, which may result due to change in sanction strength shall be adjusted in subsequent recruitments/promotions.

4.12 Determination of vacancies: While filling up vacancies in a year, efforts shall be made upto the shortfall of reservation for all categories subject to the condition that the total number of vacancies reserved for SC, ST, OBC, EWS shall not be more than 50% of the vacancies aroused in the year.

4.13 The ceiling of 50% reservation on filling of reserved vacancies would apply only to the vacancies which arise in the current year and the backlog reserved vacancies of SCs, STs and OBCs in case of direct recruitment and backlog reserved vacancies of SCs and STs in case of promotion of earlier years, would be treated as a separate and distinct group, and would not be considered together with the reserved vacancies of the year in which they are filled for determining the ceiling of 50% reservation on total number of vacancies of that year.

4.14 Shortfall of reservation: The difference between total number of reserved post in that category and the total number persons of that category appointed by reservation and holding the post in the cadre. Mathematically it can be shown as:

(Total No. of reserved post) – (No. of persons appointed and holding the post).

4.15 Backlog reserved vacancy: Vacancies which were earmarked reserved for that category in an earlier recruitment year but remained unfilled in the previous recruitment attempt on account of non-availability of suitable candidates belonging to that category is called backlog vacancy.

4.16 200 – Point Roster: It is another kind of Roster which is maintained for cadres having 14 or more posts. It has 200-point cycle as it runs up to 200 points and this cycle is again repeated from 201^th point.

4.16 In 200-Point Roster, SC-30 (15% of 200), ST-15(7.5% of 200), OBC-54(27% of 200) & EWS-20(10% of 200) sears are reserved.

4.17 Squeezing: If two categories obtains a complete number at the same time, then one nof them is accommodated on the previous seat or next seat, this is called Squeezing.

4.18 At 20^th point of 200 – Point roster, both SC & EWS becomes complete numbers. In such case, the 20^th seat is earmarked for an SC whereas the 21^st seat is for EWS.

4.19 Sample of 200 – Point Roster for reservation having 21 posts in a cadre (Sanctioned strength = 21).

Cadre Strength	Reservation of seats				Category earmarked
Cadre Strength	SC (15%)	ST(7.5%)	OBC(27%)	EWS(10%)	Category earmarked
1	0.15	0.08	0.27	0.10	UR
2	0.30	0.15	0.54	0.20	UR
3	0.45	0.23	0.81	0.30	UR
4	0.60	0.30	1.08	0.40	OBC-1
5	0.75	0.38	1.35	0.50	UR
6	0.90	0.45	1.62	0.60	UR
7	1.05	0.53	1.89	0.70	SC-1
8	1.20	0.60	2.16	0.80	OBC-2
9	1.35	0.68	2.43	0.90	UR
10	1.50	0.75	2.70	1.00	EWS-2
11	1.65	0.83	2.97	1.10	UR
12	1.80	0.90	3.24	1.20	OBC-3
13	1.95	0.98	3.51	1.30	UR
14	2.10	1.05	3.78	1.40	ST-1
15	2.25	1.13	4.05	1.50	SC-2*
16	2.40	1.20	4.32	1.60	OBC-4*
17	2.55	1.28	4.32	1.70	UR
18	2.70	1.35	4.59	1.80	UR
19	2.85	1.43	4.86	1.90	UR
20	3.00	1.50	5.13	2.00	SC-3*
21	3.15	1.58	5.40	2.10	EWS-2*
*Squeezing results adjustment of seats in reservation. Less reserved seat occupied category is preferred.

[5] Reservation Register & Roster Registers

5.1 Reservation Roster: It is an application to determine the reservation of posts in a cadre for different categories with reference to applicable percentage of reservation.

5.2 The application draws the Reservation Roster by earmarking each post for one or the other category and also helps to determine the category by which the post that fell vacant is to be filled up.

5.3 Silent features of Reservation Roster: There are four silent features – (a) Roster Creation; (b) Roster Operation; (c) Roster Implementation; (d) Report Generation.

5.4 (a) Roster Creation: The details of creation of Roster is discussed at Para 4.2 above.

5.5 (b) Roster Operation: This allows user to vacate the posts and assists in determining the category by which the vacancy needs to be filled arising in a particular recruitment year. It has the facility to track Shortfall, Carry Forward & Backlog posts for each year.

5.6 (c) Roster Implementation: Roster implementation provides facility to implement the roster by plotting the incumbents in the roster as and when required. It keeps a record of all the incumbents in each roster.

5.7 (d) Report Generation: It provides quick retrieval of data for report generation and other purposes. It serves like a search engine of Reservation Roster as it has report that includes standard information such as all the detailed category wise report. The main aspect of it is reflected as Tally Sheet.

5.8 Tally Sheet:

5.9 Different Reservation Rosters are maintained in different formats. As there are two type of Rosters are in operation – (a) L-Shaped (13-Point) Reservation Roster & (b) 200-Point Reservation Roster. Format in which these Reservation Rosters are maintained are discussed in successive paras:

5.10 Format for 200 – Point Reservation Roster: This reservation roster is maintained in the following format:

1. Name of Post:

2. Method of Recruitment: DR/Promotion by selection/Promotion by non-selection/Promotion by Limited Departmental Competitive Examination (LDCE)

3. Number of post (Sanctioned Strength):

4. Percentage of Reservation: SC___( ); ST_____( ); OBC_______( ); EWS______( )

S. No.	Name	Date of Appointment	Whether belongs to SC/ST/OBC/EWS/UR	Filled as UR or as reserved for SC/ST/OBC/EWS	Signature of Appointing authority or other authorised officer	Remarks
(1)	(2)	(3)	(4)	(5)	(6)	(7)
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15

5.11 Format for 14 – Point Reservation Roster (L-Shape): This reservation roster is maintained in the following format:

1. Name of Post:

2. Method of Recruitment: DR/Promotion by selection/Promotion by non-selection/Promotion by Limited Departmental Competitive Examination (LDCE)

3. Number of post (Sanctioned Strength):

4. Percentage of Reservation: SC___( ); ST_____( ); OBC_______( ); EWS______( )

Cycle No./Point No.	UR or reserved for SC, ST, OBC, EWS	Name	Date of appointment	Whether SC, ST, OBC, EWS, UR	Filled as UR or SC, ST, OBC, EWS	Signature of appointing authority or other authorised officer	Remarks
(1)	(2)	(3)	(4)	(5)	(6)	(7)	(8)
1
2
3
4
5
6
7
8
9
10
11
12
13

5.12 It should be noted that, Separate Registers/Roster Registers are required to be maintained for appointments made by – (a) Direct Recruitment & (Promotion). In case of promotion, separate registers/roster registers are required to be maintained for each mode of promotion – (i) selection; (ii) non-selection & (iii) LDCE.

5.13 Immediately after an appointment is made, the particulars of the person appointed needs to be entered in the register/roster register in the appropriate columns and the entry must be signed by the appointing authority or by other officer authorised to do so. Similarly, such entry should be made in case of promotion also.

5.14 A common register/roster register shall be maintained for permanent appointments and temporary appointments likely to become permanent or to continue indefinitely.

5.15 Separate register/roster register is to be maintained for purely temporary appointments of 45 days or more but which have no chance whatever of becoming permanent or continuing indefinitely.

5.16 Reservation Roster does not show seniority, it is only an aid to ensure that SC, ST, OBC, EWS category employee get quota reserved for them.

5.17 Grouping of posts: Small cadre posts which are filled by Direct Recruitment (DR) may be grouped with posts in the same group for the purpose of reservation by taking into account the status, salary and qualification for the posts.

5.18 The posts of Sweepers should not be grouped for the purpose of reservation with other category of same group even though the number of posts of Sweepers may not be large in an office or establishment.

5.19 Proposals for grouping of posts should be referred to the DoP&T for prior approval together with full particulars of posts proposed to be grouped in the following respect:

(a) Designation & number of each post.

(b) Group to which the posts (A/B/C/Erstwhile D).

(d) Method of Recruitment for each post as per Recruitment Rules.

(e) Minimum Qualifications prescribed for DR to each post.

5.20 SC/ST/OBC/EWS candidates appointed on own merit: If in case of Direct Recruitment (DR), SC, ST and OBC candidates and SC and ST candidates in case of promotion, appointed on their own merit and not owing to reservation should not be shown against reserved quota. They will be adjusted against unreserved (UR) quota.

5.21 If an unreserved vacancy arises in a cadre and there is any SC or ST candidate available within the normal zone of consideration in the feeder grade, such SC or ST candidate as the case may be, cannot be denied promotion on the plea that the post is not reserved. Such a candidate will be considered for promotion along with other candidates treating him as if he belongs to general category. In case of such selection, he/she will be appointed to the post and will be adjusted against the unreserved (UR) point.

5.22 Own Merit candidates: Only such SC or ST or OBC candidates who are selected on the same standard as applied to General category (GEN/UR) candidates shall be treated as own merit candidates.

5.23 If any SC/ST/OBC candidate is selected by getting any relaxation in experience qualification, number of permitted chances in written examination, zone of consideration etc., he/she shall be counted against respective reserved vacancies. Such candidates cannot be considered for appointment against an unreserved vacancy (UR).

5.24 SC/ST candidates appointed on their own merit (by direct recruitment or promotion) and adjusted against unreserved points will retain their status of SC/ST and will be eligible to get benefit of reservation in future/further promotions, if any.

5.15 50% limit on reservation will be computed by excluding such reserved category candidates who are appointed/promoted on their own merit.

5.16 Compassionate Appointment Adjustment: Compassionate Appointment (CA) is granted to dependent family member of deceased Government servant in Group ‘C’ posts only against 05% of DR vacancy arised. Candidates appointed under CA are adjusted in their respective category (SC/ST/OBC/EWS). If a candidate is appointed against SC, he/she shall be adjusted in SC point and likewise applicable to all categories also [DoP&T O.M. No. 14014/6/1995-Estt(D) dtd: 26/09/1995].

[6] Filling up of Reserved Vacancies

6.1 Reserved vacancies are filled up by way of – (a) direct recruitment; (b) promotion. Recruitment or promotion is executed as per relevant Statutory Rules & Orders (SRO) and Recruitment Rules (RR) as amended from time to time.

6.2 Direct Recruitment: In Direct Recruitment for several posts including reserved post for different categories viz. SC/ST/OBC/EWS etc. on one occasion, a single advertisement is required to be issued by specifying clearly therein the vacancies reserved for SC/ST/OBC/EWS etc. [O.M. No. 36012/6/88-Rdyy.9SCT), SRD dtd: 06/09/1999].

6.3 Such vacancies are advertised in Employment News through the Directorate of Advertising & Visual Publicity (DAVP). The vacancy may also be advertised in local news paper for wide publication for granting mass opportunity and competitiveness.

6.4 Direct Recruitment vacancies should also be brought to the notice of the Scheduled Caste or Scheduled Tribe Organizations organised by the department for the purpose of notifying to them about the vacancies. It is made only for advertisement purpose not to sponsor any name by the organisation.

6.5 If sufficient number of candidates belonging to SC/ST/OBC/EWS are not available to fill up reserved vacancies for them in DR and such vacancies should not be filled by candidates who do not belong to SC/ST/OBC/EWS as there is a ban on de-reservation of vacancies reserved for SSC/ST/OBC/EWS in DR subject to some rare circumstances. The process of De-reservation is discussed in para – 7.

6.6 Backlog Vacancy: If sufficient number of suitable SC/ST/OBC candidates are not available to fill up vacancies reserved for them in the first attempt of recruitment, a second attempt should be made for recruiting suitable candidates belonging to the concerned category in the same recruitment year or as early as possible before the next recruitment year to fill up these vacancies. If the required number of SC/ST/OBC candidates are not even then available, the vacancies which could not be filled up shall remain unfilled until the next recruitment year. These vacancies will be treated as “backlog vacancies.”

6.7 In the subsequent recruitment year, when recruitment is made for the vacancies of that year (called the current vacancies), the backlog vacancies of SC/ ST/OBC/EWS will also be announced/advertised for recruitment. While doing so, it may be kept in view that the vacancies of the particular recruitment year i.e. the current vacancies will be treated as one group and backlog vacancies of SC/ST/OBC/EWS as a separate and distinct group.

6.8 Of the vacancies in the first group (current vacancy), not more than 50% of the vacancies shall be reserved. Vacancies in the second group (backlog vacancies) reserved for SC/STS/OBC will be filled up by the candidates belonging to category concerned without any restriction whatsoever as they belong to distinct group of backlog vacancies of SC/ST/OBC/EWS.

6.9 Vacancies reserved for SCs/STs/OBCs which could not be filled up and are carried forward as backlog vacancies and remain unfilled in the following recruitment year also, will be carried forward as backlog vacancies for subsequent recruitment year(s) as long as these are not filled by candidates of the category for which these are reserved.

6.10 In posts filled otherwise than through examination, normally six to seven candidates belonging to the community for which the post is reserved may be called for interview for each reserved vacancy, subject to availability of such candidates fulfilling the qualifications prescribed for the post. Where the response from the SC/ST/OBC/EWS candidates is exceptionally good, the recruiting authority may, having regard to the merits of each case, call as many as 10 to 12 candidates of the respective category for each reserved vacancy for the purpose of interview/selection.

6.11 In Direct Recruitment made – (a) otherwise than through examination (b) made though examination followed by an interview, the interview of SC/ST candidates should be held – (i) on a day; or (ii) sitting of the Selection Committee other than the day; or (iii) sitting on which general candidates are to be interviewed so that the SC/ST candidates are not judged in comparison with general candidates and the interviewing authority/Board is/are prominently aware of the need for judging the Scheduled Caste/Scheduled Tribe candidates by relaxed standards.

6.12 Promotion: In terms of a career, promotion refers to the advancement of an employee’s rank or position in a hierarchical structure. There are two methods to grant promotion – (a) Promotion by Selection; & (b) Promotion by Non-Selection;

6.13 Promotion by Selection: In promotion by selection method, selection is made on the basis of zone of consideration. Candidates who are assessed for promotion should be within the zone of consideration, which will be as below:

Zone of Consideration
No of Post	No. of employee to be considered
01	05
02	08
03	10
04	12
05 & above	2x+4 (Twice the No. of vacancy + 4). Where ‘x’ = Number of vacancy

The details of promotion of both methods and all are widely discussed in DPC.

6.14 In case of promotion by selection method, selection against vacancies reserved for SC and ST should be made only from SC/ST candidates who figured in zone of consideration made for the purpose.

6.15 In case, where adequate number of SC/ST candidates are not available within the normal filed of choice, it may be extended to 5 times the number of vacancies and the SC/ST candidates (not other candidates) coming within the extended field of choice should be considered against the vacancies reserved from them.

6.16 SC/ST officials who are within the normal zone of consideration shall be considered for promotion alongwith others and adjudged on the same basis as others and those SC/ST officials amongst them who are selected on that basis may be included in the general select list. If some of the SC/ST candidates so selected have been selected on their own merit in all respect and are so placed in the select list that their names fall within the number of unreserved (UR) vacancies, such candidates shall be adjusted against unreserved (UR) vacancies.

6.17 If number of candidates from SC & ST other than the candidates selected on their own merit who are adjusted against unreserved(UR) vacancies is less than the number of vacancies reserved for them, the difference should be made up by selecting candidates of these respective communities who are in the zone of consideration irrespective of merit but who are considered fit for promotion.

6.18 A select list should then be prepared in which the names of all the selected officials, Unreserved as well as those belonging to SC & ST are arranged in the order of merit and seniority according to the general principles for promotion to selection posts. However, such of the SC/ST candidates who are in the extended field and get selected should be placed in the end by maintaining their inter se position in accordance with their gradation by the DPC. This select list should, thereafter, be followed for making promotions in vacancies as and when they arising during the year.

6.19 Promotion by Non-Selection: This method of promotion is also called promotion by seniority subject to fitness. It is discussed in length in DPC.

6.20 In case of promotion by non-selection, all SC & ST candidates who are covered in the relevant seniority list within the total number of such vacancies against which the promotions are to be made, shall be considered in the order of their general seniority, and if they are not judged unfit, they shall be promoted. If the number of SC/ST candidates found fit within the range of actual vacancies is less than the number of vacancies reserved for them, additional SC/ST candidates to the extent required shall be located by going down the seniority list, provided they are eligible and found fit for appointment on promotion.

6.21 In case where, sufficient number of SC/ST candidates fit for promotion against reserved vacancies are not available, such vacancies may be de-reserved as per prescribed procedure and filled by candidates of other communities. Process of De-reservation is discussed in length in Para – 7.

6.22 In case where, sufficient number of SC/ST candidates fit for promotion against reserved vacancies is not available and such vacancies can also not be de-reserved for reasons like non-availability of candidates of other categories to fill up the posts etc., the vacancies shall not be filled and will remain unfilled and will be treated as “backlog vacancies”[ O.M.No.36020/2/2007-Estt.(Res) dated 7/12/2009].

6.23 Diversion of reserved vacancies from Promotion quota to Direct Recruitment: In case where, recruitment to a grade is made both by promotion and Direct Recruitment (DR) i.e. where separate quota for promotion and Direct Recruitment are prescribed in the Recruitment Rules, reserved vacancies falling in the promotion quota which cannot be filled due to non-availability of eligible persons belonging to SC/ST in the feeder cadre may be temporarily diverted to the Direct Recruitment (DR) quota and filled by recruitment of candidates belonging to SC or ST, as the case may be, in accordance with the provisions relating to Direct Recruitment contained in the Recruitment Rules.

6.24 In the subsequent year(s) when reserved vacancies in the direct recruitment quota become available they may be diverted to the promotion quota to make up for the vacancies diverted earlier and filled from SC/ST candidates in the feeder cadre who might by then become eligible for promotion. This involves relaxation of the Recruitment Rules. The Ministries/Departments may themselves exercise the power of relaxation subject to approval of UPSC, wherever necessary.

6.25 Supersession of SC/ST candidates: Where cadre posts filled by promotion (by selection or by non-selection) wherever the orders regarding reservation apply the following procedure should be observed by the appointing authorities, in regard to cases where eligible SC/ST candidates, though available, are not appointed/selected for the reserved as well as unreserved vacancies: –

(a) In promotions to Group A and within Group A – Such cases should be submitted to the Minister/ Minister of State/Deputy Minister concerned, as the case may be.

(b) In promotion to Group B and within Group B – Such cases should be reported to the Minister/Minister of State/Deputy Minister concerned, as the case may be, within a period of one month of the finalization of the select list.

(c) In promotion to and in Group C and within Group D – Such cases should be reported to the Head of the Department, if the appointing authority is lower than the level of the Head of the Department, and where the Head of the Department is himself the appointing authority, to the Secretary of the administrative Ministry/Department.

6.26 Implementation of findings of DPC kept in sealed cover: According to the instruction contained in the Ministry of Home Affairs Office Memorandum No.39/3/59-Estt.(A) dated the 31/08/1960, the findings of the Department Promotion Committee in respect of a person under suspension or against whom vigilance enquiries are pending are kept in sealed cover and a vacancy is kept reserved for him and is filled only on officiating basis till the finalization of the departmental proceedings. If the official is completely exonerated and the charges levelled against him/her are proved to be wholly unjustified then he/she is promoted to the vacancy which had been filled on an officiating basis and which was reserved for him. In such cases, the junior most officer officiating in the grade i.e. the officer occupying the lowest position in the panel is reverted. Where such reversion becomes necessary, the reversions should be made in such a manner that the total number of SC/ST candidates in the cadre appointed by reservation is not reduced below the reservation prescribed for them.

[7] De-reservation

7.1 De-reservation is a process by which reserved category vacancies in a cadre post is declared Un-Reserved subject to conditions under certain circumstances by following prescribed procedure.

7.2 Any vacancy reserved for SC or ST or OBC cannot be filled by any candidates who belong to other than SC or ST or OBC as the case may be. However, a reserved vacancy may be declared unreserved by following the procedure of de-reservation which is discussed in successive para hereinafter.

7.3 De-Reservation in case of Direct Recruitment (DR): There is a general ban on de-reservation of reserved vacancies in case of Direct Recruitment (DR). However, in rare and exceptional cases when a vacancy in a Group ‘A’ service which cannot be allowed to remain vacant in public interest, the administrative Ministry/Department may prepare a proposal for de-reservation of the vacancy giving following information:

(i) Designation of the post;

(ii) Pay scale of the post;

(iii) Name of the service to which the post belongs;

(iv) Duties and responsibilities attached to the post;

(v) Educational and other qualifications prescribed for the post;

(vi) Efforts made to fill up the post;

(vii) Reasons why it cannot be allowed to remain vacant;

(viii) Justification for de-reservation; and

(ix) Any other relevant information.

7.4 The administrative Ministry shall consult – (a) the National Commission for Scheduled Castes in respect of vacancy reserved for SCs; (b) the National Commission for Scheduled Tribes in respect of vacancy reserved for STs and (c) the National Commission for Backward Classes in respect of vacancy reserved for OBCs.

7.5 After obtaining the comments of the concerned Commission, the administrative Ministry/Department shall place the proposal alongwith the Commission’s comments before a Committee comprising of – (i) the Secretaries in the Department of Personnel and Training; (ii) the Ministry of Social Justice and Empowerment, and (iii) the Ministry/Department under which the recruitment is to be made for consideration and recommendation.

7.6 The recommendation of the Committee shall be placed before the Minister in charge of the Department of Personnel and Training for taking a final decision. If de-reservation of the vacancy is approved, it can be filled as an unreserved vacancy.

7.7 De-reservation in case of Promotion: In case of promotion, if sufficient number of SC/ST candidates fit for promotion against reserved vacancies are not available, such vacancies may be de-reserved and filled by the candidates of other communities.

7.8 The power to accord approval to de-reservation of the reserved vacancies in such cases is delegated to the administrative Ministries and Departments subject to the following conditions:

(i) no candidate belonging to the category for which the vacancy is reserved is available within the zone of consideration or extended zone of consideration or eligible for promotion in the feeder cadre(s) specified in the relevant service / recruitment rules / orders;

(ii) the proposal for de-reservation has been seen and concurred in by the Liaison Officer of the Ministry / Department;

(iii) the proposal for de-reservation is agreed to at a level not lower than that of Joint Secretary to the Government of India, in the administrative Ministry / Department (proper)concerned; and

(iv) in the event of disagreement between the appointing authority and the Liaison Officer, the advice of the Department of Personnel & Training is obtained.

7.9 Before taking a decision to de-reserve a vacancy under the delegated powers, the administrative Ministry / Department shall prepare a proposal in the prescribed proforma given for the same and require to send one copy thereof each to – (a) the Department of Personnel & Training and (b) the National Commission for Scheduled Castes in respect of vacancies reserved for SC and to the National Commission for Scheduled Tribes in respect of vacancies reserved for ST.

7.10 After sending the proposal, the Ministry / Department shall wait for a period of at least 02 (two) weeks for the comments of the Department of Personnel & Training and the concerned National Commission.

7.11 If no comments are received from the Department of Personnel & Training or the concerned Commission within 02 (two) weeks, the administrative Ministry/ Department may presume that the DoP&T or the concerned National Commission, as the case may be, do not have any comments to offer and may take a decision regarding de-reservation of the vacancy.

7.12 In case the Ministry/Department receives comments from the DoP&T or the concerned Commission within two weeks, the comments so received shall be considered while taking a decision in the matter.

7.13 While sending the copy of the proposal to the Commissions / Department of Personnel & Training, it should be ensured that the proposal / proforma duly filled in is signed by an officer of the rank of Under Secretary or above in the administrative Ministry / Department.

7.14 The Attached / Subordinate Offices etc. should not send the proposal direct to the Department of Personnel and Training or to the concerned National Commission. They should send the proposal to the administrative Ministry/ Department who will examine the proposal and send it to the Department of Personnel and Training and to the concerned National Commission.

[8] Verification of SC/ST/OBC certificate

8.1 Reservation is granted to candidates who belongs to SC or ST or OBC against respective posts reserved for them as the case may be on production of Caste Certificate in support of their claim so as to make them eligible for reservation and various relaxation and concessions.

8.2 The Caste/Tribe/Community certificate issued by the following authorities in the prescribed form for SC/ST/and for OBC will only be accepted as proof in support of a candidate’s claim as belonging to the SC or ST or OBC in prescribed format introduced for the same as changes from time to time.

(i) District Magistrate/Additional District Magistrate/Collector /Deputy Commissioner/Additional Deputy Commissioner/ Deputy Collector/ 1st Class Stipendary Magistrate/Sub Divisional Magistrate/Taluka Magistrate/Executive Magistrate/Extra Assistant Commissioner.

(ii) Chief Presidency Magistrate/ Additional Chief Presidency Magistrate/Presidency Magistrate;

(iii) Revenue Officer not below the rank of Tehsildar; and

(iv) Sub-Divisional Officer of the area where the candidate and/or his family normally.

8.3 The appointing authorities should verify the caste status of a SC/ST/OBC candidate at the time of initial appointment and of an SC/ST officer at the time of promotion against reserved vacancy also.

8.4 For this purpose, the caste and the community to which an SC/ST/OBC person belongs, his/her place of residence and the name of the State, should be pasted on the top of his/her service book, personal file or any other relevant document to facilitate such verification.

8.5 It may be noted that a SC person, whose caste has been de-scheduled after his initial appointment as a SC, is no longer entitled to enjoy the benefit of reservation in promotions. The verification of caste-status at every important up-turn of employee’s career is necessary so that the benefit of reservation and other scheme of concessions etc. should go only to the rightful claimants and not those who become disentitled to them [OM No. 36011/3/2005-Estt.(Res) dated 09/09/2005].

[9] Miscellaneous

9.1 Monitoring & Institutional safeguards: To ensure reservation is granted to eligible rightful persons who belong to SC/ST/OBC etc. monitoring system is defined by the Government which includes Annual Reports, Liaison Officer & different commissions for SC, ST & OBC. The same are discussed in successive paras hereinafter.

9.2 Annual Report: Every appointing authority is required to send report to its administrative Ministry/Department reports in prescribed proforma soon after the first of January every year.

9.3 S C/ST/OBC Report-I in prescribed proforma showing the total number of Government servants and number of SC, ST and OBC amongst them as on 1^st of January of the year and also the number of appointments made during the preceding calendar year with SC, ST & OBC amongst them. Sweeper/Safaikarmchari should be excluded.

9.4 SC/ST/OBC Report-II in prescribed proforma showing representation of SC, ST & OBC in various grades of organised Group A services as on 1^st of January every year and also the particulars of recruitment to the various grades during preceding calendar year in the service.

9.5 On receipt of Report-I & Report-II as discussed in Para – 9.3 & 9.4 above, the administrative Ministry/Department is required to consolidate information received from all Appointing Authorities under it and send it to DoP&T by 31^st March of each year.

9.6 SC/ST/OBC above reports for following bodies are submitted and maintained is reflect against each:

Departments	Report to be submitted
Public Sector Undertaking (PSU)	Department of Public Enterprises
Statutory Body	Consolidated report to Administrative Ministry/Department
Semi-Government
Autonomous bodies

9.7 SC/ST/OBC Report-I should not include Sweeper/Safaikarmachari as such inclusion results in inflating the figures of representation of SC in Group C (erstwhile Group D). Its report is required to send separately.

9.8 The reports discussed above relate to persons not to posts. Therefore, the posts vacant etc. should not be taken into account while furnishing the reports. A person on deputation should be included in the establishment of the borrowing Ministry/Department/Office and not in the parent office.

9.10 Figures in respect of Scheduled Castes, Scheduled Tribes and Other Backward Classes should include persons appointed by reservation as well as appointed on their own merit. The persons permanent in one grade but officiating or holding temporary appointment in the higher grades should be shown in the figures relating to the class of service in which the higher grade concerned is included.

9.11 Reservation Cell: Each Ministry/Department should set up a reservation cell under the control of Liaison Officer and activities of reservation cell should be included in Annual Report (Report-I & Report-II). These are also applicable to bodies discussed in para-9.6 above. Function of Reservation Cell is mainly to assist the Liaison Officers to discharge their duties effectively.

9.12 Liaison Officer: A Liaison Officer is required to be declared by notification in respect of matters relating to the representation of SC/ST/OBC within the department/organisation. Such officer should be at least equal in the rank of Deputy Secretary. Separate Liaison Officer should be appointed for OBC.

9.13 Functions of Liaison Officer: Function of Liaison Officer are tabulated below in brief:

S.No.	Functions
(a)	Ensuring compliance of orders and instructions regarding reservation and benefit of SC/ST/OBC.
(b)	Ensuring timely submission of Report-I & II with proper scrutiny.
(c)	Ensuring a list of officers of various levels belonging to SC/ST for a few sister Ministries/Departments so that whenever requirement arises for DPC the same may be proposed to the competent authority. 5
(d)	Ensuring full details in support of the proposal for De-reservation are supplied to DoP&T and concerned Commission for SC/ST as the case may be.
(e)	Ensuring assistance to National Commission for SC/ST in investigations of complaints received by the Commission in regard to service matters.
(f)	Conduction annual inspection of reservation registers/roster registers maintained to ensure proper implementation of reservation orders.
(g)	Acting as Liaison Officer between the Ministry/Department and DoP&T for supply of information, answering questions and queries and clearing doubts in regard to matters covered by the reservation orders.
(h)	Reporting to Head of Department/Secretary or Addl. Secretary of Ministry or Department about any lapse in the matter of reservation orders etc.

9.14 National Commission for Scheduled Caste (SC) & Scheduled Tribe: National Commission for SC is constituted under Article 338 of Indian Constitution and National Commission for ST under Article 338A.

9.15 National Commission for SC & ST is constituted to investigate all matters relating to the safeguards provided for SC & ST as the case may be and report to the President upon the working of these safeguards.

9.16 Jurisdiction of National Commission for SC & ST: It can call files relating to appointment of SC/ST candidates against reserved quota for inspection. In all other cases, comprehensive notes explaining the position may be furnished before the commission.

9.17 Hon. Supreme Court in Civil Appeal No. 13700/1996 titled as All Indian Overseas bank Scheduled Caste & Scheduled Tribes Employees Welfare Association & Others Vs. UoI & Ors. held that –

(a) National Commission for SC and ST have no power of granting injunction whether temporary or permanent.

(b) National Commission for SC and ST have powers of Civil Courtin terms of Article 338(8) of the Constitution for the purpose for investigating and inquiring into the matters and that too for limited purpose only.

9.18 In view of above judgement (mentioned in para 9.17), the National Commission for SC & ST have no powers to direct withholding of the operation of any orders issued by the Government [O.M. No. 36036/2/97-Estt.(Res) dtd: 01/01/1998].

9.19 SC/ST employees may directly communicate with respective commission on matters relating to appointments against reserved quota (matters relating to confirmation, promotion, grant of other concession allowed to SC/ST by DoP&T from time to time). No prior permission of concerned Ministry/Department for sending representations to concerned Commission is required.

9.20 Pre-Examination Training Centres: It is set up by various states to increase the employment potentialities of SC/ST candidates in reserved vacancies filled through various examinations.

9.21 Appointing authorities should inform about conduction of examination for reserved posts to Pre-Examination Training Centres well in advance so that the Centres may evolve the scheme of training which will be correlated to such examination and it lead to improve intake of SC/ST candidates against reserved vacancies [MHA No. 21/3/70-Estt.(B) dtd: 31/03/1970].

9.22 Clarification about status of SC/ST employee: Any doubtful cases whether any person belongs to SC or OBC, such cases may be referred to the Ministry of Social Justice & Empowerment, Shashtri Bhawan, New Delhi.

9.23 If such doubt arises in case of ST person, the case may be referred to the Ministry of Tribal Affairs, Shashtri Bhawan, New Delhi.

9.24 Cases relating to Migration: If any SC or ST person migrates from one state (where he/she is scheduled as SC or ST) to other state he/she can claim to belong to a SC or ST or OBC only in relation to the State to which he/she originally belonged not in respect of the State in which he/she has migrated.

9.25 In case, where a person migrates from one portion of the State where his/her community is scheduled/notified (as SC/ST/OBC) to other portion where his/her community is not scheduled/notified, he/she will continue to be deemed to be a member of SC/ST/OBC as the case may be.

9.26 Claims through Marriage: SC/ST/OBC status is based on by birth only. Any SC/ST/OBC person married to any Non-SC/ST/OBC person will retain his/her status of SC/ST/OBC as the case may be.

9.27 Cases of Adoption: If child is adopted under section 6 to 11 of the Hindu Adoption Maintenance Act 1956 then the child shall deem to be treated as child of the adoptive father or mother by birth and status of SC/ST/OBC shall be benefited by the child according to his/her father/mother as the case may be.

9.28 Conversion of Religion: If any SC person converts from Hinduism/Sikhism/Buddhims to other religion and again reverts back to his/her original religion then he/she may be deemed to have reverted to his/her SC status subject to the condition that if he/she is accepted by members of that particular caste as one among them.

9.29 Economically Weaker Section (EWC):

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Reservation

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