DEPARTMENTAL PROMOTION COMMITTEE
PROCEDURE TO BE OBSERVED BY
DEPARTMENTAL – PROMOTION COMMITTEES.
Each Departmental Committee should decide its own method and procedure for objective assessment of the suitability of the candidates. No interviews should be held unless it has been specifically provided for in the recruitment rules for the post/service. Whenever promotions are to be made by the method of ’selection’ by DPC and the administrative ministry desires that an interview should form part of the selection process, necessary provision should be made in the recruitment rules.
Selection Method
Where promotions are to be made by selection method as prescribed in the recruitment rules, the DPC shall, for the purpose of determining the number of officers who will be considered from out of those eligible officers in the feeder grade( s), restrict the field of choice as under with reference to the number of clear regular vacancies proposed to be filled in the year:
No. of vacancies – No. of officers to be considered
1 ————- 5
2 ————- 8
3 ———— 10
4 ————- 3 times the number of vacancies.
At present DPCs enjoy full discretion to devise their own methods and procedures for objective assessment of the suitability of candidates who are to be considered by them. In order to ensure greater selectivity in matters of promotions and for having uniform procedures for assessment by DPCs, fresh guidelines are being prescribed. The matter has been examined and the following broad guidelines are laid down to regulate the assessment of suitability of candidates by DPCs.
While merit has to be recognised and rewarded, advancement in an officer’s career should not be regarded as a matter of course but should be earned by dint of hard work, good conduct and result oriented performance as reflected in the annual confidential reports and based on strict and rigorous selection process;
Government also desires to clear the misco eption about “Average” performance. While “Average” may not be taken as an adverse remark in respect of an officer, at the same time, it cannot be regarded as complimentary to the officer, as “Average” performance should be regarded as routine and undistinguished. It is only performance that is above average and performance that is really noteworthy which should entitle an officer to recognition and suitable rewards in the matter of promotion.
CONFIDENTIAL REPORTS
Confidential Rolls are the basic inputs of wh1ch assessment is to be made by each DPC. The evaluation of CRs should be fair, just and non-discriminatory. Hence -
(a) The DPC should consider CRs for equal number of years in respect of all officers considered for promotion subject to (c) below.
(b) The DPC should assess the suitability of the officers for promotion on the basis of their service record and with particular reference to the CRs for 5 preceding years. However, in cases where the required qualifying service is more than 5 years, the DPC should see the record with particular reference to the CRs for the years equal to the required quaffing service. (If more than one CR has been written for a particular year. all the CRs for the relevant year shall be considered together as the CR for one year).
(c) Where one or more CRs have not been written for any reason during the relevant period. the DPC should consider the CRs of the years preceding the period in question and if in any case even these are not available the DPC should take the CRs of the lower grade into account to complete the number of CRs required to be considered as per (b) above. If this is also not possible, all the available CRs should be taken into account .
(d) Where an officer is officiating in the next higher grade and has earned CRs in that grade, his CRs in that grade may be considered by the DPC in order to assess his work, conduct and performance, but no extra weightage may be given merely on the ground that he has been officiating in the higher grade.
(e) The DPC should not be guided merely by the overall grading, if any, that may be recorded in the CRs, but should make its own assessment on the basis of the entries in the CRs, because it has been noticed that some times the overall grading in a CR may be inconsistent with the grading under various parameters or attributes.
(f) If the Reviewing Authority or the Accepting authority as the case may be has over-ruled the Reporting Officer or the Reviewing authority as the case may be. the remarks of the latter authority should be taken as the final remarks for the purposes of assessment provided it is apparent from the relevant entries that the higher authority has come to a different assessment consciously after due application of mind. If the remarks of the Reporting Officer, Reviewing authority and Accepting authority are complementary to each other and one does not have the effect of over-ruling the other, then the remarks should be read together and the final assessment made by the DPC.
In the case of each officer an overall grading should be given.
The grading shall be one among
(i) Outstanding
(ii) Very Good
(iii) Good
(iv) Average
(v) Unfit
CONFIDENTIAL REPORTS
Confidential Rolls are the basic inputs of wh1ch assessment is to be made by each DPC. The evaluation of CRs should be fair, just and non-discriminatory. Hence -
(a) The DPC should consider CRs for equal number of years in respect of all officers considered for promotion subject to (c) below.
(b) The DPC should assess the suitability of the officers for promotion on the basis of their service record and with particular reference to the CRs for 5 preceding years. However, in cases where the required qualifying service is more than 5 years, the DPC should see the record with particular reference to the CRs for the years equal to the required quaffing service. (If more than one CR has been written for a particular year. all the CRs for the relevant year shall be considered together as the CR for one year).
(c) Where one or more CRs have not been written for any reason during the relevant period. the DPC should consider the CRs of the years preceding the period in question and if in any case even these are not available the DPC should take the CRs of the lower grade into account to complete the number of CRs required to be considered as per (b) above. If this is also not possible, all the available CRs should be taken into account .
(d) Where an officer is officiating in the next higher grade and has earned CRs in that grade, his CRs in that grade may be considered by the DPC in order to assess his work, conduct and performance, but no extra weightage may be given merely on the ground that he has been officiating in the higher grade.
(e) The DPC should not be guided merely by the overall grading, if any, that may be recorded in the CRs, but should make its own assessment on the basis of the entries in the CRs, because it has been noticed that some times the overall grading in a CR may be inconsistent with the grading under various parameters or attributes.
(f) If the Reviewing Authority or the Accepting authority as the case may be has over-ruled the Reporting Officer or the Reviewing authority as the case may be. the remarks of the latter authority should be taken as the final remarks for the purposes of assessment provided it is apparent from the relevant entries that the higher authority has come to a different assessment consciously after due application of mind. If the remarks of the Reporting Officer, Reviewing authority and Accepting authority are complementary to each other and one does not have the effect of over-ruling the other, then the remarks should be read together and the final assessment made by the DPC.
In the case of each officer an overall grading should be given.
The grading shall be one among
(i) Outstanding
(ii) Very Good
(iii) Good
(iv) Average
(v) Unfit
Before making the overall grading after considering the CRs for the relevant years, the DPC should take into account whether the officer has been awarded any major or minor penalty or whether any displeasure of any superior officer or authority has been conveyed to him as reflected in the ACRs. The DPC should also have regard to the remarks against the column on integrity.
The list of candidates considered by the DPC and the overall grading assigned to each candidate. would form the basis for preparation of the panel •for promotion by the DPe. The following principles should be observed in the preparation of the panel:
(i) Having regard to the levels of the posts to which promotions ate to be made the nature and importance of duties attached to the posts a bench mark grade would be determined for each category of posts for which promotions are to be made by selection method. For all Group ‘C’ Group ‘B’ and Group ‘A’ posts upto and excluding he level of Rs.3700-5000 excepting promotions for induction to Group ‘A’ posts or Services from lower groups, the bench mark would be Good. All officers whose overall grading is equal to or better than the bench mark should, included in the panel for promotion to the extent if the number of vacancies. They will be arranged in the order of their inter-se seniority in .the lower category without reference to the overall grading obtained by each of them provided that each one of them has an overall grading equal to or better than the bench mark of ‘good’.
Wherever promotions are made for induction to Group ‘A’ posts or Services from lower groups, the bench mark would continue to be good I. However, officers graded as ‘outstanding’ would rank en bloc senior to those who are graded as’ Very Good’ and officers graded as ‘Very Good’ would rank en bloc senior to those who are graded as Good I and placed in the select panel accordingly upto the number of vacancies, officers with same grading maintaining their inter se seniority in the feeder post.
(ii) In respect of all posts which are in the level of Rs.3700-5000 and above, the benchmark grade should be ‘Very Good’. However, officers who are graded as Outstanding would rank en bloc senior to those who are graded as ‘Very Good’ and placed in the select panel accordingly upto the number of vacancies, officers with same grading maintaining their inter se seniority in the feeder post’.
(iii) Appointments from the panel shall be made in the order of names appearing in the panel for promotion.
(iv) Where sufficient number of officers with the required benchmark grade are not available within the zone of consideration. officers with the’ required benchmark will be placed on the panel and for the unfilled vacancies, the appointing authority should hold a fresh D.P.G. by considering the required number of officers beyond the original zone of consideration.
In promotions by selections to posts/services within Group ‘A’ which carry an ultimate salary of Rs.100%0/- p.m. in the revised scale, the SCs/STs officers, who are senior enough in the zone of consideration for promotion so as to be within the number of vacancies for which the select list has to he drawn up, would notwithstanding the prescription of ‘benchmark’ be included in that it provided they are not considered unfit for promotion.
(ii) In promotion by selection to posts/services from Group ‘C’ to Group ‘B’ within Group ’B’ and from Group ‘B’ to the lowest rung in Group ‘A’, selection against vacancies reserved for SCs and STs will be made only from those SCs/STs officers, who are within the normal’ zone of consideration prescribed vide the Department of Personnel & A.R. O.M. No. 22011/3/76-Estt.(D) dated 24th December, 1980.
Where adequate number of SCs/STs candidates are not available within he normal field of choice, it may be extended to five times the number of vacancies and the SCs/STs candidates (and not any other) coming within the extended field of choice, should also be considered against the vacancies reserved for them. If candidates from SCs/STs obtain on the basis as others, less number of vacancies than the number reserved for them, the difference should be made up by selecting candidates of these communities, who are in the zone of consideration, irrespective five of merit and ‘bench mark’ but who are considered fit for promotion. Officers belonging to SC/ST selected for promotion against vacancies reserved for them from within’ the extended Held of choice would however be placed en bloc below all the other officers selected from within the normal field of choice ..
(iii) As regards promotions made by selection’ in Group ‘C’ and Group ‘D’ posts/services. Select Lists of SCs/STs officers should be drawn up separately in addition to the general select list, to fill up the reserved vacancies. SCs/STs officers, who are within the normal zone of consideration, should be considered for promotion along with and adjudged on the same basis as others and those SCs and STs amongst them, who are selected on that basis may be included in the general Select List in addition to their being considered for inclusion in the separate Select Lists for SCs and STs respectively. In the separate Select List drawn up respectively for SCs and STs officers belonging to the’ SCs” and STs will he adjudged separately amongst themselves and not along with others and, if selected, they should be included in the concerned separate list, irrespective of their merit as compared to other officers and the bench mark. If candidates from SCs/STs obtain on the basis of their position in the aforesaid general list, lesser number of vacancies than are reserved for them, the difference should be made up by selected candidates of these communities in the separate Select Lists for SCs and STs respectively.
Where for reasons beyond control, the DPC could not be held in an year(s), even though the vacancies arose during that year (or years), the first DPC that meets thereafter should follow the following procedure:
(i) Determine the actual number of regular vacancies that arose in each of the previous year(s) immediately preceding and the actual number of regular vacancies proposed to be filled in the current year separately.
(ii) Consider in respect of each of the years those officers only who would be within the field of choice with reference to the vacancies of each year staring with the earliest year onwards.
(iii) Prepare a ‘Select List’ by placing the list of the earlier year above the one for the next year and so on.
Where a DPC has already been held in a year, and further vacancies arise during the same year due to death, resignation, voluntary retirement, etc. or because the vacancies were not intimated to the ‘DPC due to error or omission on the part of the Department concerned, the following procedure should be followed:
(i) Vacancies due to death, voluntary retirement, new creations, etc., clearly belong to the category which could not be foreseen at the time of placing fact and material before the DPC. In such cases, another meeting of the DPC should be held for drawing up a panel for these vacancies as these vacancies could not be anticipated at the time of holding the earlier DPC. If, for any reason, the DPC cannot meet for the second time, the procedure of drawing up of yearwise panels may be followed when it meets next for preparing panels in respect of vacancies that arise in subsequent year (s).
(ii) In the second type of cases of non–reporting of vacancies due to error or omission (i.e., though the vacancies were there at the time of holding of DPC meeting they were not reported to it) it results in injustice to the officers concerned by artificially restricting the zone of consideration. The wrong done cannot\ be rectified by holding a second DPC or preparing an yearwise panel. In all such cases, a review DPC should be held keeping in mind the total vacancies of the year.
For the purpose of evaluating the merit of the officers while preparing yearwise panels, the scrutiny of the record of service of the• officers should be limited to the records that would have been available had the DPC met at the appropriate time. For instance for preparing a panel relating to the vacancies of 1978 the latest available records of service of the officers either upto December 1977 or the period ending March. 1978 as the case may be, should be taken into account and not the subsequent ones. However if on the date of the meeting of the DPC departmental proceedings are in progress and under the existing instructions sealed cover procedure is to be followed, such procedure should be observed even if departmental proceedings were not in existence in the year to which the vacancy related. The officer is name should be kept in the sealed cover till the proceedings are finalised.
While promotions will be made in the order of the consolidated select list, such promotions will have only prospective effect even in cases where the vacancies relate to earlier ear( s).
3. Non Selection Method :
Where the promotions are to be made on ‘non-selection’ basis according to Recruitment Rules, the DPC need not make comparative assessment of the records of officers and it should categories the officers as ‘fit’ or ‘not yet fit’ for promotion the basis of assessment of their record of service. While considering an officer ‘fit’, as above should be borne in mind. The officers categorized as ‘fit’ should be placed in the panel in the order of their seniority in the grade from which promotions are to be made.
4. These instructions are effective from 1st April, 1989.
The list of candidates considered by the DPC and the overall grading assigned to each candidate. would form the basis for preparation of the panel •for promotion by the DPe. The following principles should be observed in the preparation of the panel:
(i) Having regard to the levels of the posts to which promotions ate to be made the nature and importance of duties attached to the posts a bench mark grade would be determined for each category of posts for which promotions are to be made by selection method. For all Group ‘C’ Group ‘B’ and Group ‘A’ posts upto and excluding he level of Rs.3700-5000 excepting promotions for induction to Group ‘A’ posts or Services from lower groups, the bench mark would be Good. All officers whose overall grading is equal to or better than the bench mark should, included in the panel for promotion to the extent if the number of vacancies. They will be arranged in the order of their inter-se seniority in .the lower category without reference to the overall grading obtained by each of them provided that each one of them has an overall grading equal to or better than the bench mark of ‘good’.
Wherever promotions are made for induction to Group ‘A’ posts or Services from lower groups, the bench mark would continue to be good I. However, officers graded as ‘outstanding’ would rank en bloc senior to those who are graded as’ Very Good’ and officers graded as ‘Very Good’ would rank en bloc senior to those who are graded as Good I and placed in the select panel accordingly upto the number of vacancies, officers with same grading maintaining their inter se seniority in the feeder post.
(ii) In respect of all posts which are in the level of Rs.3700-5000 and above, the benchmark grade should be ‘Very Good’. However, officers who are graded as Outstanding would rank en bloc senior to those who are graded as ‘Very Good’ and placed in the select panel accordingly upto the number of vacancies, officers with same grading maintaining their inter se seniority in the feeder post’.
(iii) Appointments from the panel shall be made in the order of names appearing in the panel for promotion.
(iv) Where sufficient number of officers with the required benchmark grade are not available within the zone of consideration. officers with the’ required benchmark will be placed on the panel and for the unfilled vacancies, the appointing authority should hold a fresh D.P.G. by considering the required number of officers beyond the original zone of consideration.
In promotions by selections to posts/services within Group ‘A’ which carry an ultimate salary of Rs.100%0/- p.m. in the revised scale, the SCs/STs officers, who are senior enough in the zone of consideration for promotion so as to be within the number of vacancies for which the select list has to he drawn up, would notwithstanding the prescription of ‘benchmark’ be included in that it provided they are not considered unfit for promotion.
(ii) In promotion by selection to posts/services from Group ‘C’ to Group ‘B’ within Group ’B’ and from Group ‘B’ to the lowest rung in Group ‘A’, selection against vacancies reserved for SCs and STs will be made only from those SCs/STs officers, who are within the normal’ zone of consideration prescribed vide the Department of Personnel & A.R. O.M. No. 22011/3/76-Estt.(D) dated 24th December, 1980.
Where adequate number of SCs/STs candidates are not available within he normal field of choice, it may be extended to five times the number of vacancies and the SCs/STs candidates (and not any other) coming within the extended field of choice, should also be considered against the vacancies reserved for them. If candidates from SCs/STs obtain on the basis as others, less number of vacancies than the number reserved for them, the difference should be made up by selecting candidates of these communities, who are in the zone of consideration, irrespective five of merit and ‘bench mark’ but who are considered fit for promotion. Officers belonging to SC/ST selected for promotion against vacancies reserved for them from within’ the extended Held of choice would however be placed en bloc below all the other officers selected from within the normal field of choice ..
(iii) As regards promotions made by selection’ in Group ‘C’ and Group ‘D’ posts/services. Select Lists of SCs/STs officers should be drawn up separately in addition to the general select list, to fill up the reserved vacancies. SCs/STs officers, who are within the normal zone of consideration, should be considered for promotion along with and adjudged on the same basis as others and those SCs and STs amongst them, who are selected on that basis may be included in the general Select List in addition to their being considered for inclusion in the separate Select Lists for SCs and STs respectively. In the separate Select List drawn up respectively for SCs and STs officers belonging to the’ SCs” and STs will he adjudged separately amongst themselves and not along with others and, if selected, they should be included in the concerned separate list, irrespective of their merit as compared to other officers and the bench mark. If candidates from SCs/STs obtain on the basis of their position in the aforesaid general list, lesser number of vacancies than are reserved for them, the difference should be made up by selected candidates of these communities in the separate Select Lists for SCs and STs respectively.
Where for reasons beyond control, the DPC could not be held in an year(s), even though the vacancies arose during that year (or years), the first DPC that meets thereafter should follow the following procedure:
(i) Determine the actual number of regular vacancies that arose in each of the previous year(s) immediately preceding and the actual number of regular vacancies proposed to be filled in the current year separately.
(ii) Consider in respect of each of the years those officers only who would be within the field of choice with reference to the vacancies of each year staring with the earliest year onwards.
(iii) Prepare a ‘Select List’ by placing the list of the earlier year above the one for the next year and so on.
Where a DPC has already been held in a year, and further vacancies arise during the same year due to death, resignation, voluntary retirement, etc. or because the vacancies were not intimated to the ‘DPC due to error or omission on the part of the Department concerned, the following procedure should be followed:
(i) Vacancies due to death, voluntary retirement, new creations, etc., clearly belong to the category which could not be foreseen at the time of placing fact and material before the DPC. In such cases, another meeting of the DPC should be held for drawing up a panel for these vacancies as these vacancies could not be anticipated at the time of holding the earlier DPC. If, for any reason, the DPC cannot meet for the second time, the procedure of drawing up of yearwise panels may be followed when it meets next for preparing panels in respect of vacancies that arise in subsequent year (s).
(ii) In the second type of cases of non–reporting of vacancies due to error or omission (i.e., though the vacancies were there at the time of holding of DPC meeting they were not reported to it) it results in injustice to the officers concerned by artificially restricting the zone of consideration. The wrong done cannot\ be rectified by holding a second DPC or preparing an yearwise panel. In all such cases, a review DPC should be held keeping in mind the total vacancies of the year.
For the purpose of evaluating the merit of the officers while preparing yearwise panels, the scrutiny of the record of service of the• officers should be limited to the records that would have been available had the DPC met at the appropriate time. For instance for preparing a panel relating to the vacancies of 1978 the latest available records of service of the officers either upto December 1977 or the period ending March. 1978 as the case may be, should be taken into account and not the subsequent ones. However if on the date of the meeting of the DPC departmental proceedings are in progress and under the existing instructions sealed cover procedure is to be followed, such procedure should be observed even if departmental proceedings were not in existence in the year to which the vacancy related. The officer is name should be kept in the sealed cover till the proceedings are finalised.
While promotions will be made in the order of the consolidated select list, such promotions will have only prospective effect even in cases where the vacancies relate to earlier ear( s).
3. Non Selection Method :
Where the promotions are to be made on ‘non-selection’ basis according to Recruitment Rules, the DPC need not make comparative assessment of the records of officers and it should categories the officers as ‘fit’ or ‘not yet fit’ for promotion the basis of assessment of their record of service. While considering an officer ‘fit’, as above should be borne in mind. The officers categorized as ‘fit’ should be placed in the panel in the order of their seniority in the grade from which promotions are to be made.
4. These instructions are effective from 1st April, 1989.
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