How to determine the reservation quota for SCs, STs and OBCs in services, including the ‘shortfall’ and ‘backlog’ vacancies?

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August 19, 2913

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The Department of Personnel and Training, Government of India have published a new Brochure on Reservation for SCs, STs and OBCs in Services – Part I. The procedure and guidelines for determining the reservation quota for the Scheduled Castes, Scheduled Tribes and Other Backward Classes in the Services including the ‘shortfall’ and ‘backlog’ vacancies and Reservation Registers and Roster Registers, contained in Chapters 4 and 5 of the new Brochure on Reservation for SCs, STs and OBCs in Services Part-I (published by the Department of Personnel and Training, Govt. of India), are reproduced below:

TERMS USED Cadre Strength The term ‘cadre strength‘ used in relation to calculation of reservation/maintenance of reservation registers /rosters means number of posts required to be filled by a particular mode of recruitment in terms of the applicable recruitment rules. In a grade comprising 200 posts, where the recruitment rules prescribe a ratio of 40:40:20 for direct recruitment, promotion and deputation/absorption respectively, the cadre strength for direct recruitment shall be 80 and cadre strength for promotion shall be 80. Since there is no reservation in case of deputation/absorption, 40 posts will not be subject to reservation. (Note 1 below para 4.2, Chapter 4 of the Brochure) Shortfall Shortfall of reservation of a particular reserved category in a cadre means the difference between the ‘total number of reserved posts for that category in the cadre’ and ‘the number of persons of that category appointed by reservation and holding the posts in the cadre’. (Note 1 below para 4.4, Chapter 4 of the Brochure) Backlog Backlog reserved vacancies of a category are those 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 and are still lying unfilled. (Note 2 below para 4.4, Chapter 4 of the Brochure)

“CHAPTER 4: DETERMINATION OF RESERVATION QUOTA

Determination of Number of Reserved Posts

4.1 Number of posts reserved for Scheduled Castes, Scheduled Tribes and Other Backward Classes in a cadre having more than 13 posts shall be determined by multiplying the cadre strength by the percentage of reservation prescribed for respective categories. While doing so, fractions, if any, shall be ignored.

Illustration : Suppose a grade in a service where reservation in promotion is available, has a total of 600 sanctioned posts, 50% of which are filled by direct recruitment on all India basis by open competition and 50% are filled by promotion by non-selection. Number of posts reserved for Scheduled Castes in case of direct recruitment would be equal to 300x 15/100 which comes to 45. Number of posts reserved for scheduled Tribes would be equal to 300×7.5/100, which after ignoring the fraction comes to 22 and number of posts reserved for Other Backward Classes would be equal to 300×27/100 i.e. 81. Similarly, the number of posts reserved for Scheduled Castes and Scheduled Tribes in case of promotion would be 45 and 22 respectively. It may be noted that the number of reserved posts for Scheduled Tribes comes to 22.5 in case of direct recruitment as well as promotion. Exact number of reserved posts is arrived at by ignoring the fraction.

4.2 If the number of posts in a cadre is 2 or more than 2 but less than 14, reservation is provided as per L-shaped rosters prescribed vide Department of Personnel & Training OM No.36012/2/96- Estt(Res) dated 02.07.1997. These L-shaped rosters are nothing but 14- Point rosters given below. Thus in cadres with 2 posts but less than 14 posts, reservation shall be provided by rotation on the basis of following 14-point rosters:

ROSTER POINTS	DIRECT RECRUITMENT	PROMOTION
(i)	(ii)	(iii)
1	UR	UR
2	UR	UR
3	UR	UR
4	OBC	UR
5	UR	UR
6	UR	UR
7	SC	SC
8	OBC	UR
9	UR	UR
10	UR	UR
11	UR	UR
12	OBC	UR
13	UR	UR
14	ST	ST

Note 1: The term ‘cadre strength‘ used in relation to calculation of reservation/maintenance of reservation registers /rosters means number of posts required to be filled by a particular mode of recruitment in terms of the applicable recruitment rules. In a grade comprising 200 posts, where the recruitment rules prescribe a ratio of 40:40:20 for direct recruitment, promotion and deputation/absorption respectively, the cadre strength for direct recruitment shall be 80 and cadre strength for promotion shall be 80. Since there is no reservation in case of deputation/absorption, 40 posts will not be subject to reservation.

Note 2: Where the recruitment is made vacancy based, it is possible that at any given point of time share of direct recruitment may increase and share of promotion may correspondingly decrease or vice-versa. In such cases cadre strength for direct recruitment and cadre strength for promotion may change from year to year. Consequently, number of reserved posts in direct recruitment quota and number of reserved posts in promotion quota would change from year to year. Likewise, if there is any increase or decrease in the cadre strength for any other reason, the number of reserved posts shall increase or decrease accordingly.

Note 3: Excess or shortfall of reservation, which may arise due to change in cadre strength, shall be adjusted/made up in subsequent recruitments.

Determination of Reserved Vacancies

4.3 While filling up of vacancies in a year, efforts shall be made to make up the shortfall of reservation for all the three categories, namely, SCs, STs and OBCs subject, however, to the condition that total number of vacancies reserved for SCs, STs and OBCs is not more than 50% of the vacancies of the year.

4.4 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.

Note 1: Shortfall of reservation of a particular reserved category in a cadre means the difference between the ‘total number of reserved posts for that category in the cadre’ and ‘the number of persons of that category appointed by reservation and holding the posts in the cadre’.

Note 2 : Backlog reserved vacancies of a category are those 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 and are still lying unfilled.

4.5 Given below is an illustration which would clarify the method of earmarking reservation for SCs, STs, and OBCs.

(i) There is a cadre having a total number of 1000 posts which are filled by direct recruitment on all India basis by open competition. The number of SC, ST and OBC employees appointed by reservation in the cadre should ideally be 150, 75 and 270 respectively when all the posts are filled.

(ii) Suppose all the 1000 posts stood filled in the year 2006 but the number of SC, ST and OBC employees appointed by reservation was 130, 75 and 100 respectively. There was, thus, a shortfall of 20 SCs and 170 OBCs in the cadre in that year, though all the posts were filled.

(iii) (a) Suppose 200 vacancies occurred in the cadre in the recruitment year 2007, of which 20 were vacated by SCs, 10 by STs and rest by unreserved category candidates. After vacation of these posts, shortfall of SCs, STs and OBCs in the cadre became 40, 10 and 170 respectively. Though there was a big shortfall of SCs, STs and OBCs in the cadre, only 100 of these vacancies could be earmarked reserved because all the 200 vacancies were current vacancies and limit of 50% on reservation in a year would apply on these vacancies.

(b) Shortfall of SCs and OBCs was more than 15% and 27% respectively of the current vacancies. Therefore, 15% of the current vacancies were straightway earmarked reserved for SCs and 27% for OBCs i.e. 30 vacancies were earmarked reserved for SCs and 54 for the OBCs. Shortfall of STs was 10 which is less than 7.5% of total vacancies. Therefore, only 10 vacancies were earmarked reserved for STs. Applying the above principle, 94 vacancies were earmarked reserved. This left room for 6 {100430+54+10)} more vacancies to be earmarked reserved to make up the shortfall. These 6 vacancies were apportioned between SCs and OBCs in the ratio of percentage of reservation prescribed for these categories viz. 15: 27, i.e. 2 for SCs and 4 for OBCs (fractions rounded off to the nearest whole number). However, while making such distribution, it has to be kept in view that the number of vacancies earmarked reserved for any category is not more than the shortfall of that category. Thus, final earmarking of reservation in respect of the vacancies for the year 2007 was 32 for SCs, 10 for STs and 58 for OBCs.

(c) Suppose only 20 SC candidates, 5 ST candidates and 50 OBC candidates could be appointed in the recruitment year 2007 against the vacancies reserved for them. Thus, 12 vacancies of SCs, 5 vacancies of STs and 8 vacancies of OBCs which were earmarked reserved could not be filled and remained vacant. These 12 vacancies of SCs, 5 vacancies of STs and 8 vacancies of OBCs which were earmarked reserved but remained vacant in the recruitment attempt will be treated as backlog reserved vacancies for the subsequent recruitment year. After the recruitment process for the year 2007 was over, total number of posts filled was 975, of which 130, 70 and 150 were held respectively by SCs, STs and OBCs. It may be noted that shortfall of reservation of SCs, STs and OBCs at this stage was 20, 5 and 120 respectively. However, number of backlog reserved vacancies of SCs, STs and OBCs was 12, 5 and 8 respectively.

(iv) Suppose 200 vacancies occurred in the recruitment year 2008 of which 20 were vacated by SCs, 10 by STs and 20 by OBCs. At this stage shortfall of SCs, STs and OBCs was 40, 15 and 140 respectively. Total vacancies in the year were 200+12+5+8=225, of which 200 were current vacancies and 25 backlog vacancies. While earmarking reservation, 25 backlog reserved vacancies of SCs, STs and OBCs will be treated as a separate and distinct group and will be kept reserved – 12 for SCs, 5 for STs and 8 for OBCs. Of the 200 current vacancies, not more than 100 can be earmarked reserved. By applying the same principles as in the year 2007, out of 200 current vacancies, 28 were earmarked reserved for SCs,10 for STs and 62 for OBCs. Thus the number of vacancies reserved for SCs, STs and OBCs in the recruitment year 2008, including the backlog reserved vacancies, were 40, 15 and 70 respectively. If only 35 SCs, 12 STs and 50 OBCs become available to fill up the reserved vacancies, 5 vacancies of SCs, 3 vacancies of STs and 20 vacancies of OBCs will be kept vacant and will be treated as backlog reserved vacancies for the subsequent recruitment year.

4.6 In case of cadres where reservation is given by rotation, number of reserved vacancies will be determined as per roster points. It would have to be kept in view that not more than 50 per cent of current vacancies of a year are reserved and total reservation in the cadre does not exceed the limit of 50%. If at any stage, filling up of a vacancy results into more than 50% reservation in the cadre, reservation shall be skipped.

Relevant Office Memoranda etc.

1 DOPT OM NO. 36012/2/1996-Estt(Res) 2.7.1997
2 DOPT OM No 36033/1/2008-Estt(Res) 15.7.2008”

“3I

CHAPTER – 5

RESERVATION REGISTERS AND ROSTER REGISTERS

5.1 In case of cadres having more than 13 posts, all appointing authorities should maintain reservation registers in the format given in Annexure-I.

5.2 Reservation roster registers will be maintained in format given in the Annexure-II for cadres having less than 14 posts.

5.3 Following principles shall be followed for preparation and maintenance of reservation registers and reservation roster registers:

(a) Separate registers/ roster registers shall be maintained for appointments made by direct recruitment and promotion. In case of promotion, separate registers / roster registers shall be maintained for each mode of promotion viz. limited competitive examination, selection, non-selection, etc.

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

(c) A separate register / roster register shall be maintained for purely temporary appointments of 45 days or more but which have no chance whatever of becoming permanent or continuing indefinitely.

(d) Immediately after an appointment is made, the particulars of the person appointed shall be entered in the register / roster register in the appropriate columns and the entry signed by the appointing authority or by an officer authorized to do so.

(e) No gap shall be left in completing the register / roster register.

(f ) The register / roster register shall be maintained in the form of a running account year after year. For example if recruitment in a year stops at point 6, recruitment in the following year shall begin from point 7.

(g) If reservation register becomes unwieldy or difficult to manage, a fresh register may be started by applying the method of initial preparation of registers.

(h) In case of cadres where reservation is given by rotation, fresh cycle of roster shall be started after completion of all the points in the roster.

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(i) Since reservation does not apply to deputation/absorption, where the recruitment rules prescribe a percentage of posts to be filled by these methods, such posts shall be excluded for determining reservations.

(j) After every recruitment year, an account shall be noted in the reservation register indicating representation of Scheduled Castes/Scheduled Tribes/Other Backward Classes and details of backlog reserved vacancies etc.

Note : Reservation registers / roster registers are only an aid to ensure that Scheduled Castes, Scheduled Tribes and Other Backward Classes get quota reserved for them. These registers/roster registers do not determine seniority.

Grouping of Posts

5.4 In the case of posts filled by direct recruitment, small cadres may be grouped with posts in the same group for the purpose of reservation orders taking into account the status, salary and qualifications prescribed for the posts in question.

5.5 The posts of Sweepers should not be grouped for the purpose of reservation, with other categories of Group D posts, even though the number of posts of Sweepers may not be large in an office /establishment.

5.6 Proposals for grouping of posts should be referred to the Department of Personnel & Training for prior approval together with full particulars of the posts proposed to be grouped together in the following respect:

(i) Designation and number of each post.
(ii) Group to which the posts belong i.e. Group A, Group B, Group C or Group D.
(iii) Scale of pay of each post.
(iii) Method of recruitment for each post as provided in the recruitment rules.
(iv) Minimum qualifications prescribed for direct recruitment to each post.

5.7 While reservations would be made according to the groups as provided above, the total reservation in any of the posts/services so grouped should not exceed 50 per cent of the vacancies to be filled in it i.e. in the particular post/service, in a recruitment year. The total reservation for SCs, STs and OBCs in any post or service should also not exceed 50 percent of the total number of posts in the particular post/service.

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Initial Preparation of Reservation Register / Roster

5.8 In order to prepare the reservation register initially, names of all the candidates holding the post as on the date of starting the reservation register may be entered in the register starting with the earliest appointee who was in the cadre as on the date of start of register. If an appointee in the cadre is a Scheduled Caste candidate, SC may be entered in column 4 of the register against his name. If that candidate was appointed by reservation, SC may be written in column 5 also but if he was appointed on his own merit, UR will be written in column 5. If the next appointee is a general category candidate, general shall be written in column 4 against his name and UR in column 5, and so on till all the appointments are adjusted. After making entries as indicated above, details about the number of SC, ST and OBC candidates appointed by reservation, backlog reserved vacancies, if any, may be indicated in ‘Remarks’ column.

5.9 After initial preparation of the register, the names of persons appointed thereafter may be added by filling up the columns as stated above.

5.10 Roster registers shall be maintained for cadres with 2 to 13 posts. For preparing roster, names of all the incumbents in the cadre as on 2.7.1997 may be entered in the register starting from the earliest appointee. If an appointee in the cadre is a Scheduled Caste candidate, SC may be entered in column 5 of the register against his name. If that candidate was appointed by reservation, SC may be written in column 6 also but if he was appointed on his own merit, UR will be written in column 6. If the next appointee is a general category candidate, general shall be written in column 5 against his name and UR in column 6, and so on till all appointments are adjusted. In doing so, a general category candidate may appear on a reserved point and an SC/ST/OBC candidate may appear against an unreserved point. If name of an SC/ST/OBC candidate appointed by reservation is entered against a general point, entries may be made in remarks column against that point and also against nearest point reserved for SCs/STs/OBCs, as the case may be, to the effect that such a candidate is to be treated to have been adjusted against the relevant reserved point. Likewise, entries will be made in remarks column for candidates who are appointed as general category candidates but whose names appear against reserved points. Similar adjustments will be made in respect of SC candidates appearing against a point reserved for STs or OBCs and so on. After all the 14 points are consumed, fresh cycle of the roster may be started. As many roster points may be treated to have been consumed on the date of start of the roster register as many employees occupy the roster points as on the date of start of the register. From that point onward, vacancies may be filled as per roster points subject to

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adjustment of reserved category candidates appointed by reservation and general category candidates as explained above.

SC/ST/OBC Candidates Appointed on Merit

5.11 SC, ST and OBC candidates in case of direct recruitment 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 quota.

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

5.13 Only such SC/ST/OBC candidates who are selected on the same standard as applied to general candidates shall be treated as own merit candidates. 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 reserved vacancies. Such a candidate cannot be considered for appointment against an unreserved vacancy.

5.14 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.

Adjustment of Compassionate Appointees

5.16 A person selected for appointment on compassionate grounds should be adjusted in the reservation register/ reservation roster register against the appropriate category viz. SC/ST/OBC/UR category depending upon the category to which he belongs. For example, if he belongs to SC, he shall be adjusted against a vacancy reserved for SCs. Similarly if he is an ST or OBC candidate, he shall be adjusted against vacancy reserved for STs or OBCs, as the case may be. An unreserved category candidate shall be adjusted against an unreserved vacancy.

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Relevant Office Memoranda etc.

1. MHA OM NO. 7/2/55-Estt(SCT)	14.10.1955
2. MHA OM No. 31/10/63-SCT(1)	27.3.1963 and 2.5.1963
3. MHA OM NO. 1/11/69-Estt(SCT)	22.4.1970
4. MHA OM NO. 1/11/69-Estt(SCT)	24.4.1970
5. DOP&T O.M. No. 1/4/70-Estt. (SCT)	11.11.1971
6. DPAR OM NO. 10/52/73-Estt(SCT)	24.5.1974
7. DOP&T O.M. No.8/1/74 -Estt.(SCT)	20.12.1974
8. DPAR OM NO. 36011/1/76-Estt(SCT)	6.3.1976
9. DOP&AR OM NO. 36011/33/81-Estt(SCT)	5.10.1981
10. DPAR OM No. 3601 1/46/81-Estt(SCT)	4.2.1982
11. DOP&AR OM No. 36012/3/1978-Estt(SCT)	9.2.1982
12. DPAR OM NO. 36011/12/82-Estt(SCT)	25.6.1982
13. DPAR OM No. 36011/28/83-Estt(SCT)	12.3.1984
14. DOPT’s OM No. 36011/1/98-Estt(Res)	1.7.1998
15. DOPT’s OM NO. 36028/17/2001-Estt(Res)	11.7.2002
16. DOP&T O.M No.36017/1/2004-Estt.(Res)	5.7.2005
17. DOPT OM No.36017/1/2007-Estt.(Res)	4.7.2007
18. DOPT OM No. 36012/45/2005-Estt(Res)	10.8.2010”

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Annexure-I to Chapter- 5

RESERVATION REGISTER

1. Name of the post:

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

3. Number of posts in the cadre (cadre strength):

4. Percentage of Reservation prescribed : SCs_____, STs_____, OBCs_____

Sl. No.	Name	Date of appointment	Whether belongs to SC/ST/ OBC/ General	Whether UR or as reserved for SC/ ST/OBC	Signature of appointing authority or other authorized officer	Remarks
1	2	3	4	5	6	7

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Annexure-II to Chapter 5

RESERVATION ROSTER REGISTER

1. Name of the post:

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

3. Number of posts in the cadre:

4. Percentage of Reservation prescribed: SCs____, STs____, OBCs____

Cycle No./ Point No.	UR or reserved for SCs/ STs/ OBCs	Name	Date of appoint-tment	Whether SC/ST/ OBC/ General	Filled as UR or as Reserved for SCs/ STs/ OBCs	Signature of appointing authority or other authorized officer	Remarks
1	2	3	4	5	6	7	8

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