Guidelines on cadre review of Central Civil Services – DoPT OM dated 30.9.2022

Consolidated guidelines on cadre review of Central Civil Services – DOPT

No. I-11011/16/2022-CRD
Government of India
Ministry of Personnel, Public Grievances and Pensions
Department of Personnel and Training

3rd Floor, Lok Nayak Bhawan,
New Delhi-110003.
Dated: 30th September, 2022.

Office Memorandum

Subject: Consolidated guidelines on cadre review of Central Civil Services.

The Department of Personnel & Training (DoPT) is the nodal agency of the Government of India for personnel management policies. As such, although cadre management and cadre reviewing are primarily the concern of individual Cadre Controlling Authorities (CCAs), the responsibility for laying down standards in the matter and for coordination rests with the DoPT in accordance with its role as nodal agency for formulation and evaluation of personnel policies in Government of India.

2. The concept of cadre review owes its origin to the recommendations made by the First Administrative Reforms Commission in its Report on Personnel Administration released in 1969. The Government of India had accepted recommendation of the ARC and vide OM No. 5/1/71- PP (Vol VI) dated 6th May 1972, a Cadre Review Committee (CRC) was constituted under the Chairmanship of Cabinet Secretary with Secretary of the Ministry controlling the Cadre, Secretary of DoPT and secretary of Department of Expenditure (DoE) in Ministry of Finance as members of the Committee. Vide the said OM, the Department has also issued certain broad guidelines for objective cadre management. As a part of this Department’s endeavour to keep the personnel policies relevant to current and future needs, various instructions were issued on the cadre review.

3. Cadre review encompasses several key elements of cadre management such as formation of service, manpower projection, recruitment planning, training, deputation, encadrement, decadrement, creation of posts, managing reserves, etc. It helps realign a service to the everchanging organizational needs and maintain congruence between functional needs and legitimate aspirations of the officers. The main thrust of cadre review is ON manpower projections and recruitment planning on scientific lines aiming at the same time at rationalization of the existing cadre structure of a Service in accordance with certain predefined principles and a given set of objectives like improving the efficiency, morale and effectiveness of the cadre. However, of late, the cadre management has not been getting due attention or has been misconstrued as a process of upgrading ‘downgrading or creation of cadre posts only, which over a period of time has led to serious distortions in the cadre/service.

Hence, keeping in view the issues noticed by the Department while conducting cadre review of various Central Group ‘A’ Services after issuance of consolidated guidelines on 14.12.2010 and to keep the personnel policies relevant to current and future needs, a revised consolidated Guidelines on cadre review of Central Group ‘A’ Services is being issued through this OM in supersession of the OMs on the subject, viz. OM No. 5/1/71- PP (Vol VI) dated 6th May 1972, F. No. 5(22)/73-PP dated 12.03.1973, OM No. 5/45/77-PP dated 26 August 1977, OM No. 5/45/77-PP dated 26 August 1977, OM No. 5/22/81-PP-I] dated 12.01.1982, OM No. 5/38/86-PP.11 dated 28.10.1986, OM No. 2/10/87-PP dated 21% May 1987, OM No. 2/1/87-PP dated 23.11.1987, OM No. 2/42/95-PP (CRD) dated 05.04.1995, OM NO. 1/8/96-CRD dated 2.3.2000, OM No. J. 11011/1/2009-CRD dated 14.12.2010, OM NO. I. 11019/17/2016-CRD dated 15.02.2017 and OM No. I. 11019/10/2017-CRD dated 09.07.2018. Some of the OMs are referred here below.

Besides, the broad issues concerning cadre review have been elaborated in the revised Monograph on cadre review of Central Group ‘A’ Services enclosed herewith (Annexure-l). The cadre review proposals under consideration of this Department till issue of this OM or already considered by the CRC will not require resubmission, however, the proposals prepared after issue of this OM may be submitted as per its provisions.

4. Cadre Review of Central Group ‘A’ Services/cadres:

[OM No. I. 11011/1/2009-CRD dated 14.12.2010, Monograph 2010]

4.1. Formulation of Proposal:
(i) While considerable latitude will be available to the cadre authorities in preparing and presenting cadre review proposals, it must be ensured that the necessary statistical data are compiled and updated on a continuing basis in the format given in consolidated guidelines. It is also necessary while presenting review proposals to give a sketch of the historical background of the Service, its inception, its objectives, growth of service in last cadre reviews, the implementation report of last cadre review, status of cadre review of Group ‘B’ and ‘C’ cadres/posts in the Department, the functional and organisational structure of the Cadre/Service, special features peculiar to the Service, difficulties and problems faced during the process of cadre management , changes taken place in the cadre structure from time to-time, the reports of any expert committee on the Service and change in role of the Service/organisation.

Present as well as the proposed organisational structure of the Department and the Service showing posts at different levels with their designations, pay scales and the functional inter-relationship among them along with organisational chart should be enclosed with the cadre review proposal.

The posts to be upgraded should be identified and the justifications for upgradation should be mentioned. Recruitment Rules/Service Rules, as amended till to date, both respect of Service posts as well as its feeder posts, grade-wise seniority lists updated as on first of the “Current Year’ (i.e. Year in which the proposals are being framed) should invariably be attached with the proposal. In the format, the reference year may be taken as beginning from first January of the year in which the proposals are being framed. The cadre review proposal would be prepared by the CCA in the form of a Note for Committee of Secretaries. As such, apart from above information, every note should include details of inter-ministerial consultations (if required), financial implications, approval required, annexures of the information in prescribed format (Annexure II). A model cadre review proposal for ready reference is at Annexure-III.

[OM No. 1. 11019/25/2014-CRD dated 12.09.2014]

(ii) The proposal would be formulated, to the extent possible, in consultation with the representatives of service association(s). While drafting the proposal, all issues like mandate of the service, expected changes in the Organization’s activities, automation, amendment in the business processes, recruitment planning, plugging the skill gaps, cadre structure, career progression, incumbency, financial implications etc. must be analyzed and made part of the proposal. These issues and their impact on cadre structure have been discussed in the Monograph.

(iii) The proposal may be considered on availability of manpower, functional and strategic requirements. The CCAs should review the vacancies regularly not only for their filling up process but also for the continuance of such posts. It is better to surrender the posts which are not feasible to be filled in long run on permanent basis.

(iv) The identification of each additional post required (either by way of fresh addition to the cadre or through upgradation of an existing post) in terms of specific duties, would be of considerable value in a cadre review proposal. As far as possible, work norms in terms of duties and responsibilities should be unambiguously set out to justify the proposed addition. It must be emphasized in this connection that some amount of increase in work has to be treated as normal and should not lead to any increase in the manpower requirements. Only perceptible and significant increases in activity should be translated into additional personnel requirements. Proposals for increase in cadre strength and introduction of new grades, thus, may generally be avoided and only be moved if there are stringent functional justification.

Having estimated the essential additional needs, the levels or grades at which such needs arise should be clearly identified. While making assessment for cadre review proposals, continuance of existing posts and need of the service (zero base review) may also be assessed based on their functional requirement, and if any of the posts/services becomes redundant due to introduction of the advanced technology or changes in mandate of the Govt, such posts/services may be abolished/merged.

(v) The efforts should be made to make the structure sustainable. While suggesting a cadre structure, creation of high percentages of posts at higher level on the cost of lower grades distorting the cadre and affecting the functioning of the organization adversely may be avoided.

(vi) Full functional justification for creation/upgradation of each post should be given. A job evaluation exercise may be undertaken for each category of posts to ensure that different grades are assigned corresponding level of functions and responsibilities.

(vii) It may be ensured that the cadre review would not have an adverse impact on the feeder grade.

4.2 Reference to Department of Personnel and Training/Department of Expenditure
(i) The proposal should be referred to DoPT with the approval of Integrated Finance Division and the Minister in charge.
(ii) The CCA would also give a certificate that there is no Court Case pending having a bearing on the cadre review.
(iii) The name (s) of contact officer (s) for further/additional information may be clearly indicated in the reference.
(iv) The proposal should be examined vis-a-vis the checklist provided in section 5 of the Monograph to ensure that the proposal is complete in all respects.

4.3. Financial implications
(1) The proposal having additional financial implications would be entertained strictly on functional considerations like consistent increase in workload, horizontal expansion in activities etc. keeping in view the economy instructions issued by the DoE from time-to-time.

(ii) While calculating the additional expenditure, the impact of Non-Functional Upgradation/Non-Functional Selection Grade/Non-Functional Second Grade/Dynamic Assured Career Progression/Flexible Complementing Scheme etc. (wherever applicable) may be taken into account. The calculation sheet must be enclosed with the proposal.

4.4. Procedure for cadre review
(i) Every cadre should be reviewed once every five years. The review should be first carried out by the CCA, preferably in consultation with the representatives of the service/cadre in question. However, if it is convinced after such a review that no change in the cadre structure is required, the decision should be conveyed to this Department with the approval of Minister in charge.

(ii) All the Ministries/Departments may nominate a suitable officer for the purpose of cadre review. It will be the responsibility of the nodal officers, so nominated, to provide the necessary progress report in this regard to the Cadre Review Division of the DoPT.

(iii) The cadre review proposal, so prepared by the CCA in the form of a Note for Committee of Secretaries be referred to the Cadre Review Division of DoPT. The DoPT would examine the proposal based on the various parameters of cadre review and obtain the approval of Secretary (P) on its observations/recommendations and then refer it to DoE for approval of Secretary (Expenditure).

(iv) The Note would then be placed before the CRC by DoPT. The Cadre Review Division of the DoPT acts as Secretariat to the CRC.

(v) Based on the recommendation of CRC, the proposal would be submitted for MOS (PP)’s approval. It would then be referred to the DoE for Finance Minister’s approval.

(vi) The CCA would then take approval of Cabinet. The Note for Cabinet should ideally be prepared within a month of the approval of the MoS (PP) and Finance Minister on the recommendation of CRC.

(vii) Within three months of the approval of the Cabinet, the CCA may initiate amendment in the draft Recruitment Rules/Service Rules to give effect to the cadre review.

4.5. Composition of Cadre Review Committee-The Cadre Review Committee would comprise the following functionaries:

(i) Cabinet Secretary Chairman
(ii) Secretary of the Ministry controlling the cadre Member
(iii) secretary, Department of Personnel and Training Member
(iv) secretary, Ministry of Finance, Department. of Member Expenditure
(v) The senior most member of the service/cadre Member concerned

Any additional functionaries related with the proposal may also be included, with the approval of Cabinet Sectt., as invitee to participate in the meeting of CRC.

4.6. The list of Central Group ‘A’ Services/cadres, which are to be reviewed through the above procedure as contained in para 4.1 to 4.5, are annexed as Annexure-IV.

4.7. It is reiterated that apart from the cadre review proposal of Central Group ‘A’ services/cadres listed herein, the above said procedure would be applicable in case of other proposals like formation of new service/Group ‘A’ cadre, merger of Central Group ‘A’ Services, Grant of Organised Group ‘A’ Central Service status, declaration as dying cadres etc. Cadre review does not automatically grant status of Central Group ‘A’ service/cadre or organised status, unless specific approval for it has been obtained during the exercise. Such proposal may be moved alongwith cadre review proposal or separately, as per requirement.

4.8. Creation of posts ouside cadre review: Normally, addition to a cadre by way of increasing the number of posts at different levels should be considered only in the course of five year cadre review. Mid review changes should be avoided as far as possible. Regular cadre reviews carried out at five years intervals must envisage such eventualities while making advance projections for the five year period of additional manpower requirements.

Accordingly, the need for creating posts, encadrement and upgradation of posts not envisaged by the CRC before the next cadre review is due, can be expected to be rare. In the event, however, of such eventuality, it may be ensured that the additional posts so created conform to the cadre structure most recently approved by the CRC. The adhoc measures of creation, encadrement, upgradation of posts is not supported if the cadre review is due, however, in case of unavoidable circumstances, if such a proposal is moved, this should be taken up with the Cadre Review Division of the DoPT first before referring to the DoE alongwith the justification and reasons for not waiting for cadre review for consideration of such proposal.

[OM NO. I. 11019/17/2016-CRD dated 15.02.2017]

4.9 Restriction on direct recruitment- The restriction on direct recruitment to the extent that it should not exceed 3% of the total cadre strength imposed in 1998 (OM No. 1/8/98-CRD dated 5.11.1998) was lifted vide OM No. I. 11011/1/2009-CRD dated 14th December, 2010 advising the CCAs not to resort to any bulk recruitment as it would create a bulge in the structure leading to stagnation at later stage. The recruitment plan for next five years may invariably be made part of the cadre review proposal and while projecting such recruitment planning attempts may be made to keep it around ideal 3% of the authorized cadre strength per year avoiding clubbing of recruitment. Recruitment planning approved during the cadre review may be followed and for any deviation, fresh plan may be finalized in consultation with the DoPT.

4.10. Maintenance of Statistical Profile: Statistical profile is one of the important tools for not only preparing policy guidelines on cadre management and indication of career progression of a service, but also to examine a cadre review proposal in scientific manner with its impact on other similar services. The statistical profile is maintained half yearly i.e., 1st January and 1st July of every year. For the purpose the following may be ensured:

i. All the CCAs will have to provide Statistical Information within a given time frame (1st half yearly report by 31st July and 2nd half yearly report by 31st January). The same may be placed on their respective websites too alongwith details about the Service. The format for Statistical profile is at Annexure-V. Difference in cadre strength from the last cadre review may be provided alongwith supporting documents for addition/deletion which includes approval of the Competent Authority and consultation of DoPT.
ii. The CCA would prepare civil list of the officers of the service preferably every year and make available the same on the website of the Administrative Ministry under intimation to this Department.
iii. The CCA may provide status of implementation of last cadre review and conditions imposed by the CRC/DoPT/DoE regularly by the end of every year, till the same is fully implemented.
iv. The CCA may upload latest SRs/RRs on the website and provide a copy to the Cadre Review Division of DoPT.
v. The CCA may appoint nodal officer and provide name of nodal officer to the Cadre Review Division of this Department.
vi. Notifications regarding Cadre Review/ Organized status etc. would also be uploaded by the CCAs concerned on their respective websites.
vii. The senior most member of the service (who is also a member of the CRC) may also take up the matter with the concerned CCAs to provide the information within the given time frame.
viii. For the CCAs who fail to provide timely information, any request of encadrement, upgradation, creation of posts etc. in the cadre would be considered only on the basis of the cadre strength last approved by CRC.

[OM No. I. 11019/10/2017-CRD dated 09.07.2018]

5. Cadre reviews of Group ‘B’ and ‘C’ employees/posts.

[OM No. 2/1/87-PP dated 23.11.1987]

5.1. Agency for conducting cadre reviews:
(i) The cadre reviews will be carried out by the CCA in consultation with the DoE.

(ii) The Departmental CRC may be set up by the respective Ministries/Departments controlling the cadres to be reviewed and should comprise the representatives of the following:

(a) Attached/Subordinate Office concerned. .
(b) Integrated Finance Division.
(c) The Personnel unit (Administration/Establishment Division) in the Ministry/ Department dealing with the personnel aspects of the cadre.
(d) Concerned Field Organizations.
(e) Any other member considered necessary by the CCA.

5.2. Principles governing cadre reviews:
(i) The cadre review may be visualized as an exercise for complete manpower planning- considering the annual intake at the entry level, maintenance needs, growth etc. rather than being viewed only as a need for upgradation of posts to provide promotional opportunities to the members of the staff.

(ii) The cadre review may be conducted on functional cum-structural consideration with due regard to the duties and responsibilities and the need to promote efficiency in the Organisation/Department. Hence, while conducting cadre review the cadre structure may be made pyramidal with enough officers at all the levels for not only effective functioning of the organization but also to fill higher posts. A structural ratio of 3:1 between two consecutive grades (feeder grade: higher level) is better to fill posts.

(iii) Wherever SIU norms/yardsticks have already been laid down for provision of staff, these should be considered, while conducting cadre review for various categories/grades.

(iv) The cadre review exercise may be conducted periodically for the groups ‘B’ and ‘C’ posts without linking it to the level of stagnation in the cadre.

(v) While conducting cadre review, time bound promotions may be considered only in exceptional cases, where it is provided for in the Service Rules of respective categories/grades of the concerned staff. The cadre review should be consistent with the needs and requirements of the organization.

(vi) While conducting cadre review, the Administrative Ministry may consider rationalization of categories/grades through merger, as over the passage of time, there might have been proliferation of categories, levels and grades in each Service. A multi-disciplinary approach may be considered rather than having strait jacket or water tight compartmentalization.

(vii) The cadre review exercise may be conducted after every five years. However, if CCA is convinced that no change in the cadre structure is required, the decision should be taken in consultation with the Departmental CRC.

(viii) All the Ministries/Departments may nominate a suitable officer for cadre review of Group ‘B’ and ‘C’ posts. It will be the responsibility of the nodal officers, so nominated, to provide the necessary report in this regard to the Cadre Review Division of the DoPT every year (by 31st January)

(ix) The cadre review of Group ‘B’ and ‘C’ posts so conducted under the procedure contained in above paras should not result in creation of posts in Central Group ‘A’ Services or any change in status of the cadres/services from Group ‘B’/ ‘C’ to ‘A’ for which Guidelines are applicable as laid out in para 4.

5.3 Role of DoPT in cadre review of Group ‘B’ and ‘C’ posts: The primary responsibility for conducting cadre review for Group ‘B’ and ‘C’ cadres will be of the concerned CCAs in the respective Ministries/Departments. The DoPT will lay down the policy, issue guidelines and if necessary, review the progress of cadre reviews, conducted by the concerned CCAs/Ministries/Departments. Hence, any new policy issue contained in the cadre review proposal may be referred to Cadre Review Division of this Department.

5.4 Cadre review of Other services/cadres/posts: Apart from the Central Group ‘A’ Services/cadres listed in para 4.6 and Group ‘B’ and ‘C’ posts/employees (para 5), there are Services classified as Central Group ‘A’ Service in the CCS (CCA) Rules 1965 (as amended from time-to-time). All such services/cadres may also be reviewed through DoPT and the guiding factors for preparation of cadre review proposal in these services/cadres may be same as detailed in para 4. A composite cadre review proposal for all the posts in that Service/cadre may be prepared.

6. Dealing with Isolated posts: In isolated categories where promotion to next grade is not possible, efforts may be made to identify posts after considering the qualifications and experience, duties and responsibilities attached to these posts, for merging them with the existing cadres. While conducting cadre review of various categories of services/cadres/posts, an exercise may be undertaken to identify such isolated posts and to include them for encadrement, if feasible.

In case it is not possible to merge them in an existing or proposed hierarchical structure, these posts should not be filled by direct recruitment but by transfer on deputation so that the incumbents of such posts do not stagnate. While conducting cadre review exercise, creation of isolated posts may be avoided, to the extent possible. Often departments create posts for various reasons having similar functional duties and responsibilities as cadre posts. Such posts are manned by both cadre officers and those outside the cadre(s). It should be the constant endeavor of Cadre Authorities to periodically review the position regarding such posts with a view to encadre them keeping in view:

(a) the nature of functions and responsibilities attached to them.
(b) the likelinood of their continuing.
(c) the desirability of deploying cadre officers to such posts.

7. The above guidelines are being issued in accordance with the role of this Department being nodal department for the manpower planning and policy and hence all the Ministries/ Departments may ensure necessary compliance to the above guidelines. At the first stage, all the Ministries/Departments may nominate a nodal officer for the purpose and constitute the Departmental CRC, wherever applicable, within one month of issue of this OM and send a report to this Department (any change in nodal officer or Departmental CRC may be endorsed to this Department).

It may also be intimated whether any of the cadres/services under their control (not listed with this OM) are required to be reviewed through the CRC as per the provisions of this OM. Thereafter, the preparation of cadre review proposals, wherever due, may be initiated and attempts may be made to submit the proposal in this regard to this Department or Deptt. of Expenditure (as the case may be) within six months. Calendar issued by this Department for Central Group ‘A’ Services required to be reviewed through the CRC (para 4.5) from time-to-time may be strictly complied.

[OM No. I. 11019/18/2022-CRD dated 14.02.2022]

(Dr. Harmit Singh\Pahuja)
Dy. Secretary to the Government of India

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