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PROMOTION POLICY FOR EXECUTIVES

1.0 1.1 OBJECTIVES : To integrate growth opportunities of the executives with fulfilment of Companys objectives. To man executive posts in the Company with competent personnel having growth potential, and to utilise their capabilities in the working environment to the maximum through opportunities available for advancement. To provide for a system which is conducive to equity, fairness and objectivity in matters concerning promotion of executives. To ensure uniformity and consistency, to the extent possible, in promotion of executives of different Units of the Company. To motivate executives of the organisation for better performance, by rewarding their contribution to the growth of the organization, in deciding promotion on the basis of overall merit. To ensure continuity of the management and systematic succession planning for senior/key posts in the executive cadre. To provide input for the development of executives linked to their levels of performance and their specific strengths and requirements. To integrate executives into a cohesive team. SCOPE : The Policy shall cover all promotions made in executive posts (other than promotions from non-executive posts to executive posts) and shall apply to all plants & units of SAIL. The policy will not cover those executives who are appointed for limited tenure, superannuated persons reappointed in the Companys service, and to other executives appointed on a purely casual or temporary basis or whose terms of appointment stipulate coverage under different rules. CLUSTERS OF SCALES : For the purpose of promotion and career planning of executives, scales of pay will be grouped in the following clusters:1
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1.8 2.0 2.1

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Cluster A B C D E F 4.0 4.1

Grade E-1 & E-2 E-3 & E-4 E-5 E-6 E-7 E-8

Scale of pay (Rs.) 10750-300-16750 13700-350-18250 16000-400-20800 17500-400-22300 18500-450-23900 19000-450-24400 19500-450-25350 23750-600-28550

PROMOTION SYSTEMS : There will be two systems of promotion within the executive positions in SAIL : i) Promotion within clusters of scales of pay. ii) Promotion between clusters of scales of pay. All promotions made in accordance with this policy will be from one scale of pay to the next, without skipping any scale of pay. CREDIT POINTS FOR APPRAISAL RATINGS : The final ratings of the executive performance appraisal system provides categorisation of executives in terms of different levels of performance. To link performance appraisal ratings with the promotion policy, the following credit points shall be adopted : Appraisal Ratings Approximate % of Credit Points earned 2 earned for the year2 executives O 10 50 points A 20 40 points B 45 - 55 30 points C 15 - 25 15 points C(non-promotable) 5 points (Executives in the category C declared as non-promotable will be considered unpromotable for ensuing one year. Percentage of C grade is necessary may vary within a range of 15% to 25% in an appraisal group. The percentage of B grade would accordingly get adjusted between 45% to 55%)

4.2

5.0 5.1

5.2

For Management Trainees of a particular batch in any Plant/Unit, the evaluation in terms of marks earned at the end of the first year of training/one and half year of training (as prescribed in the Rules) will be converted into their first assessment as follows :3

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Upto 25% of the Trainees as per the training marks = O Next 50% of the Trainees as per the training marks = A Rest 25% of the Trainees as per the training marks = B 6.0 6.1 PROMOTION WITHIN A CLUSTER OF SCALES OF PAY : Within a cluster of scales of pay, promotion shall be linked to performance as reflected in the Performance Appraisal Reports, subject to Policy Para 6.4. Promotion from one scale of pay to another in the same cluster will be decided on collection of certain specified credit points, subject to Policy Para 6.4. Promotion Within Cluster A (E-1 to E-2) An executive in E-1 scale will be promoted to E-2 scale on acquiring 120 credit points /based on his appraisal ratings. Provided, however, that promotable executives will be promoted to E-2 scale only after completion of 4 years, relaxable to a maximum of 3 months, and not later than completion of 5 years of service in E-1 scale of pay. For Management Trainees, the evaluation at the end of first year of training converted into performance appraisal ratings as mentioned in para 5.2, will be counted as the first Appraisal Report for the purpose of promotion to E-2. For Promotion Within Cluster B (E-3 to E-4) An executive will be promoted, if found suitable by the DPC, on his earning 100 credit points on the basis of his appraisal ratings subject to his having minimum of 3 years service in the existing scale of pay. 7.0 7.1 PROMOTION BETWEEN CLUSTERS : Between Clusters, promotion will depend on availability of vacancies in the next higher cluster. Promotions will be based on total points earned by an executive on the basis of the following factors : a) b) c) d) Average Credit Points (ACP) in the current scale of pay. Points for qualification. Points for number of years spent in the current scale of pay. Points obtained in the interview/assessment by Departmental Promotion

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6.3 6.3.1

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6.4

7.2

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Committee headed by Chairman, SAIL for promotion between clusters of scales of pay in Corporate Cadre.4 7.3 Average Credit Points (ACP) Average Credit Points (ACP) earned by the executives in the existing scale will be computed as follows : Sum of the credit points earned in the last three/four years (as per eligibility period) or the number of years spent in the scale, whichever is less, divided by the number of appraisal ratings taken into account. Maximum attainable ACP is 50. 7.4 Qualification Points Points will be awarded for different levels of educational qualifications. Specific points for the different levels will be as prescribed in the Rules. Maximum attainable points on qualification would be 20. 7.5 Length of Service in the Scale 2 points for every completed year of service in the scale upto a maximum of 15 points shall be regulated as prescribed in the rules. 7.6 Interview/Assessment by DPC There will be a maximum of 15 points for interview/assessment by DPC which will be regulated as prescribed in the Rules. 8.0 8.1 MECHANICS OF PROMOTION BETWEEN CLUSTERS : Eligibility a. From E-2 to E-3, E-4 to E-5, executives with three years of service in the scale will be eligible for consideration. b. Eligibility for promotion from E-5 to E-6, executives with four years of service in the scale shall be eligible for consideration c. Eligibility For Promotion from E-6 to E-7 will be four years. The promotions will be vacancy based. d. Eligibility for Promotion from E-7 to E-8 would be three years. e. Promotion from E7 to E8 grade shall be through interview by a Selection Board.
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8.2

Zone of Consideration The names of all eligible executives will be listed in the descending order of the total marks obtained by them on Performance (ACP), qualification and length of service in the scale. From this list, executives will be called for interview in the manner as prescribed in the Rules.

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Selection Procedure Executives in the zone of consideration will be assessed by an interview committee/DPC. This committee can add a maximum of 15 points to the total points already earned by the executives on the basis of performance, qualification and length of service and draw up the selection panel. Promotions will be made from this panel on the basis of total marks obtained.

9.0

BROADENING LINES OF PROMOTION : However, the company reserves the right to delink vacancies from traditional lines of promotion and fill them up on inter-disciplinary and/or inter-plant basis by promotion, transfers, or circulation.

10.0 10.1

SERVICE AND PERFORMANCE LINKED PROMOTION SCHEME : Executives with 7 years of service in E-2 or E-4 scale will be considered for personal promotion depending on a specified minimum level of performance. The Service Linked Promotion Scheme will be as prescribed in the Rules. CAREER PLANNING : Career Planning for Executive Cadre should integrate the aspirations of executives with the operational requirements of the Company. In a large measure, this is being taken care of by the minimum assured growth which will arise within the clusters linked to performance. In addition, the Company adopts a development oriented approach to performance shortcomings/strengths which will ensure a more relevant and precise input in terms of Company efforts to improve performance of the executives. Nevertheless, it still becomes necessary to identify a group of executives on whom specific attention of the Company should be focussed either to assist them in proving their levels of performance or for making use of their identified potential by grooming them for higher responsibilities.

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In order to achieve this objective, each Plant/Unit will prepare a list of executives with high potential and a list of identified low performers. Executives with High Potential

11.4

11.4.1 Executives with a minimum of 3 years in the Company and a minimum ACP of 45 will constitute the high potential group. 11.4.2 In the month of June every year, this list will updated and a job rotation, training and career advancement plan shall be prepared for such executives. 11.4.3 Job Rotation These executives may be rotated among other Departments, not necessarily in their lines of promotion in order to groom to occupy senior posts at a later date. However, for executives graded as C non-promotable, job rotation will be mandatory and will basically aim at change of assignment. 11.4.4 Training Training plan for executives oriented to their specific requirements and to enhance potential will be prepared every year. 11.4.5 Career Advancement To motivate these executives to maintain high levels of performance as well as to meet the organizational needs for utilising their services effectively, it is required to plan for smooth career advancement for executives with high level of performance. This will necessitate a flexibility in operation of posts between cluster/creation of posts in the next cluster. 11.4.6 Executives whose ACP falls below 40 in any year or whose ACP remains below 45 for four consecutive years will be deleted from this list. 11.5 Executives With Low Performance

11.5.1 Executives with minimum service of 3 years in the Company and having an ACP of 10 or less will be included in this list. 11.5.2 In the month of June, every year, this list will also be updated and the Plants/Units will plan job rotation and training for such executives. Plants/Units will also arrange to counsel these executives to improve their performance.

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11.5.3 The names of the executives will be deleted from this list if their ACP rises to 15 or beyond in any year or if ACP remains above 10 for four consecutive years. 12.0 12.1 INTER-PLANT ROTATION : The inter-plant movement of executives constituting the Corporate cadre will be planned by Corporate Office. However, in order to ensure that executives at relatively younger age are exposed to different environments, those with identified high potential in the scale of E3/E-4 will be given opportunity to move to other Plants/Units in the manner prescribed in the Rules. EDUCATIONAL QUALIFICATIONS : Qualification levels for entry to executive cadre at E-1 will be as prescribed in the Recruitment Policy of the company. Qualification levels for posts within the executive cadre in those disciplines where certain minimum qualifications are essential will be as prescribed in the Rules. Qualifications prescribed by the Statute in respect of certain executive positions will be followed. RESERVATION FOR SCS/STS : Reservation for SCs and STs will be provided as per the Presidential Directives on the subject. 15.0 PROBATION : The executives promoted under this policy will be kept on probation for a period of six months. The probation will be regulated as prescribed in the Rules. MTI/Units would arrange special training modules for executives promoted to E-5 and E-8 grades. Confirmation of the executives promoted to E-5 and E-8 grades will be subject to their completion of this training. 16.0 PENDING DISCIPLINARY PROCEEDINGS : Procedure for dealing with promotion/confirmation of executives pending inquiry/disciplinary proceedings, suspension, prosecution, etc., will be governed by the Rules prescribed in this regard.

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17.0 17.1

APPLICATION OF POLICY IN CASE OF DEPUTATIONISTS ETC.: An executive on deputation to another organisation may be considered for promotion in the Company during the period in accordance with selection methodology prescribed in this policy. If selected, however, the promotion would be effective only on his return to the Company. In case of an executive who is not on deputation to another organisation but merely retaining lien in the Company, he would not be considered for promotion during the period. He would merely retain the option to return to his substantive scale for the duration of lien. This policy and the rules framed hereunder will not be applicable to executives who are on deputation from other organisations to SAIL. RULES AND PROCEDURE : Chairman, SAIL is authorised to frame and issue rules and procedures under this policy. Chairman, SAIL, may, at his discretion, relax the eligibility conditions in exceptional cases, for reasons to be recorded. Chairman, SAIL may lay down special criteria and procedure for selection/promotion of executives for any special activity in the interest of the company, for reasons to be recorded. TENURE : The Company reserves the right to amend, modify, cancel or withdraw the policy at any time without notice.

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RULES FOR PROMOTION FRAMED UNDER THE PROMOTION POLICY FOR EXECUTIVE
1.0 1.1 OBJECTIVES : To provide mechanics for determining the suitability of executives for promotion on a standard pattern and in an objective manner. To prescribe rules for implementation of the policy. DEFINITIONS : Board means the Board of Directors for the time being of SAIL and includes, in relation to the execution of the powers, a Committee of the Board/Management or any officer of the Company to whom the Board delegates any of its powers. Chairman means the Chairman for the time being of the Board of Directors of Steel Authority of India Limited. Company means the Steel Authority of India Limited. Policy means the Executive Promotion Policy as approved by the Board of Directors of the Company. Policy Para means the relevant paragraph of the Policy. Rules means the rules for promotion of executives framed under the Policy. Rules Para means the relevant paragraph under the Rules. Scale of Pay means an approved executive pay scale in force in the Company from time to time, held by an executive substantively, and does not include scale of pay held by an executive on personal or stroke grade promotion. CLUSTERS : Clusters of scales of pay shall be as specified in the Policy Para 3.1. 4.0 4.1 4.2 DATES OF PROMOTION : Promotion will be finalized in June and effected on 30th June of every year. If promotion orders are issued on any date after the specified dates of promotion i.e, 30th June, the notional seniority as well as pay fixation should be effected
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1.2 2.0 2.1

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2.3 2.4

2.5 2.6 2.7 2.8

3.0

from the specified dates of promotion but the monetary benefit will accrue on assuming the charge of the next higher scale. 5.0 5.1 PERFORMANCE : Performance of an executive will be the assessed level of performance by the Executive Appraisal System, measured in terms of credit points as specified in Policy Para 5. Prorating of Credit Points In case the period for which an Appraisal Report is written is for less than nine months, the credit points on the basis of such a report will be prorated for the period, counted in terms of completed months, for which the Report is written. In case the Report is for a period of nine months or more, it will be treated as a report for one complete year. The month in which the employee has entered the grade irrespective of the date, will be taken as full month. Example : If an executive joins a particular scale of pay in the month of April, May or June and secures A rating in the appraisal report during the assessment year, then he will earn the full 40 credit points corresponding to the rating A. However, if the executive joins at any time in the year after June, say in September and gets A rating in the appraisal report during the assessment year, the credit points will be prorated for the months (September to March) in the following manner : 40 x 7 = 23.4 credit points 12 5.3 No separate appraisal report shall be written for a period of less than three months. If an executive has only one appraisal report covering service in two scales of pay, then the credit points for the service in the higher scale shall be prorated on the basis of the number of completed months of service in the higher scale, in the same manner as specified in Rules Paras 5.2 and 5.3. QUALIFICATION : Qualification as per Policy Para 7.4 shall be regulated as follows.

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6.0 6.1

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6.2

No executive shall be barred from being promoted to any scale within the executive cadre merely because of his qualification level except for posts given below : a) Posts for which qualification has been prescribed by Statute. b) Posts relating to conducting research in Research & Development Centre for Iron and Steel and Research and control Laboratory as may be separately specified. c) Technical posts in metallurgical wing of Research and Control Laboratory as may be separately specified and d) Other posts as may be specified from time to time.

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The minimum qualification for entry into the executive cadre shall be as per the existing provisions. PROMOTION SYSTEMS : There will be two systems of promotion within the executive cadre in the Company as specified in Policy Para 4.1

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8.0 8.1 8.1.1

METHODOLOGY FOR PROMOTION : Promotion within Clusters Promotions from one scale of pay to another within a cluster shall be delinked from vacancies. Within clusters of scales, promotions shall be linked to performance as specified at policy Para 6.4. Performance shall be measured in terms of total credit points earned in the scale. Credit points shall be earned as indicated in Rules para 5. The list of all eligible executives alongwith the following records shall be placed before a Departmental Promotion Committee constituted as specified in Rules Para 8.1.4. - Appraisal reports for the years as specified Credit points calculated as specified Bio-data giving main areas of experience. Status regarding debarring from promotions etc. Any other relevant records.

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The Departmental Promotion Committee shall consider and recommend candidates, if found suitable, for promotion and also decide on / recommend transfers between Sections / Departments /Zones Units before the promotion orders are issued subject to clearance from Disciplinary and Vigilance angle. 8.1.4 For promotion within Clusters A and B, such committees shall be constituted by respective Chief Executives. It will, however, be ensured that in each Committee the Head of the Department where promotion is being effected or his representative, and the Head of the Personnel Department or his representative, are associated. Promotion from E-5 to E-6 would be effected centrally at Corporate Office based on vacancies and the Committee for the same will be constituted with the approval of Chairman, SAIL. 8.2 Promotion of Executives within Cluster A (E1 to E-2)

8.2.1 The methodology for promotion within Cluster A as per policy Para 6.3 will be regulated as follows : a) The DPC will consider and effect the promotion of Executives in E-1 scale collecting 120 credit points or more from appraisal reports for the immediately preceding four years will be promoted to E-2 scale on the next available date of promotion, subject to the condition that no such executive will be promoted to E-2 scale prior to completion of four years in E-1 scale relaxable by a maximum period of three months. b) All other executives in E-1scale who are promotable under the system, will be promoted not later than completion of five years in E-1 scale, irrespective of total credit points collected. 8.2.2 The credit points earned on the basis of Appraisal Reports will not be prorated for promotion from E-1 to E-2. 8.2.3 Gradation of MTs: i) In the case of Management Trainees where the training period is one year and eligibility for promotion will be based on accumulation of 120 credit points, their gradation on the basis of training marks secured at the end of one year training will be done by a high level training performance review committee consisting of the head of personnel, head of training and the concerned heads of line departments of the level of AGM/DGM (higher level as may be available), on the following basis : ii) Upto first 25% of trainees may be rated as O (50 points), next 50% as A (40 points) and rest 25% as B (30 points).

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iii) However, the Committee may rate MTs as C on account of non-performance or extension of training or any other reason. There will not be any C nonpromotable rating. In extreme cases of non-performance, while the rating will be C, cases will be reviewed for termination of training/service. iv) In case the group size is small (say less than 8), the gradation as O, A & B may be done by the training performance review committee keeping in view the percentage of marks obtained during training and general performance in on-the-job training. However, the groups may be fairly distributed in different categories (O, A & B). Their ratings as C will be done as per the provisions as at para (iii) above. Example : Joining date of Management Trainees

Date of Completion of training

Credit points for Executives in the middle 50% as per training marks

February, 1998

August, 1999 45

Credit points for the next regular appraisal (9900) without prorating (If B) 30

Credit points for the next regular appraisal 00-01 (If B) 30

The executives in this category would collect 105 credit points on the basis of three appraisal report by April, 2001. They would be eligible for promotion and promotions would be effected to E-2 scale on 30th June, 2001. Besides the performance credit points, the other eligibility parameters of promotion will be as per Policy Para 6.3.2 and Rules Para 8.2. 8.3 8.3.1 Promotion of Executives Within Cluster B(E-3 to E-4) The Departmental Promotion Committee will consider executives who have acquired 100 credit points on the basis of the appraisal ratings, as prescribed in Rules Para 8.1.3 above. Promotion Between Cluster (E-2 to E-3, E-4 to E-5 to E-6, E-6 to E-7, E-7 to E-8) Promotion from one cluster to another will depend on availability of vacancies in the next higher cluster as specified in Policy Para 7.1 The eligibility criteria for promotion are specified at Policy Para 8.1.

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8.4.2

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8.4.3

Eligible executives in a given line of promotion will be assessed in respect of their comparative performance on the basis of factors specified in Policy Para 7.2 as follows : Factors Maximum Attainable Points Average Credit Points (ACP) 50 Qualification 20 Length of service in the current scale of pay 15 Interview/assessment by DPC 15 Total 100 However, for promotion from E7 to E8 grade, the following will be adopted as assessment criteria : Factors Maximum Attainable Points Average Credit Points (ACP) 50 Qualification 10 Length of service in the current scale of pay 10 Interview/assessment by DPC 30 Total 100 (a) Average Credit Point (ACP) : will be calculated as per Policy Para 7.3. For the purpose of calculating ACP, prorating shall not be applicable. (b) Qualification Points: While there will be no minimum educational qualifications for promotion except as provided in Rules Para 6.2, points for qualifications will be awarded for different levels as prescribed in Annexure-I. (c) Length of Service: Length of service in a scale of pay will be reckoned from the date an executive enters the scale as in Rules Para 2.8. Points earned on the basis of length of service in the scale as provided in Policy Para 7.5 will be calculated at the rate of one point for every six months of service in the scale.

8.4.4 In case of the executives who go on transfer from one Section/Department Zone or unit to another, either on their own request or otherwise, the inter-se seniority of the executives concerned in the grade will count from the date of entry into the grade in the previous section/department/zone or unit, as the case may be. 8.4.5 Merit List In a given line of promotion the names of eligible executives will be listed in descending order of the total points obtained by them on the basis of performance (ACP), Qualifications and length of service in the scale.

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8.4.6

Interview/Departmental Promotion Committee (DPC) From the merit list, executives will be called for interview/assessed by DPC as per procedure indicated below : Only those executives who have a difference of 15 points compared to the first executive on the list of executives under consideration, will be interviewed/ assessed by DPC, if there is only one vacancy. If there is more than one vacancy, the reference point for the points difference will he shifted to a lower position corresponding to the number of vacancies. For instance, if there are two vacancies, all the executives with a point difference of 15 points with the second man on the list of executives under consideration will be called for interview/assessed by DPC. In case there is more than one executive with the same merit point (i.e. the sum of ACP, qualification points and points for length of service in the scale) and one of them falls within the zone of consideration, all of them will be called for interview/assessed by DPC. The executives from other Sections/Departments/Zones/Functions who are identified for rotation may be considered for promotion in their own line of promotion. Transfer may be effected after promotion interview, either on promotion or on parallel basis. Interview/assessment will be conducted / done by duly constituted Interview Committee / Selection Boards / Departmental Promotion Committee. Clarification6 In case of between cluster promotions, the merit list for the eligible candidates is to be prepared according to Rules Paras 8.4.4 and 8.4.5. The candidates in this merit list are then to be interviewed/assessed by the duly constituted selection boards. In order to maintain uniformity in practices, the candidates in the merit list should be interviewed in the alphabetical order of the name.

8.4.7

Interview Committees/Selection Board/DPC Selection Boards will be constituted for regulating promotions from one cluster to the next cluster. The Selection Boards for promotion from the scale of E-2 to the scale of E-3 and from the scale of E-4 to the scale of E-5 will be notified by the respective Chief Executives at the plant/unit level in accordance with the delegation of powers. It will, however, be ensured that in each Selection Board, the Head of the Department where the vacancy occurs or his representative and

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the Head of the Personnel Department or his representative are associated. In case where the selection has to be made in specialized fields, experts from outside may also be associated depending on the requirements of the posts as determined by respective Chief Executives or Chairman, SAIL. The Selection Board for promotion to posts in the scale of E-6 and above and key posts such as Heads of Works, Finance, Personnel, Materials, Commercial and Marketing, Projects and Medical irrespective of the scale of pay will be constituted with the approval of Chairman, SAIL. 8.4.8 The Board will use the model assessment form placed at Annexure II to allot marks on interview/assessment to each executive. Select List On the basis of the total marks obtained on performance, qualifications, length of service in the scale and interviews/assessment, the final select list will be drawn up in descending order and promotions will be made from this list in the order of merit subject to clearance from disciplinary and vigilance angle. 8.4.10 Since no minimum qualifying marks in the interview/assessment have been specified, in case the Selection Board in interviewing/assessing the candidates finds no one suitable for promotion, it can so record in the merit list that no one has been found suitable. In case it finds some of the candidates not suitable, the Committee may limit the recommendations to the number of vacancies to be filled up. In case of tie in the final merit point, the executive with the higher ACP will be given the promotion first. If there is a tie even at this stage, the executive who entered the scale earlier will be promoted first. In case of tie here, date of joining the Company will be taken into account. 8.4.11 In those cases where interviews/assessment are held in June, panel of executives would be maintained which shall be valid for a period of six months. There will be no panel for the December interviews/assessment as the merit list would undergo changes with availability of the new appraisal ratings after April. 9.0 METHODOLOGY FOR PROMOTION UNDER SERVICE PERFORMANCE LINKED PROMOTION SCHEME (SPLPS) : CUM

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9.1

The criteria for consideration of executives for promotion under this scheme are specified in Policy Para 10.1, subject to the executives having a minimum ACP of 30 on the basis of the previous three years appraisal ratings.

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9.2

These executives will be promoted to the scale of pay of E-3 or E-5, on personal basis, as the case may be. Executives promoted on personal basis will not be promoted to cluster of E-3/E-4. Executives who are promoted to the higher scale on personal basis will continue to do the same work which they were doing in the previous lower scale. When a vacancy occurs at the level of E-3 or E-5, as the case may be, these executives will be eligible to be placed in the scale on regular basis, subject to the methodology prescribed in Policy Para 7.0. The orders for promotion under SLPS should be issued on completion of eligibility period and the monetary benefit should also be given from the same date. For the executives whose eligibility period is completed in April or subsequent months till the appraisals are finalised, the orders may be issued after finalisation of appraisals, but the date of effect and monetary benefit may be given from the date of completion of eligibility period. METHODOLOGY FOR SELECTION OF CANDIDATES FOR SERVICE LINKED PROMOTION SCHEME (SLPS) (POLICY PARA 10.2) : All executives in the scale of E-2 and E-4, who have spent 10 years in the scale of E-2 or E-4 or 15 years in the scale of E-1 and E-2 taken together, as the case may be, will be promoted on personal basis. These executives will be promoted to the scale of pay of E-3 or E-5, on personal basis, as the case may be. Executives promoted on personal basis will not be promoted to cluster of E-3/E-4. Executives who are promoted to the higher scale on personal basis will continue to do the same work which they were doing in the previous lower scale. When a vacancy occurs at the level of E-3 or E-5, as the case may be, these executives will be eligible to be placed in the scale on regular basis, subject to the methodology prescribed in Policy Para 7.0. The orders for promotion under SLPS should be issued on completion of eligibility period and the monetary benefit should also be given from the same date. For the executives whose eligibility period is completed in April or subsequent months till the appraisals are finalised, the orders may be issued after finalisation of appraisals, but the date of effect and monetary benefit may be given from the date of completion of eligibility period.

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9.4

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10.3

10.4

10.5

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11.0 11.1

CAREER PLANNING : Career planning for groups of executives will be undertaken as provided under Policy Para 11.0 Executives with High Potential

11.2

11.2.1 As per specifications laid down in Policy Para 11.4.1 and 11.4.2, a scalewise list of all executives who have secured ACP of 45 or more over the last five appraisal years will be maintained and regularly updated in the month of June every year. Provided that, in the cases of executives who have completed a minimum period of three years in the Company in the executive cadre and are eligible as per Policy Para 11.4.1 to be included in this list, the ACP will be calculated over the period spent as executive in the Company. Deletion of names from this list will be as per Policy Para 11.4.1 to be included in this list, the ACP will be calculated over the period spent as executive in the Company. Deletion of names from this list will be as per Policy Para 11.4.6. For Management Trainees, the marks obtained on assessment during the training period will be taken into account for calculation of the average points for this purpose. The conversion of marks into rating will be as indicated in Policy Para 5.2. 11.2.2 Job Rotation For Executives With High Potential The list of executives will be reviewed by a Committee consisting of respective Managing Director /Executive Director /Director and all Functional / Zonal Heads, for job rotation / inter plant rotation. This Committee will be responsible for selecting people who will be rotated among Sections/Departments/Zones/Functions. The Committee will also identify those officers at the levels of E-3/E-4 who need to be rotated on an inter-plant basis. 11.2.3 Training for Executives With High Potential The Personnel/Training Department will be responsible for organising suitable training programmes related to the training needs identified for these executives. 11.3 Executives with Low Performance

11.3.1 As per specifications laid down in Policy Paras 11.5.1 and 11.5.2 a scalewise lit of all executives who have secured ACP of 10 or less over the last five appraisal

1.3.18

years will be maintained and regularly updated in the month of June every year provided that in the cases of executives who have completed a minimum period of three years of service in the Company in the executive cadre and are eligible under Policy Para 11.5.1, to be included in this list, in their case, the ACP will be calculated over the last three or four years as the case may be. Management Trainees will be treated as per Rules para 11.2.1. 11.3.2 Job Rotation for Executives with Low Performance The list of executives will be reviewed by a Committee mentioned in Rules Para 11.3.2 to consider them for job rotation. This Committee will be responsible for rotating these executives to Sections/Departments/Zone/Functions which may suit their aptitude better and thus result in improvement of their performance. 11.3.3 Training for Executives with Low Performance The Personnel/Training Department will be responsible for organising suitable training programmes related to the training needs identified for these executives. 12.0 12.1 INTER-PLANT ROTATION : Each Plant/Unit will identify executives with high potential at the level of E-3 and E-4 for inter-plant rotation as indicated at Policy Para 12.0. The names of all such executives in each Plant/Unit will be forwarded to an inter-plant Committee for taking a final decision on inter-plant rotation. The inter-plant Committee will consist of Chairman, Director (Personnel) as Member Secretary, and Chief Executive(s) of Plant/Units. The decision for rotation of executives will be based on the recommendations of Plants/Units. PROBATION : The probation period of an executive on promotion will be regulated as indicated below. The probation period of executives promoted within clusters and between clusters will be six months and will be reckoned from the date of assumption of charge of the post in the higher scale of pay. On satisfactory completion of probation period, the executive will be confirmed in the higher scale. The executive will not be regarded as having been confirmed, unless an order of confirmation is issued to him in writing. At the end of stipulated period of probation, if an executive is not confirmed, he may be informed of the position in writing within one months time.

12.2

13.0 13.1

13.2

13.3

1.3.19

13.4

The performance of an executive on probation shall be assessed as per the proforma prescribed in Annexure III and Annexure-IIIA. EXTENSION OF PROBATION PERIOD : The probation may be extended if work and conduct during the period of probation is not satisfactory, based on the report 13.3 mentioned in Rules Para 13.4. Probation may be extended, not more than once, by a period not exceeding six months. The decision to extend the probation shall be communicated within one month of the expiry of the probation period. If the work and conduct of an executive is not found satisfactory even during the extended period of probation, he shall be placed back in the scale from which he was promoted (both for promotion within the cluster as well as between clusters) and he will be considered for promotion next only after completing one year in the scale. Note
7

14.0 14.1

14.2

14.3

14.4

While the basic rules for confirmation after completion of probation period have not been changed, the following simple procedure approved by Chairman in this regard may be followed in respect of Executives at all levels : Confirmation After Completion of Probation Period : The existing practice in case of new appointments; where one year probation is there; may continue. Probation clause may continue to be mentioned in all promotion orders. Reports on performance during probation may be asked for as stipulated and also in regard to special jobs assigned for probation period as required for Corporate Cadre Executives. Evaluation of performance based on reports obtained may be carried out by Personnel Department as per standard guidelines and only those cases which involve extension/reversion should be submitted for approval of competent authority for extension of probation period/reversion.

1.3.20

In normal cases where reports are not adverse, based on the recommendation received, confirmation order will be issued without obtaining formal approval. The cases of extra-ordinary performance during probation period, if any, shall be submitted to Chairman for his information.

15.0 15.1

TRANSFER : Parallel Transfer : If an executive is transferred parallely to another Section/Department/ Zone/Function/Unit and if, upon his request to reconsider the transfer, he is permitted by the competent authority to continue in his present post or place of posting, he will not be considered for promotion for a period of one year if he is already eligible for promotion, or if he is not eligible for promotion, from the date he becomes eligible for it.

15.2

Transfer on Promotion : If an executive is promoted and transferred to another Department/Zone/Function Unit and if, upon his request to reconsider the transfer, he is permitted by the competent authority to continue in his existing grade and post/place of posting, he will not be considered for promotion for one year from the date he had been considered for promotion.

15.3

A period of one month will be given to an executive to join his new place of posting on transfer. This will be relaxable to one more month in case the Management is convinced of any genuine difficulty faced by an executive in assuming charge of the higher post. If the executive does not assume charge of the higher post within two months of issue of the order, his promotion order will stand cancelled and he will be treated at par with executives refusing to accept transfer. STUDY LEAVE : Within Cluster If an executive has earned a full years appraisal or more in the scale before proceeding on study leave, the average credit points earned by him will be extrapolated for the period of his absence. In case no appraisal rating is available in the scale, before the executive proceeds on study leave, then a special report will be written for him for a period of six months immediately on his return, on the basis of six months performance in the scale. This will then be extrapolated for the period of absence.

16.0 16.1

1.3.21

16.2

Between Clusters

16.2.1 If an executive has earned a full years appraisal or more before proceeding on study leave, and become eligible for promotion in his absence his ACP will be calculated on the basis of available appraisals in the scale. On the basis of his ACP, qualification points and points on length of service, if he would have fallen within the zone of consideration when interviews are conducted in his absence, he should be called for interview on his return. On the basis of his final merit points he will be given promotions with effect from the date his promotion is approved, if executives having the same/less points than he has secured, have been promoted. 16.2.2 In case the executive has not earned any appraisal before proceeding on study leave then, a special report will be written for him for a period of one year, immediately on his return, on the basis of his performance during the year. This will then be used to calculate his ACP for the period spent in the scale. He will be considered for promotion as specified in Rules Rara 16.2.1. 17.0 17.1 LEAVE WITHOUT PAY : An executive taking leave without pay, other than study leave for a period exceeding three months will be deemed not to have earned any appraisal during the period, i.e., the rating he earns for the one year will be prorated for the period he actually worked. Where the Chairman/Chief Executive considers a case genuine he may waive the prorating of appraisal for the executive availing leave without pay for more than three months. Management Trainees who join the Company during the course of their acquiring higher qualification and on joining want to complete their course immediately after the training period, may be granted EOL for the purpose but appraisal credit points for the period of leave shall not be taken into account for promotion to E2.8 PROCEDURE TO BE FOLLOWED IN RESPECT OF CANDIDATES CALLED FOR INTERVIEW FOR PROMOTION BUT DO NOT ATTEND/DECLINE OFFER : If an executive is not interested in attending the interview for promotion for personal reasons he will not be considered for promotion for a period of one year from the date on which he was scheduled to be interviewed, and this should be communicated to him.

17.2

17.3

18.0

18.1

1.3.22

18.2

If an executive is unable to attend the interview for promotion because he is sick or one leave or training within India then such cases would be dealt with as follows : a) That executive will be informed at his address about the interview or if he unable to attend, a post will be kept vacant and a panel of other officers in the merit list will be maintained. The name of the executive on leave may also be kept on this panel. If the executive joins duties within three months of the date of the original interview, the selection committee will meet him on his return and give him marks for the interview. The executive with maximum total points in the panel will now be promoted to the higher posts. b) In case the post cannot be kept vacant the top most executive in the panel prepared at the time of the interview may be promoted to the post on officiating basis. In case the position changes after the executive on leave is interviewed, the former will be reverted to the scale and the executive securing the maximum marks will be given regular promotion from the date of original promotion. However, he will get the financial benefits only from the date he joins the new post. If the position does not change even after the interview of the executive who had gone on leave, the executive officiating will be regularised in the scale with effect from the date of the original promotion. c) The exercise of holding the separate interview for such executives should be completed within three months from the date the first interview took place or soon after the return of the employee. Till the executive is substantively promoted the vacancy can be filled only on temporary/officiating basis.

18.3

If an executive attends the interview but indicates in the interview that he is not interested in promotion due to any reason the fact should be recorded and he would not be considered for promotion or a period of one year from the date of interview, and this should be communicated to him. PROCEDURE FOR DEALING WITH PROMOTIONS / CONFIRMATION OF EXECUTIVES PENDING ENQUIRY / DISCIPLINARY PROCEEDINGS AND AFTER : The detailed procedure for dealing with promotion/confirmation of executives pending enquiry/disciplinary proceedings and after is given at Annexure-IV.

19.0

1.3.23

20.0 20.1

PROCEDURE FOR DEALING WITH DEPUTATIONIST ETC.: The deputationists may be informed about their selection for higher post through a letter stating that the same will be effective on their reversion to the Company. The communication should also indicate that the promotion is further subject to clearance from disciplinary and vigilance angle on the date of reversion. They may also be informed that they will be allowed notional seniority in higher grade from the date from which the promotion has been approved by the Competent Authority. The right to fill up any post through promotion/transfer or by circulation etc. will vest with the company. TENURE : The Chairman reserves to himself the right to withdraw, review, alter and / or amend the rules. These rules shall supersede all the rules, regulations, orders and instructions issued earlier on the subject, in so far as they are inconsistent with these rules.

20.2

20.3

20.4

21.0 21.1

21.2

1.3.24

Annexure-I (Reference Rules Para 8.4.3(b) QUALIFICATION RATINGS

S.No. 1.

Category of Post Technical

2.

Non-Technical (other than Finance & Accounts)

a. b. c. d. e. a. b.

c. d. 3. Finance & Accounts a.

b. c. d. 4. Mining a. b.

c.

d.

Qualification Doctorate in Engineering Masters Degree in Engineering Engineering Degree Diploma in Engg./B.Sc. Matric Doctorate Degree in concerned professional area Doctorate Degree/Graduation or P.G. with 2 years professional qualification Masters degree in Arts/Science/Commerce etc. Honours Graduate /Graduate Degree in Arts/Science/Commerce etc. 1. CA/ICWA with Management Accountancy or with MBA (Finance) 2. CA and ICWA CA or ICWA of MBA (Finance) Company Secretaryship (For Company Secretaries posts) Departmental examination for Accountants/SAS Accountants exam Doctorate in Mining Engineering st with 1 class Mines Managers Certificate of Competency Post-graduate degree holder in st mining with 1 class Mines Managers Certificate of Competency Graduate in Mining Engg. With 1st class Mines Managers Certificate of Competency st Diploma in Mining Engg. With 1 Class Mines Managers Certificate of Competency

Points 20 18 16 12 6 20 16

14 12 20

18

12 20 18

16

12

1.3.25

e.

5.

R&D Centre

a. b. c.

Diploma in Mining Engg. With 2 Class Mines Managers Certificate of Competency Doctorate in Engg. Or Ph.D. in Pure Science Post-Graduate Degree in Engineering Degree in Engg or MS in related discipline

nd

20 18 16

NOTE 1. All the qualifications mentioned include their equivalents. All the qualifications must be recognised. 2. Executives with qualifications mentioned under technical areas and working in non-technical areas like marketing, materials, personnel etc. will get points as per technical list. Similarly, executives with qualifications mentioned in nontechnical areas, and working in technical areas will get points as per nontechnical list. M.Sc. (Stat.) in statistical sections will earn 16 points. In Chemical Section of R&C Lab., M.Sc. (Chem.) will earn 16 points. In IED, EDP and training departments, the point system will be as mentioned in technical area. Graduate in Computer Science/Computer application will earn 16 points in EDP/INCOS areas. MSW or equivalent will get 16 points in Personnel. Executives with recognised professional qualification (see Annexure I-A) in the concerned area of working will get two points in addition to the relevant points for academic qualifications in Annexure I(excluding those for which credit for professional qualification has already been considered). In technical and non-technical (other than Finance), executives with more than one relevant professional qualification (not the same or similar) will get 18 points. The list of disciplinewise professional qualification is given at Annexure I-A.

3. 4. 5.

6. 7.

8.

9.

1.3.26

Annexure-IA LIST OF PROFESSIONAL QUALIFICATIONS CATEGORY QUALIFICATION 1. Technical, Mining and Research & 1. Post Graduate Degree in any branch of Development Engg. Of not less than two years duration. (For all the departments in technical, mining and R&D area) 2. Post Graduate Degree/Diploma of not less than two years duration in Industrial Engg./ Operation Research (For industrial Engg. And SQC departments only). 3. Post Graduate Degree/Diploma in Computer Science / Computer Application or MBA(Systems) of not less than two years duration (For EDP / INCOS / Computer Section areas only) 4. Post Graduate Degree or Diploma in Management / Business Administration / Business Management of not less than two years duration or MBA (For all the Deptts.) II. Non-Technical A. Marketing : MBA or Post Graduate Degree/Diploma in Management / Business Management/ Business Admn./ Marketing Management / Export Management of not less than two years duration. B. Materials : MBA or Post Graduate Degree / Diploma in Management / Business Management / Business Admn. / Materials Management of not less than two years duration. C. Personnel 1. MBA or Post Graduate Degree / Diploma in Management / Business Management / Business Admn. / Personnel Management/ Industrial Relations / Industrial Psychiatry / Organizational Behaviour / Labour Laws / Labour Welfare or not less than two years duration. 2. Post Graduate Diploma in Social Welfare.

1.3.27

D. Administration

E. Law

MBA or Post Graduate Degree / Diploma in Management / Business Management / Business Admn. / Public Admn. Graduate Degree in Law taken after graduation Education : Masters Degree in Education Town Admn./Maint./Construction : Post Graduate Degree or Diploma in Architecture of not less than two years duration Horticulture : Post Graduate Degree/ Diploma in Horticulture of not less than two years duration Public Relations : Post Graduate Degree / Diploma in Public Relations / Journalism of one / two years duration Guest House / Canteen : Post Graduate Degree / Diploma in Tourism / Hotel Management / Catering Technology / Food Technology

F. Other Disciplines

1.3.28

Annexure-II (Ref. Rules Para 8.4.8) STEEL AUTHORITY OF INDIA LIMITED ASSESSMENT SHEET (FOR USE IN PROMOTION E-2 TO E-3, E-4 TO E-5, E-5 TO E-6, E-6 TO E-7, E-7 TO E-8)
Name of the Candidate 1 Average Credit Points (Max=50) 2 Qualification Points (Max=20) 3 Points on length of service (Max=15) 4 Total points of Perf.+ Qualfication + length of service 5 Interview / Assessment (Max=15) 6 Aggregate Merit Points (Max=100) 7

NOTES APPRAISAL REPORT RATING RATING CREDIT POINTS O 50 A 40 B 30 C 15 ACP = Summation of points of the last three appraisal ratings or for the years spent in the scale whichever is less divided by the number of appraisals taken into account. Qualification Points = As per Annexure I Length of Service Points = One point for each half year spent in the scale.

1.3.29

Annexure-III (Ref. Rules Para 13.4) Confidential STEEL AUTHORITY OF INDIA LIMITED PERFORMANCE APPRAISAL REPORT DURING PROBATIONARY PERIOD / EXTENDED PERIOD OF PROBATION E-5 AND BELOW (QUARTERLY ASSESSMENT) (PROBATION PERIOD SIX MONTHS) Name ________________________ Department ___________________ Personal No. _______________________________________________ Period Job Performance Satisfactory Unsatisfactory Satisfactory Unsatisfactory In case of unsatisfactory performance, please indicate action taken for correction. Conduct / Behaviour Attendance / Punctuality Appreciation /reprimands, if any

I quarter

II quarter

1.3.30

RECOMMENDATIONS : The employee may be confirmed in the post Probation may be extended for The employee may be reverted to the Grade from which he was promoted : : Yes/No 3 months/6 months

Yes/No

Signature: Name: Date: Designation:

Views of the Authority empowered to approve confirmation.

Signature: Name: Date: Designation:

1.3.31

Annexure-III A (Ref. Rules Para 13.4) Confidential STEEL AUTHORITY OF INDIA LIMITED PERFORMANCE APPRAISAL REPORT DURING PROBATIONARY PERIOD / EXTENDED PERIOD OF PROBATION E-6 AND ABOVE

Name : Staff No.: Period of Probation from ______________ (Six months /Twelve months) 1.

Designation: Department : To : ____________________

SPECIFIC TASKS ASSIGNED DURING THE PROBATION PERIOD (To be filled by Reporting Officer)

2.

PERFORMANCE AS ASSESSED BY THE REPORTING OFFICER (i) Please record the qualitative comments on the performance taking into account factors such as target fulfilment, quality of output, management of resources, cost control and managerial factors such as planning, organising, initiative, team work, problem analysis, decision making, coordination etc.

1.3.32

(ii)

Please highlight special achievements during the probation period

NAME : DESIGNATION: DATE: VIEWS OF REVIEWING OFFICER

NAME : DESIGNATION: DATE: VIEWS OF THE CHIEF EXECUTIVE OF THE PLANT/UNIT

NAME : DESIGNATION: DATE:

1.3.33

RECOMMENDATIONS

Reporting Officer
1. The employee may be confirmed in the post. YES/NO 2. Probation may be extended for 3 motnhs/6 months/12 months 3. The employee may be reverted to the grade from which he was promoted/Services of the employee may be terminated YES/NO DATE: SIGNATURE: NAME: DESIGNATION:

Reviewing Officer

Chief Executive

1.3.34

Annexure-IV (Ref Rules Para 19.0) PROCEDURE FOR DEALING WITH PROMOTION/ CONFIRMATION OF EXECUTIVES PENDING INQUIRY/DISCIPLINARY PROCEEDINGS AND AFTER Complaints/Investigation Stage : a) Preliminary investigations may be taken up on the basis of complaints received against employees. In the event of difference of opinion between CBI and the Management in vigilance cases investigated by CBI, the matter is submitted to the Central Vigilance Commission, who advise regarding action to be taken.9 On receipt of the final report or the advice of the Central Vigilance Commission, the report is examined by the appropriate authority to consider whether there is sufficient material for initiating regular disciplinary proceedings against the employees.

b)

c)

DISCIPLINARY PROCEEDINGS STAGE (a) Regular disciplinary proceedings are initiated by issue of charge sheet and appointment of enquiry committee. The employee may be placed under suspension pending completion of disciplinary proceedings. In case the Central Vigilance Commission tender their advice regarding action to be taken, the case is required to be submitted to the commission again after the receipt of explanation/completion of the enquiry for their advice regarding action to be taken.

(b)

(c)

PROMOTION/CONFIRMATION PENDING INQUIRIES/INVESTIGATION The case of an employee whose conduct is under departmental enquiry or investigation by Vigilance Department or CBI or any other agency may be considered for promotion on merit as if there is no case against him. The Selection Board or the competent authority should not be prejudiced in determining the suitability of an employee because of his involvement in the departmental or vigilance case.

1.3.35

In case the employee is found suitable for promotion on merit, his case will be dealt with as follows : (a) His promotion will not be withheld unless the charge memorandum/charge sheet is issued to him.10 (b) His promotion will be withheld if he is under suspension. The same principles would be followed in respect of confirmation also. PENDING DISCIPLINARY PROCEEDINGS If disciplinary proceedings against an employee have been initiated by issuing a charge sheet either for minor penalty or for major penalty, his case may be considered by the Selection Board/Competent Authority as if there is no case against him. In case the employees is considered suitable for promotion his promotion or confirmation, as the case may be, will be withheld till the conclusion of the disciplinary proceedings. PENDING PROSECUTION If an employee is being prosecuted in a court of Law, his case will be dealt with as at para above. PROMOTION/CONFIRMATION AFTER A PENALTY LISTED IN THE STANDING ORDERS/CONDUCT, DISCIPLINE AND APPEAL RULES, HAS BEEN IMPOSED In case where an employee has been punished as a result of disciplinary proceedings or convicted by a Court of Law, the following procedure shall be observed for giving him promotion/confirmation. (a) Wherever an order imposing a penalty specifies the period of penalty, during the pendency of such period, the employee concerned would not be promoted. (b) Where the Disciplinary Authority has not laid down any period, the factors viz., integrity, penalty imposed, appraisal, seniority, qualification, etc. should be taken into account by the Selection Board/Competent Authority for arriving at a decision in determining the suitability for promotion of the concerned executives. Clarification11 It is clarified that in a case where disciplinary proceedings have been held under the conduct, Discipline and Appeal Rules of the Company, Warning should not

1.3.36

be issued as a result of such proceedings. If it is found, as a result of the proceedings that some blame attaches to the employee, at least the penalty of censure should be imposed. Filling up of Post (a) If a decision is taken to withhold the promotion of an employee as envisaged above, and it is considered that the post cannot be kept vacant, it may filled on officiating basis. (b) After the employee concerned is completely exonerated, he should be promoted without further review. (c) On promotion, the date of entry of such an employee in the higher scale should be fixed from the date he would have been ordinarily promoted if there was no case against him. (d) On promotion, the pay of such an employee should be fixed to ensure that he receives such increment(s) which he would have got if his promotion was not withheld, provided the employee is completely exonerated being found not blame-worthy. However, if the employee gets benefit of doubt or delay in proceedings are directly attributable to the employee etc., then in such case whether the employee will be entitled to any arrears of pay for the period of notional promotion, if so entitled to any arrears of pay for the period of notional promotion, if so to what extent, will be decided by the competent authority /(Chairman / Chief Executive) by taking into consideration all the fats and circumstances of disciplinary / criminal proceedings. Where the authority denies arrears of salary or part of it, it will record its reasons for doing so.12 Resignation (a) During the complaint/investigation stage the acceptance of resignation should not be withheld for this reason alone. (b) During the disciplinary proceedings stage, the acceptance of resignation should not be withheld unless the appropriate authority has reasonable ground to expect that the employee is likely to be dismissed from the service of the Company. (c) If the employee is released during the pendency of disciplinary proceedings, the Company should inform his prospective employer, if it is a public undertaking/Government Department, about the pendency of such proceedings.

1.3.37

Decision13 (a) The Company has the right not to accept the resignation of an employee if the case against the employee is under investigation or an enquiry is pending against him/her. (b) The Company may withhold the employees dues (except provident fund) and may also impose suitable financial penalties on the employee, if so required by the nature of the case. EXTENDED PROCESSING In case where the disciplinary /court proceedings may not be concluded even after the expiry of two years form the date from which the officer had first been found suitable for the promotion and had been kept in abeyance because of such proceedings, provided the officer is not under suspension, the competent authority may review his case to consider : (a) Whether the charges are grave enough to warrant continued denial of promotion and the promotion of the officer will be against Company interest; (b) Whether there is no likelihood of the case coming to a conclusion in the near future; and (c) The delay in the finalisation of proceedings, whether departmental or in a Court of Law, is not directly or indirectly attributable to the officer concerned. In case the competent authority comes to the conclusion that it would not be against company interest to allow ad hoc promotion to the officer, his case may be considered in the normal course after the expiry of the two year period to decide whether the officer is suitable for promotion on ad hoc basis. Where the officer is to be considered for adhoc promotion, the selection board may make its assessment on the basis of the totality of the officers record of service and the fact that the disciplinary or court case is pending should not affect assessment regarding the suitability for ad hoc promotion, will be subject to the decision of the competent authority, who may take into account the seriousness of the charges, the nature of the evidences available, the stage which the disciplinary/court proceedings, has reached, the probable nature of the punishment that may be imposed on the officer if the charges against him are established, the likelihood of misuse of the official position which the officer may occupy after his adhoc promotion and the record of service available up to date. Where the departmental proceedings or court case have arisen out of the investigation conducted by the Central Bureau of Investigation, the competent authority should also consult the Central Bureau of Investigation and take their views into account.

1.3.38

After a decision is taken to promote an officer on an adhoc basis as indicated above, an order of promotion may be issued making it clear in the order itself that: (i) the promotion is being made on purely ad hoc basis and the adhoc promotion will not confer any right for regular promotion, and (ii) the promotion shall be until further orders. It should also be indicated in the orders that the competent authority will reserve the right to cancel the adhoc promotion and revert the officer to the post from which he was promoted, at any time. If the officer concerned is acquitted in the court proceedings on the merits of the case or exonerated in departmental disciplinary proceedings, the adhoc promotion, already made may be confirmed and the promotion treated as a regular one from the date of the adhoc promotion with all attendant benefits. Where the acquittal in a court case is not on merits but purely on technical grounds, and the Company either proposes to take the matter to a higher court or to proceed against the officer departmentally, the competent authority may review whether the adhoc promotion should be continued. Where the acquital by court is on technical ground, if the Company does not propose to go in appeal to a higher court or to take further departmental action, action should be taken in the same manner as if the officer had been acquitted by the court on merits. If the officer concerned is not acquitted/exonerated in the court proceedings or the departmental proceedings, the adhoc promotion already granted should be reviewed as follows : (a) Wherever an order imposing a penalty, specifies the period of penalty, during the pendency of such period, the employee concerned would not be promoted. The adhoc promotion already granted should be brought to an end by the issue of the further order contemplated in the order of adhoc promotion, and the officer concerned reverted to the post from which he had been promoted on adhoc basis. After such reversion, the officer concerned may be considered for future promotion in the normal course. (b) Wherever an order imposing a penalty does not specify any period, the selection board/competent authority may take into account the penalty imposed upon the employee, his integrity, appraisals, seniority, qualification etc. in determining his suitability for promotion.14

1.3.39

Reference:
1 2

Vide No.PER/PE/4015/3/92 dated June 6, 1992 w.e.f. June 4, 1992 Vide No.EPAS/01 dated July 1, 1991 and October 24, 1991 w.e.f. 1991-92 3 Vide No.PER/PE/4015/1/92 dated April 1, 1992 4 Vide No.PER/PE/4015 dated June 24, 1989 w.e.f. June 14, 1989 5 Vide No.PER/CCS/1596 dated September 27, 2001 and No.PER/CCS/1596 dated September 2, 2002 6 Vide No.PER/PE/4015 dated January 25, 1988 7 Vide No.PER/R&OP/OP-24 dated June 21, 1989 8 Vide No.PER/RR/4022 dated February 16, 1989 9 Vide No.PER/PE/4024 dated June 14, 1988 10 Vide No.PER/PE/4015 dated June 18, 1992 11 Vide No.PER/PE/4015 dated January 25, 1990 12 Vide No.PER/PE/4015/4/92 dated June 18, 1992 nd 13 Approved by Board of Directors in its 162 meeting held on July 4, 1991 and circulated vide No.PER/RR/4263 dated July 31, 1991 14 Vide No.PER/PE/4015 (Sl.No. 14/87) dated October 26,1987

1.3.40