Thursday, 6 November 2014

Understanding NON-FUNCTIONAL UPGRADATION made easier with FAQ



Understanding NON-FUNCTIONAL UPGRADATION made easy

Courtesy: http://gsisoa.in/index.php?option=com_kunena&func=view&catid=5&id=26&Itemid=27&lang=en

Grant of NFU to higher scale (i.e. pay band and/or grade -pay) is made under the DoPT O.M No. AB-14017/64/2008-Estt [RR] dated 24.04.2009

Consequent upon the acceptance of the recommendations of the Sixth Central Pay Commission, the following orders are issued:-


(i)      Whenever an Indian Administrative Services Officer of the State of Joint Cadre is posted at the Centre to a particular grade carrying a specific grade pay in Pay band 3 or Pay Band 4, the officers belong to batches of Organised Group A Services that are senior by two years or more and have not so far been promoted to that particular grade would be granted the same grade on non-functional basis from the date of posting of the Indian Administrative Service Officers in that particular grade at the Centre.

(ii)      Grant of higher scale would be governed by the terms and conditions given in Annex-I.

(iii)     Appropriate amendments in the Service Rules may also be carried out.

Annex-I.

1.       The non functional up-gradation granted under these orders will be based on empanelment and posting of particular batch of IAS officer in the Centre. Such up-gradation would not be linked to the vacancies in the grade.

2.       The up-gradation granted under these orders will be a purely non- functional up-gradation, personal to the officer and It would not bestow any right to the officer to claim promotion or deputation benefits based on non-functional up-gradation in such a manner.

3.       All the prescribed eligibility criteria and promotional norms including 'benchmark' for up-gradation to a particular grade pay would have to be met at the time of screening for grant of higher pay-scale under these orders.

4.       A screening committee would be formed by the Ministry for implementation of these orders. There would be three members in committee so formed and they would at-least be one level above the grade for which up-gradation is being considered. Secretary of the Ministry concerned would chair the committee.

5.       All instructions concerning grant of non-functional upgradation presently applicable in the case of grant of NFSG to officers of Group 'A' Services would apply in the event of penalty, disciplinary proceedings, suspension etc.

6.       Orders will be issued with the approval of the competent authority. Grant of higher pay scale on the non-functional basis would be from the date of posting of the first officer belonging to the particular batch of IAS officer at the centre. In case of any delay in the issue of orders, financial benefits under these orders will be given from the due date.

7.
(i)      Pay fixation under on grant of non-functional upgradation under these orders will be done as per the provisions of CCS (RP) Rules, 2008 i.e. the officers will be granted one increment at the rate of 3% of basic pay and the difference of grade pay will be added to their basic pay.

(ii)      As far as similarly placed officers of organized Gr. A Service, who are posted under the Central Staffing Scheme are concerned, they will be granted one additional increment on account of the non-functional up-gradation, but their grade pay will remain unchanged on the ground that they are holding a particular post with a specific grade pay under the Central Staffing Scheme. In such cases the officers granted non-functional up-gradation may continue to draw CDTA if admissible.

8.       As and when the normal vacancies in the grade arise, the officer will be considered for regular promotions as per the normal DPC guidelines, based on the provisions of the recruitment rules. UPSC will be consulted wherever the rules provide for the same. However at the time of promotion, the pay in the grade will not be fixed again for officers who have been granted up-gradation under these orders.

9.       Officers on deputation / study leave or any other duly sanctioned leave would also be considered and granted higher pay-scale on non-functional basis according to the prescribed procedure.

10.     Non-functional up-gradation to the next higher grade pay granted under the scheme is a fall back option only, to be applied in cases where officers of a particular Service have not been granted promotion to a particular grade in normal course according to the due procedure.

DoPT vide O.M No. AB-14017/64/2008- Estt [RR] dated 25.09.2009 further clarified that

“These recommendations have been implemented only from 1.1.2006. As such any upgradation can be only with reference to the officers of IAS posted to the Centre after 1.1.06.

Para 6 of our instructions provide that benefits would be from due date Therefore, even retired officers who are otherwise eligible as on due date would need to be considered.”

DoPT vide O.M No. AB-14017/64/2008- Estt [RR] dated 10.06.2010 further clarified as:

“A reference is invited to this Department's OM of even number dated 24.4.09 on the above subject. The Sixth Central Pay Commission had observed that the disparity, as far as appointments to various grades in the Centre are concerned, should not exceed 2 years between IAS and Organized Group 'A' Services.”

In case of JTS officers who are facing acute stagnation-the provision for grant of NFU is-In case no IAS Officer is available for comparison in STS grade, grant of NFU to STS grade maybe allowed after 7 years of service as Group-A. This upgradation shall be subject to the terms and conditions specified in DoPT OM dated 24.4.09.

From para (i) of the order (DoPT O.M No. AB-14017/64/2008-Estt [RR] dated 24.04.2009) and terms and condition (6) it is clear that

The officers belong to batches of Organised Group A Services that are senior by two years or more and have not so far been promoted to that particular grade would be granted the same grade on non-functional basis from the date of posting of the Indian Administrative Service Officers in that particular grade at the Centre.

From the clarification given by DoPT vide O.M No. AB-14017/64/2008- Estt [RR] dated 10.06.2010 it is further clarified that the disparity, as far as appointments to various grades in the Centre are concerned, should not exceed 2 years between IAS and Organized Group 'A' Services.

DOPT further clarified that with the introduction of Non Functional Upgradation (NFU), the demand for competitive mobility may subside as it will ensure uniformity at least in terms of financial upgradation across the board. (Monograph on Cadre review of Group A Central Services -2010).

If the terms and condition (3) is interpreted that, it also includes the residency period of the feeder cadre and NFU is to next hierarchy only, then it violate the order itself as the order clearly says that the officer should to granted the same grade of his IAS counter part and from the same date he posted at the centre.

Further the very purpose of batch-wise parity recommended by the 6th CPC to bring a degree of uniformity in pay, promotional avenues, and allowances amongst officers with same seniority is defeated.


A similar provision as mentioned para 3 of Annex-1 was also included earlier in the case of non-functional upgradation under ACP Scheme (Para 6 in Annexure I of the DoPT OM No.35034/1/97-Estt(D), dated 09th August 1999).

However, the DoPT later clarified the meaning of ‘eligibility criteria’ and ‘benchmark for upgradation’ in cases of ACP and MACP schemes [vide DoPT OMs 35014/1/2003-Estt(D) dated June 29, 2004 and 35034/3/2008/Estt.(D) of 19th May 2009].

It is now clear that for the MACP scheme, a residency in the feeder grade is not necessary for non-functional pay upgradation and that a Group A officer can get even three financial upgradation under MACP scheme (Para 22 in Annexure I of the DoPT OM no. 35034/3/2008-Estt. (D) dated, 19th May, 2009).

Summary:

The gap between IAS and organized group A Service should not exceed 2 years
NFU is from 1/1/2006.

Grant of higher pay scale on the non-functional basis would be from the date of posting of the first officer belonging to the particular batch of IAS officer at the centre. In case of any delay in the issue of orders, financial benefits under these orders will be given from the due date.

The order is not allowing equating with more than 2 year junior IAS officers.
*        *        *        *        *


Non-Functional Upgradation – Frequently Asked Questions

DOPT has issued a compilation of Frequently Asked Questions relating to Non-Functional Upgradation (NFU). This upgradation is applicable to Officers of Organised Group A Services in PB-3 and PB-4 and HAG Scale.
FREQUENTLY ASKED QUESTIONS ON NON-FUNCTIONAL UPGRADATION (NFU)
S.No.
Point of doubt
Clarification
1
What are the recommendations of 6th CPC for grant of Non-Functional Upgradation to for Officers of Organized Group A’ Services?
The Government should, consider batch-wise parity while empanelling and /or posting at Centre between respective batches of IAS and other organized Group A services with the gap being restricted to two years. Whenever any IAS officer of a particular batch is posted in the Centre to a particular grade carrying a specific grade pay in pay bands PB-3 or PB-4. grant of higher pay scale on non-functional basis to the officers belonging to batches of organized Group A services that are senior by two years or more should be given by the Government.
2
Whether the recommendations of 6th CPC have been accepted by the Government?
Yes. This will also be applicable to the Indian Police Service and the Indian Forest Service in their respective State Cadres for which the relevant cadre controlling authorities will issue the orders, (Ministry of Finance, Department of Expenditure Notification dated 29th August, 2008 refers)
3
When were the guidelines on NFU issued by DOPT?
DOPT have issued instructions on grant of officers of Organized Services in OM No. 14017/64/2008-Estt.(RR) dated 24th April, 2009.
4
To whom the instructions are applicable?
NFU is applicable to the officers of Organized Group A services in PB-3, PB-4 and in HAG scale also where there is such a Grade in the Service
5
From which date the grant of NFU to officers of Organized group A services is to be made?
The benefit is based on the recommendations of 6th CPC and will be available w.e.f the date of posting of IAS officers in various grades on/after 01.01. 2006.
6
What are the eligibility conditions to be met for grant of NFU?
The terms and conditions for grant of NFU are prescribed in the Annexure to the OM dated 24.4.2009. As per the same all the eligibility criteria and promotional norms including ‘benchmark’ for upgradation to a particular grade pay would have to be met at the time of screening for grant of higher pay scale under these orders.
7
What is the definition of the term ‘Batch’?
For the purpose of grant of NFU the ‘Batch’ for direct recruit officers in the induction grade shall be the year following the year in which competitive exam was held. In subsequent grades the ‘Batch’ would remain the same provided the officer is not superseded due to any reason. In case an officer is superseded the officer would be considered along with the ‘Batch’ with which his seniority is fixed.
8
Where the entry of officers in Organized Group A Service by DR is at STS, JAG level, how the ‘Batch’ shall be reckoned?
In respect of officers entering Organized Group A service by DR at STS, JAG level, they shall be assigned the benefit of ‘Batch’ corresponding to the ‘Batch’ of the officers with whom the seniority is clubbed.
9
Whether the benefit is available to Group B officers inducted into the Organized Group A service?
Yes. Such officers shall be assigned the benefit of ‘Batch’ corresponding to the batch of the ‘direct recruit’ officers with whom their seniority is clubbed.
10
Whether the officers can exercise option regarding date of fixation in the higher scale as provided in CCS(RP) Rules?
Provisions of CCS(RP) Rules, 2008 will apply.
11
Whether retired employees are eligible for the benefit of NFU?
Retired officers who are other wise eligible as on due date shall be considered for the benefit of pay upgradation.
12
Whether the scheme is applicable to Scientists, Doctors, etc. who are covered by their own in-situ promotion schemes?
Non-Functional Upgradation and other in situ promotion schemes are separate schemes and it would not be desirable to mix one with the other. The benefit of NFU to Organized Group A Services shall not be applicable to the officers in those Organized Services where FCS and DACP Schemes are already operating and where officers are already separately covered by their own in-situ Career Progression Schemes.
13
Whether DOPT OM dated 13.4.2010 on communication of ACR prior to 2008-09 is applicable while considering cases for NFU?
The instructions issued in this Department’s OM dated 13.4.2010 on communication of ACRs prior to 2008- 09 shall be applicable for considering cases of NFU also.
14
What is the due date of upgradation if found unfit on the date assigned to a batch?
If an officer is not found eligible during a vacancy year and is found fit in the next vacancy year, NFU may be granted from the 1st April. i.e. the 1st day of the next vacancy year.
15
How to consider cases where the officers do not meet the qualifying service in the vacancy year in which the batch is covered for non functional up gradation?
If an officer does not meet the eligibility requirement as on the 1st January of the corresponding vacancy year then such officer is to be considered for grant of NFU in subsequent vacancy year on completion of qualifying service w.e,f. 1st April, i.e. 1st day of the next vacancy year .
16
How the NFU shall be given in respect of officers given penalty?
The NFU becoming due after the expiry of the penalty period may be granted w.e.f. the due date as per DOPT instructions. In respect of officers for whom NFU becomes due before the expiry of the penalty period, the same may be granted from the day next to the date on which penalty gets over.
17
Whether the instructions regarding counting of past Group A service at the time of lateral entry on DR basis to higher grades as per DOPT OM dated 1.9.98 shall be applicable for grant of NFU also?
In view of the provisions on meeting the prescribed eligibility criteria and promotional norms in DOPT OM dated 24.4.09. these instructions shall be applicable for the purpose of grant of NFU also.

sd/-
(Mukta Goel)
Director

 



17 comments:

  1. "..NFU is from 1/1/2006..."

    Sir, The MOD was arguing for OROP also to be "from 1/1/2006" but only as a date for fixing pension parity for pension to be actually paid from 01 April 2014.

    How's that for fairness?

    ReplyDelete
  2. Dear Sir,
    If you may kindly put a brief as to how parallels could be drawn for AFs. As a layman, I am saying that there are courses wherein nobody becomes Air Cmde or AVM, and how do you wish to grant those courses NFFU unless you intend to take the nearest course or peer group as bench mark. It should ideally be based on number of years of service for AFs.
    In the case of Group A Organised Services, they go by Year of getting into IAS i.e, Batch year and the corresponding empanelment for one particular promotion. Another catch is parity between officers serving in their parent cadre State and those on Central deputation.
    It may be worthwhile to formulate a policy of consensus (like asking for the moon), esp with the Indian Navy, it may not be far when the Govt or 7 CPC asks for viewpoint or implementation/ modus operandi from the Services HQ.
    Just a food for thought for the bloggers so that we formulate something as close as NFFU for the civil services, by dovetailing the peculiarities of our hierarchy and promotion ratios.

    ReplyDelete
    Replies
    1. "Grant of higher pay scale on the non-functional basis would be from the date of posting of the first officer belonging to the particular batch of IAS officer at the centre. In case of any delay in the issue of orders, financial benefits under these orders will be given from the due date.

      The order is not allowing equating with more than 2 year junior IAS officers."

      My presumption is that it would become applicable no sooner some one in a junior course is promoted because there are two courses passing out every year.

      By the way it is NFU for Non-Funtional Upgradation and not NFFU (pray what is the full form of this?).

      Delete
    2. Sir, I had assumed "NFFU" was meant to imply "Non Functional Financial Upgradation", but, as you have rightly update everyone, the official form is NFU.

      There is another aspect of NFU as it might relate to AFs. Sometime back the blog "Military Benefits" described NFU as "OROP by the backdoor" for central Govt Group A officers. Which is clear enough as they would all, more or less, have pensions applicable to the highest post possible even if not promoted.

      But OROP in the case of armed forces would have no similar benefits for the armed forces Officer cadre. Officers retiring at 54/57 years as Col or equivalent would, in a vast majority of cases, have pensions less than those of Brigadiers and Maj Gen. OROP would not be the equivalent of the civilians' NFU for armed forces officers whereas the civilians' NFU is certainly the full equivalent of the armed forces' OROP via "backdoor" as civilians retire at 60 years of age. But, to be fair, it is not presently clear to me how the past Group A retirees' pension would be impacted by NFU for currently serving and retiring Group 'A' officers. I can't say they'd also be benfitted by NFU for those currently serving/retiring as Group 'A' officers.

      Even if NFU and OROP are granted to armed forces, would it enable the Col retiree to draw the same pension as, say, a Maj Gen on account of the difference in the retirement age?

      Also, unless the oft repeated issue of parity of pensions of former retirees in Maj/Lt Col rank with equivalent service of current retirees in Col(TS) rank is looked at and resolved, pension anomalies would persist even after NFU and OROP.

      Delete
    3. NFFU- Non-Functional Financial Upgradation .This may have originated from this blog post
      http://www.indianmilitary.info/2011/01/non-functional-upgradation-to-pay-band.html

      Delete
  3. In spoken form most of the civilians refer to this as Non Functional Financial Upgradation (NFFU) something in my understanding is akin to in-situ promotions on the civil side. But no debate on NFU as per Govt letters.
    May be it just upgrades your GP and not actual status. In fact Railway Ministry has clarified that NFU does not qualify anyone for Tpt Allowance of Rs.7,000/- per months as granted to JS and Equi as per 6 CPC.Any takers?

    ReplyDelete
  4. NFU being enjoyed by all cent govt employees since 2006.

    Armed Forces of cent govt have not yet received...,it is end 2014 , 9 long years (over 100 months -a decade since then and still not in sight.

    ARMED FORCES have to either derive or take !

    If AF cannot do either ,How can anybody help or assist them -even after that judicial verdict (constitutional authority in REPUBLIC OF INDIA ) and order in similar denial (fauxpas/cheating ) issue.??????? ,-29 long years since 1986.

    People have to wake up and act. act fast.

    ReplyDelete
  5. “These recommendations have been implemented only from 1.1.2006. As such any upgradation can be only with reference to the officers of IAS posted to the Centre after 1.1.06."
    Sir, as per the above DOPT instruction, the scheme is applicable after 1.1.06. That implies that even if an IAS officer was posted to centre on 01 january 2006, then also it should not benefit Group A services of two years senior batch as it will tantamount to giving Group A services benefit from 01 january 2004 which is not permitted as per DOPT instructions and cpc. This means that the benefits cannot be given for any period before 01 january 2006. That implies that the scheme should have become applicable wef 01 january 2008 onwards giving benefit to Group A service officers from 01 january 2006 onwards as a best case scenario.

    My gut feeling however is that these instructions would have been tweeked to give benefit to Group A offices wef 01 january 2004 based on IAS batch officer getting posted to centre on or after 01 january 2006.

    It would be interesting to see as to how the final implementation of this scheme by all the departments has been done.

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  6. Dear Sir,

    Earlier NFFU = Non-functional Financial Upgradation

    It has now been reduced to just NFU.

    Warm regards,
    - Harry

    ReplyDelete
  7. Dear Sir,
    Thanks for the collation at one place, of all rules for the grant of NFU for Org.Gp.A Services.
    Under the NFU, is the difference between the higher grade pay and the existing grade pay , just added to the existing pay in the pay band after incrementing it or a higher grade pay is actually granted?n'?
    If a higher grade pay is not granted , how can NFU be termed as 'Up-gradation?

    ReplyDelete
    Replies
    1. What is there in the name ? Issue is everybody n anybody of group A services will get this. These people never get superceded. They become eligible next year if there is any problem this year. Moreover, they are themselves the authority to tweak cpc recommendations through so called clarifications which they issue on drop of a hat as it affects group A in dopt and finance department/ ministry also.

      Delete
  8. @aaa:"...never get superceded..."; That may not be true, if we stick to the definition of "superseded".

    But, you are right in a way. Even if a promotion to the next higher post does not take place, financial disadvantage of supersession is minimized, rendered almost negligible for Gp A Officers.

    But, in the case of AF Officers, there is not only the disadvantage of early retirement, a several folds higher rate of supersession and all the extra hardships of service life, there is no NFU mechanism to compensate for all these negatives.

    Suspicion persists part of the reason for the wretched state of superseded armed forces officers, in comparison to Gp A Officers, is that the ability to put them in this sorry condition is a hidden perk for those who can wield this non-transparent authority. This is a perk not everyone in the higher echelons of the pyramid would be willing to surrender.

    ReplyDelete
  9. How much is the additional annual budget load on the Central budget as a consequence of grant of NFU?

    ReplyDelete
    Replies
    1. You can obtain such info under RTIA

      Delete
  10. Dear sir
    I was promoted from Grooup 'B' to Group 'A' ofiicer in 2006 against the vacancy year 2004-2005 and my batch was fixed 1997, when i should get PB-4 IAS officer enpanelled in Center of 1999 batch have got from july 2014 but as per our promotional criteria for next highet post is minimum 9 years

    ReplyDelete
  11. Whether increased allowances and higher entitlements other than increased transport allowance are eligible for Director level Officers granted with Gde Pay 10,000/-

    ReplyDelete
  12. Dear Sir,
    I belong to 1985 Indian Information Service. I got Sr.Administrative Grade ( Joint Secretary) on October 31,2006. I will be retiring on July 31, 2017. Whether I can get NFU as an Additional Secretary. I have not got any communication in this regard so far.

    ReplyDelete