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 beloAnging 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 29rd 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 b 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 lalteral 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.