HR_Manual_CIL 01112021

Page | 201 2. CIL Accounts exam Pt. I & II 3 yrs. as Sr. Officer in next below grade. DPC 3. Inter Cost/ Chartered and CIL Accounts exam Pt. I 4. Graduate 6 yrs. experience in next below grade. 5 Deputy Manager E-4 Chartered/ Cost Accountant or MBA with specialization in Finance/ Accounts with minimum 60% marks.5 yrs. post qualification experience 1. ACA/ AICWA/ MBA (Finance)/ CAS (New syllabus) 3 yrs. experience in next below grade. Not less than 15% of total no. of posts at any given time in this grade must be filled by Chartered Accountants. Any number falling short of this requirement will be recruited from open market. 2. CAS (Old syllabus) 3 yrs. experience in next below grade. 3. Inter Cost/ Chartered 5 yrs. experience in next below grade. 4. Graduate 6 yrs. experience in next below grade. 6 Manager E-5 -do- 6 yrs. post qualification experience ACA/ AICWA/ MBA with specialization in Finance/ CAS accountant 3 yrs. experience in next below grade. 7 Sr.Manager E-6 -do- 10 yrs. post qualification experience -do- 3 yrs. experience in next below grade. 8 Chief Manager E-7 -do- 3 yrs. experience in next below grade.9 General Manager E-8 -do- 3 yrs. experience in next below grade.10 Executive Director [132]E-9 As per Cl. 1.19Authority: Amendment of CCC in respect of Account’s Discipline for E-1 & E-2 Grade was approved by CIL Board in its 82 Meeting held on 17.02.87. nd 132 Amended due to OM No. CIL/C5A(PC)/ED Post/441 dated 25.06.2020.

Page | 202 MATERIALS MANAGEMENT DISCIPLINE Sl. No Designation [133]Grade [134]Outside Recruitment Promotion Remarks Minimum Qualification Minimum Experience Minimum Qualification Minimum Experience 1 Management Trainee E-2 Engineering Degree in Electrical or Mechanical Engineering with 2 years full time MBA/ PG Diploma in Management with minimum 60% marks. [135]2 Sr. Officer E-2 1. Graduate in Arts/ Science/ Commerce or recognized Dip. in Engg. (3 yrs duration) or 2 /1 Class ndstMine Manager’s Certificate or MBA 3 yrs experience as inspector of Stores/ Purchase or Chief Store Keeper in the Tech. & Superv. Gr ‘A’ 2. Matriculate 5 yrs -do- 3 Asst. Manager E-3 -do- After successful completion of 1 year training/ probation period in E-2 grade. [136] Placement. [136]4 Deputy Manager E-4 Engineering Degree in Electrical or Mechanical Engineering with 2 years full time MBA/ PG Diploma in Management with minimum 60% marks.Minimum 6 yrs. Arts/ Science/ relevant experience Graduate in Engg./ Technology or Graduate in Commerce or recognized Dip. in Engg. (3 yrs duration) or 2 /1 Class ndstMine Manager’s 3 yrs. experience in next below grade. 133Amended due to OM No. CIL/C-5A(vi)/CCC/1458 dated 01.07.2010.134Amended due to OM No. CIL/C-5A(vi)/005/35/1345 dated 25.01.2010.135 Amended as per MT 2019 Recruitment Notification. 136 Amended vide OM No. CIL/C5A(PC)/Rect_Dept/537 dated 07.01.2021. Earlier amended vide OO No. CIL/C-5A(PC)/CCC/42 dated 22.03.2012.

Page | 203 Certificate or MBA 5 Manager E-5 -do- 9 yrs. relevant experience -do- 3 yrs. experience in next below grade. 6 Sr.Manager E-6 -do- 13 yrs. relevant experience -do- 3 yrs. experience in next below grade. 7 Chief Manager E-7 -do- 16 yrs. relevant experience -do- 3 yrs. experience in next below grade. 5 yrs. experience in next below grade in exceptional cases with the approval of Cadre Controlling Authority for grant of relaxation in qualification norms. 8 General Manager E-8 -do- -do- 9 Executive Director [137]E-9 As per Cl. 1.19. Amended Order as per Board meeting 70th held on 19/20th Nov’ 1985CIL/C-5A(ii)51649-650/1307 dated 27.2.86 read with 78th BoD meet on 17.9.86, CIL/C-5A(iii)/51649-50/961 dated 27.11.1986. 137 Amended due to OM No. CIL/C5A(PC)/ED Post/441 dated 25.06.2020.

Page | 204 COAL PREPARATION DISCIPLINE Sl. No Designation [138]Grade [139]Outside Recruitment Promotion Remarks Minimum Qualification Minimum Experience Minimum Qualification Minimum Experience 1 Officer E-1 Matriculation/ School final or equivalent 7 yrs experience in the highest Non-Executive grade in the concerned Discipline This grade will not be operated until the Cadre Scheme for Non-Executive employees is framed. 2 Management Trainee E-2 B.E.,/ B.Tech.,/ B.Sc (Engg.) in Chemical/ Mineral Engineering with minimum 60% marks. [140]3 Asst. Manager E-3 1 or high 2 stndclass degree or post graduate degree/ dip. in any of the following branches of engineering: 1. Chemical engineering 2. Mineral dressing 3. Coal preparation 4. Electrical or Mechanical engineering 5. Mining engineering After successful completion of 1 year training/ probation period in E-2 grade. [141] Placement. [141]138Amended due to OM No. CIL/C-5A(vi)/CCC/1458 dated 01.07.2010.139Amended due to OM No. CIL/C-5A(vi)/005/35/1345 dated 25.01.2010.140 Amended as per MT 2019 Recruitment Notification. 141 Amended vide OM No. CIL/C5A(PC)/Rect_Dept/537 dated 07.01.2021. Earlier amended vide OO No. CIL/C-5A(PC)/CCC/42 dated 22.03.2012.

Page | 205 5 Deputy Manager E-4 B.E.,/ B.Tech.,/ B.Sc (Engg.) in Chemical/ Mineral Engineering with minimum 60% marks.6 yrs. post qualification experience -do- 3 yrs. experience in next below grade. 6 Manager E-5 -do- 9 yrs. post qualification experience -do- 3 yrs. experience in next below grade. 7 Sr.Manager E-6 -do- 13 yrs. post qualification experience -do- 3 yrs. experience in next below grade. 7 Chief Manager E-7 -do- 16 yrs. post qualification experience -do- 3 yrs. experience in next below grade. 8 General Manager E-8 -do-22 yrs. post qualification experience -do- 3 yrs. experience in next below grade.Note :- At the time of initial constitution of the cadre, executives with adequate experience in coal beneficiation may be allowed option to get absorbed in this cadre permanently on horizontal basis. (2) Existing incumbents who are already in E-3 and above grade may be considered for promotion in relaxation of the prescribed qualification in exceptional cases. [Circulated vide no. C5A (iii)/52118(Pt)/633 dated 27.08.84]

Page | 206 MEDICAL DISCIPLINE [142]Sl. No Designation Grade Outside Recruitment Promotion Remarks Minimum Qualification Minimum Experience Minimum Qualification Minimum Experience 1(a) Sr.Medical Officer E-3 Possession of recognized medical degree 1(b) Specialist E-3 Recognized post graduate qualification mentioned in Annexure 2 (a) Sr.Specialist E-4 Recognized post graduate qualification mentioned in Annexure 3 yrs. Post qualification experience connected with the specialty Possession of a minimum qualification as specified during recruitment. 3 yrs. Experience in lower grade 2(b) Dy Medical Superintendent E-4 Possession of a minimum qualification as specified during recruitment. 3 yrs. Experience in lower grade 3 Medical Superintendent/ Medical Superintendent (Specialist) E-5 -do- 3 yrs. Experience in lower grade 4 Dy.Chief Medical Officer E-6 Possession of a recognized medical degree or recognized PG specialization as mentioned in annexure 1 or Training in Hospital Administration 3 yrs. Experience in lower grade 5 Chief Medical Officer E-7 -do-3 yrs. Experience in lower grade 142 Amended vide OO No. CIL/C-5A(PC)/CCC/43 dated 22.03.2012.

Page | 207 6 Chief of Medical Services E-8 -do-3 yrs. Experience in lower grade 7 Executive Director [143]E-9 As per Cl. 1.19.Note: i. Existing Medical Executives not possessing any post graduate qualification will be eligible for promotion beyond E-6 grade provided they have undergone Training in Hospital Admn. or similar other training. ii. Promotion from E-4 to E-5 grade and above grades will be regulated in the ratio of 2:1:1 i.e. 2 Specialist Cadre, 1 General Cadre who has acquired Specialist PG qualification subsequently and 1 non-specialist. iii. Operation of the promotion ratio (2:1:1) of Medical Executives for promotions beyond E4 grade & onwards will be as under:[144]1) At first, Medical Specialists will be promoted against the proportioned vacancies of Medical Specialists. 2) If Specialist vacancies remain unfilled, then such vacancies will be diverted for promotion of GDMO with Specialists in that particular grade along with the proportioned vacancies of GDMO with Specialists. 3) If vacancies of Specialists and/ or GDMO with Specialists still remain unfilled, then such vacancies will be diverted for promotion of GDMOs in that particular grade along with the proportioned vacancies of GDMOs. 143 Amended due to OM No. CIL/C5A(PC)/ED Post/441 dated 25.06.2020. 144 Amended due to OM No. CIL/C5A(PC)/Med_Pr/555 dated 28.01.2021. Earlier amended due to OM No. CIL/C5A(PC)/Med_Pr/444 dated 02.07.2020.

Page | 208 Annexure MEDICAL SPECIFICATION OF QUALIFICATION UNDER PART A&B PART A – PART B –1 Medicine General MD MRCP PhD(medical) PhD(Physiology) PhD(Biochemistry) PhD(pharmacology), M.Sc(medical with Anatomy(Physiology, M.Sc (Medical Anatomy) DSc (Physiology) including Biochemistry, D Sc (pharmacology) 2 Surgery General MS. FRCS. FACS 3 Anesthesiology FFARCS MD/MS with anesthesiology as special. DA(BCP &S) eng. DA 4 Radiology MD(radiology) or MRCP with Radiology as special subject DMRT(2 yrs. Course) DMRE(2 yrs. Course) DRMS(1 yrs. Course) DMR&T(1 year Course) DMRD (1 yr.) 5 Obstetrics Gynecology MD, MO, MR. COG, FRCS, or MS(gynecology) DGO 6 Pediatrics MD or MRCP, FRCp (Canada) Dip/Ped DCH 7 Orthopedics MS,MCH(Orthopedics, Liverpool)FRCS D orthopedic, D orth S 8 Ophthalmology MS, FRCS (with ophthalmology) DO, DCMSD 9 Ophthalmology ENT MS, FRCS (with otolaryngology) DLO, DORI 10 Psychiatrist MD with psychiatry MRCP with psychiatry DPM 11 Dermatology & VD MD/MRCP with dermatology as special subject DVD & DDV 12 Pathology & Bacteriology MD (Pathology), MD(Path & Bact), M Sc (Path & Bact) PD(Path & Bact) D Sc (public health) DCP, PBD(Bact) 13 Public Health MD with Public Health, D Sc (Public Health) Mph, DPH, DTM & HLPH, DIR 14 Maternity & Child Welfare MD (Midwifery & Gynecology) MRCP DM & CW 15 Tuberculosis MD(MRCP, FRCS, MS TBD, DTD 16 Radiation Medicine DRM This list is not exhaustive The competent authority shall have the power to assign other qualification to Part A or Part B.

Page | 209 COMMUNITY DEVELOPMENT/ RESETTLEMENT & REHABILITATION (CD/R&R) Deleted [145]145 Deleted due to creation of Community Development Discipline vide OM No. CIL/C5A(PC)/CCC/275 dated 23.07.2014.

Page | 210 PRINCIPAL FOR THE SCHOOL OF NURSING [146]Sl. No Designation Grade Outside Recruitment Promotion Remarks Minimum Qualification Minimum Experience Minimum Qualification Minimum Experience 1 Sr. Officer Officer [147]E-2 M.Sc. Nursing Combined 6 yrs. post qualification [B.Sc. (Nursing) & M.Sc. (Nursing)] teaching experience M.Sc. Nursing Combined 6 yrs. post qualification [B.Sc. (Nursing) & M.Sc. (Nursing)] teaching experience B.Sc. Nursing (Basic or Post Basic) 8 yrs. post qualification teaching experience B.Sc. Nursing (Basic or Post Basic) 8 yrs. post qualification teaching experience 2 Assistant Manager E-3 -do- After successful completion of 1 year training/ probation period in E-2 grade. [148] Placement. [148]3 Deputy Manager E-4 -do- 6 yrs. in the next below grade 4 Manager E-5 -do- 6 yrs. in the next below grade 146 Incorporated vide OO No. CIL/C5A(PC)/CCC/01 dated 01.01.2014. 147 Clarified vide letter No. CIL/C5A(PC)/Promotion/515 dated 01.12.2020. 148 Amended vide OM No. CIL/C5A(PC)/Rect_Dept/537 dated 07.01.2021. Earlier amended vide OO No. CIL/C-5A(PC)/CCC/42 dated 22.03.2012.

Page | 211 COMMUNITY DEVELOPMENT [149] Outside Recruitment Sl.No Designation Grade Minimum Qualification Min Exp Remarks 1 Management Trainee E2 Minimum 2 years Full time Post graduate degree or Post graduate diploma (from a recognized University/ Institute) in Community Development/ Rural development/ Community Organization & Development Practice/ Urban & Rural Community Development/ Rural & Tribal Development/Development Management/ Rural Management (Or) Minimum 2 years Full time Post Graduate Degree (from a recognized University/ Institute) in Social Work with specializations Community –Development/ Rural development/ Community Organization & Development Practice/ Urban & Rural Community Development/ Rural & Tribal Development/Development Management 2 Assistant Manager E-3 -do- After successful completion of 1 year training in E-2 grade. [150] Placement. [150]3 Dy Manager E-4 -do-4 years experience in lower grade 4 Manager E-5 -do-4 years experience in lower grade 5 Sr Manager E-6 -do-4 years experience in lower grade 6 Chief Manager E-7 -do-4 years experience in lower grade 7 General Manager E-8 -do-3 years experience in lower grade 149 Incorporated vide OM No. CIL/C5A(PC)/CCC/275 dated 23.07.2014. 150 Amended vide OM No. CIL/C5A(PC)/Rect_Dept/537 dated 07.01.2021. Earlier amended vide OO No. CIL/C-5A(PC)/CCC/42 dated 22.03.2012.

Page | 212 8 Executive Director [151]E-9 As per Cl. 1.19 151 Amended due to OM No. CIL/C5A(PC)/ED Post/441 dated 25.06.2020.

Page | 213 PUBLIC RELATIONS DISCIPLINE [152]Sl. No Designation Grade Outside Recruitment Promotion Remarks Minimum Qualification Minimum Experience Minimum Qualification Minimum Experience 1 Management Trainee E-2 Post graduate degree/ Post graduate diploma (full time course) in Journalism/ Mass Communication/ Public Relation from a recognized Institute/ University Written test &/or interview subject to availability of vacancy 2 Sr. Officer E-2 Post graduate degree/ Post graduate diploma (full time course) in Journalism/ Mass Communication/ Public Relation from a recognized Institute/ University 3 years working in T&S Gr A after acquiring prescribed qualification. Departmental Selection through written test & interview subject to availability of vacancy. 3 Asst. Manager E-3 Post graduate degree/ Post graduate diploma (full time course) in Journalism/ Mass Communication/ Public Relation from a recognized Institute/ University 2 years relevant post qualification experience. -do- After successful completion of 1 year training/ probation period in E-2 grade. [153]Placement. [153]4 Deputy Manager E-4 -do-5 years relevant post qualification experience. -do- 4 years experience as Assistant Manager -do- 152 Incorporated vide OM No. CIL/C-5A(PC)/CCC/1684 dated 19.08.2016. 153 Amended vide OM No. CIL/C5A(PC)/Rect_Dept/537 dated 07.01.2021. Earlier amended vide OO No. CIL/C-5A(PC)/CCC/42 dated 22.03.2012.

Page | 214 5 Manager E-5 -do- 8 years relevant post qualification experience.-do- 4 years experience as Deputy Manager-do- 6 Sr.Manager E-6 -do- 12 years relevant post qualification experience.-do- 4 years experience as Manager-do- 7 Chief Manager E-7 -do- 15 years relevant post qualification experience.-do- 4 years experience as Senior Manager-do- 8 General Manager E-8 -do- 18 years relevant post qualification experience.-do- 3 years experience as Chief Manager-do- Note: The Minimum Qualification mentioned in column (6) will not be a bar for the existing executives in the PR Discipline as on the date of approval of the Cadre Scheme.

Page | 215 Company Secretary [154]Sl. No. Designation Gr Outside Recruitment Promotion Remarks Minimum Qualification Minimum Experience Minimum Qualification Minimum Experience 1 Management Trainee (CS) E2 Graduate in any discipline from a recognized University/ Institute having acquired Company Secretary qualification with Associate/ Fellow membership of ICSI. Preference would be given to those candidates who have worked in a listed Company. Nil 2 Sr.Officer (CS) E2 - - Graduate in any discipline from a recognized University/ Institute having acquired Company Secretary qualification with Associate/ Fellow membership of ICSI. Nil 3 Asstt. Manager (CS) E3 Graduate in any discipline from a recognized University/ Institute having acquired Company Secretary qualification with Associate/ Fellow membership of ICSI. Preference would be given to those candidates who have worked in a listed Company. Minimum 4 years’ experience as Company Secretary -do- After successful completion of 1 year training/ probation period in E-2 grade. [155]Placement. [155]154Incorporated due to OM No. CIL/C5A(PC)/CS Cadre/448 dated 04.07.2020.155 Amended vide OM No. CIL/C5A(PC)/Rect_Dept/537 dated 07.01.2021. Earlier amended vide OO No. CIL/C-5A(PC)/CCC/42 dated 22.03.2012.

Page | 216 4 Deputy Manager (CS) E4 -do- Minimum 8 years’ experience as Company Secretary -do- 4 years’ experience as Asst. Manager (CS) in E3 grade 5 Manager (CS) E5 -do- Minimum 12 years’ experience as Company Secretary -do- 4 years’ experience as Deputy Manager (CS) in E4 grade 6 Senior Manager E6 (CS) -do- Minimum 13 years’ experience as Company Secretary [156]-do- 4 years’ experience as Manager (CS) in E5 grade 7 Chief Manager (CS) E7 -do- Minimum 15 years’ experience as Company Secretary [156]-do- 4 years’ experience as Sr. Manager (CS) in E6 grade 8 General Manager (CS) E8 -do- Minimum 17 years’ experience as Company Secretary [156]-do- 3 years’ experience as Chief Manager (CS) in E7 grade Note: Deleted [157]156Amended due to OM No.CIL/C5A (PC)/CS Cadre/665 dated 01.06.2021157 Deleted due to OM No. CIL/C5A(PC)/Rect_Dept/537 dated 07.01.2021.

Page | 217 References 1 Common Coal Cadre (Chapter IV) bearing amendments upto 30.11.1984.2 OM No. C-5A(iii)/50996/(Pt)/1205 dated 07.02.1986. 3 OM No. CIL/C-5A(iii)/50996/(Pt)/991 dated 03.12.1986. 4 OM No. CIL/C5A(vi)/50729/165 dated 25.09.1991. 5 OO No. CIL/C5A(ii)/52100(2)/RC/792 dated 06.09.1993. 6 OM No. CIL/C-5A(vi)/CCC/204 dated 06.01.1995. 7 Cadre Schemes of various disciplines bearing amendments upto 2000. 8 OM No. CIL/C-5A(vi)/CCC/50729/137 dated 12.09.2002. 9 Letter No. CIL/C-5A(iii)/Cadre Scheme/05/343 dated 08.06.2005. 10 GM(P), CIL’s Note regarding the approved suggestions of CVO dated 05.12.2005 11 OM No. CIL/C5A(vi)/CCC/372 dated 20/21.02.2007. 12 OM No. CIL/C-5A(vi)/CCC/379 dated 07.03.2007. 13 OM No. CIL/C-5A(vi)/CCC/380 dated 07.03.2007. 14 OM No. CIL/C-5A(vi)/CCC/415 dated 10.04.2007. 15 OM No. CIL/C5A(vi)/CCC/426 dated 23/24.04.2007. 16 OM No. CIL/C5A(vi)/CCC/468 dated 14.06.2007. 17 Corrigendum No. CIL/C5A(vi)/CCC/478 dated 25.06.2007. 18 Letter No. CIL/C5A(vi)/CCC/569 dated 05.10.2007. 19 OM No. CIL/C5A(vi)/CCC/860 dated 20.05.2008 20 Approval of 249 meeting of CIL Board held on 10.04.2009. th21 OM No. CIL/C-5A(vi)/005/35/1210 dated 02/07.05.2009. 22 Approval of 251 Board meeting held on 09.09.2009 regarding uniformity in stterms & conditions of appointment in respect of Management Trainees. 23 OM No. CIL/C-5A(vi)/005/35/1345 dated 25.01.2010. 24 OM No. CIL/C-5A(vi)/CCC/1470 dated 13.07.2010.

Page | 218 25 OM No. CIL/C5A(vi)/CCC/1580 dated 03/05.05.2011. 26 OM No. CIL/C-5A(vi)/CCC/1585 dated 02.06.2011. 27 OO No. CIL/C-5A(PC)/CCC/42 dated 22.03.2012. 28 OO No. CIL/C-5A(PC)/CCC/43 dated 22.03.2012. 29 OO No. CIL/C5A(PC)/CCC/01 dated 01.01.2014. 30 OO No. CIL/C-5A(PC)/CCC/04 dated 01.01.2014. 31 OM No. CIL/C5A(PC)/CCC/275 dated 23.07.2014. 32 OM No. CIL/C5A(PC)/CCC/334 dated 24.09.2014. 33 OM No. CIL/VIG/2015/MK-3/Conf/446 dated 31.05.2016. 34 OM No. CIL/C-5A(PC)/CCC/1684 dated 19.08.2016. 35 OM No. CIL/C-5A(CRC)/Vig/55 dated 05.04.2017. 36 OM No. CIL/C5A(PC)/2098 dated 18.05.2017. 37 OM No. CIL/C5A(PC)/ED/2099 dated 19.05.2017. 38 OM No. CIL/C5A(PC)/CCC/2100 dated 19.05.2017. 39 OO No. CIL/C5A(PC)/CCC/E6-E7/179 dated 23.07.2019. 40 Direct Recruitment Notification MT 2019. 41 Letter No. CIL/C5A(PC)/Promotion E6-E7/393 dated 07.03.2020. 42 OM No. CIL/C5A(PC)/ED Post/441 dated 25.06.2020. 43 OM No. CIL/C5A(PC)/Med_Pr/444 dated 02.07.2020. 44 OM No. CIL/C5A(PC)/CS Cadre/448 dated 04.07.2020. 45 OM No. CIL/C5A(PC)/ED Post/470 dated 17.08.2020. 46 OM No. CIL/C5A(PC)/Promotion/476 dated 09.09.2020. 47 OM No. CIL/C5A(PC)/Rect. Survey/477 dated 12.09.2020. 48 OM No. CIL/C5A(PC)/Promotion/484 dated 01.10.2020. 49. OM No. CIL/C5A(PC)/ED Post/489 dated 12.10.2020.

Page | 219 50. OM No. CIL/C5A(PC)/Promotion/505 dated 05.11.2020. 51. OM No. CIL/C5A(PC)/Promotion/509 dated 17.11.2020. 52. OM No. CIL/C5A(PC)/ED Posts/511 dated 18.11.2020. 53. Letter No. CIL/C5A(PC)/Promotion/515 dated 01.12.2020. 54. OM No. CIL/C5A(PC)/Rect_Dept/537 dated 07.01.2021. 55. OM No. CIL/C5A(PC)/ED Post/540 dated 11.01.2021. 56. OM No. CIL/C5A(PC)/Med_Pr/555 dated 28.01.2021. 57. Letter No. CIL/C5A(PC)/CS/570 dated 18.02.2021. 58. OM No. CIL/C5A(PC)/Transfer/582 dated 17.03.2021. 59. Letter No. CIL/C5A(PC)/Promotion/668 dated 07.06.2021. 60. OM No. CIL/C5A (PC)/CS Cadre/665 dated 01.06.2021. 61. OM No. CIL/C5A(PC)/Promotion/735 dated 16.08.2021. 62. OM No. CIL/C5A(PC)/Safety Clearance/753 dated 26.08.2021. 63. OM No. CIL/C5A(PC)/Security Rect/771 dated 23.09.2021. 64. OM No. CIL/C5A(PC)/ED Posts/774 dated 24.09.2021. 65. OM No. CIL/C5A(PC)/ED Posts/796 dated 18.10.2021.

220 | P a g eDetermination of Inter Se-Seniority [1]1.1.With the nationalization of coal mines in two spells, one in respect of coking coal mines and formation of Bharat Coking Coal Ltd. and another in respect of non-coking coal mines and formation of Coal Mines Authority Limited, three sets of executives were brought together, viz.: i) Executives borne on NCDC cadre ii) Executives taken over from coking coal sector iii) Executives taken over from the non-coking coal sector forming bulk of officers in the CMAL. Subsequently, Coal Board was abolished and the officers of Coal Board (forming a fourth set) came to be absorbed in CMAL and BCCL with effect from 1st April, 1975. 1.2.Formation of Coal India Limited with effect from 1 November, 1975 and the stconstitution of common coal cadre necessitated integration of these four groups of executives into one main stream. 1.3.The seniority of NCDC officers got gradually evolved on the basis of the date of entry of the individual officers in a particular grade and there was certain determined seniority of NCDC officers prior to their absorption in the CMAL. With the formation of CMAL, the question of drawing up inter-se seniority of the taken over officers and those borne on NCDC cadre came up. Two high power committees appointed by the CMAL Board went in to the matter and found it difficult to determine inter-se seniority of all the officers and recommended that all the eligible officers should be considered together for promotion. 1.4.After the formation of Coal India, further efforts were made to formulate principles for fixation of seniority of all the four groups of officers referred to earlier in an integrated manner. As a result of discussions held at the CMD’s co-ordination meetings certain norms for determination of seniority were drawn up but certain difficulties were experienced in implementing these norms and in integration the seniority of the four groups of officers. 1.5.The matter was also examined in depth by the Apex Policy Committee for executives of Coal India, constituted for the purpose of examining the representations of executives. This committee felt that in view of the difficulties encountered in integrating the seniority of the four groups of officers, the cases of all eligible officers should be considered by the DPCs irrespective of the number of vacancies in the higher post, and recommendations for promotion would be mainly in order of merit. Once they are recommended for promotion, the DPC should determine the order of merit of those found suitable for promotion, which will form the basis for promotion to the next higher grade and for evolving inter-se seniority on the promoted grade in due course. 1 Chapter V of Common Coal Cadre. Amendments upto 30.11.1984 was communicated in a Book form (2 ndedition).

221 | P a g e1.6.A large number of promotions have been made effective from the executive grade to the other after the initial absorption of taken over officers (i.e. 1-7-1972 or 1-8-1973 and 1-5-1973 in respect of NCDC officers). Seniority lists of executives in each grade and discipline should be drawn up following the general principles indicated below by the respective companies in respect of executives in the grades of E-4 and below and by Coal India for officers in the grades of E-5 and above. (A) Seniority in Respect of Officers in the Grade of E-4 and Below(i) Wherever there is an established seniority in the grades of E-4 and below, this seniority position should be followed. (ii) In respect of officers, whose seniority position has not been determined, the following procedure shall be followed: (a) The officers, who have not been promoted at least once after their initial absorption of taken over officers (i.e. 1.7.1972 or 1.8.1973 and 1.5.1973 in respect of NCDC officers), will be the senior-most in the list and they should be clubbed together. The DPCs, whenever meet, should consider the cases of these officers first before considering officers who have been promoted at least once after initial absorption (i.e. 1.7.1972 or 1.8.1973 and 1.5.1973 in respect of NCDC officers). (b) The seniority inter-se in respect of Officers, who got at least one promotion after their initial absorption (i.e. 1.7.1972 or 1.8.1973 and 1.5.1973 in respect of NCDC officers) will be determined on the basis of their date of entry into the grade subject to the condition that in respect of the officers considered by a single DPC and thereafter promoted, the merit as determined by the DPC will be taken irrespective of their date of entry in the grade. (c) If, in the case of officers who were considered by a single DPC and thereafter promoted, relative merit was not determined by the DPC, all the officers promoted in that batch will be clubbed together, whenever DPC meets, all such officers together will be considered, subject to their eligibility reckoned from the date of issue of orders. (iii) Separate seniority lists of 2 class Under Managers promoted to E3 grade ndand above in terms of para 1.10.5 of Cadre Scheme & Promotion Procedures, will be maintained for each grade. Clarification: [2]If any Senior Under Manager (2nd Class) in E3 grade and above after passing 1st Class Mine Managers examination wishes to opt out of the seniority list of Senior Under Managers for placement in the regular channel 2 Clarification issued vide OM No. CIL/C-5A(ii)/50972/22/3497 dated 07.11.1984.

222 | P a g eof Mining discipline (1st Class Certificate holders) the following procedure may be adopted: - i) The concerned Senior Under Managers should apply in writing for their horizontal movement to the regular channel of Mining discipline. ii) Such applications may be examined by a Committee constituted by the concerned cadre Controlling Authority and subject to suitability and availability of vacancies in the regular channel of Mining discipline in the relevant grade, the requests of Senior Under Managers for horizontal movement may be allowed. iii) Their seniority in the relevant grade on horizontal movement to the regular channel of Mining discipline will be reckoned from the date of issue of orders allowing such horizontal movement. (B) Seniority in Respect of Officers in the Grade of E5 According to the existing practice the companies promote officers working in that particular company from E-4 to E-5 grade. Integration of officers in E-5 grade promoted by various subsidiary companies is essential because the promotion from E-5 to E-6 grade and above is to be handled centrally covering all executives posted in all the subsidiary companies. With a view of integrating these officers, their seniority inter-se has to be determined. For this purpose the following guidelines will be adopted by Coal India Limited: (i) Executives, who have not got at least one promotion since their absorption (i.e. 1.7.1972 or 1.8.1973 and 1.5.1973 in respect of NCDC officers), will be the senior most in a particular grade and discipline. These executives will be bracketed together and the DPC would consider all such officers together first before considering the officers who got at least one promotion after their initial absorption (i.e. 1.7.1972 or 1.8.1973 and 1.5.1973 in respect of NCDC officers). (ii) In the case of officers, who were promoted at least once after their initial absorption (i.e. 1.7.1972 or 1.8.1973 and 1.5.1973 in respect of NCDC officers), seniority will be drawn on the basis of their date of entry into the grade subject to the condition that in respect of officers considered by a single DPC and thereafter promoted, the merit as determined by the DPC will be taken irrespective of their actual date of entry in the grade. If inter-se merit was not determined by the DPC such officers will be clubbed and they will all be considered together by the DPC irrespective of the number of vacancies. (iii)In case of officers promoted by two different subsidiary companies within a span of six months, they will be bracketed together without mentioning seniority inter-se amongst them. For the purpose of eligibility and seniority of these officers promoted by two different subsidiary companies within a

223 | P a g espan of six months, the officers promoted late will be deemed to have been promoted to this grade and entered the grade of E5 along with the officers promoted earlier, irrespective of their actual date of entry in to the grade. Whenever DPC meets, all the officers so clubbed will be considered together in order to recommend a select list in order of merit. As no specific date covering the said period of six months has been stipulated in the above provision, and in order to avoid any ambiguity in this regard, it has been decided that the officers promoted to E5 grade by the CIL and its subsidiaries during the under mentioned periods in a financial year will be bracketed together for the purpose of seniority according to their date of promotion: (i) 1 April to 30th September. st(ii) 1 October to 31st March. st(C) Seniority in Respect of Officers in the Grade of E-6 and above (i) Executives, who have not got at least one promotion since their absorption (i.e.1.1.1972 or 1.8.1973 and 1.5.1973 in respect of NCDC officers) will be the senior most in the particular grade and discipline. These officers are bracketed together and the DPCs should consider all such officers together first before considering the officers who got at least one promotion after their initial absorption (i.e. 1.7.1972 or 1.8.1973 and 1.5.1973 in respect of NCDC officers). (ii) Officers promoted at least once after their initial absorption (i.e. 1.7.1972 or 1.8.1973 and 1.5.1973 in respect of NCDC officers), but prior to 1.11.1975, i.e. prior to formation of Coal India, on the basis of the recommendation of two different DFCs separately by BCCL and CMAL, all will be clubbed together without mentioning the seniority inter-se amongst them. When the gap between these two promotions is not more than six months, the eligibility and the seniority of the officers promoted later will be determined as if the officers promoted later have entered the grades along with the officers promoted earlier. In other words, these officers will be clubbed together irrespective of their date of entry into the grade. While considering their cases for promotion, when they become eligible for such consideration, the DPC will consider all these officers together and recommend promotion to the next higher grade after determining their relative merit. (iii)The executives promoted after formation of coal India on the basis of recommendation of a single DPC, which considered all eligible officers of BCCL, CMAL, NCDC, etc. and prepared a select list drawn in order of merit, their seniority in the promoted grade will be on the basis of the panel drawn in order of merit irrespective of their actual date of joining. (iv)In the case of officers promoted after formation of Coal India, when the merit inter-se was not determined such officers will be clubbed together without

224 | P a g edetermining their seniority inter-se and whenever DPC considers, such people will be considered together for consideration for promotion to the next higher grade on the basis of their relative merit. 1.7.Till it becomes possible to determine inter-se seniority of the executives in various grades, the promotions from one grade to the other in the executive cadre are being done on the following basis considering all eligible departmental candidates irrespective of the number of vacancies. (i) The eligibility for consideration for promotion to the next higher grade will determine in terms of the provision in the respective cadre schemes. (ii) The eligibility for consideration for promotion in respect of the taken over officers who are absorbed in the nationalized coal mines on different dates would be determined as if they had all been absorbed together, i.e. with effect from 1.7.1972 in respect of officers of coking coal sector and 1.8.1973 in respect of non-coking coal sector. (iii)Since BCCL and erstwhile CMAL promoted officers independently till the formation of Coal India Ltd., while considering such officers who were promoted in two different batches by BCCL and CMAL, officers promoted later will be deemed to have entered the grade along with the officers promoted earlier, if the gap of promotion period is not more than six months for determining their eligibility for consideration for promotion. This benefit will not be allowed if the gap of promotion is more than six months. 1.8. Extracts from the Report of the Committee constituted by Chairman, Coal India Limited to go into the Issues relating to determination of Inter-se Seniority of the executives. [3]1.8.1.The Committee then examined the rules for inter-se seniority of executives as incorporated in the Common Coal Cadre and found the same to be reasonable and fair in the circumstances and background of the nationalization of the coal industry and the development of different cadres as constituted today. The Committee, however, noted that there are various issues/situations which arise in practice but are not covered in the existing seniority rules. The Committee deliberated on these issues to evolve their recommendations which are included in this report. 1.8.2.The Committee hopes that the norms for determination of inter-se seniority now being recommended should go a long way in resolving many of the outstanding problems on this issue. These norms may be applied in resolving the unresolved cases of seniority and for determination of seniority in future. While making these recommendations, the Committee would like to stress that the intention of the Committee is to help in settling the unsettled issues and not to reopen the settled issues. Further, the Committee feels that any reconsideration of the seniority of an executive on the basis of the norms recommended by the Committee should be 3 Circulated vide letter No. C5A/52106(2)/538 dated 19.05.1980.

225 | P a g erestricted to his placement/seniority within the grade and discipline in which he is currently placed. 1.8.3.The main issues as identified by the Committee and its recommendations thereon are given in the following paragraphs: 1. Determination of seniority of executives in E1 to E4 grades on inter-company transfers. a. This issue has two aspects: (a) Inter-company transfer made effective on administrative ground. (b) Inter-company transfer made effective at the request of the executive concerned on personal grounds. According to the existing system, the officers in E1 to E4 grades belong to the respective company cadres on ‘as-in-where-is’ basis. Their career growth up to E5 grade is within the company. When an executive in these grades moves from one company to the other, he gets absorbed in the appropriate cadre of that company. b. The Committee recommends that: (i) When an inter company transfer is made effective on administrative grounds, the seniority of the executive shall be fixed in the company to which he is transferred taking in to account his date of entry in the grade: (ii) When the inter-company transfer is made effective on personal grounds at the request of the executive concerned, his seniority in the company to which he is transferred, shall be fixed as if he is entered the grade on the date of his assumption of charge in the new company. In other words, such executive will lose his past seniority in the grade. 2. Determination of seniority on horizontal inter-disciplinary movement This issue has the following aspects: (a) Movement of Officers from one discipline to other temporarily; (b) Movement of officers from one discipline to the other on permanent basis a. As regards inter-disciplinary movement on temporary basis, the Committee recommends that officers may be moved as may be decided by the Management from time to time and such officers should continue to be borne on their parent cadre. Such horizontal movement should not put the executive concerned in a disadvantageous position in career prospects in his parent cadre and for the purpose of computing the period of eligibility for promotion to the next grade in his present cadre, the period spent in other discipline should also be counted.

226 | P a g eb. If inter-disciplinary movement is envisaged on a permanent basis due to lack of adequate personnel in a particular cadre/discipline, executives may be drawn from other disciplines horizontally only on obtaining applications through internal notification within the company. In the event of such induction at levels above E-5 or when adequate numbers of persons are not available within the company in case of officers up to E-5, inter-company notification should be issued. Selection from amongst the applicants shall be made on the basis of qualifications, type of experience and aptitude for the new discipline. In such cases, the officers selected for the new discipline may be kept on probation for a period of one year before their permanent absorption in the new discipline. Permanent absorption on successful completion of the probation will be subject to suitability. If the executive is found to be unsuitable, he would be reverted to his parent discipline. c. During the probationary period referred to in para 1.8.3 (2)(b) above the officers will continue to be borne on their parent cadre and would be eligible for promotion in that cadre as per rules. On permanent absorption in the new discipline, the officers will be entitled to be considered for promotion only in the new discipline. Their service in the new cadre for the purpose of determination of seniority and eligibility will count from the date on which they entered their grade in the parent cadre. d. The Committee noted that there are many cases where officers of one discipline have been deployed in another discipline for considerable period and they are still borne on their parent cadre. The Committee recommends that all such cases should be decided within a period of six months in order to determine whether these are cases of temporary transfers or permanent transfer. The committee further recommends that the officers, who have put in more than two years’ service in the new discipline, should either be permanently absorbed in that cadre or reverted to their parent cadres. While determining seniority in the new discipline the circumstances of each case and the aforesaid guidelines should be kept in view. Necessary formalities, such as severing of connection with the parent cadre, etc., should be simultaneously completed. 3. Inter-se- seniority of JETs/M(T) a. JETs in Non-mining Discipline: This may be divided in to the following groups: (i) JETs who were recruited on the basis of recommendations of a Selection Committee which had not drawn an inter-se merit list. (ii) JETs having inter-se merit list as determined by the Selection Committee. (iii) JETs who joined as trainees after a lapse of a considerable period after issue of letter of appointment.

227 | P a g e(iv) JETs whose training period was extended because of unsatisfactory performance. b.The Committee’s recommendations in respect of the above categories are as follows: c. The seniority of the JETs on regular appointment in E2 grade/post after successful completion of the training will be as per the merit list drawn at the time of recruitment, if such a list was drawn up. d. The Committee, however, noted that in ECL merit lists are being drawn up by a Committee constituted for consideration of the cases of JETs for appointment in the regular post. In such cases, their seniority position will be as determined by the said Committee. This committee recommends that such determination of seniority on completion of probationary/training period should be stopped forthwith. e. If no merit list was drawn by the Selection Committee at the time of appointment as JETs or at the time of regular appointment as stated the seniority will be determined on the basis of the date of coming into E2 grade/post on regular basis, after successful completion of training. f. In the case of JETs who join the organization after a lapse of a period of four months from the date of issue of appointment letter, their seniority after their regular appointment in E2 grade will not be determined according to their panel position, but will be determined on the basis of date of their appointment in the regular post in E2 grade. In other words, while the JETs, who join the organization within a period of four months of the date of issue of appointment letter will get their seniority on the basis of the panel position, the JETs who join after four months will not get this benefit. g. The seniority of JETs, whose training period has been extended because of unsatisfactory performance during the training period, will be determined on the basis of their date of regular appointment in E-2 grade after successful completion of training. In this case, also, seniority on the basis of their panel position will not be given. 4. Inter-se seniority of JET (Mining) a. Where a joint merit list is available, the seniority will be determined on the basis of panel position drawn at the time of their appointment as trainees unless their training period has been extended by six months or more due to not obtaining the 2 Class Managership Certificate or unsatisfactory performance ndduring their training period or bad conduct etc. If the training period is extended due to any reason the seniority will be determined on the basis of actual date of appointment on regular basis in E2 grade. b. In respect of JETs in Mining discipline where no joint merit list was drawn at the time of their appointment as Trainees, seniority will be determined on the

228 | P a g ebasis of date of effect of the second Class Mine Manager’s Certificates of Competency or satisfactory completion of training period, whichever is later. c. With regard to appointment of JETs in Mining cadre on regular basis in E2 grade/post, the Committee noted that varying practices were prevalent in different companies. The Committee, therefore, recommends that the JETs in Mining discipline may be allowed to draw emoluments as applicable to regular E-2 post in Mining discipline after successful completion of training period or from the date of effect of second class Certificate [Provisional] whichever is later unless their training period has been extended for reasons other than obtaining Second Class Certificate. While recommending this, the Committee was conscious that the provisional certificate issued in this regard takes sometimes unduly long time after one becomes eligible to hold the statutory post and also the concerned executive may take some time in submitting the certificate issued by the Board of Mining Examinations. The Committee also noted that according to the Certificate, the holder is usually eligible to hold the statutory position with retrospective effect. 5. Seniority of Management Trainees The Committee recommends adoption of the principle enumerated in paragraphs 1.8.3(3)(a) to (g) in respect of Management Trainees (MBA) other than Management Trainee (Finance). 6. Seniority of the Management Trainees (Finance) The Committee recommends that their seniority on appointment in regular post in E2 grade be determined as under: a. Management Trainee (Finance), who successfully complete their training period and pass both Part-I and II of the prescribed departmental examination within the training period or in the first examination held immediately after completion of the training period will be allotted inter-se seniority according to the panel position at the time of recruitment, company-wise. b. Seniority of such of the MT(F)s who do not successfully complete the training period and/or who fail to pass the prescribed departmental examination [Parts I and II] within the training period or in the first examination held immediately after completion of the training period, will be fixed on the basis of actual date of their absorption in the regular grade. 7. Deemed Date of Entry into a Gradea. The Committee recommends that a common deemed date of entry in to a grade shall be determined for new recruits appointed in a batch on a particular date, in a company. This deemed date may be fixed in reference to the date of joining of the first person from the same batch. The said deemed date will be applicable

229 | P a g eonly in respect of direct recruits whose training period is not extended for any reason. b. This deemed date will help in fixing the seniority inter-se of direct recruits vis-à-vis promotees from non-executive cadre. 8. Determination of Inter-se Seniority of the Promotees from Non-executive Cadre: a. When there is a joint merit list drawn up by the Selection-cum-DPC seniority will be as per the merit list. b. If no merit list was drawn by the Selection-cum-DPC seniority may be determined on the basis of an established inter-se seniority of the candidates in the lower grade. If there is no established seniority even in the lower grade, they should all be bracketed and should be considered together by a subsequent DPC for next promotion so that their inter-se merit can be determined in the promoted post. The Committee also recommends that in future the DPC-cum-Selection Committee must determine the inter-se merit at the time of preparing the merit list. 9. Fixation of Seniority of Promotees vis-à-vis Direct Recruits The Committee examined the issue relating to the fixation of inter-se seniority of JETs/MTs on their regular appointment in E-2 grade vis-à-vis executives who are promoted from non-executive grades. The Committee recommends that inter-se seniority in these cases should be determined on the basis of the deemed date of entry into a grade. The procedure for determining the deemed date of entry into a grade in respect of direct recruits has been recommended in Para 1.8.3(7)(a). The Committee noted that Common Coal Cadre already provides that the date of issue of promotion orders shall be the deemed date of entry into a grade of promotees. 10. Taken over officers who were getting higher pay prior to nationalization and were fixed in a particular grade after nationalization claiming seniority over others. The question of initial fitment in a particular grade after nationalization of non-coking coal mines and coking coal mines should be taken as final and should not be re-opened even for the purpose of determination of their seniority in a particular grade. 11. Seniority - When Demoted and Later Restored The Committee also discussed as to the method of fixing the seniority and period of eligibility for the next promotion with regard to an officer who was once demoted to a lower grade for a particular period and subsequently his position was restored. In this situation, the Committee felt that the period of eligibility

230 | P a g eshould be fixed taking the total length of service one had rendered in the promoted grade prior to the demotion and subsequent to the restoration of the position. 12. Seniority of Executives in Case of Delayed Movement The Committee noted that in some cases of transfers on promotion, some officers unduly delay movement for their personal reasons. Such practice needs to be discouraged. The Committee recommends that in the event of failure of an officer to move as per orders within a reasonable t time he may lose his panel seniority in the higher grade. In exceptional cases, this may be condoned by the appropriate cadre controlling authority either wholly or partially as may be deemed fit. 13. Determination of seniority position of executives who could not be promoted while on training abroad/foreign service The eligible executive while on training abroad should be considered for promotion along with others by the DPCs and subject to suitability and availability of vacancies; they could be given Performa promotion depending upon their rank in the panel recommended by the DPC. Their promotion in the panel will determine the seniority in the higher posts. 1.9. Recommendations of the Committee to remove anomalies and for regulating future career growth of Mining Executives [4]1.9.1. Recommendations to remove existing anomaly (A)E4 Grade Executives Since many of the Sr. Mining Engineers (E4 grade) who passed 1 Class in 1991, st1992, 1993 and in 1994 have already been promoted to E5 grade w.e.f. 1 March, st1999, all the left over Sr. MEs who passed 1 Class in these years should be promoted/ stplaced in E5 grade w.e.f. 1 March, 1999 (no. of such officers will be approximately st160). After promoting/ placing the officers in E5 grade, seniority in E5 grade of all the officers in E5 grade is to be re-fixed in the following manner: i) The officers who passed 1 Class earlier to be placed higher. Effective date of stCertificate to act as 1 Class Manager as indicated under the Certificate issued by stDGMS should be determining the date for fixation of such seniority. To be precise, the officers having earlier effective date of 1 Class will be placed higher. stii) In case of tie on effective date, the next determining criteria for fixation of inter-se seniority should be the effective date as indicated under their 2 Class ndCertificate of Competency issued by DGMS. 4 Incorporated vide letter No. CIL/C5A(CC)/MIN/041/171 dated 22.09.2000.

231 | P a g eiii) In case of tie on (i) and (ii), the date of birth should be the deciding factor. Note: In other words, those who have passed 1 Class earlier and/ or have more stexperience both in 1 or 2 Class stream will be placed higher in seniority. stndBy doing so, the existing anomalies of the Sr. MEs in E4 grade who passed 1st Class earlier or in the same year but not yet promoted to E5 grade, will be sorted out once for all. There will be no fixation benefit to any Executives whose promotions will be considered from such retrospective date i.e., w.e.f. 01.03.1999 as suggested above. (B)E5 Grade Executives In terms of earlier decision (Apex P&IR Committee recommendations met in Feb & Nov.’95), in case officers who were promoted/ horizontally moved from 2nd Class to 1 Class stream (E4 to E5 grade) from retrospective dates i.e., either from 01.04.1993 stor from effective date of 1 Class Certificate as was the case had to wait in E5 grade ststrictly as per the conditions stipulated in their promotion orders. There are only 5 such Officers (all from WCL) who were promoted to E5 grade from 2 Class to 1 Class ndstChannel. The seniority of all the officers in E5 grade should be fixed based on the formula suggested above. 1.9.2. Recommendations of the Committee to remove anomalies and for regulating future career growth of Mining Executives [5]1. Henceforth, the benefit of promotion on passing 1 Class should be given to those 2 stndClass Managers only who pass 1 Class while working in E2 grade as was prevalent stbefore 01.04.1993 and provided in the Common Coal Cadre from the effective date of passing as indicated in the 1 Class Certificate provided it is submitted within one stmonth from the date of issue otherwise from the date of issue otherwise from the date of submission. 2. The Executives who pass 1 Class MMCC in E3, E4 & E5 grade will be horizontally stplaced in the same grade in 1 Class channel from the effective date of 1 Class. ststThe above recommendation shall come into force with effect from 08.05.2006. Accordingly, the old cases shall be disposed as per existing norms and guidelines and new pass out cases shall be dealt as per recommendation mentioned above. 1.10. Norms for determining Inter-disciplinary Inter-se Seniority of Executives [6]The following norms to be followed for determining Inter-disciplinary Inter-se seniority of Executives for forwarding applications of eligible applicants for PESB selection and other purposes wherever required: 5 Amended vide OM No. CIL/C-5A(CC)/MIN/093/81 dated 12.06.2006. 6 Incorporated vide OM No. CIL/C5A(PC)/Interse Seniority/2236 dated 08.08.2017.

232 | P a g ei) Present Deemed Date of Entry in the Current Grade, ii) Back Deemed Date of Entry into the Past Grade, iii) Initial Appointment Date of Entering into Executive Cadre, iv) Date of Birth (Seniors to be placed above the Junior) v) Name of the Executive (Alphabetical Order)

233 | P a g eReferences 1 Chapter V of Common Coal Cadre Amendments upto 30.11.1984. –2 Letter No. CIL/C-5A(CC)/MIN/041/171 dated 22.09.2000. 3 OM No. CIL/C-5A(CC)/MIN/0693/31 dated 12.06.2006. 4 OO No. CIL/C5A(PC)/Interse Seniority/2236 dated 08.08.2017.

234 | P a g ePerformance Management System Manual [1]1.0. Executive Summary Coal India has undertaken the initiative to implement the Balance Scorecard based Performance Management System to enhance fairness, transparency and inculcate a culture of meritocracy in the organization. The revamp of the existing Performance Management system is also aimed to act as an input to other HR systems like Performance Related Pay (in accordance with the guidelines issued by DPE), Training and Development, Career Planning and Rewards & Recognition. The rating and score of the new Performance Management system would formulate the basis for promotion and performance related pay. In order to create and launch the new system, CIL partnered with a global HR Advisory firm Right Management India. The project was conducted in three critical phases: Diagnostics Phase Detailed As-Is study of the existing system Design Phase Creation of Unique Position List, KPI Inventory, Scorecards, PMS Manual and Form Implementation Phase Pilot Implementation, Train the Trainer programs and Troubleshooting PMS form has been given the nomenclature of PRIDE which stands for Performance Report for Individual Development of Executive. We would like to specially thank the senior management team of Coal India and the members of the following teams for sharing their concerns, requirements and reservations on current policies, which greatly facilitated the design and implementation of this initiative. Steering Committee Team Design Team KPI Task Force Team Master Champion Team The Scope of the report pertains only to Executives. 1 Implementation of PRIDE effective from 2013-14 vide OM No. CIL/C-5A(PC)/BSC/277 dated 26.03.2013 (PMS 2013-14 Manual) and became Online from FY 2014-15 vide letter No. CIL/C-5A(PC)/BSC-PMS/127 dated 01.04.2014 (PMS Manual w.e.f 01.04.2014). Previously it was known as Executive Evaluation Report (EER) and the same has been superseded by the above-mentioned OM of CIL for introduction of PRIDE.

235 | P a g e2.0. Version of the Manual Balance Scorecard based Performance Management System is a dynamic system in any organization and would undergo changes as per the learning that takes place from the previous years. That being the case, this is Version 1 of the Balance Scorecard based Performance Management System Manual. The right of updating/ changing the manual rests with Coal India Limited only. The manual cannot be modified by any other person. The manual is the property of the Coal India Ltd. and should not be photocopied or reproduced without permission. The power to interpret the provision of the manual/ PMS is reserved with the Director (P&IR) - CIL/ Chairman- CIL and their interpretation will be final. 3.0.Performance Management System Adoption of Balanced Scorecard –Framework3.1. Performance Management System It is a process to meet the following objectives: Ensure that the executive understands the target of the Organization as a whole, and that of the Department and the specific section/unit. Set the executive‘s target and assess how the executive has performed against the defined target Provide feedback to the executive to ensure that s/he understands his/her performance Reward executive for their performance 3.2. Balanced Scorecard

236 | P a g eIt is a tool for translating and deploying organizational strategy into performance. It provides a balanced view of an organization‘s performance strategy across the four Perspectives Financial, Customer, Internal Business Process and Learning & –Growth. Balanced Scorecard was popularized by Robert Kaplan and David Norton in 1992. 3.3. What does Balanced Scorecard do? 3.4. Key Terminologies to know Key Result Area (KRA) - Selective areas of job, in which a high level of performance is required Key Performance Indicators (KPI) - Identify “WHAT” would indicate performance Rating Scale Clearly defines level of performance which would determine the –performance rating varying from 1 to 5 IllustrationKRA KPI Rating Scale [2]Cost Control Penalties & Fine Index Rating scale to be adhered is as follows : 1- If number of cases imposed is 0 2- If number of cases imposed is between 1-2 3- If number of cases imposed is between 3-5 4- If number of cases imposed is between 5-7 5- If number of cases imposed is greater than 73.5. Linkage with other SystemsPerformance Management System is linked with other key HR Systems. Some of the details are as follows: 2 Amended due to OM No. CIL/C5A(PC)/PMS/2826 dated 08.05.2018.

237 | P a g e4.0. PMS Overall Process 4.1. Overall Process Overall process of Balanced scorecard based Performance Management System is as follows:

238 | P a g e4.2. Goal Setting Schedule [ ] 3PRIDE Responsibility Timeline without penalty Timeline with penalty Self 1 April to 30 April stth1 May to 15 May stthRA By 25 May th26 to 31 May thstPAR Responsibility Timeline for Goal setting Self/ RA 1 April to 15 May stth(as per DPE guidelines) 4.3. Mid-year Performance Feedback Schedule [4]From 1 October to 31 October. stst4.4. Appraisal Schedule of previous FY [5]PRIDE Task Responsibility Normal Timeline Extended Timeline with penalty Self-Appraisal Executive concerned 1 to 30 June stth1 to 5 July stthAppraisal by Reporting Authority under PRIDE Reporting Authority By 10 July th11 to 15 July ththReview by Reviewing Authority under PRIDE Reviewing Authority By 20 July th21 to 25 Julyst thFinal Review by Accepting Authority under PRIDE Accepting Authority From 26 July to 10 August ththPublication of PRIDE ratings By 15 August thAppeal Disposal By 15 October thPublication of final PRIDE ratings after appeal disposal By 20 October th3 Amended as per OM No. CIL/C5A(PC)/PMS/469 dated 13.08.2020. 4 Amended as per Letter No. CIL/C5A(PC)/259 dated 28.09.2019.5Amended as per OM No. CIL/C5A(PC)/PMS/141 dated 28.05.2019.

239 | P a g ePAR Task Responsibility Normal Timeline Self-Appraisal Executive concerned 1 June to 31 October ststAppraisal by Reporting Authority Reporting Authority under PAR By 15 November thReview by Reviewing Authority Reviewing Authority under PAR By 30 NovemberthFinal Review by Accepting Authority Accepting Authority under PAR By 15 December thPublication of PAR ratings By 20 December thAppeal Disposal By 20 February of subsequent year thPublication of final PAR ratings after appeal disposal By 25 February of subsequent year th4.5. Performance Management Cycle 1. Target Setting-The first stage of PMS process is Target Setting. In this stage, clear and measurable standards of performance are set for executives in the entire organization. 2. Review- The second stage of PMS process is Review Mid Year Review- Mid year Review is held to assess the progress of performance till Mid year against the set target. This session aims to provide feedback to enable executive to understand what he /she is doing well, and what he/she needs to do differently. No rating is provided in this stage. 3. Final Review Final Review is held during the end of Appraisal cycle to review –and discuss the extent of executive‘s achievements has been obtained against agreed targets. Each executive provides a rating to his/ her own performance. This is followed by rating provided Reporting, Reviewing and Accepting authority. [6]4. Assessment would also be done on Personal Attributes“” and \"Special Achievements” by Reporting, Reviewing and Accepting authority. Feedback [6]would also be provided on the developmental needs. 6 Amended due to OM No. CIL/C5A(PC)/PMS/2826 dated 08.05.2018.

240 | P a g e5. Feedback and Developmental Planning- During the Final Review process the supervisor will discuss executive‘s strengths and Areas of Development based on his/ her observations during the year and seek the executive‘s self-assessment. 4.6. Performance Cycle 5.0. Target Setting Target Setting is one of the most crucial stage of Performance Management System. –It is in this stage that clear and measurable standards of performance are set for the entire organization. As a part of the Design phase of the program - KPI and Rating Scale has been clearly defined for each unique position in CIL.

241 | P a g eAgainst these defined KPI, the executive needs to set the target post discussion with his/ her Reporting authority for the year. 5.1. Guidelines Number of KPIs for each KRA Number of KPI’s are dependent upon various factors like:Span of Control (Determined from the number of positions that are directly reporting to the to the position under consideration) Span of Accountability (Determined from the organizational hierarchy at which the position under consideration is located in the organization structure) Span of Support (Determined from the degree to which interdepartmental alignment & support is necessary for the position under consideration to execute his or her work assignment) Span of Influence (Determined from the decision making authority that has been delegated to the position under consideration) The number of KPI for Product quadrant would range between 1-5 and for other quadrant would range between 1-3 Targets– Targets are quantitative elements. They indicate the “how much” which would define the meeting expectation performance criteria Targets have to be set post discussion with the functional controlling officer for the entire year -It is mandatory that a minimum of 8 KPIs are assigned to an executive out of which proces quadrant will have minimum 3 KPIs including the superordinate goal. The minimum and maximum number of KPIs in each Quadrant is shown in the table below: [7]Quadrant No. of fixed KPIs Minimum (including fixed KPI)Maximum KPIs Weightage Process1 3 5 60 Financial 1 1 3 20 Customer- 1 3 10 L&G- 1 3 10 Total2 8 14 100 7 Amended due to OM No. CIL/C5A(PC)/PMS/469 dated 13.08.2020.

242 | P a g e5.2. Guidelines for creation of new PRIDE/ PAR for goal setting on transfer and change of assignments under Online PMS [8]1. Goal setting under PMS, primarily is the responsibility of the executive concerned, who shall ensure setting of his goals within the scheduled time. 2. In case an executive joining at a new location on transfer or on change of the current role, a New PRIDE/ PAR will be activated by the concerned Area Nodal Officer. 3. For creating a New PRIDE/ PAR, the Area Nodal Officer will enter the following data: a. The New Reporting, Reviewing & Accepting Authority. [9]b. The \"Charge Assumption Date\" of the new role/ assignment at the unit. c. ''Goal Start Date\" (The \"Goal Start Date\" should not be more than 15 days from the \"Charge Assumption Date\") d. \"Goal End Date\" (The \"Goal End Date\" will be 15 days from the \"Goal Start Date\" which will automatically be generated by the system on entering the \"Goal Start Date\"). e. The New PRIDE/ PAR will get activated immediately on entering the \"Goal Start Date\". 4. On activating the New PRIDE/ PAR, the Executive concerned & his Reporting Authority should complete the goal setting Process before the \"Goal End Date\". 5. In case an executive fails to complete goal setting by the \"Goal End Date\", he will be allowed goal setting within an extended period of 15 days from the \"Goal End Date\" with a penalty of deduction of 0.1 mark against the overall rating [10]. 6. In case of any deviation from the above timeline becomes necessary for valid reasons, not attributable to the executive concerned, the Director (Personnel) of the subsidiary may allow suitable extension of time for goal setting. 7. On such approval of extension of time by the Director (Personnel), the Company Nodal Officer will activate the form by recording the details of the approval with intimation to the Area Nodal Officer concerned. 8 Incorporated vide OO No. CIL/C-5A(PC)/PMS-EIS/152 dated 20.04.2015.9Amended due to OM No. CIL/C5A(PC)/PMS/2826 dated 08.05.2018.10 Amended due to OM No. CIL/C5A(PC)/PMS/469 dated 13.08.2020.

243 | P a g e5.3. Sample Form for Goal Setting 6.0. Review 6.1. Mid Year Review Mid year (for the period 1 April to 30 September of the current year) review will stth be conducted between 1 October-31 October of the current year ststAppraiser would review the progress of performance and provide feedback to the officer to enable him/ her to understand what he/ she is doing well, and what he/ she needs to do differently to improve performance Rating would not be provided for the performance in the First half year First Level of review would be done by the officer himself/ herself Second Level of review would be done by the Reporting authority. 6.2. Final Review Final Review (For the period 1st April of the current year to 31st March of the subsequent year) will be conducted between 1st June 30th June –Appraiser would review the progress of performance (i.e. Targets against KPI for the Year) and provide feedback to the executive to enable him/ her to understand what he/ she is doing well, and what he/ she needs to do differently to improve performance Appraisal would also be done on “Personal Qualities” and “Special Achievement & Innovation” for the entire year

244 | P a g eIntegrity assessment as in the case of PAR to be implemented in PRIDE for ensuring probity and efficiency among executives. [11]The Annual Health Check-up as in the case of PAR to be implemented in PRIDE. [11]The entire appraisal process will go through the following levels of review: Self review would be done by the executive himself/herself Review would be done by the Reporting Authority Review would be done by the Reviewing Authority [11]Review would be done by the Accepting Authority Appeal disposal for below Board Level Executives [11]Executive shall be given an opportunity to make a representation, if any, against entries and final grading given in the report within a period of 15 days from the date of publication of PRIDE/ PAR online. While communicating the entries, it shall be made clear in case no representation received within 15 days, it shall be deemed that he/ she has no representation to make and the PRIDE/ PAR rating will be treated as final. The representation shall be restricted to specific, factual observations contained in the report on the assessments of achievements against targets, personal attributes, functional competencies and integrity. The Competent Authority may consider the representation, if necessary, in consultation with the Reporting and/or Reviewing Officer and shall decide the matter objectively based on the material placed before him within a period of 45 days from the date of receipt of representation. The Competent Authority after due consideration, may reject the representation or may accept and modify the PRIDE/ PAR ratings accordingly. The decision of the Competent Authority and the final grading shall be communicated to the officer reported upon within 15 days of receipt of the Competent Authority. The Competent Authority for the purpose shall be FDs of concerned Company in case of Executives upto E6 level and FDs of CIL in case of Executives for E7 & above level. The “Poor” rated score cannot be raised beyond “Good” by the Committee. 6.3. Conducting the Review Discussion 6.3.1. Preparation for the Discussion Both officer and reviewer needs to prepare to ensure that the discussion is effective and productive. 11 Incorporated vide OM No.CIL/C-5A(PC)/PMS/2826 dated 08.05.2018.

245 | P a g eReviewer needs to fix up the time and date of the discussion to enable the employee to be prepared to present his/her case. Both the officer and reviewer need to consolidate the points to be discussed in advance and clearly record the information/ behavior supporting the same to discuss and finalize the rating. 6.3.2. Performance Discussion Feedback basics Effective feedback helps the employee sustain good –performance, to develop new skills and to improve performance where necessary. Feedback is most effective in reinforcing or improving work performance when the employee has confidence on the basis of that feedback. Guidelines for giving behavioral feedback –Behavioral feedback should be based on specific, observable or verifiable data and information based on events, and should be delivered as close to the event or behavior as possible. Concluding the Discussion - Summarize the way forward/ development plan and conclude on a positive note and ensure both parties are at the same level of understanding for moving ahead.6.3.3.Some do’s for the ReviewerAnalysis of performance should concentrate on both results and the efforts taken to achieve the results Assess results against agreed targets and ensure that the evaluation is objective and data based Essential to end with a way forward or action plan for future which is agreeable to both the parties Criticism should be constructive and developmental. It should reflect the areas of improvement and also ways to improve Ensure frank discussion on constraints, problems faced, support required in absence of which the discussion will be incomplete Share the mutual responsibility and work towards development planning in a phased manner Ensure that no personal biases direct the discussion Complete documentation has to be ensured and conclude the meeting on a positive note. 6.4. Performance Appraisal in the event of retirement [12]1. The PRIDE [13] forms of all Executives retiring in a month will be activated on the first day of the month of retirement. 2. The retiring Executives will complete their self-appraisal during the month of retirement except the achievements against the superordinate goals. 3. The concerned Nodal Officer shall make entry of the achievements against the superordinate goals activating the forms for the year-end-appraisal by the RA during the appraisal period as per the schedule. 12 Incorporated vide OM No. CIL/C5A(PC)/735 dated 18.11.2015. 13 Appraisal of PAR forms are governed as per DPE guidelines.

246 | P a g e7.0. Final Rating 7.1. KPI Score Computation KPI Score against each parameter is determined as follows: The Accepting Authority would be giving just the final score based on the ratings given by Self/ reporting/ Reviewing Authority as in the case of PAR. [14]7.2. Personal Attributes Personal Qualities Definition Effective Communication skills The ability to communicate in a clear, simple and transparent way to make others understand the situation 14 Amended vide OM No. CIL/C5A(PC)/PMS/2826 Dated 08.05.2018.

247 | P a g eStrategic orientation and Decision making ability Has a good understanding of the business and the environment including the laws and rules related to the business. Make efforts to develop self and team and to make them contribute to the long term business strategy and vision of Coal India Ltd. Problem solving and Analyzes and solves a problem by identifying the reasons of a Analytical ability problem in a proper way Ability to develop Provides guidance and support to the team, encourages teamwork, and motivate team inspires and motivates team members Ability to coordinate Builds strong and effective relationship with internal and external and develop stakeholders. Makes positive use of the existing relations through collaborative partnerships strong networking to meet the objectives of the organization Innovation and Takes efforts and initiatives to introduce innovative processes and change orientation systems in the department. Manages, directs and leads change initiatives for effective learning processes. Encourages new and innovative approaches in the department Planning and Has the ability to plan the activities to be carried out by self and by Organizing team. Is able to prioritize and handle emergencies to achieve goals and objectives within defined Result Orientation Has a strong willpower to achieve desired results. Ensures that the department and the organization adhere to high standards of efficiency and excellence to achieve effective results based on great performance Business Acumen Ability to understand the relationship between revenue and expenses. Uses the financial data and information to make practical business decisions External influence Using external influence to persuade others to take biased decision for personal gains in favor of self. 7.3. Personal Attributes Rating Scale –[15]Rating Remarks Personal qualities score Average score = sum of score/ number of personal qualities i.e., 10 1 Exceeds expectations 2 Meets expectations most of the times 3 Consistently meets expectations 4 Partially meets expectations 5 Consistently does not meet expectations. 15 Amended vide OM No.CIL/C-5A(PC)/PMS/2826 dated 08.05.2018.

248 | P a g e7.4. Overall Score Computation Grade Calculation for determine the Overall Score E5 to E7 0.65 * Performance (KPI) Score + 0.30 * Personal Qualities Score +0.05 * Achievement Score E1 to E4 0.75 * Performance (KPI) Score + 0.20 * Personal Qualities Score + 0.05 * Achievement Score 7.5. Final Conversion Scale [16]Bases on the range of overall score as computed above the final appraisal rating is provided to the executive Total Final Score Definition 1.00-1.50Outstanding1.51-2.50Very good 2.51-3.50Good 3.51-4.50Fair 4.51-5.00Poor8.0. PMS Audit Committee PMS Audit Committee would be formulated to review the entire PMS process and provide report on actual adherence to processes An audit team consisting of minimum 15 members from various disciplines (in grade E7 and above) to be formulated in each subsidiary/establishment/ CIL HQ Audit team to be further divided into smaller three member team and would be given responsibility to conduct a random audit for a list of Departments Sample size for random audit would be 5% of total PRIDE forms from each Department Final audit report would be submitted within the prescribed timelines and format to Director (Personnel). 16 Amended vide OM No.CIL/C-5A(PC)/PMS/2826 dated 08.05.2018.

249 | P a g e8.1. Non Compliance of PMS ProcessIn case of any non-adherence to timelines for submission of the PRIDE, a penalty of 0.1 mark will be deducted against the overall rating to ensure process discipline. The penalty provision of Executives of E8 & above grade as RA/ Rev.A/ AA shall be dealt as per DPE guidelines. In case of non-completion of Goal Setting by the executive even after expiry of the penalty period, the PRIDE rating for the assessment year of such executives will be taken as “POOR” with “5” score.[17]If the non-completion of Goal Setting within the stipulated time is due to reluctance of the executive to accept Targets as suggested by the Reporting Authority, the Reporting Authority will have the authority to accept the targets with modifications as he may deem fit and communicate accordingly. Extension of timeline for goal setting of annual PRIDE: [18]During the entire period of goal setting of annual PRIDE, if an Executive is (i) Hospitalized or (ii) was in judicial custody or (iii) on leave/ official tour and due to which, the extension of timeline becomes necessary for such Executives, the Director (Personnel) of the concerned Company may allow suitable extension of goal setting timeline for such Executives. Waiver of penalty: [18] The penalty imposed on an Executive in case of any non-adherence of timelines for submission of PRIDE can be waived off in the following situations: During the entire period of goal setting/ appraisal, if an Executive is (i) hospitalized or (ii) was in judicial custody or (iii) on leave/ official tour To avail this, the concerned Executive has to file an online appeal in the scheduled timeline mentioning the details of discharge summary issued by the concerned hospital/ bail papers/ joining reports/ leave sanction/ tour approvals, as the case may be. Mitigating the impact of zero score: [18]In the event of non-submission of self-appraisal by an Executive, the concerned RA will initiate the PRIDE form and rate the Executive for that particular period. On completion of the scheduled timeline, the initiated PRIDE form will be automatically moved to higher authorities for further appraisal alike normal PRIDE forms. However, an additional penalty of 0.1 mark i.e., total 0.2 marks will be imposed against the overall rating of the concerned Executive due to non-submission & non-adherence of timelines for self-appraisal. In case the Reporting Authority neither accepts nor refuses the Goal Setting submitted by the executives, the same will be deemed as accepted on the expiry of the time limit with penalty of 0.1 mark[18] to the Reporting Authority. Disciplinary action under CDA Rules will follow in the case of nonadherence to the process of PMS by any executives. 17 Amended due to OM No.CIL/C-5A(PC)/PMS/2826 dated 08.05.2018. 18 Amended due to OM No. CIL/C5A(PC)/PMS/469 dated 13.08.2020.

250 | P a g e9.0. Escalation of PAR form of E8/ E9 grade Executives for review in case of non-submission of self-appraisal [19]i) The provision of automatic escalation in the event of non-submission of self-appraisal within the prescribed timeline be extended to PAR (for Executives in E8/ E9 grade) as in the case of PRIDE. ii) The provision of deduction of 4% marks from the final score as is applicable for PRIDE for failure to submit self-appraisal within the scheduled timeline be also introduced in PAR. Accordingly from the final score awarded by Accepting Authority out of total 75 marks (excluding 25 marks being MoU score dependent), 4% of 75 i.e. 3 marks will be deducted for all such non-submission cases. 10.0. Frequently Asked Questions (FAQ) Eligibility and Terminology 1.Who is eligible for evaluation under PRIDE? All executives upto E7 grade are eligible for evaluation under PRIDE. 2.Are executives on contract/part time engagement entitled for review under the PMS? Only those executives who are in a permanent roll in the organization are eligible for evaluation under the PMS. Thereby, executives on contract/part time engagement are not entitled for review under the PMS. 3.Are executives on deputation eligible for PMS evaluation and PRP? Eligibility for PMS evaluation and PRP would be on the basis on the terms and conditions of deputation. 4.What is the Assessment period/year? Assessment period/ year is from 1 April of the previous year to 31 March of the ststcurrent year. 5.What does the word PRIDE & KPI stands for? —PRIDE stands for Performance Report for Individual Development of Executive —KPI stands for Key Performance Indicators 6.What are “super ordinate” KPIs? -“Super-ordinate ” KPI‘s are the organizational goals and every executive working in CIL is directly or indirectly contributing towards these goals. The two identified super-ordinate KPIs are as follows: 19 Incorporated due to OM No. CIL/C5A(PC)/PMS/551 dated 28.01.2021.