APAR WRITING(Annual Performance Appraisal Report)

S.MookerjeeDirector GeneralNational Academy of Indian Railways

SEMINAR ON APAR WRITING

TO DELIBERATE ON:

WHY? WHEN? WHAT? & HOW?

SEMINAR ON APAR WRITING BEFORE WE START…..

THE OBJECTIVE IS TO REFRESH YOU ON ISSUES WHERE OCCASIONAL DEPARTURES/DEFICIENCIES FROM LAID DOWN PROCEDURE HAVE BEEN NOTICED.

WE BEGIN WITH A PREFACE & A BACKGROUND AND SINCERELY HOPE THAT THE PRESENTATION WILL BE OF HELP.

PREFACE

ACR / APAR are important documents. These are necessary inputs for taking

decisions in the matter of promotion, placement, training, premature retirement etc.

They are supposed to serve the interest of both organization as well as its members.

They have a very important bearing on the efficiency of the public service and motivation of its members.

BACKGROUND Prior to reporting period 2008-2009, Annual

Confidential Report (ACR) was being maintained in the Indian Railways.

Only the adverse remarks in the ACR needed to be communicated to the concerned officer for representation, if any.

Identity of the officer commenting adversely in the ACR was not disclosed while making such adverse communication.

BACKGROUND (Contd)

In a case filed by Dev Dutt vs Union of India, (Civil Appeal No. 7631 of 2002), the Supreme Court of India held in their judgement dated 12.5.2008, that the object of writing confidential report and making entries is to give an opportunity to the public servant to improve his performance.

This judgement signalled the beginning of a new era.

BACKGROUND (Contd) The 2nd Administrative Reforms Commission in

their 10th Report also recommended that the performance appraisal system for all services be made more consultative and transparent on the lines of the PAR of the All India Services.

The basic aim was to ensure fairness and transparency in public administration.

Hence, the existing nomenclature of the Annual Confidential Report (ACR) was modified as Annual Performance Appraisal Report (APAR) and introduced in the Indian Railways from the reporting period 2008-2009.

Now, the complete APAR is communicated to the officer.

Why To Write An APAR?

The system of APAR writing has two principal objectives. These objectives are:

a) To assess truly the performance of the sub-ordinate in his present job and by providing guidance and counseling to him to improve his performance: and

b) To assess his potential and to prepare him through appropriate feedback and guidance for higher responsibilities.

WHY ? (Contd.)

Success of the reporting system depends on the following principles:

(i) Absolute objectivity of the assessors. (ii) Setting of quantitative/physical/

financial targets in the beginning of the year in consultation with officer to be reported upon.

(iii) The indices used while setting targets should be relevant and measurable.

WHY ? (Contd.) (iv) Periodical reviews during the

course of the year between the Reporting and Reported upon Officer to confirm understanding of goals and targets.

(v) A true assessment of job related performance and fitness to shoulder higher responsibility while writing.

(vi) Follow up action aimed at improving the performance of the employee.

When To Write An APAR ? An APAR in the prescribed form shall be

written annually in respect of each railway servant, admissible non-gazetted categories and those holding gazetted posts, whether he holds it in a substantive or officiating capacity, for the year ending 31st March and submitted to the concerned custodian for finalisation and custody by the 1st week of June of same year.

PRESCRIBED FORMS – GC 16(NON-GAZETTED STAFF) ANNEXURE-V (REVD.2003) : FOR STAFF IN

RS.1200-2040 ( i.e. GP-RS.2400/2800) ANNEXURE-IV(REVD.1987) : FOR

TEACHERS/NSTRUCTORS ANNEXURE-III (REVD.1987) : FOR PWIs,

APWIs, SIGNAL INSPECTORS & ASSTT. SIGNAL INSPECTORS

ANNEXURE-II(REVD.1987) : FOR IOWs & AIOWs

ANNEXURE-I(REVD.2003) : FOR REST OF THE STAFF.

PRESCRIBED FORMS (GAZETTED OFFICER) FORM NO.III : FOR ABOVE THAN SAG

OFFICERS.

FORM NO.II : FOR ALL SAG OFFICERS INCLUDING NON – FUNCTIONAL SAG OFFICERS OF MEDICAL DEPARTMENT.

FORM NO.I : FOR REST OFFICERS INCLUDING NON FUNCTIONAL SAG OFFICERS OTHER THAN MEDICAL DEPARTMENT.

WHEN? (Contd)

Similar report shall also be written and submitted on transfer of an officer from one railway to another during mid year, if the officer has worked in a post for a period of not less than 90 days.

While calculating the period of 90 days, period spent on leave, training etc., should be debited from working period.

WHEN? (Contd)

When a reporting officer vacates his post on account of transfer, retirement etc., he should, before making over charge of his post, or immediately thereafter, record APARs of all employees who have served under him for a period of not less than 90 days.

It should not be deferred till the end of the year.

WHEN? (Contd) Normally for each year there should be only

one APAR. However, there is no objection to two or more

reports being written during a year by different Reporting Authorities subject to the condition that the officer reported upon has worked at least 90 days under each Reporting Officer on which he can base his Report.

Where more than one Report is written in the course of a year, each Report should indicate precisely the period covered by it.

What Do I Need To Keep In Mind While Writing An APAR

TIME SCHEDULE (JAG & BELOW)1. Supply of Forms : 25th of March2. Self Appraisal by : 15th of April3. Reporting by : 15th of May4. Review by : 25th of May5. Acceptance by : 30th of May6. Communication by : Next Working

DayThis schedule is expected to be

followed while preparing non gazetted APAR also.

WHAT ? (Contd)

It is the responsibility of the Reporting Officer that no delay in writing APAR occurs.

Maintain the time schedule at all levels of writing.

If self - appraisal is delayed, APAR may be written without self – appraisal.

The Columns should be filled with due care and attention and after devoting adequate time.

WHAT ? (Contd) Words and phrases should be carefully

chosen and should accurately reflect the intention of the authority recording answers.

Please use unambiguous and simple language. Omnibus expressions like “Outstanding”, “Very Good”, “Good”, “Average”, “Below Average” while giving comments should be avoided.

Remember that a casually written report will be easily discernible to the higher authorities.

WHAT ? (Contd) Assessment should be confined to the

officer’s performance during the period of report only.

It is not a fault finding process but a developmental one.

Do not shy away from reporting shortcomings in performance, attitude or overall personality of the officer reported upon.

WHAT? (Contd) Where for a period of report, there is no

Reporting Officer with the requisite work period of 90 days, to initiate the report, the Reviewing Officer himself may initiate the report provided the Reviewing Officer has been the same for the requisite period of report and he is in a position to fill in columns meant for Reporting Officer.

Where a report is thus initiated by the Reviewing Officer, it will have to be submitted by him to his own superior for Review.

WHAT? (Contd) The Reporting and Reviewing Officers

should not be the same. The Accepting Authority should act as Reviewing Officer too, if required.

In any other eventuality, where an APAR could not be written, the same may be reported by Reviewing/Counter – signing authority.

Where the Reviewing authority/Accepting authority disagrees with the assessment given by the Reporting Officer/Reviewing Officer as the case may be, he should clearly mention the reasons thereof.

WHAT? (Contd) Maintain consistency while writing APARs at all

levels. Do not forget to maintain parity between remarks recorded against ATTRIBUTES columns of the APAR (PT.III (b) of the gazetted APAR and SECTION-II of the non-gazetted APAR) and the OVERALL GRADING recorded for a particular year.

Where the Confidential Report in respect of an officer/official could not be written, a certificate explaining such circumstances should be issued by the competent authority and placed in the APAR dossier.

How To Fill Up Personal Data In An APAR

• Fill up all columns of Personal data page in a APAR after consulting SR.

• If any column is left blank by the office, the concerned reported upon officer should invariably fill it up.

• The reported upon officer should fill up Name, Service etc in the detachable Developmental Section (PT.VII) of a Gazetted APAR.

• Fill up name, designation etc. in the Section –II of a non-gazetted APAR also, as leaving it blank may lead to serious complications.

How To Deal With Fitness Box In A Gazetted APAR• In Gazetted APAR, fitness box to be filled up

by JAG and above officers by indicating YES/NO only.

• No Column should be left blank and those not required to be filled may be crossed out.

• No officer should give fitness for posts higher than his own.

• For Gr. A Officers, who have completed 12/15 years of service, fitness for ADRM/DRM in the fitness box should be indicated by SAG level and above only.

How To Decide Reporting Authority etc. In A NG APAR Fulfilling all pre necessities, the reporting

authority of an APAR should be sufficiently senior in rank to the reported upon officer .

For NG staff in GP 2400 and 2800, the reporting officer may be his NG supervisor in GP 4600 and above.

For NG staff in GP 4200 and above and likely to be considered for Gr.B, the reporting officer should not be below the rank of an Asstt. Officer.

How To Decide Reporting Authority etc. In A NG APAR For NG staff in GP 4200, Section –II of

a NG APAR should be filled up. The status of the

reviewing/accepting authority in a NG APAR should not be below that of a gazetted officer of the department.

Acceptance of NG APARs for staff in GP 4200 and above should be done by a SAG level officer only.

How To Deal Cases Of Doubt Or Suspicion About Integrity?

The integrity column should be left blank.

A separate secret note should be recorded and followed up.

A copy of the note should also be sent together with the APAR to the next superior officer who will ensure that the follow up action is taken expeditiously.

How To Deal Cases Of Doubt Or Suspicion About Integrity?

Where it is not possible either to certify the integrity or record the secret note, the Reporting Officer should state either that he had not watched the officer’s work for sufficient time to form a definite judgement, or that he has heard nothing against the officer, as the case may be.

If as a follow up action, the doubts are cleared, the officer’s integrity should be certified and an entry made accordingly in the APAR and communicated to the Officer.

How To Deal Cases Of Doubt Or Suspicion About Integrity?

If as a follow up action, the doubts are confirmed, this fact should also be recorded and duly communicated to the Officer concerned.

If as a result of the follow up action, the doubts or suspicions are neither cleared nor confirmed, the officer’s conduct should be watched for a further period and thereafter action taken as per outcome.

Remember that the Secret Note need not be communicated to the Officer as a matter of course.

How To Deal Cases Of Representation Against APAR? While communicating APAR, inform that

time limit for giving representation, if any, is 15 days from the date of receipt of the APAR photocopy.

Representation should come through proper channel and shall be addressed to the Accepting Authority of the APAR.

Representation submitted after lapse of 15 days should not be entertained.

How To Deal Cases Of Representation (Contd) Representations should be restricted to

the specific factual observations contained in the APAR leading to the assessment of the officer.

Views of the Reporting and Reviewing Officers, if they are still in service, should be taken into account by the Accepting Authority prior to deciding upon the representation.

How To Deal Cases Of Representation (Contd) The time limit for disposal of a

representation by the Accepting Authority is one month from the date of representation and communication thereof is to be done within 15 days from the date of order by the Accepting Authority.

Where the Accepting authority of the APAR is no longer in service due to retirement etc., representations will lie to the present officer holding such post in the railway.

How To Deal Cases Of Representation (Contd) Once a representation has been

disposed by the Accepting authority no further appeal will lie and the grading in the APAR will then be treated as FINAL.

Do not keep copy of the representation and remarks thereto attached to the APAR. Attach only the final order of the Accepting Authority on the representation.

How To Decide Reporting Authority etc. In A NG APAR Fulfilling all pre necessities, the reporting

authority of an APAR should be sufficiently senior in rank to the reported upon officer .

For NG staff in GP 2400 and 2800, the reporting officer may be his NG supervisor in GP 4600 and above.

For NG staff in GP 4200 and above and likely to be considered for Gr.B, the reporting officer should not be below the rank of an Asstt. Officer.

How To Decide Reporting Authority etc. In A NG APAR For NG staff in GP 4200, Section –II of a

NG APAR should now be filled up, even though in pre-revised pay scales it was not required for staff in pay scale Rs.5000-8000, who are now a part of GP 4200.

The status of the reviewing/accepting authority in a NG APAR should not be below that of a gazetted officer of the department.

Acceptance of NG APARs for staff in GP 4200 and above should be done by a SAG level officer only.

How To Deal Below Bench Mark ACR Prior To 2008-09?

Below bench mark ACRs of both gazetted and non gazetted officers, prior to the reporting period 2008-09, which if needed for DPC, should be communicated.

Representation, if any, submitted should be considered and disposed and the APAR FINALISED before placing the same before DPC.

SEMINAR ON APARS

CONCLUDEDTHANKS AND REGARDS