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    1 Performance Appraisal i

    PERFORMANC

    INDIA: CASE AFACT

    Submitted to:

    Prof. Santhi Perumal

    Government: Case Analysis of IOFS

    APPRAISAL IN GOVERNME

    ALYSIS OF INDIAN ORDNAORY SERVICES (IOFS)

    Su

    Aditi Sing

    Akanksha Baiwa

    Gunjan Nagpa

    Monish kumar Attr

    Batch of 2013-15

    T OF

    CE

    bmitted by:

    2013010

    2013014

    2013106

    i - 2013157

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    2 Performance Appraisal in Government: Case Analysis of IOFS

    On the very outset of this report, we would like to extend our sincere & heartfelt obligation

    towards all the personages who have helped us in this endeavour. Without their active

    guidance, cooperation & encouragement, we would not have made headway in this project.

    We are ineffably indebted to Mr. Deepankar Majumdar (IOFS), Senior Director,

    National Academy of Defence Production, Nagpur for his conscientious guidance and

    encouragement to accomplish this assignment. We would show our gratitude to Ms. Shanthi

    Perumal for providing us with such a wonderful opportunity.

    We especially extend our gratitude to IOFB, Ministry Of Defence for giving us this

    opportunity.

    Thanking You

    ACKNOWLEDGEMENT

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    3 Performance Appraisal in Government: Case Analysis of IOFS

    CONTENTS

    Company Analysis 04

    Performance Appraisal in IOFS 07

    Affecting Biases and their Rectification 11

    HR Interview 12

    Suggestions 14

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    5 Performance Appraisal in Government: Case Analysis of IOFS

    While the prime customers of Indian Ordnance Factories are the Indian Armed Forces, It also

    caters to its other customers like Central Paramilitary Forces and State Police Forces in

    respect of the Arms, Ammunition, Clothing, Bullet Proof Vehicles and Mine Protected

    Vehicles etc. Increase in volume of Export, as an extension to its functioning remains animportant objective of Ordnance Factories.

    The factories under the OFB are managed by the Group A gazetted defence-civilian officers

    under the umbrella of the defence ministry. IOFS is a multi-disciplinary composite cadre

    which is bifurcated into:

    1. Non-technical/administrative- Selected through Indian Administrative Services

    examination conducted by UPSC; and

    2. Technical It includes engineers ( Civil , Electrical , Mechanical , and Electronics ) who

    are selected through Engineering services examination conducted by UPSC, and

    technologists ( Chemical , Metallurgical , Textile , Leather ) who are selected via

    interviews by UPSC ;

    The doctors ( Surgeons and Physicians ) serving in OFB belong to a separate service known as

    the Indian Ordnance Factories Health Service (IOFHS). They are selected by UPSC through

    Combined Medical Examination. IOFHS officers are responsible for the maintenance of

    health of the employees and the hospitals of OFB. They report directly to the IOFS officers.

    IOFS and IOFHS are the only two civil services under the Department of DefenceProduction. The finance and accounts wing in the Ordinance factories are independent cells

    and are managed by the officers of IDAS (Indian defence Accounts Services).

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    7 Performance Appraisal in Government: Case Analysis of IOFS

    PERFORMANCE APPRAISAL SYSTEM IN IOFS

    The employees in OFB and the concerned factories have a fixed Pay scale based on their pay

    bands that has been decided by the Central government and it is continuously upgraded on

    the basis of the their performance. The performance appraisal management in the Ordnance

    factories is performed on the basis of an APAR i.e. the Annual performance appraisal report.

    Earlier known as the Annual Confidential Report (ACR) which was modified to APAR after

    the Supreme Court Of India judgement on the Dev Dutt VS Union Of India Case that the

    object of writing the confidential reports and making entries is to give the opportunity to the

    Public Servants to improve their performance.

    This landmark judgement led to the path for the development of the APAR which was

    recommended by the 2 nd Administrative Reforms Commission in their 10 th Report. The

    APAR allowed the officer to get the knowhow of the overall grade that is assigned to him as

    well as the assessment of his/her integrity in the form of the remarks provided by the

    Reviewing authority or the Accepting authority (whichever system is in vogue). This even

    gave the opportunity to the concerned officer to make any representations against the entries

    and the final grading that is given in the report within the period of 15 days in case of a

    disparity or a bias. This system of judging the employees performance through APAR wasmade effective starting from 1 st April 2009.

    If we further elaborate upon the system of APAR, its ideology is encompassed in the interest

    if the service as well as the interest of the officer. The primary endeavour of the APAR is to

    measure the potentialities of the concerned officer, provide him a proper feedback devoid of

    any bias as well as to improve the performance of his present job. The reporting officer who

    provides the concerned officer with the comments has to have a 3 months experience of

    having supervised the work on the basis of which he can provide the supervision to his

    subordinate. The APAR also includes the section of self-appraisal in which the concerned

    officer provides an appraisal to himself. If the concerned officer has delayed the Self

    appraisal which has to be submitted to the reporting officer on whom he may or might not

    base his appraisal (on his discretion), the reporting officer can submit the appraisal without

    included the concerned officers self appraisal. After the reporting officer writes the feedback

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    8 Performance Appraisal in Government: Case Analysis of IOFS

    and grades the concerned officer accordingly, the report is submitted to the reviewing

    authority who further reviews the report to avoid any form of the bias.

    If we go on to define performance appraisal, then we can state it as the formal, structured

    system of measuring and evaluating an employees job, the related behaviour and outcomesas to discover how and why the employee is presently performing on the job and how the

    employee can perform more effectively in the future so that the employee, organisation, and

    society can all benefit (Prof. Randell S. Schullar, School Of Management and Labour

    Relations). Performance appraisal in any organisation is performed at a specific period. It can

    be done annually or half yearly or quarterly or maybe even regularly. This depends upon the

    nature or size of the organisation, and sometimes on the necessity of the managers so as to

    decide the period of performance appraisal of their employees. Most of organisations are

    insisting employee appraisal should be a continuous process and should not be limited to a

    formal review once a year. Primarily in the IOFS, the performance appraisal is an annual

    process owing to the fact that all the targets that are set by the organisation are done on the

    annual basis. But, the report can be written multitude of times as well within the year

    depending on the demand. There is no objection to two or more independent reports being

    written within the year by two or more reporting officers. If more than one independent report

    is written, then the pre-condition is that they should clearly specify the time period covered

    within them. There are certain other prerequisites to the reporting and reviewing of the APAR

    that has been stated by the reforms commission. They are as follows:

    1. The reporting officer and the reviewing officer ought to have the experience in the

    field of work of the concerned officer of at least 3 months, and then only they will be

    eligible for grading the concerned officer. This decision has been keeping the fact in

    the mind that the reporting and the reviewing officer must have a prior experience to

    judge in the same field of work as the concerned officer to judge him without bias. As

    the report as well as the gradation contained within the report is extremely essential to

    the concerned officer as well as to his career, such decision should be taken with

    utmost care and should be made only by the specialists in this field.

    2. In case no reporting authority has had the experience of 3 months, then the report is

    initiated by the reviewing authority as the reporting authority. In that scenario the

    reviewing officer will submit the report to his senior for the review after performing

    the gradation for the final appraisal of the report.

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    10 Performance Appraisal in Government: Case Analysis of IOFS

    Remarks by the Reviewing Officer

    2. JUNIOR TIME SCALE/ SR. TIME

    SCALE/ SR. TIME SCALE (NF)

    PART-1 which includes the Personal Data.

    PART-2 which involves the Assessment by

    the reporting Officer. It includes the

    following sections: Assessment of Work

    Output, Assessment of Personal Attributes

    and Assessment of Functional Competence.

    PART-3 which consists of the section on

    Remarks by the Reviewing Authority.

    PART 4 includes the section of the

    accepting authority.3. JUNIOR ADMINISTRATIVE

    GRADE

    SAME AS ABOVE

    4. SENIOR ADMINISTRATIVE

    GRADE

    SAME AS ABOVE

    5. INDIAN ORDNANCE FACTORY

    HEALTH SERVICES (IOFHS)OFFICERS

    PART-1 which includes the Personal Data.

    PART-2 which involves the Assessment by

    the self appraisal. .

    PART-3 which consists of the section on

    Remarks by the Reporting Authority.

    PART-4 which consists of the section on

    Remarks by the Reviewing Authority.

    PART-5 includes the remarks of the Senior

    Reviewing Authority.

    PART-6 includes the section of the

    accepting authority.

    PART 7 includes the section titled the

    Numerical Grading

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    This is the general categorisation of the Annual Performance Appraisal Report as per the

    grades and ranks of the officers.

    BIASES THAT MIGHT AFFECT THE APPRAISAL AND THE WAY OF

    RECTIFYING THEM AS PER THE GOVERNMENT OF INDIA

    THE BIASES THAT MIGHT MAR THE JUDGEMENT OF THE REPORTING AND THE

    REVIEWING AUTHORITY

    a.) First Impression Effect (primacy effect) The reporting authority might form an

    overall impression about the concerned officer (ratee) on the basis of some particular

    characteristics of the concerned officer identified that they identify with , and this forms the

    basis of their appraisal. This leads to the bias on the part of the Reporting authority or the

    rater.

    b.) Halo Effect and Horn Effect: The concerned officers performance might be

    appraised on the basis of a perceived positive quality of the concerned officer by the

    reporting authority, be it a feature or a trait. This will lead to a bias when the reporting

    authority rates the concerned officer extremely high in other traits as well if he is extra-

    ordinarily high in one particular trait. As opposed to the Halo effect, the Horn effect enables

    the reporting authority to judge the performance of the concerned officer on the basis of a

    negative quality or feature perceived within the individual by him. This results in an overall

    lower rating than may be warranted.

    c.) Excessive Stiffness or Lenience: Depending upon the personal standards of the

    reporting officer, his values and mental makeup at the time of appraisal, the concerned officer

    might be rated very strictly or leniently. The leniency error can render a system ineffective, if

    left uncorrected.

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    12 Performance Appraisal in Government: Case Analysis of IOFS

    d.) Personal Biases: The way a reporting authority feels about the concerned officer-

    whether he likes or dislikes him/her - as a tremendous effect on the rating of his /her

    performances. Personal Bias can stem from various sources as a result of informationobtained from colleagues, considerations of faith and thinking, social and family background

    and so on.

    Therefore while appraising performances; all the above biases should necessarily be avoided.

    So, the Government of India enables the concerned officer can even put up representations

    against the final grading, if any disparity happens. It even gives the provision to the

    reviewing for the re-appraisal of the report after it is graded by the reporting officer. Only the

    reviewing authority gives the final grade which can even be challenged by the concerned

    officer if he/she thinks it to be prejudiced, but he/she has to do so within 15 days of the final

    gradation.

    AN HR INTERVIEW

    To understand further about the appraisal system at IOFS, we spoke with a 1988 cadre civilservant Mr Deepankar Majumdar, who is currently the Senior Director at National

    Academy Of Defence Production. Endowed with an dynamic personality and having an in

    depth knowledge on various subjects, he was a gem of a person to talk with. Being a PG

    student of Economics from Delhi School Of Economics, he is a highly intelligent and

    educated individual which was definitely visible in this dialogues with us.

    Ques. 1: What are the biases negatively affecting the judgement of the grading as well as

    the reporting officer, while they write the APAR of their subordinate officer? Are any time-

    to-time discussion carried out with the employees?

    There are no personal biases involved of the performance appraisal of the employees, since it

    is a two-tier organization. Also, if there are any flaws found in the report, it can be appealed

    against by the concerned subordinate to the particular Tribunal established for the same. It is

    a bureaucratic organization, participation in the decision making is not encouraged much

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    14 Performance Appraisal in Government: Case Analysis of IOFS

    We usually observe that there is certain lack of interest on the part of the superiors to carry

    out the necessary evaluations and appraisals, which might be because of the reason that they

    might find it tedious, and they might not find it relevant. The performance is not incentivised,

    so this lack of interest mentioned above comes into picture. Reluctance to fill the

    performance appraisal form is the major hurdle faced by us.

    From this we can say that the employees or the reviewers do not find performance appraisal

    of the organization meaningful , and find that they are not much used in the administrative

    decisions. This also leads to no distinction between effective and ineffective performance.

    Also, the reviewers do not find it congruent with the current culture of the organization.

    Ques. 4: Do you think the incorporation of Annual Medical Examination Report in the

    Provisional APAR a feasible plan - as suggested by the 2 nd

    Administrative ReformsCommission in their 10 th Report? 12

    Yes, the incorporation of Annual Medical Examination report is a feasible plan, as this would

    ensure that the validity of the performance management system. This would ensure better

    discharge of duties by the employees if they have been declared medically fit.

    SOME SUGGESTIONS

    Rather than simply using the APAR as a means for promotion based decisions, it canas well be used for the purpose of motivating the civil servants through AWARDSand PERFORMANCE BASED INCENTIVES. E.g. Employees with grading 8 plus,should be given a cash award. They should as well be given a benefit of 4 %increment rather than the usual 3% (which every civil servant receives).

    This provisional APAR should include the annual medical examination report as well.These pre-existing instructions ought to be incorporated as it will help the officers tounderstand their medical condition. This will indirectly improve the performance of the civil servants as their health conditions will be better.

    The government should take an initiative of automating the appraisal system for othercadres as well, so that issues related to biases is rectified as well as officers are able toaccess their fair appraisal at any time in an year. E.g., for Railways. Income Tax,IOFS, Forest services, IPS etc.