General guidelines regarding filling of APAR

1. General guidelines regarding filling of APAR • The Annual Performance Appraisal Report is an important document, it provides the basic and vital inputs for assessing the performance of an officer and for his/her further advancement. The officer reported upon, the Reporting Officer and the Reviewing Officer should, therefore, undertake the duty of filling out the form with a high sense of responsibility. • Reporting Officers and Reviewing Officer should realize that the objective is to develop an officer so that he/she realizes his/her true potential. It is not meant to be a fault finding process but a developmental one. The Reporting Officer and Reviewing Officer should not shy away from reporting shortcomings in performance, attitudes or overall personality of the officer reported upon. .

2. Contd.. • The items should be filled with due care and attention and after devoting adequate time. Any attempt to fill the report in a casual or superficial manner will be easily discernible to the higher authorities. • Every answer shall be given in a narrative form except where numerical grading is to be awarded. The space provided indicates the desired length of the answer. Words and phrases should be chosen carefully and should accurately reflect the intention of the officer recording the answer. Unambiguous and simple language may be used

3. Contd.. • Although performance appraisal is a year-end exercise, in order that it may be a tool for human resource development; the Reporting/Reviewing Officers should at regular intervals review the performance and take necessary corrective steps by way of advice etc. • It should be the endeavor of each appraiser to present the truest possible picture of the appraise in regard to his/her performance, conduct, behavior and potential. • Assessment should be confined to the appraisees performance during the period of report only.

4. Guidelines regarding filling up of APAR with numerical grading. The column in the APAR should be filled with due care and attention and after devoting adequate time. It is expected that any grading of 1 or 2 (against work output or attributes or overall grade) would be adequately justified in the pen-picture by way of specific failures and similarly, any grade of 9 or 10 would be justified with respect to specific accomplishments. Grades of 1-2 or 9-10 are expected to be rare occurrences and hence the need to justify them, in awarding a numerical grade, the reporting and reviewing authorities should rate the officer against a larger population of his/her peers that may be currently working under them.

5. It is expected that any grading of 1 or 2 (against work output or attributes or overall grade) would be adequately justified in the pen-picture by way of specific failures and similarly, any grade of 9 or 10 would be justified with respect to specific accomplishments. Grades of 1-2 or 9-10 are expected to be rare occurrences and hence the need to justify them, in awarding a numerical grade, the reporting and reviewing authorities should rate the officer against a larger population of his/her peers that may be currently working under them.

6. APARs graded between 8 and 10 will be rated as ‘outstanding’ and will be given a score of 9 for the purpose of calculating average scores for empanelment / promotion. • APARs graded between 6 and short of 8 will be rated as ‘very good’ and will be given a score of 7. • APARs graded between 4 and 6 short of 6 will be rated as ‘good’ and given a score of 5. • APARs graded below 4 will be given a score of zero.

7. Assessment of work output (Weightage to this Section would be 40%)

8. Assessment of personal attributes (weightage to his Section would be 30%)

9. Assessment of functional competency (weightage to this Section would be 30%)

10. Sections (A), (B) and (C) of part of the Report have weightage of 40%, 30% and 30% respectively. The weighted average is to be arrived at by multiplying the overall grading of the concerned section by 4/10 or 3/10, as the case may be, as indicated in the APAR form itself. The overall grading of APAR is to be obtained by adding the weighted average of grading of Sections (A), (B) and (C).

11. The overall grading should not be rounded off. The grading may have a maximum of two digits after the decimal point. To illustrate, if the overall grading comes to 6.57 it should be written as such and not rounded off to 6.6 or 7. • No cutting/overwriting should be done in APAR Forms. If the same is unavoidable, the officer should append his/her signature on the part which has the cutting/overwriting. • The totaling should be checked properly. • The officer being reported upon (in case of self-assessment), the Reporting Officer and the Reviewing Officer should specify the date of filling up of their respective parts of the APAR below their signature.

12. Time schedule for preparation / completion of APAR (Reporting Year-Financial Year)

13. Contd..

14. Disclosure of Annual Confidential Reports under the RTI Act, 2005.- • A number of applications are received under the Right to Information Act, 2005 requesting for supply of copies of Annual Confidential Reports (ACRs) of employees. The matter regarding disclosure of the ACRs under the Act has been examined in consultation with the Department of Legal Affairs. • An ACR contains information about the character, capability and other attributes of the official reported upon, disclosure of which to any other person amounts to cause unwarranted invasion of the privacy of the individual Besides, an ACR, as its name suggests, is a confidential document.

15. The Official Secrets Act, is not completely superseded by the Right to Information Act. Sub-section (2) of Section 8 of the 2005 Act gives a discretion to the public authority to discloser or not to disclose the ACRs of an officer to himself or to any other applicant. • If it is felt that public interest in disclosure of ACRs of any employee outweighs the protected interests, decision to disclose the ACRs should be taken with the approval of the competent authority. Competent Authority in the matter may be decided by the concerned public authority

16. The following procedure should be followed in filling up the item relating to integrity: - • (i) If the officer’s integrity is beyond doubt, it may be so stated. • (ii) If there is any doubt of suspicion, the item should be left blank and action taken as under: - • (a) A separate secret note should be recorded and followed up. A copy of the note should also be sent together with the Confidential Report to the next superior officer who will ensure that the follow up action is taken expeditiously. Whether it is not possible either to certify the integrity or to record the secret note, the Reporting Officer should state • either that he has not watched the officer’s work for sufficient time to form a definite judgment or that he has heard nothing against the officer as the case may be. • (b) If, as a result of the follow-up action the doubts or suspicions are cleared, the officer’s integrity should be certified and an entry made accordingly, in the Confidential Report.

17. Contd.. • (c) If the doubts or suspicions are confirmed, the fact should also be recorded and duty communicated to the officer concerned. • (d) 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 indicated at (b) and (c) above

18. Pen Picture: • Pen picture is an important criteria for further evaluation of a Government Servant. Some important sample pen pictures and numerical grading actually given by various Reporting Officers from different offices of Indian Audit and Accounts Department are being discussed. An idea about the Numerical Grading to be awarded based on the actual performance/overall qualities of the officer reported upon could be estimated from the given pen picture

19. Following points should have to kept in mind for writing a pen picture of the employee: - • Overall performance during the reporting period: Did the employee show a consistent performance or drastic variation in the performance levels? What are the possible reasons for the variation? • Key strengths and development areas: What are some of the strengths and proficiency areas of the employee? What are some of the work areas where he/she would need training/ coaching to perform better? • Ability to manage the work assigned: Did the employee show adequate capabilities to complete the assigned work without much direction and guidance. Does he/she have adequate knowledge of the required rules and regulations? Is he/ she able to apply them in his/her working? • Teaming and Leadership Abilities: Did the employee display cooperation and respect to the team members and worked with them in a participatory manner or a follower? Did he/ she show capabilities to lead the team when required?

20. Official found to be concentrating more on establishment audit and as supervisory officer should focus on other important functional areas of the auditee institutes. (Numerical Grading:4) • He is a reliable, responsible good officer. He is able to attend the planned/ allotted work as well as unforeseen task well. He is capable to work in a team and maintain good personal relation. His functional capacity is good. It can be improved by training. (Numerical Grading:-5)

21. A very sincere and obedient officer. Has been mainly bringing out irregular aspects. With more depth analysis can perform better. Officer is sincere, obedient and punctual. He performs his duties to the best of his efficiency. (Numerical Grading:-6) • Official is efficient. Returns and other documents assigned to him are maintained properly and correctly. He is prompt in closing and submission of registers and returns. He is well disciplined. He is sincere and hard worker. He has made noting and drafting properly and correctly. He takes keen interest in work. He is very co-operative with other officials of section. (Numerical Grading:- 7)

22. His nature is very good and well disciplined, obeys orders of the superiors. He maintains good relationship with fellow employees. He is trying to achieve his target set for it. He understood the problems of the weaker sections and tries his level best to solve them. (Numerical Grading:- 7)

23. He is a sincere and dedicated worker. He shows an exceptionally quick and clear grasp of any matter. He takes initiatives in learning and doing different types of works. He is exceptionally good in examining the cases thoroughly. Drafts and notes submitted by him are accurate and precise. • As regards the field of work assigned to him, he is well aware of procedures regarding maintenance of various registers and submission of returns. The official is very prompt in discharging his duties. He assisted very well in processing and issuance of DPs for the Audit Reports. (Numerical Grading:- 8)

24. He is a sincere, hard working officer who is willing to take initiatives in work. Prompt in submission and disposal of work allotted to him. Willing to take new responsibilities. He has taken efforts to maximize to convert returns and letters in Rajbhasha. Coordinate with the inspection party of the Hd.Qtrs. and different sections. (Numerical Grading:- 8)

25. The official has very good ability of scrutinizing the records of the audittee. The official possesses the ability of exchanging correspondence in relation to the audit observations as a result of scrutiny. She possesses the ability to develop the inspection report paras into potential draft paragraphs. She maintains the files/ registers neat and clean. She is well disciplined, well behaved and prompt in the disposal of allotted work. (Numerical Grading:-9)

26. The officer is having wide knowledge of Acts and Rules of Sales Tax/VAT. Takes initiatives in learning and doing different type of works. Constantly hard worker. Shows an exceptionally quick and clear grasp of any matter. His ability to analyse a problem is fair. Takes sound decision at all the time. Likes to develop his subordinates. • He is a very efficient and outstanding worker,. He takes initiatives in learning new work. He is exceptionally good in examining the cases thoroughly. He is brilliant in expressing thoughts on paper. Drafts and notes submitted by him are invariably accurate and precise. He maintains excellent relations with everyone. (Numerical Grading:-9)

27. For purpose of calculating average scores for promotion, the following grades will be considered: