Performance Management System for the IAS

1. Ministry of Personnel, Public Grievances & Pensions Performance Management Systemfor the IAS Department of Personnel & TrainingServices Division2007

2. All India Service (PAR) Rules, 2007 • Based on the recommendations of the Surinder Nath Committee constituted to review the system of Performance Appraisal, Promotion, Empanelment and Placement for the All India Services and other Group ‘A’ Services AIS (PAR) Rules 2007

3. (Objectives of Performance Appraisal) • Training and Placement • Feedback and Counselling • Planning of work • Promotion • Recognition • Strengthening Good Governance AIS (PAR) Rules 2007

4. Performance Appraisal Report • The PAR would be a tool for career planning and training, rather than a mere judgmental exercise • Mandatory time schedule : PAR to be recorded by 31st December, failing which assessment to be on the basis of overall record and self-assessment • Only one reporting, reviewing and accepting authority for a given period of time AIS (PAR) Rules 2007

5. Basic format for the PAR • Section I – Basic information, dates property returns filed and medical check-ups • Section II – Self-appraisal, indicating achievements against pre-set work plan / unforeseen tasks • Training and skill-upgradation attained and required will also be reflected • Section III–Appraisal,with overall numerical grading • Section IV–Review • Section V-Acceptance AIS (PAR) Rules 2007

6. Basic format for the PAR • An integrity certificate for all levels of officers • Reporting/Reviewing Officer to give recommendations relating to domain assignment • Reporting/Reviewing Officer to indicate major strengths and areas of lesser strengths • Integrity, attitude to SC / ST and pen picture descriptive in nature • Certification and sharing of integrity an integral part of the PAR • Option of four domains • Major strengths and areas of lesser strengths to be shared with the officer reported upon included AIS (PAR) Rules 2007

7. Work Plan • Preparation of work plan in advance (by 30th April) each year by the appraisee / Reporting Officer setting the key tasks in order of priority • Deliverables would essentially comprise quantifiable targets for field posts and qualitative (policy objectives) for secretariat level posts • Initial and mid-year work plans filed with the Reviewing Officer / Updated at mid-year state AIS (PAR) Rules 2007

8. Work Plan - Sample 1(District Posting) AIS (PAR) Rules 2007

9. Work Plan – Sample 2(Addl Secy, Deptt of Env. & Forests, State Govt) AIS (PAR) Rules 2007

10. Work Plan – Sample 3(Secretary, Transport Deptt, State Govt) AIS (PAR) Rules 2007

11. PAR - Form I • Basic information (to be filled by Admn Division / Personnel Deptt) • Includes names of Reporting, Reviewing and Accepting Authorities and periods • Details of Training Programmes attended • Awards / Honours • PARs of AIS officers not written by the officer as reporting/reviewing authority • Filing of property return • Date of last medical examination (>40 yrs of age) AIS (PAR) Rules 2007

12. Section II – Self Appraisal • Brief description of duties • Achievement against annual work plan • Exceptional contribution • Factors that hindered performance • Training needs for skill upgradation • Declaration (immovable property return, medical check-up, work plan for subordinates AIS (PAR) Rules 2007

13. Section III (Appraisal) • Comments on self-appraisal of officer • Assessment of (i) work output (weightage 40 %) (ii) personal attributes (weightage 30 %) (iii) functional competency (30 %) • Pen picture on overall qualities of officer • Domain assignment • Overall grade AIS (PAR) Rules 2007

14. Numerical indicators and weightage • Numerical grading against 15-20 indicators on work output, personal attributes and functional competency • Grades of 1 or 2, 9 or 10 should be adequately justified in the pen picture • Numerical overall assessment on a 1-10 scale • Overall grade weighted mean of the set of scores arrived at for each indicator • For numerical grades, rating would be against large population of peers of appraisee AIS (PAR) Rules 2007

15. Assessment • Work output : 3 indicators– i) Accomplishment of planned work, ii) Quality of output, iii) Accomplishment of exceptional work / unforeseen tasks performed) • Personal attributes: 8 indicators- i) Attitude to work ii) Sense of responsibility, iii) Overall bearing & personality iv) Emotional stability v) Communication skills vi) Moral courage & willingness to take a professional stand vii) Leadership qualities viii) Capacity to work in time limit AIS (PAR) Rules 2007

16. Assessment • Functional competency: 6 indicators - i)Knowledge of laws/rules/procedures/ IT skills and awareness of the local norms in the relevant area ii)Strategic planning ability iii)Decision making ability iv)Initiative v)Coordination ability and vi)Ability to motivate and develop subordinates/work in a team AIS (PAR) Rules 2007

17. Review and Acceptance • Section IV (Review) – i) Agreement with assessment ii) Reasons for difference of opinion iii) Pen picture iv) Recommendations on domain assignment v) Overall grade • Section V (Acceptance) – i) Agreement with Reporting / Reviewing Authority ii) Reasons for difference of opinion iii) Overall grade AIS (PAR) Rules 2007

18. Differences in PAR form for IAS officers of the level of AS and above • No self appraisal (Description of duties, work plan (preparation, mid-term review) and achievement, exceptional contribution, factors hindering performance and training needs are not required) • Only a declaration required regarding filing of property return, undergoing medical check up, setting work plan for subordinates, preparation of work plan for themselves • Option to enclose a note on important achievements • Appraisal on the basis of assessment of attributes and work output (not functional competency) and integrity • Pen picture and domain assignment is still required AIS (PAR) Rules 2007

19. Cut off date for recording PAR • PAR for a financial year to be recorded by 31st December of the year in which the financial year ended • No remarks thereafter • Officer assessed on basis of the overall record and self- assessment if he has submitted his self-assessment on time • Appraisee should endorse a copy of self-appraisal to Nodal Authority and keep record as evidence AIS (PAR) Rules 2007

20. Timely completion of PARs • Secretary (Personnel) in States and E.O. at the Centre designated nodal authorities • Nodal authority will send a list of appraisees to each Reporting/Reviewing/Accepting authority by 15th April • In case Reporting Authority does not report in time, copy of self-appraisal will be sent to Reviewing Authority and entry will be made in PAR of Reporting Authority AIS (PAR) Rules 2007

21. Health status report • Annual health check up proforma finalized in consultation with the Dept of Health • Only summary medical report of check up to be attached to PAR • Dispensed below the age of 40, except in case of medical incident AIS (PAR) Rules 2007

22. Comprehensive performance appraisal dossier • A CV to be updated annually on the basis of the PAR / 5-yearly CV update submitted by the appraisee • PARs earned throughout the career • Reports of medical check-up • The CV in the personal dossier of every officer may be mandatorily posted on the website of the CCA • Certificates of training/academic courses/study leave AIS (PAR) Rules 2007

23. Comprehensive performance appraisal dossier • Details of books / articles / publications • Appreciation letters from Government / Secretary / HOD / Special bodies / Commissions • Copy of order of penalty and final result of inquiry • Warnings/displeasure/reprimands of Government AIS (PAR) Rules 2007

24. PAR for deputation on Rule 6 (2) (ii), Study leave & Training • PAR for period under 6(2)(ii) deputation (i) Assessment of attributes (ii) Assessment of work output (iii) Integrity (iv) Pen picture (v) Recommendation on domain assignment (vi) Overall grade • PAR during study leave / training - only self assessment AIS (PAR) Rules 2007

25. Disclosure of Report • Annual PAR, including the overall grade and assessment of integrity, to be disclosed after finalisation by accepting authority • Appraisee may give comments to the Accepting Authority within 15 days • Comments restricted to specific factual observations • Reporting/Reviewing Authority may accept / modify the PAR • Decision and final grading to be communicated • Non-acceptance of the views of the Reporting/Reviewing authority to be communicated with reasons AIS (PAR) Rules 2007

26. Referral Board • Appraisee may represent his case through Accepting Authority the Referral Board within 1 month • Decision of the Referral Board final • Board may “confirm or modify the performance appraisal report, including the overall grade” • Reasons are to be recordedin case of upgradation or downgradation • PAR process complete at the point of Referral Board • Further relief Memorial to the President as provided under Rule 25 of the AIS (Discipline and Appeal ) Rules,1969 AIS (PAR) Rules 2007

27. Composition of Referral Boards • State: Chief Secretary, the senior most Secretary and Secretary (Appointments) as convener • Centre: Cabinet Secretary, Secretary (Personnel) and EO as convener • Referral Board would look into errors of facts and nothing else AIS (PAR) Rules 2007

28. Cut off dates AIS (PAR) Rules 2007

29. Cut off dates AIS (PAR) Rules 2007

30. Thank You