Annual Performance Appraisal Report

Annual Performance Appraisal Report – APAR – Procedures and DOPT Brochure

APAR – Frequently Asked Questions

(i) Since when the entire remarks in the APAR is being conveyed to the officer reported upon for representation, if any ?

Answer — From the report for 2008-09 onwards.

(ii) On the basis of representation submitted for upgrading the grading in the ACR/APAR under OM dated 13.4.2010, can a review DPC be convened if the Competent Authority upgrades the grading to the benchmark level ?

Answer — The O.M. No. 21011/1/2010-Estt.A dated 13.4.2010 does not envisage any review DPC and it is concerned with future DPCs only to be held after the date of issue of the O.M.

(iii) What are the time schedule for completion of various processes in the APAR ?

Answer— Annexure—III to O.M. No. 21011/1/2005-Estt. (A) (Pt-II) dated 23rd July, 2009 refers. This O.M. is available in this Department’s website.[see below]

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Source: http://persmin.gov.in

Introduction of APAR – DOPT instructions in O.M. No. 21011/1/2005-Estt. (A) (Pt-II) dated 23rd July, 2009

No. 21011/1/2005-Estt (A) (Pt-II)

Government of India

Ministry of Personnel, Public Grievances and Pensions

(Department of Personnel and Training)

North Block, New Delhi, 23rd July, 2009

OFFICE MEMORANDUM

Subject:- Preparation and maintenance of Annual Performance Assessment Reports (APAR).

The undersigned is directed to invite the attention of the Ministries/Departments to the instructions contained in this Department’s O.M. No. No. 21011/02/2009-Estt.(A) 16/02/2009 and O.M. of even umber dated 14.05.2009 on the subjects of timely preparation and proper maintenance of APAR and making the APAR transparent for representation for upgradation, if any, by the officer reported upon. The matter of preparation and maintenance of APAR has been further reviewed in this Department keeping in view the system in this regard in respect of All India Services (AIS) and the undersigned is directed to convey the following decisions:-

(i) All cadre authorities shall include a box in the APAR for reflecting by the reporting officer the pen picture of the officer reported upon where the reporting officer will be required to indicate his comments on the overall qualities of the officer including areas of strengths and lesser strength and his attitude towards the weaker sections. A column will also be added in the section relating to the reviewing authority for giving the reviewing authority’s remarks on the pen picture reflected by the reporting officer. There will be no other separate column in the APAR for overall assessment apart from the pen picture.

(ii) A provision may be made in the APAR in the relevant section for remarks by the reviewing officer to indicate specifically the differences, if any, with the assessment made by the reporting officer, and the reasons therefor.

(iii)Numerical grading are to be awarded by reporting and reviewing authorities for the quality of work output, personal attributes and functional competence of the officer reported upon. These should be on a scale of 1-10, where 1 refers to the lowest grade and 10 to the highest. The guidelines given in Annexure-I shall be kept in mind while awarding numerical gradings.

(iv)The format for the purpose of numerical grading in the three areas of work output, assessment of personal attributes and assessment of functional competency is in Annexure-II. For Group ‘B’ and ‘C’ officials however, suitable changes may be made by the concerned cadre authorities in the items of assessment as per functional requirements of the job and the next promotional post for them. The overall grade on a score of 1-10 will be based on 40% weightage on assessment of work output, and 30% each for assessment of personal attributes and functional competency. The overall grading will be based on addition of the mean value of each group of indicators in proportion to weightage assigned.

(v) Wherever ‘accepting authority’ has been prescribed in the existing system in the cadre, columns may also be provided for such authority to give his comments on the remarks of the reporting/reviewing authority and details of difference of opinion, if any, with reasons for the same. In such cases, the accepting authority will also give overall grade on a score of 1-10.

(vi) A schedule for completion of all activities relating to the APAR is given in Annexure-III.

2. The above provisions would be applicable for the APAR from the reporting year 2009-10 onwards. The concerned authorities may accordingly make necessary changes in the APAR format for numerical grading to be given by reporting and reviewing officer. This O.M. does not in any way affect the part to be filled in by the officer reported upon and other existing columns in the APAR format like attitude towards SC/ST/OBC, relations with public (wherever applicable), integrity, training requirement etc. for descriptive remarks.

3. All Ministries/Departments are requested to bring to the notice of all the offices under them for strict implementation of the above instructions.

sd/-

(C.A. Subramanian)

Director

Annexure-I

Guidelines regarding filling up of APAR with numerical grading

(i) The columns in the APAR should be filled with due care and attention and after devoting adequate time.

(ii) 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.

(iii) 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.

(iv) APARs graded between 6 and short of 8 will be rated as ‘very good’ and will be given a score of 7.

(v) APARs graded between 4 and 6 short of 6 will be rated as ‘good’ and given a score of 5.

(vi) APARs graded below 4 will be given a score of zero.

Annexure II

Assessment of work output (weightage to this Section would be 40%)

	Reporting Authority	Reviewing Authority	Initial of Reviewing Authority
i)Accomplishment of planned work/work allotted as per subjects allotted ii) Quality of output iii) Analytical ability (iv)Accomplishment of exceptional work / unforeseen tasks performed Overall Grading on ‘Work Output’		.

Assessment of personal attributes (weightage to this Section would be 30%)

	Reporting Authority	Reviewing Authority	Initial of Reviewing Authority
i) Attitude to work ii) Sense of responsibility iii) Maintenance of Discipline iv) Communication skills v) Leadership qualities vi) Capacity to work in team spirit vii) Capacity to work in time limit viii) Inter-personal relations Overall Grading on personal attributes

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

	Reporting Authority	Reviewing Authority	Initial of Reviewing Authority
i) Knowledge of Rules / Regulations /Procedures in the area of function and ability to apply them correctly. ii) Strategic planning ability iii) Decision making ability iv) Coordination ability v) Ability to motivate and develop subordinates Overall Grading on functional competency

Annexure-III

Time schedule for preparation/completion of APAR

(Reporting year- Financial year)

S.No.	Activity	Date by which to be completed
1.	Distribution of blank APAR forms to all concerned (i.e., to officer to be reported upon where self-appraisal has to be given and to reporting officers where self- appraisal is not to be given)	31st March. (This may be completed even a week earlier).
2.	Submission of self-appraisal to reporting officer by officer to be reported upon (where applicable).	156 April.
3.	Submission of report by reporting officer to reviewing officer	30th June
4.	Report to be completed by ‘Reviewing Officer and to be sent to Administration or CR Section/Cell or accepting authority, wherever provided.	31st July .
5.	Appraisal by accepting authority, wherever provided	31st August
6.	(a) Disclosure to the officer reported upon where there is no accepting authority (b) Disclosure to the officer reported upon where there is accepting authority	(a) 01st September (b) 15th September
7.	Receipt of representation, if any, on AFAR	15 days from the date of receipt of communication
8.	Forwarding of representations to the competent authority (a) where there is no accepting authority for APAR (a) where there is accepting authority for APAR	(a) 21st September (b) 06th October
9.	Disposal of representation by the competent authority	Within one month from the date of receipt of representation.
10.	Communication of the decision of the competent authority on the representation by the APAR Cell	15th November
11.	End of entire APAR process, after which the APAR will be finally taken on record	30th November

Annual Performance Appraisal Report – DOPT instructions