Main Article - Jul, 2006
PROBLEMS ENCOUNTERED IN WRITING ANNUAL CONFIDENTIAL REPORTS
Ch. Srinivasa Rao, Under Secretary, CSIR, New Delhi
Introduction
The importance of Annual Confidential Reports (ACRs) can never be over-emphasized. Performance appraisal is an indispensable tool in personnel management and Human Resource Development. Lack of appreciation of its role may relegate its position to a routine annual drill. Career development should be based upon the candidates successful performance in the present grade and on objective evidence that the individual is prepared to assume tasks of higher responsibility. In an official's life, there could be certain occasions for being considered for promotion which may vary between Scientific & Technical and Administrative staff depending upon the actual business of the organisation. Promotion must be earned by exacting competition among the staff of same level or category. Determination of efficiency among employees is an essential element.
Performance appraisal
Performance appraisal cannot be viewed as a one-time event but as a process that seeks to accomplish both individual and organizational goals. At the individual level it could increase the efficiency and effectiveness and help the employee to see his work as meaningful and at the organizational level, it could enhance productivity and promote positive attitude. Performance appraisal is not just an end in itself. Even though it is never admitted, surplus manpower in many organisations is becoming a common feature due to technological innovation and modernization. Performance appraisal can help evolve strategies for redeployment of such surplus staff through appropriate training.
At present the DPCs have to mostly rely upon the ACRs while assessing an Officer for promotion. At times, ACRs vary with real qualities of the person assessed. Therefore, ACRs, are required to be written carefully, so that the work, character, qualities and capabilities of the Officers reported upon could be accurately judged. Similarly, a proper appraisal of the work of Group IV Scientists is very much needed as unlike in the case of MANAS, the eligibility of Scientists (Group IV) for promotion largely depends upon the grading (which is being expressed in numerical terms) despite completing required residency period.
Structuring hierarchy
The CSIR Labs./Instts. are required to structure their S&T work in such a manner that Reporting/Reviewing authorities at least up to the level of Scientist E-1 or equivalent, are below the level of the Head of the Laboratory or designated authority so that disputes, if any, arising in the grading/adverse remarks are settled at the level of the Head of the Lab./designated authority itself. Whenever, Head of the Lab./Instt. is required to act as the Reporting/Reviewing authority, disputes, if any, arising have to be invariably referred to the Director-General, CSIR along with parawise comments on the points raised by the aggrieved Officer.
Verification of particulars
All the details of the individuals in ACR such as date of birth, date of joining service and present post, pay scale, leave availed and details of Reporting/Reviewing Officer, etc. have to be scrutinized and certified by the concerned Officer of the respective Lab./Instt. If certain columns in ACR are left unfilled, it results in delay in taking the ACR on record.
Annual Property Return
All Group 'B' and 'A' employees are required to file Annual Property Returns by 31st January of each year. And it should be recorded in the appropriate column in ACR with the date and signature of the concerned employee.
Integrity certification
Integrity should be certified as ‘Beyond Doubt’. Substitutes such as ‘Very Good’, ‘Excellent’ ‘Honest’, 'Trustworthy', ‘nothing adverse has come to my notice’, etc. should not be used. Remarks like “doubtful character', 'complaints received about his seeking illegal gratification', etc. are not to be recorded in the ACR. Entry should be based on established facts only and not on mere suspicion. When the integrity is in doubt, action has to be taken as provided in the instructions enclosed to the ACR pro forma itself.
Self-Assessment Report
The Self-Assessment Report by the individual should be confined to the prescribed limit of 300 words and extra pages are not permitted to be attached to the ACR. The employee concerned and the Reporting/Reviewing Officers should append their dated signatures.
The following different situations in reporting and reviewing exercises are presented with ways and means to overcome such situation within the frame work of rules:
Self-Assessment Report
Event:Non-submission of ACRs by the concerned employee within the prescribed time-schedule.
Action:Reporting Officer should remind such as Officer in writing to submit his self assessment report by a stipulated date. It should also be made clear to him that if he fails to comply by the stipulated date, the report will be written without self-assessment report.
Remarks:Non-completion of ACRs by any one as per schedule results in delay in communication and disposal of adverse remarks, if any.
Event:If ACR is not submitted even after reminder
Action:The Reporting Officer may obtain a blank form from Administration and proceed with writing the report on the basis of his work and conduct of the Officer being reported upon during the period under review.
Remarks:Failure on the part of the Officer reported upon in submitting his self-assessment report within the stipulated time has to be recorded.
Event:Award of grading to Administrative/Finance/ Stores & Purchase streams and to Scientific and Technical staff.
Ch. Srinivasa Rao, Under Secretary, CSIR, New Delhi
Introduction
The importance of Annual Confidential Reports (ACRs) can never be over-emphasized. Performance appraisal is an indispensable tool in personnel management and Human Resource Development. Lack of appreciation of its role may relegate its position to a routine annual drill. Career development should be based upon the candidates successful performance in the present grade and on objective evidence that the individual is prepared to assume tasks of higher responsibility. In an official's life, there could be certain occasions for being considered for promotion which may vary between Scientific & Technical and Administrative staff depending upon the actual business of the organisation. Promotion must be earned by exacting competition among the staff of same level or category. Determination of efficiency among employees is an essential element.
Performance appraisal
Performance appraisal cannot be viewed as a one-time event but as a process that seeks to accomplish both individual and organizational goals. At the individual level it could increase the efficiency and effectiveness and help the employee to see his work as meaningful and at the organizational level, it could enhance productivity and promote positive attitude. Performance appraisal is not just an end in itself. Even though it is never admitted, surplus manpower in many organisations is becoming a common feature due to technological innovation and modernization. Performance appraisal can help evolve strategies for redeployment of such surplus staff through appropriate training.
At present the DPCs have to mostly rely upon the ACRs while assessing an Officer for promotion. At times, ACRs vary with real qualities of the person assessed. Therefore, ACRs, are required to be written carefully, so that the work, character, qualities and capabilities of the Officers reported upon could be accurately judged. Similarly, a proper appraisal of the work of Group IV Scientists is very much needed as unlike in the case of MANAS, the eligibility of Scientists (Group IV) for promotion largely depends upon the grading (which is being expressed in numerical terms) despite completing required residency period.
Structuring hierarchy
The CSIR Labs./Instts. are required to structure their S&T work in such a manner that Reporting/Reviewing authorities at least up to the level of Scientist E-1 or equivalent, are below the level of the Head of the Laboratory or designated authority so that disputes, if any, arising in the grading/adverse remarks are settled at the level of the Head of the Lab./designated authority itself. Whenever, Head of the Lab./Instt. is required to act as the Reporting/Reviewing authority, disputes, if any, arising have to be invariably referred to the Director-General, CSIR along with parawise comments on the points raised by the aggrieved Officer.
Verification of particulars
All the details of the individuals in ACR such as date of birth, date of joining service and present post, pay scale, leave availed and details of Reporting/Reviewing Officer, etc. have to be scrutinized and certified by the concerned Officer of the respective Lab./Instt. If certain columns in ACR are left unfilled, it results in delay in taking the ACR on record.
Annual Property Return
All Group 'B' and 'A' employees are required to file Annual Property Returns by 31st January of each year. And it should be recorded in the appropriate column in ACR with the date and signature of the concerned employee.
Integrity certification
Integrity should be certified as ‘Beyond Doubt’. Substitutes such as ‘Very Good’, ‘Excellent’ ‘Honest’, 'Trustworthy', ‘nothing adverse has come to my notice’, etc. should not be used. Remarks like “doubtful character', 'complaints received about his seeking illegal gratification', etc. are not to be recorded in the ACR. Entry should be based on established facts only and not on mere suspicion. When the integrity is in doubt, action has to be taken as provided in the instructions enclosed to the ACR pro forma itself.
Self-Assessment Report
The Self-Assessment Report by the individual should be confined to the prescribed limit of 300 words and extra pages are not permitted to be attached to the ACR. The employee concerned and the Reporting/Reviewing Officers should append their dated signatures.
The following different situations in reporting and reviewing exercises are presented with ways and means to overcome such situation within the frame work of rules:
Self-Assessment Report
Event:Non-submission of ACRs by the concerned employee within the prescribed time-schedule.
Action:Reporting Officer should remind such as Officer in writing to submit his self assessment report by a stipulated date. It should also be made clear to him that if he fails to comply by the stipulated date, the report will be written without self-assessment report.
Remarks:Non-completion of ACRs by any one as per schedule results in delay in communication and disposal of adverse remarks, if any.
Event:If ACR is not submitted even after reminder
Action:The Reporting Officer may obtain a blank form from Administration and proceed with writing the report on the basis of his work and conduct of the Officer being reported upon during the period under review.
Remarks:Failure on the part of the Officer reported upon in submitting his self-assessment report within the stipulated time has to be recorded.
Event:Award of grading to Administrative/Finance/ Stores & Purchase streams and to Scientific and Technical staff.
Action:The Reporting/Reviewing Officers are required to grade the officials reported upon only as per the prescribed grading. For example: In respect of staff in Administration: Below Average/ Average/ Good/ Very Good/ Outstanding. In respect of S&T staff: Poor/Fair/Satisfactory/ Good/Very Good/Excellent/ Outstanding.
Remarks:Grading such as ‘Good to ‘Very Good’ ‘A+’, ‘Very Good+, etc. should not be given.
Event:Award of Outstanding grade
Action:Whenever an official is awarded “Outstanding” grade, the reasons for awarding the same to be clearly brought out.
Remarks: ---
Adverse remarks
Confidential Reports should give general appreciation of the character, conduct and qualities of an Officer reported upon. Adverse remarks, if any, should be communicated to the Officer concerned. Representations received, if any, against the same have to be disposed of in accordance with the procedure laid down expeditiously but not later than 3 months. The purpose of communicating adverse remarks is to enable the Officer concerned to be aware of his own defects in accordance with the assessment of his supervisor and take steps to improve his performance.
Event:Adverse comments such as inefficiency, delay, lack of initiative, judgement, etc.
Action:A reference to any specific incident should be made by way of illustration to support before recording any adverse remarks in the ACRs, the Reporting/ Reviewing Officer should satisfy himself that such decision has been taken only after the individual was made known of the deficiencies noticed and reasonable time and opportunity was given to him to improve upon himself.
Remarks:Non-communication of adverse remarks results in the denial of opportunity to represent against them, if the adverse remarks are considered to be inappropriate. If a representation is submitted, it has to be disposed of well before the meeting of DPC/Assessment Committee, failing which the recommendations of the Committee are liable to be quashed.
Event:Adverse entries
Action:Should be communicated. Representation received, if any, has to be disposed of within stipulated time.
Remarks:Over-all grading should not be communicated.
Event: If entire adverse entry is expunged
Action: The over-all grading shall remain unchanged.
Remarks: However, the DPC shall take due note of such expunction and may re-determine the overall grading for the period in question, if it considers that the expunction of the adverse remarks has so altered the quality of the ACR as to merit re-grading.
Event:If the over-all grading is down- or up-graded by the Reviewing Officer
Action:Reasons should be recorded for such an action. General terms such as "I disagree with the Reporting/Reviewing Officer" shall not be construed as sufficient reason for down-/up-grading the over all grading.
Remarks:If reasons are not given, such exercise has to be treated as non-est/invalid.
Event:On calling for an explanation for some act of omission or com-mission.
Action:While considering such explanation, if the matter is not serious enough to justify the imposition of the formal punishment of Censure, it calls for some formal action such as the communication of a written warning/displeasure/ reprimand and the same is issued. Such communication has to be placed only in the personal file of the Officer concerned.
Remarks:At the end of the year, the reporting authority, while writing the Confidential Report of the Officer, may decide not to make a reference in the Confidential Report to the warning/displeasure/reprimand, if the performance of the Officer reported upon after the issue of the warning/ displeasure/reprimand has been found to be satisfactory.
Event:Despite such warning/displeasure/ reprimand, the Officer has not improved
Action:The Reporting authority may make appropriate mention of such warning/ displeasure/reprimand, as the case may be, in the relevant column relating to assessment.
Remarks:A copy of the warning, etc. issued should be placed in the Confidential Report.
Event:If the counter-signing authority, wherever provided, feels that any of the remarks made by the Reporting/Reviewing Officer are not tenable
Action:It is open to such an authority to disagree with the remarks of the Reporting/Reviewing Officer and it may either tone down or totally reject such remarks.
Remarks:Similarly, the Reviewing Officer can as well tone down or totally reject the remarks/adverse comments of Reporting Officer.
Reporting/Reviewing
Event:Reporting on staff
Action:It should give an objective view of main qualities taking into consideration the work for the whole year and not on the basis of occasional flashes of good work or lapses.
Remarks:Against the columns for general performance, aptitude etc., a concise factual assessment should be recorded.
Event:Reporting/Reviewing
Action:Only those Officers under whom the employee worked during the reporting period may write/ review the reports for the concerned period. No other Official is authorised to be designated for the purpose.
Remarks:In respect of Scientists “G” [Gr.IV (6)] and “H” [Gr.IV (7)], the Director of the Lab./Instt. shall act as the Reporting Officer and the DG, CSIR shall be the Reviewing Officer.
Event:Level of Reporting/ Reviewing Officer
Action:Reporting Officer (immediate supervisor) shall be at least one rank higher than that of the assessee and the Reviewing Officer should be senior and wherever possible should be of a rank higher than that of the Reporting Officer.
Remarks:Reporting and Reviewing should not be done by the same person. Deviation permitted only in exceptional cases.
Event:Reporting part of work to one Officer and the remaining work to another.
Action:If an individual has worked under two or more Officers separately during the period of reporting for more than 3 months, separate ACRs may be got written from each Reporting Officer and reviewed thereafter so that all such periods cover the entire reporting year.
Remarks: ---
Event:Working under more than one Reporting Officer
Action:Appraisal by each Reporting Officer should be given using photocopies of particular page of the ACR pro forma
Remarks: ---
Event:On transfer of Reporting/ Reviewing Officers
Action:If the Reporting Officer has been transferred during middle of the reporting year, he should immediately write the ACRs of his subordinates in respect of the period which he functioned as their Reporting Officer, provided that such period is at least 'six' months. Such reports should then be submitted to the Reviewing Officer who should retain them in his custody.
Remarks:At the end of the reporting year, the Reviewing Officer shall take into account the report of that Reporting Officer and any other subsequent Reporting Officer and review such ACRs.
Event:On transfer of the above Reviewing Officer
Action:The Reviewing Officer is subsequently transferred, he has to hand over all such reports in his custody to his successor to review the reports.
Remarks:If the new incumbent does not have at least three months or more experience of over-seeing the work of the staff reported upon, the reports have to be reviewed by the previous Reviewing Officer.
Event:If the ACR does not cover an earlier period during the year
Action:The Reporting Officer should mention the period of gap at the top of the report indicating the reasons for which a report for that period had not been written.
Remarks:In the case of common cadre officials, CSIR HQs. has to be intimated so that a note could be appended to their ACR folders.
Event:If the Reporting Officer is unable to initiate the report since he has less than three months experience.
Action:The Reviewing Officer should initiate and function as the Reporting Officer, provided he was functioning as the original Reviewing Officer during the entire period.
Remarks:In such cases, an Officer superior to him and in the direct line of hierarchy shall function as Reviewing Officer.
Event:In respect of S&T staff, if the Reviewing Officer is not available
Action:The report written by the Reporting Officer may be placed before the “Normalization Committee”.
Remarks:The grading awarded by the Committee has to be communicated to the employee concerned as if the report has been reviewed by the Reviewing Officer.
Event:If the reporting and reviewing for any particular year is not done in respect of S&T staff due to some reason.
Action:An ‘averaged grading’ on the basis of all the APARs/ARPs available for past years in the same group and grade held by the individual may be taken for calculating the APAR marks for that particular year.
Remarks:The APARs/ARPs in respect of an Officer for any particular period cannot be filled in at a later stage by any Officer who had not been authorized to act as Reporting or Reviewing Officer during the relevant period.
Event:On retirement of Reporting/Reviewing Officer or on leaving the CSIR
Action:Such Reporting/Reviewing Officer can write ACRs up to one month after his retirement/leaving CSIR.
Remarks: ---
Event:If the Reporting Officer leaves CSIR service/expires or if the grace period of 4 weeks expires
Action:The Reviewing Officer should write both the reporting and reviewing portions for any period over 3 months and the Lab. should make a note in their records and keep a slip in the dossiers stating the circumstances.
Remarks:In respect of common cadre Officers, the Reviewing Officer should also mention the same while forwarding such ACRs to HQs. This enables the Office to have an ACR of the individual at least some portion of the reporting year than not having any ACR at all.
Event:If the Reviewing Officer has left CSIR service/expired or if the grace period of four weeks expired
Action:The grading awarded in such cases by the Reporting Officer is taken as the final grading during verification and a slip is attached to the ACR recording the circumstances.
Remarks: ---
Event:If Reviewing authority retires and his successor does not have the minimum three months experience to review the ACR
Action:The reviewing portion of the ACR pro forma will be left blank and a suitable note can be recorded by the new Reviewing authority stating clearly that he could not review the report as he did not have the requisite 3 months experience.
Remarks:This could also be done by the Reporting Officer himself.
Event:If the ACRs are not available, it has to be recorded on file and a fair slip is placed in the dossier indicating the years/ periods for which the ACRs are not available
Action:If both Reporting/Reviewing Officers are not available, the circumstances which lead to such situation have to be recorded on a slip and file it in the dossier.
Remarks:The purpose of placing slips in the dossier is to make the DPC/Assessment Committee aware of the fact that although efforts were made, ACRs for certain period were not available due to given circum-stances.
Event:If the Reporting Officer is under suspension
Action:He can fill up ACRs of his subordinates up to a period of 2 months only
Remarks:Beyond 2 months, no Officer under suspension should be allowed to write/review the ACRs, as he might not have full opportunity to supervise the work of his subordinates.
Event:If APAR/ARP is not available for part of year, a year or a number of years because the Officer has not submitted his/her self-Assessment report in spite of one or more reminders
Action:Reporting/Reviewing Officers are not in a position to grade the Officer without self-assessment report, a remark to this effect has to be placed in the ACR Dossier of the Officer by the COA/AO after getting the approval of the Director. Consequently, the Officer will get “zero” mark for those APARs/ARPs.
Remarks:The COA/AO will also place in the Dossier copies of the correspondence made with the Officer reported upon/ Reporting Officer/Reviewing Officer in this regard.
Event:If a specific incident is considered to be not so important to call for disciplinary proceedings, but important enough to be specifically mentioned in the Confidential Report
Action:Before making such an entry, he should satisfy himself that his own conclusion has been arrived at only after a reasonable opportunity has been given to the official reported upon to present his case.
Remarks: ---
Event:Recording penalties imposed
Action:Specific incidents on the basis of which penalties have been awarded in the course of departmental proceedings must be indicated in the ACR. An entry relating to imposition of penalty should be recorded in the report for the year for which the punishment order is issued.
Remarks:In this entry, an indication about the period to which the incident leading to the disciplinary case relates may be given.
Event:Award of average marks in respect of S&T staff
Action:In cases of foreign assignment/ deputation/study level/EOL where APARs/ARPs cannot normally be written under the given system, an ‘averaged grading’ on the basis of all the APARs/ARPs available for past years in the same group and grade held by the individual may be taken for calculating the APAR marks for that particular year.
Remarks:This provision is being grossly misinterpreted and misused to derive undue benefit by intentionally avoiding submission of Self-Assessment Report assuming that their reports might not fetch grades as per their liking. Willful non-submission of Self-Assessment Report is liable for initiation of departmental action.
Event:Director as the immediate supervisor
Action:Sometimes the Director of the Lab./Instt. has to report and review the same ACR in respect of certain staff members who report to him directly.
Remarks:At least staff members at higher level, if the Director functions as Reporting Officer, the DG, CSIR shall be the Reviewing Officer, save in exceptional cases. To avoid sending such APARs to DG, CSIR, the work has to be structured in such a way that the Director acts as a Reviewing Officer.
Event:Director as Reporting Officer in respect of COA, F&AO, and SPO Director as Reporting Officer in respect of Officers functioning as Officers-in-Charge irrespective of level in General Administration, Finance or Stores & Purchase.
Action:ACRs of such Officers shall be reviewed by the DG, CSIR.
Remarks:The performance of such Officers in General Administration and Stores & Purchase will be monitored by the Jt. Secretary (Admn.) while in respect of Officers in Finance, the Financial Adviser will do before the ACRs are placed before the DG, CSIR for reviewing.
Remarks:Grading such as ‘Good to ‘Very Good’ ‘A+’, ‘Very Good+, etc. should not be given.
Event:Award of Outstanding grade
Action:Whenever an official is awarded “Outstanding” grade, the reasons for awarding the same to be clearly brought out.
Remarks: ---
Adverse remarks
Confidential Reports should give general appreciation of the character, conduct and qualities of an Officer reported upon. Adverse remarks, if any, should be communicated to the Officer concerned. Representations received, if any, against the same have to be disposed of in accordance with the procedure laid down expeditiously but not later than 3 months. The purpose of communicating adverse remarks is to enable the Officer concerned to be aware of his own defects in accordance with the assessment of his supervisor and take steps to improve his performance.
Event:Adverse comments such as inefficiency, delay, lack of initiative, judgement, etc.
Action:A reference to any specific incident should be made by way of illustration to support before recording any adverse remarks in the ACRs, the Reporting/ Reviewing Officer should satisfy himself that such decision has been taken only after the individual was made known of the deficiencies noticed and reasonable time and opportunity was given to him to improve upon himself.
Remarks:Non-communication of adverse remarks results in the denial of opportunity to represent against them, if the adverse remarks are considered to be inappropriate. If a representation is submitted, it has to be disposed of well before the meeting of DPC/Assessment Committee, failing which the recommendations of the Committee are liable to be quashed.
Event:Adverse entries
Action:Should be communicated. Representation received, if any, has to be disposed of within stipulated time.
Remarks:Over-all grading should not be communicated.
Event: If entire adverse entry is expunged
Action: The over-all grading shall remain unchanged.
Remarks: However, the DPC shall take due note of such expunction and may re-determine the overall grading for the period in question, if it considers that the expunction of the adverse remarks has so altered the quality of the ACR as to merit re-grading.
Event:If the over-all grading is down- or up-graded by the Reviewing Officer
Action:Reasons should be recorded for such an action. General terms such as "I disagree with the Reporting/Reviewing Officer" shall not be construed as sufficient reason for down-/up-grading the over all grading.
Remarks:If reasons are not given, such exercise has to be treated as non-est/invalid.
Event:On calling for an explanation for some act of omission or com-mission.
Action:While considering such explanation, if the matter is not serious enough to justify the imposition of the formal punishment of Censure, it calls for some formal action such as the communication of a written warning/displeasure/ reprimand and the same is issued. Such communication has to be placed only in the personal file of the Officer concerned.
Remarks:At the end of the year, the reporting authority, while writing the Confidential Report of the Officer, may decide not to make a reference in the Confidential Report to the warning/displeasure/reprimand, if the performance of the Officer reported upon after the issue of the warning/ displeasure/reprimand has been found to be satisfactory.
Event:Despite such warning/displeasure/ reprimand, the Officer has not improved
Action:The Reporting authority may make appropriate mention of such warning/ displeasure/reprimand, as the case may be, in the relevant column relating to assessment.
Remarks:A copy of the warning, etc. issued should be placed in the Confidential Report.
Event:If the counter-signing authority, wherever provided, feels that any of the remarks made by the Reporting/Reviewing Officer are not tenable
Action:It is open to such an authority to disagree with the remarks of the Reporting/Reviewing Officer and it may either tone down or totally reject such remarks.
Remarks:Similarly, the Reviewing Officer can as well tone down or totally reject the remarks/adverse comments of Reporting Officer.
Reporting/Reviewing
Event:Reporting on staff
Action:It should give an objective view of main qualities taking into consideration the work for the whole year and not on the basis of occasional flashes of good work or lapses.
Remarks:Against the columns for general performance, aptitude etc., a concise factual assessment should be recorded.
Event:Reporting/Reviewing
Action:Only those Officers under whom the employee worked during the reporting period may write/ review the reports for the concerned period. No other Official is authorised to be designated for the purpose.
Remarks:In respect of Scientists “G” [Gr.IV (6)] and “H” [Gr.IV (7)], the Director of the Lab./Instt. shall act as the Reporting Officer and the DG, CSIR shall be the Reviewing Officer.
Event:Level of Reporting/ Reviewing Officer
Action:Reporting Officer (immediate supervisor) shall be at least one rank higher than that of the assessee and the Reviewing Officer should be senior and wherever possible should be of a rank higher than that of the Reporting Officer.
Remarks:Reporting and Reviewing should not be done by the same person. Deviation permitted only in exceptional cases.
Event:Reporting part of work to one Officer and the remaining work to another.
Action:If an individual has worked under two or more Officers separately during the period of reporting for more than 3 months, separate ACRs may be got written from each Reporting Officer and reviewed thereafter so that all such periods cover the entire reporting year.
Remarks: ---
Event:Working under more than one Reporting Officer
Action:Appraisal by each Reporting Officer should be given using photocopies of particular page of the ACR pro forma
Remarks: ---
Event:On transfer of Reporting/ Reviewing Officers
Action:If the Reporting Officer has been transferred during middle of the reporting year, he should immediately write the ACRs of his subordinates in respect of the period which he functioned as their Reporting Officer, provided that such period is at least 'six' months. Such reports should then be submitted to the Reviewing Officer who should retain them in his custody.
Remarks:At the end of the reporting year, the Reviewing Officer shall take into account the report of that Reporting Officer and any other subsequent Reporting Officer and review such ACRs.
Event:On transfer of the above Reviewing Officer
Action:The Reviewing Officer is subsequently transferred, he has to hand over all such reports in his custody to his successor to review the reports.
Remarks:If the new incumbent does not have at least three months or more experience of over-seeing the work of the staff reported upon, the reports have to be reviewed by the previous Reviewing Officer.
Event:If the ACR does not cover an earlier period during the year
Action:The Reporting Officer should mention the period of gap at the top of the report indicating the reasons for which a report for that period had not been written.
Remarks:In the case of common cadre officials, CSIR HQs. has to be intimated so that a note could be appended to their ACR folders.
Event:If the Reporting Officer is unable to initiate the report since he has less than three months experience.
Action:The Reviewing Officer should initiate and function as the Reporting Officer, provided he was functioning as the original Reviewing Officer during the entire period.
Remarks:In such cases, an Officer superior to him and in the direct line of hierarchy shall function as Reviewing Officer.
Event:In respect of S&T staff, if the Reviewing Officer is not available
Action:The report written by the Reporting Officer may be placed before the “Normalization Committee”.
Remarks:The grading awarded by the Committee has to be communicated to the employee concerned as if the report has been reviewed by the Reviewing Officer.
Event:If the reporting and reviewing for any particular year is not done in respect of S&T staff due to some reason.
Action:An ‘averaged grading’ on the basis of all the APARs/ARPs available for past years in the same group and grade held by the individual may be taken for calculating the APAR marks for that particular year.
Remarks:The APARs/ARPs in respect of an Officer for any particular period cannot be filled in at a later stage by any Officer who had not been authorized to act as Reporting or Reviewing Officer during the relevant period.
Event:On retirement of Reporting/Reviewing Officer or on leaving the CSIR
Action:Such Reporting/Reviewing Officer can write ACRs up to one month after his retirement/leaving CSIR.
Remarks: ---
Event:If the Reporting Officer leaves CSIR service/expires or if the grace period of 4 weeks expires
Action:The Reviewing Officer should write both the reporting and reviewing portions for any period over 3 months and the Lab. should make a note in their records and keep a slip in the dossiers stating the circumstances.
Remarks:In respect of common cadre Officers, the Reviewing Officer should also mention the same while forwarding such ACRs to HQs. This enables the Office to have an ACR of the individual at least some portion of the reporting year than not having any ACR at all.
Event:If the Reviewing Officer has left CSIR service/expired or if the grace period of four weeks expired
Action:The grading awarded in such cases by the Reporting Officer is taken as the final grading during verification and a slip is attached to the ACR recording the circumstances.
Remarks: ---
Event:If Reviewing authority retires and his successor does not have the minimum three months experience to review the ACR
Action:The reviewing portion of the ACR pro forma will be left blank and a suitable note can be recorded by the new Reviewing authority stating clearly that he could not review the report as he did not have the requisite 3 months experience.
Remarks:This could also be done by the Reporting Officer himself.
Event:If the ACRs are not available, it has to be recorded on file and a fair slip is placed in the dossier indicating the years/ periods for which the ACRs are not available
Action:If both Reporting/Reviewing Officers are not available, the circumstances which lead to such situation have to be recorded on a slip and file it in the dossier.
Remarks:The purpose of placing slips in the dossier is to make the DPC/Assessment Committee aware of the fact that although efforts were made, ACRs for certain period were not available due to given circum-stances.
Event:If the Reporting Officer is under suspension
Action:He can fill up ACRs of his subordinates up to a period of 2 months only
Remarks:Beyond 2 months, no Officer under suspension should be allowed to write/review the ACRs, as he might not have full opportunity to supervise the work of his subordinates.
Event:If APAR/ARP is not available for part of year, a year or a number of years because the Officer has not submitted his/her self-Assessment report in spite of one or more reminders
Action:Reporting/Reviewing Officers are not in a position to grade the Officer without self-assessment report, a remark to this effect has to be placed in the ACR Dossier of the Officer by the COA/AO after getting the approval of the Director. Consequently, the Officer will get “zero” mark for those APARs/ARPs.
Remarks:The COA/AO will also place in the Dossier copies of the correspondence made with the Officer reported upon/ Reporting Officer/Reviewing Officer in this regard.
Event:If a specific incident is considered to be not so important to call for disciplinary proceedings, but important enough to be specifically mentioned in the Confidential Report
Action:Before making such an entry, he should satisfy himself that his own conclusion has been arrived at only after a reasonable opportunity has been given to the official reported upon to present his case.
Remarks: ---
Event:Recording penalties imposed
Action:Specific incidents on the basis of which penalties have been awarded in the course of departmental proceedings must be indicated in the ACR. An entry relating to imposition of penalty should be recorded in the report for the year for which the punishment order is issued.
Remarks:In this entry, an indication about the period to which the incident leading to the disciplinary case relates may be given.
Event:Award of average marks in respect of S&T staff
Action:In cases of foreign assignment/ deputation/study level/EOL where APARs/ARPs cannot normally be written under the given system, an ‘averaged grading’ on the basis of all the APARs/ARPs available for past years in the same group and grade held by the individual may be taken for calculating the APAR marks for that particular year.
Remarks:This provision is being grossly misinterpreted and misused to derive undue benefit by intentionally avoiding submission of Self-Assessment Report assuming that their reports might not fetch grades as per their liking. Willful non-submission of Self-Assessment Report is liable for initiation of departmental action.
Event:Director as the immediate supervisor
Action:Sometimes the Director of the Lab./Instt. has to report and review the same ACR in respect of certain staff members who report to him directly.
Remarks:At least staff members at higher level, if the Director functions as Reporting Officer, the DG, CSIR shall be the Reviewing Officer, save in exceptional cases. To avoid sending such APARs to DG, CSIR, the work has to be structured in such a way that the Director acts as a Reviewing Officer.
Event:Director as Reporting Officer in respect of COA, F&AO, and SPO Director as Reporting Officer in respect of Officers functioning as Officers-in-Charge irrespective of level in General Administration, Finance or Stores & Purchase.
Action:ACRs of such Officers shall be reviewed by the DG, CSIR.
Remarks:The performance of such Officers in General Administration and Stores & Purchase will be monitored by the Jt. Secretary (Admn.) while in respect of Officers in Finance, the Financial Adviser will do before the ACRs are placed before the DG, CSIR for reviewing.
References
1. CSIR U.O. No.3(1)/71-O&M dt. 10-9-1984 addressed to DP&AR
2. CSIR Lr.No. 17(65/p.42)/90-PPS dt. 8-1-1991
3. CSIR Lr. No.1/(66)/94-PPS dt. 9-11-1994
4. CSIR Lr. No.17/66/94-PPS dt. 23.5.1995
5. CSIR Lr. No.17 (66)/8/94-PPS dt. 10.7.1995
6. CSIR Lr. No. 17/66/9/94-PPS dt. 21.8.1995
7. CSIR Lr. No.17/66/9/96-PPS dt. 21.4.1997
8. CSIR Lr. No.3/1/71-O&M dt. 1-6-1999.
9. CSIR Lr. No.BF/97-CR dt. 2-6-1999
10. Swamy’s Compilation on Confidential Reports (2000)
11. CSIR Lr. No.3/1/71-O&M-II dt. 21-9-1999
12. CSIR Lr. No. 3/1/71-O&M-II dt. 23-5-2000
13. CSIR Lr. No.17/66/8/94-PPS dt. 25-8-2000
14. CSIR Lr. No. 3/80/85-O&M dt. 31-10-2000
15. CSIR Lr. No.15-3/1/71-O&M-II(a) dt, 10-12-2001
16. CSIR Lr. No.15-3/1/71-O&M-II dt. 25-2-2002
17. CSIR Lr. No.17/66/94-PPS dt. 26.3.2002
18. CSIR Lr. No. 7-1(2)/2002-R&A dt. 07.06.2002
19 GoI DoPT OM No. 21011/5/2002-Estt.(A) dt. 26-7-2002; CSIR Endt. No. 15-3/1/71-O&M II (A)-2002 dt. 23-9-2002
20. CSIR Lr. No. 5-17/70/2002-PPS dt. 1-1-2003
21. CSIR Lr. No. 17/66/7/94-PPS dt. 5.12.2003
22. GoI MPPG&P DOPT Lr. Pt.No.11059/18/2002-AIS(III) dt. 19-4-2005 & 30-11-2005
.o.
1. CSIR U.O. No.3(1)/71-O&M dt. 10-9-1984 addressed to DP&AR
2. CSIR Lr.No. 17(65/p.42)/90-PPS dt. 8-1-1991
3. CSIR Lr. No.1/(66)/94-PPS dt. 9-11-1994
4. CSIR Lr. No.17/66/94-PPS dt. 23.5.1995
5. CSIR Lr. No.17 (66)/8/94-PPS dt. 10.7.1995
6. CSIR Lr. No. 17/66/9/94-PPS dt. 21.8.1995
7. CSIR Lr. No.17/66/9/96-PPS dt. 21.4.1997
8. CSIR Lr. No.3/1/71-O&M dt. 1-6-1999.
9. CSIR Lr. No.BF/97-CR dt. 2-6-1999
10. Swamy’s Compilation on Confidential Reports (2000)
11. CSIR Lr. No.3/1/71-O&M-II dt. 21-9-1999
12. CSIR Lr. No. 3/1/71-O&M-II dt. 23-5-2000
13. CSIR Lr. No.17/66/8/94-PPS dt. 25-8-2000
14. CSIR Lr. No. 3/80/85-O&M dt. 31-10-2000
15. CSIR Lr. No.15-3/1/71-O&M-II(a) dt, 10-12-2001
16. CSIR Lr. No.15-3/1/71-O&M-II dt. 25-2-2002
17. CSIR Lr. No.17/66/94-PPS dt. 26.3.2002
18. CSIR Lr. No. 7-1(2)/2002-R&A dt. 07.06.2002
19 GoI DoPT OM No. 21011/5/2002-Estt.(A) dt. 26-7-2002; CSIR Endt. No. 15-3/1/71-O&M II (A)-2002 dt. 23-9-2002
20. CSIR Lr. No. 5-17/70/2002-PPS dt. 1-1-2003
21. CSIR Lr. No. 17/66/7/94-PPS dt. 5.12.2003
22. GoI MPPG&P DOPT Lr. Pt.No.11059/18/2002-AIS(III) dt. 19-4-2005 & 30-11-2005
.o.
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