Performance Management System for the IAS Department of Personnel & Training Services Division 2007.

Performance Management Performance Management SystemSystem

for the IASfor the IASDepartment of Personnel & TrainingDepartment of Personnel & Training

Services DivisionServices Division20072007

AIS (PAR) Rules 2007AIS (PAR) Rules 2007 22

All India Service (PAR) Rules, 2007All India Service (PAR) Rules, 2007

Based on the recommendations of the Based on the recommendations of the Surinder Nath Committee constituted to Surinder Nath Committee constituted to review the system of Performance review the system of Performance Appraisal, Promotion, Empanelment and Appraisal, Promotion, Empanelment and Placement for the All India Services and Placement for the All India Services and other Group ‘A’ Services other Group ‘A’ Services


(Objectives of Performance Appraisal)(Objectives of Performance Appraisal)

Training and Placement Training and Placement Feedback and Counselling Feedback and Counselling Planning of work Planning of work Promotion Promotion RecognitionRecognition Strengthening Good Governance Strengthening Good Governance


Performance Appraisal ReportPerformance Appraisal Report

The PAR would be a tool for career planning and The PAR would be a tool for career planning and training, rather than a mere judgmental exercisetraining, rather than a mere judgmental exercise

Mandatory time schedule : PAR to be recorded Mandatory time schedule : PAR to be recorded by 31by 31stst December, failing which assessment to be December, failing which assessment to be on the basis of overall record and self-on the basis of overall record and self-assessmentassessment

Only one reporting, reviewing and accepting Only one reporting, reviewing and accepting authority for a given period of timeauthority for a given period of time


Basic format for the PARBasic format for the PAR Section I – Basic information, dates property Section I – Basic information, dates property

returns filed and medical check-upsreturns filed and medical check-ups Section II – Self-appraisal, indicating Section II – Self-appraisal, indicating

achievements against pre-set work plan / achievements against pre-set work plan / unforeseen tasksunforeseen tasks

Training and skill-upgradation attained and Training and skill-upgradation attained and required will also be reflectedrequired will also be reflected

Section III–Appraisal,with overall numerical Section III–Appraisal,with overall numerical gradinggrading

Section IV–Review Section IV–Review Section V-AcceptanceSection V-Acceptance


Basic format for the PARBasic format for the PAR An integrity certificate for all levels of officersAn integrity certificate for all levels of officers Reporting/Reviewing Officer to give Reporting/Reviewing Officer to give

recommendations relating to domain assignmentrecommendations relating to domain assignment Reporting/Reviewing Officer to indicate major Reporting/Reviewing Officer to indicate major

strengths and areas of lesser strengths strengths and areas of lesser strengths Integrity, attitude to SC / ST and pen picture Integrity, attitude to SC / ST and pen picture

descriptive in naturedescriptive in nature Certification and sharing of integrity an integral Certification and sharing of integrity an integral part of the PARpart of the PAROption of four domainsOption of four domains Major strengths and areas of lesser strengths to be Major strengths and areas of lesser strengths to be shared with the officer reported upon includedshared with the officer reported upon included


Work PlanWork Plan Preparation of work plan in advance (by 30Preparation of work plan in advance (by 30thth

April) each year by the appraisee / April) each year by the appraisee / Reporting Officer setting the key tasks in Reporting Officer setting the key tasks in order of priority order of priority

Deliverables would essentially comprise Deliverables would essentially comprise quantifiable targets for field posts and quantifiable targets for field posts and qualitative (policy objectives) for secretariat qualitative (policy objectives) for secretariat level postslevel posts

Initial and mid-year work plans filed with the Initial and mid-year work plans filed with the Reviewing Officer / Updated at mid-year Reviewing Officer / Updated at mid-year

statestate


Work Plan - Sample 1Work Plan - Sample 1 (District Posting)(District Posting)

Tasks to be perfomedTasks to be perfomed DeliverablesDeliverables

Disposal of outstanding revenue casesDisposal of outstanding revenue cases 150150

Collection of land revenueCollection of land revenue Rs 4 croresRs 4 crores

Inspection of tahsil/block officesInspection of tahsil/block offices 2525

Surplus land distributionSurplus land distribution 2500 acres2500 acres

Electoral roll revisionElectoral roll revision CompleteComplete

Collection under National Savings Collection under National Savings SchemesSchemes

Rs 8.5 Rs 8.5 crorescrores

Streamlining the system of appointment Streamlining the system of appointment of Fair Price Shop dealersof Fair Price Shop dealers

CompleteComplete

Immunisation of childrenImmunisation of children 2,00,000 2,00,000

New enrolments under TLCNew enrolments under TLC 2,50,000 2,50,000


Work Plan – Sample 2Work Plan – Sample 2(Addl Secy, Deptt of Env. & Forests, State Govt)(Addl Secy, Deptt of Env. & Forests, State Govt)

Tasks to be perfomedTasks to be perfomed DeliverableDeliverabless

Consolidate work on the computerised monitoring Consolidate work on the computerised monitoring system for ongoing worksystem for ongoing work

Finalise pension scheme for timely disbursal of Finalise pension scheme for timely disbursal of pensionspensions

Ensure timely preparation of Plan schemesEnsure timely preparation of Plan schemes

Finalise gradation list of Forest Deptt officersFinalise gradation list of Forest Deptt officers

Organise filling up of all vacancies of Range OfficersOrganise filling up of all vacancies of Range Officers

Ensure preparation of mgmt plan for wildlife Ensure preparation of mgmt plan for wildlife sanctuarysanctuary

Ensure finalisation of in-service trg prog of Forest Ensure finalisation of in-service trg prog of Forest Service OfficersService Officers

Complete zero based budget of forest deptt Complete zero based budget of forest deptt schemesschemes


Work Plan – Sample 3Work Plan – Sample 3(Secretary, Transport Deptt, State Govt)(Secretary, Transport Deptt, State Govt)

Tasks to be perfomedTasks to be perfomed DeliverablesDeliverables

Finalise motor vehicle rules and notifyFinalise motor vehicle rules and notify

Cadre review of transport deptt officersCadre review of transport deptt officers

Review MT Taxation rules and notify revised Review MT Taxation rules and notify revised tax ratestax rates

Review performance of State Transport CorpnReview performance of State Transport Corpn

Formulate VRS scheme in STCFormulate VRS scheme in STC

Finalise scheme for pollution check by private Finalise scheme for pollution check by private partiesparties

Inspect district transport officesInspect district transport offices 55

Review schemes for computerisation of Review schemes for computerisation of transport data mgmt and licensing systemtransport data mgmt and licensing system


PAR - Form IPAR - Form I

Basic information (to be filled by Admn Division / Basic information (to be filled by Admn Division / Personnel Deptt)Personnel Deptt)

Includes names of Reporting, Reviewing and Includes names of Reporting, Reviewing and Accepting Authorities and periodsAccepting Authorities and periods

Details of Training Programmes attendedDetails of Training Programmes attended Awards / HonoursAwards / Honours PARs of AIS officers not written by the officer as PARs of AIS officers not written by the officer as

reporting/reviewing authorityreporting/reviewing authority Filing of property returnFiling of property return Date of last medical examination (>40 yrs of age)Date of last medical examination (>40 yrs of age)


Section II – Self AppraisalSection II – Self Appraisal

Brief description of dutiesBrief description of duties Achievement against annual work planAchievement against annual work plan Exceptional contributionExceptional contribution Factors that hindered performanceFactors that hindered performance Training needs for skill upgradationTraining needs for skill upgradation Declaration (immovable property return, Declaration (immovable property return,

medical check-up, work plan for medical check-up, work plan for subordinatessubordinates


Section III (Appraisal)Section III (Appraisal)

Comments on self-appraisal of officerComments on self-appraisal of officer Assessment ofAssessment of

(i) work output (weightage 40 %)(i) work output (weightage 40 %)(ii) personal attributes (weightage 30 %)(ii) personal attributes (weightage 30 %)(iii) functional competency (30 %)(iii) functional competency (30 %)

Pen picture on overall qualities of officerPen picture on overall qualities of officer Domain assignmentDomain assignment Overall gradeOverall grade


NNumerical indicators and weightagumerical indicators and weightagee Numerical grading against 15-20 indicators on Numerical grading against 15-20 indicators on

work output, personal attributes and functional work output, personal attributes and functional competencycompetency

Grades of 1 or 2, 9 or 10 should be adequately Grades of 1 or 2, 9 or 10 should be adequately justified in the pen picturejustified in the pen picture

Numerical overall assessment on a 1-10 scaleNumerical overall assessment on a 1-10 scale Overall grade weighted mean of the set of scores Overall grade weighted mean of the set of scores

arrived at for each indicatorarrived at for each indicator For numerical grades, rating would be against For numerical grades, rating would be against

large population of peers of appraiseelarge population of peers of appraisee


AssessmentAssessment

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


AssessmentAssessment

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


Review and AcceptanceReview and Acceptance

Section IV (Review) – Section IV (Review) – i) Agreement with assessmenti) Agreement with assessmentii) Reasons for difference of opinionii) Reasons for difference of opinioniii) Pen pictureiii) Pen pictureiv) Recommendations on domain iv) Recommendations on domain

assignmentassignmentv) Overall gradev) Overall grade

Section V (Acceptance) –Section V (Acceptance) –i) Agreement with Reporting / Reviewing i) Agreement with Reporting / Reviewing

AuthorityAuthorityii) Reasons for difference of opinionii) Reasons for difference of opinioniii) Overall gradeiii) Overall grade


Differences in PAR form for IAS Differences in PAR form for IAS officers of the level of AS and aboveofficers of the level of AS and above

No self appraisal (Description of duties, work plan No self appraisal (Description of duties, work plan (preparation, mid-term review) and achievement, (preparation, mid-term review) and achievement, exceptional contribution, factors hindering performance and exceptional contribution, factors hindering performance and training needs are not required)training needs are not required)

Only a declaration required regarding filing of property Only a declaration required regarding filing of property return, undergoing medical check up, setting work plan for return, undergoing medical check up, setting work plan for subordinates, preparation of work plan for themselves subordinates, preparation of work plan for themselves

Option to enclose a note on important achievementsOption to enclose a note on important achievements Appraisal on the basis of assessment of attributes and Appraisal on the basis of assessment of attributes and

work output (not functional competency) and integritywork output (not functional competency) and integrity Pen picture and domain assignment is still requiredPen picture and domain assignment is still required


Cut off date for recording PARCut off date for recording PAR PAR for a financial year to be recorded PAR for a financial year to be recorded

by 31by 31stst December of the year in which December of the year in which the financial year endedthe financial year ended

No remarks thereafterNo remarks thereafter Officer assessed on basis of the overall Officer assessed on basis of the overall

record and self- assessment if he has record and self- assessment if he has submitted his self-assessment on timesubmitted his self-assessment on time

Appraisee should endorse a copy of Appraisee should endorse a copy of self-appraisal to Nodal Authority and self-appraisal to Nodal Authority and keep record as evidencekeep record as evidence


Timely completion of PARsTimely completion of PARs

Secretary (Personnel) in States and E.O. at Secretary (Personnel) in States and E.O. at the Centre designated nodal authoritiesthe Centre designated nodal authorities

Nodal authority will send a list of appraisees Nodal authority will send a list of appraisees to each Reporting/Reviewing/Accepting to each Reporting/Reviewing/Accepting authority by 15authority by 15thth April April

In case Reporting Authority does not report In case Reporting Authority does not report in time, copy of self-appraisal will be sent to in time, copy of self-appraisal will be sent to Reviewing Authority and entry will be made Reviewing Authority and entry will be made in PAR of Reporting Authorityin PAR of Reporting Authority


Health status reportHealth status report

Annual health check up proforma Annual health check up proforma finalized in consultation with the Dept finalized in consultation with the Dept of Health of Health

Only summary medical report of check Only summary medical report of check up to be attached to PAR up to be attached to PAR

Dispensed below the age of 40, except Dispensed below the age of 40, except in case of medical incidentin case of medical incident


Comprehensive performance appComprehensive performance appraisal dossier raisal dossier

A CV to be updated annually on the basis of A CV to be updated annually on the basis of the PAR / 5-yearly CV update submitted by the the PAR / 5-yearly CV update submitted by the appraiseeappraiseePARs earned throughout the careerPARs earned throughout the careerReports of medical check-upReports of medical check-upThe CV in the personal dossier of every The CV in the personal dossier of every

officer may be mandatorily posted on the officer may be mandatorily posted on the website of the CCAwebsite of the CCA Certificates of training/academic Certificates of training/academic

courses/study leave courses/study leave


Comprehensive performance Comprehensive performance appraisal dossierappraisal dossier

Details of books / articles / publicationsDetails of books / articles / publicationsAppreciation letters from Appreciation letters from Government / Secretary / HOD / Government / Secretary / HOD / Special bodies / CommissionsSpecial bodies / CommissionsCopy of order of penalty and final Copy of order of penalty and final result of inquiry result of inquiry Warnings/displeasure/reprimands of Warnings/displeasure/reprimands of GovernmentGovernment


PAR for deputation on Rule 6 (2) (ii),PAR for deputation on Rule 6 (2) (ii), Study leave & Training Study leave & Training PAR for period under 6(2)(ii) deputation PAR for period under 6(2)(ii) deputation

(i)(i) Assessment of attributesAssessment of attributes(ii)(ii) Assessment of work outputAssessment of work output(iii)(iii) IntegrityIntegrity(iv)(iv) Pen picturePen picture(v)(v) Recommendation on domain Recommendation on domain

assignmentassignment(vi)(vi) Overall grade Overall grade

PAR during study leave / trainingPAR during study leave / training- only self assessment- only self assessment


Disclosure of ReportDisclosure of Report

Annual PAR, including the overall grade and assessment of Annual PAR, including the overall grade and assessment of integrity, to be disclosed after finalisation by accepting integrity, to be disclosed after finalisation by accepting authority authority

Appraisee may give comments to the Accepting Authority Appraisee may give comments to the Accepting Authority within 15 days within 15 days

Comments restricted to specific factual observationsComments restricted to specific factual observations Reporting/Reviewing Authority may accept / modify the PARReporting/Reviewing Authority may accept / modify the PAR Decision and final grading to be communicated Decision and final grading to be communicated Non-acceptance of the views of the Reporting/Reviewing Non-acceptance of the views of the Reporting/Reviewing

authority to be communicated with reasonsauthority to be communicated with reasons


Referral BoardReferral Board Appraisee may represent his case through Appraisee may represent his case through

Accepting Authority the Referral Board within 1 Accepting Authority the Referral Board within 1 monthmonth

Decision of the Referral Board final Decision of the Referral Board final Board may “Board may “confirm or modify the performance confirm or modify the performance

appraisal report, including the overall grade”appraisal report, including the overall grade” Reasons are to be recordedReasons are to be recorded in case of in case of

upgradation or downgradationupgradation or downgradationPAR process complete at the point of Referral PAR process complete at the point of Referral Board Board Further relief Memorial to the President as Further relief Memorial to the President as provided under Rule 25 of the AIS (Discipline provided under Rule 25 of the AIS (Discipline and Appeal ) Rules,1969 and Appeal ) Rules,1969


Composition of Referral BoardsComposition of Referral Boards

State: Chief Secretary, the senior most State: Chief Secretary, the senior most Secretary and Secretary (Appointments) as Secretary and Secretary (Appointments) as convenerconvener

Centre: Cabinet Secretary, Secretary Centre: Cabinet Secretary, Secretary (Personnel) and EO as convener(Personnel) and EO as convener

Referral Board would look into errors of Referral Board would look into errors of facts and nothing elsefacts and nothing else


Cut off datesCut off datesActivityActivity Below STSBelow STS STSSTS AS & AS &

aboveabove

Giving blank PAR form to officerGiving blank PAR form to officer 11stst April April 11stst May May 11stst June June

Self appraisal submissionSelf appraisal submission 3030thth April April 3131stst May May 1515thth June June

Appraisal by Reporting Auth.Appraisal by Reporting Auth. 3131stst May May 3030thth June June 1515thth July July

Appraisal by Reviewing AuthAppraisal by Reviewing Auth 3030thth June June 31stJuly31stJuly 1515thth Aug Aug

Appraisal by Accepting AuthAppraisal by Accepting Auth 3131stst July July 3131stst Aug Aug 1515thth Sept Sept

Disclosure to officer reported uponDisclosure to officer reported upon 1515thth Aug Aug 1515thth Sept Sept 3030thth Sept. Sept.

Comments of officer reported Comments of officer reported upon ,if anyupon ,if any

3131stst Aug Aug 3030thth Sept Sept 1515thth Oct Oct

Forwarding of comments of officer Forwarding of comments of officer reported upon to reviewing & reported upon to reviewing & reporting authorityreporting authority

1515thth Sept. Sept. 1515thth Oct Oct 3131stst Oct Oct


Cut off datesCut off datesActivityActivity Below STSBelow STS STSSTS AS & aboveAS & above

Comments of Reporting AuthComments of Reporting Auth 3030thth Sept. Sept. 3131stst Oct. Oct. 1515thth Nov Nov

Comments of Reviewing AuthComments of Reviewing Auth 1515thth Oct Oct 1515thth Nov Nov 3030thth Nov Nov

Comments of Accepting Comments of Accepting Authority / DisclosureAuthority / Disclosure

3131stst Oct Oct 3030thth Nov Nov 1515thth Dec Dec

Representation to Referral Bd Representation to Referral Bd 3030thth Nov Nov 3131stst Dec Dec 3131stst Dec Dec

Forwarding representation to Forwarding representation to the Referral Boardthe Referral Board

1515thth Dec Dec 1515thth Jan Jan 3131stst Jan Jan

Finalization by Referral BoardFinalization by Referral Board 15h Jan15h Jan 1515thth Feb Feb 2828thth Feb Feb

Disclosure to the officer Disclosure to the officer reported uponreported upon

3131stst Jan Jan 2828thth Feb Feb 1515thth March March

End of entire PAR processEnd of entire PAR process 3131stst March March 3131stst MarchMarch

3131stst March March

Thank YouThank You

Performance Management System for the IAS Department of Personnel & Training Services Division 2007.

Documents

ais par rules

par section

par option

par basic format

india service par rules

work plan sample

work plan sample

services slide