SPEED POST

EMPLOYEES STATE INSURANCE ORPORATIONPANCHDEEP BHAWAN;C.I.G MARG;NE'N DELHI

·~\fo:A-29(1l)-2/2011 E-I Dated: 04-04-20 14

To

1 All the Additional Commissioner & Regional Director/Regional Director.2 All Director Incharge/Joint Director Incharge, Joint Director-V, Hqrs. Offi-ce, D(M)D, D(M) Noida3 Insurance Commissioner (NTA)/ Commissioner (NTA)4 All the Medical Superintendent of ESIC Hospitals & ESIC Model Hospitals5 All Deans of ESICMedical Colleges, PGIMSR & Dental Colleges6 All Director/Joint Director, Zonal Vigilance7 Hindi Cell, Hqrs.8 W.CM, Hqrs. for uploading in the ESIC web-site.

Subject Timely completion & submission of Annual Performance Appraisal Reports.Reference :- 1. This office letter No. A-33/11/1I2009 E-I dated 26-03-2009 (Copy enclosed).

2. This office letter No. A-33/11/2l2009- E.I dated 22.03.2010 (Copy enclosed).

Sir,

I am directed to refer to the Hqrs. instructions cited above circulating time schedule for completion

and submission of APARs. It has come to the notice that the time schedule for completion and submission

of APARs is not being followed in some cases resulting in unnecessary delay in conducting DPCs/MACPs

meetings and other related administrative work for which APAR is an essential documents.

It is, therefore, advised to strictly follow the time schedule given in the aforesaid instructions for

completion/submission of APARs to concerned officer/custodian.

The contents of the above instructions may be bring to the notice of all officers/staff for strict

compliance.

End: As above

Yours faithfully,

(V.K SHARMA)DEPUTY DIRECTOR

·f

HEADQUARTERS OFFICEEMPLOYEES' STATE INSURANCE CORPORATION

PANCHDEEP BHAVAN: C.I.G. ROAD:NEW DElHI-II0002http://esic.nic.in

No.A-33/11/2/2009-E.I

To

1) All the Regional Directors2) All the Directors IJT. Directors lIe of the SROs/JD-V Hqrs. Office3) O(M)Delhil OeM) Naida4) All the Medical Superintendents of the ESIC Hospitals & ESIC Model

Hospitals .

Dated:22.03.2010

SUbject:- Preparation and maintenance of Annual Performance Appraisal Report(APAR)- reg.

Sir,

I am directed to forward herewith copies of the Govt. of India OM

No.21011j1j200S-Estt.(A)(Pt.II) dated 23.07.2009 and OM No.22j12j2009-CS.I(C.R.)

dated 03.02.2010 for information and guidance. Accordingly, the proforma of Annual

Performance Appraisal Report for different cadres has been revised to introduce the

numeric form of grading with the colour coding. Keeping in view the imminent

requirement of the APARforms for the reporting year 2009-10, the following guidelines

may please be followed so that APARwork may be completed as per the prescribed

time schedule :-

1. As a one time measure the Hqrs. Office will print the revised APARforms for

different cadres alongwith the required colour coding and supply the same to the

field units in due course.

2. The field units, in future, will arrange the printing of the APAR forms for their

local use as per the samples provided by the Hqrs. office. To ensure the

economy in printing of the APARforms, the Regional Office shall print the APAR

forms centrally after following the GFRprocedure for all the non-medical cadres

working in Hospitals/ROs/SROswithin the region and will ensure their supply to

all units as per their requirement. For the Medical and Paramedicalcadres, the

respective Medical Superintendents shall ensure the printing of the APARforms

in accordancewith the sample provided by Hqrs. However, for the medical/non-

j -

,/

, ~'"medical cadres under the D(M)D/D(M)Noida, these units shall arrange the

printing of the APARforms and supply of the same to all the units under theircontrol.

3. In view of urgent requirement of the APARforms for the reporting year 2009-

10, all the field units are advised to download the proforma from the ESIC

website (www.esic.nic.in) and cvdostyle/Xerox the same to complete the work of

writing APARwithin the schedule. The colour coding will be ensured after receipt

of the printed APARproforma. The colour of the APARforms for different cadres

has been decided as under:-

51. Colour of cadre of ESICNo. APAR

1. Green Insurance Commissioner, Medical Commissioner & Vother SAGmedical and non-medical officers V ..(2. Yellow Chief Engineer, Additional Commissioners and other /NFSGmedical and non-medical Officers .•..3. Blue Directors and other medical and non-med~1

Officers in JAG Y »: -"4. Pink Joint Direct6rs, PP,5, Deputy Directors, , Medical

~Offic;ers, Executive 1:ngineers and other officers in ~JTS/STS etc. L ~

5. White Up to Assistant Director including P.S.,,-P.A., stenoJunior ISenio~Hindi translator, Assistant Engineer \vandpcJra-me<iical staff etc.

You are requested to kindly ensure writing of APARas per the time schedule

given in the Annexure-A and ensure the action regarding forwarding of APARsto the

respective custodian of APARsi.e. JD E.I/JD E.II/JD (Medical) Hqrs. as the case may be,

as per the detailed guidelines circulated vide Hqrs. instruction No.A-33/11/1/2009-E.I

dated'22.05.2009.

(Hindi version will follow)

yours~a hfu}ly,j'Yl \

(DEEPAK1~JOINT D~R-E.I

for Director GeneralCopyto:-

1. PPS/PSto DGand All Divisional Heads.

2. All Officers, ESICHqrs.

3. Hindi Cell for translation/System Division to upload on ESICwebsite.

----~

Annexure-A

Activity Date by which to becompleted

Distribution of blank APAR forms to all 31st marchconcerned (i.e. to officer to be reported upon (This may be completedwhere self-appraisal has to be given and to even a week earlier)reporting officers where self appraisal is notto be iven.Submission of self-appraisal to reporting 15th Aprilofficer by officer to be reported upon(wherea licable

4.Submission of report by. reporting officer to ao= Junereviewin officer

rReport to be completed by Reviewing Officer 31st Julyand to be sent to Administration or CRSection/Cell or accepting authority, whereverrovided

5. Appraisal by accepting authority, wherever 31st Augustrovided

6. 01st SeptemberDisclosure to the officer reportedupon where there is no acceptingauthorityDisclosure to the Officer reportedUpOIJ where there is acceptingauthori .

15th September

(a)

(b)

7. Receipt of representation, if any, on APAR 15 days from the date ofrecei t of communication.

8. Forwarding of representations to thecompetent authority

(a) where there is no accepting zr= Septemberauthority for APAR

(b) where there is accepting authority 6th Octoberfor APAR

9. Disposal of representation by the competentauthority

Within one month from thedate of receipt ofre resentation

10. 15 November

11. End of entire APAR process, after which the 30 NovemberAPARwill be finall taken on record

Communication of the decision of thecompetent authority on the representation bythe APARCell

Esltr:-'t, C P. mauers

No. 21011/1l200S-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 MinistrieslDepartments tothe 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 timelypreparation and proper maintenance of APAR and making the APAR transparent forrepresentation for upgradation, if any, by the officer reported upon. The matter ofpreparation and maintenance of APAR has been further reviewed in this Departmentkeeping in view the system in this regard in respect of All India Services (AIS) and theundersigned is directed to convey the following decisions:-

(i) All cadre authorities shall include a box in the APAR for reflecting by thereporting officer the pen picture of the officer reported upon where the reportingofficer will be required to indicate his comments on the overall qualities of theofficer including areas of strengths and lesser strength and his attitude towardsthe weaker sections. A column will also be added in the section relating to thereviewing authority for giving the reviewing authority's remarks on the penpicture reflected by the reporting officer. There will be no other separate columnin 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 thereviewing officer to indicate specifically the differences, if any, with theassessment made by the reporting officer, and the reasons therefor.

(iii)Numerical grading are to be awarded by reporting and reviewing authorities forthe quality of work output, personal attributes and functional competence of the I

officer reported upon. These should be on a scale of 1-10, where 1 refers to thelowest grade and 10 to the highest. The guidelines given in Annexure-I shall bekept in mind while awarding numerical gradings .

. tJ (iv)The format for the purpose of numerical grading in the three areas of workr- ~ output, assessment of personal attributes and assessment of functionalvl 0 competency is in Annexure-Il, For Group 'B' and 'C' officials however, suitable~ ..n changes may be made by the concerned cadre authorities in the items of. J k,"\. assessment as per functional requirements of the job and ~he next promotional

~ .-l\. 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 ofj personal attributes and functional competency. The overall grading will be based

on addition of the mean value of each group of indicators in proportion toweightage assigned.

I •

._---------

EsttE/ACR matters

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

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

2. The above provisions would be applicable for the APAR from the reporting year2009-10 onwards. The concerned authorities may accordingly make necessary changesin the APAR format for numerical grading to be given by reporting and reviewingofficer. This O.M. does not in any way affect the part to be filled in by the officerreported upon and other existing columns in the APAR format like attitude towardsSC/ST/OBC, relations with public (wherever applicable), integrity, training requirementetc. for descriptive remarks.

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

d~(C.A. Subramanian)

DirectorTo

All Ministries/Departments of Government of India

Copyto:-

1. Chief Secretaries of All State GovernmentsIU.T.s2. The President's Secretariat, New Delhi.3. The Prime Minister's Office, New Delhi.4. The Cabinet Secretariat, New Delhi.5. The Rajya Sabha Secretariat.6. The Lok Sabha Secretariat.7. The Comptroller and Auditor General of India, New Delhi.8. The Union Public Service Commission, New Delhi.

Copy also to:-

(i) All Attached offices under the Ministry of Personnel, Public Grievances andPensions.

(ii) Establishment Officer and Secretary, ACC (10 copies).(iii) All officers and Sections in the Department of Personnel and Training.(iv) Secretary, Staff Side, National Council (JCM), 13-C, Ferozeshah Road, New

Delhi.(v) _ All Staff Members of Departmental Council (JeM).(vi) All Staff members of the Departmental Council (JCM), Ministry of Personnel,

Public Grievances and Pensions.(vii) NIC (DoP&T) for placing the Office Memorandum on the: wp.h-sitf' ()fn()p~T

,

EsttE!ACR matters

Annexure-IGuidelines regarding filling up of APAR with numerical grading

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

(ii) It is expected that any grading of 1 or 2 (against work output or attributes oroverall grade) would be adequately justified in the pen-picture by way of specificfailures and similarly, any grade of 9 or 10 would be justified with respect tospecific accomplishments. Grades of 1-2 or 9-10 are expected to be rareoccurrences and hence the need to justify them. In awarding a numerical gradethe reporting and reviewing anthorities should rate the officer against a largerpopulation of his/her peers that may be currently working under them.

(iii)APARs graded between 8 and 10will be rated as 'outstanding' and will be givena score of 9 for the purpose of calculating average scores forempanelment/promotion.

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

(v) APARs graded between 4 and 6 short of 6 will be rated as 'good' and given ascore of 5.

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

LJ

-------

J. ,

MOST 1M

1\0. 22/12/2009-CS. I(CR)Government of India

Ministry of Personnel, Public Grievances and Pensions(Department of Personnel and Training)

Lok Navak Bhawan. Khan Mkt.New Delhi, Jrd February, 201 o

OFFICE: MEMORANDlJM

preparation of Annual Performance Appraisal Report of CSS

'is directed to invite the attention of all the, !\J;l\hpI}ties of ,CS'S, to this Department's O.M. No.,<Clatecl23r July, 2009 on the subject referred to above and to say

~Iso,-:b~appliceble to all.CSS officers from the reporting year 2009-10

t·~;...t·

I'~A~i',N1,..;1tIstf,Mtkms·in the above O.M. and on the basis of APAR format used~i;\..;~~nilC(:sofficers. the existing format of APAR for ess officers has been)UI'I.S>,~"lIt.l easieridentification/processing of APARs in respect of CSS .:.)fficials

may be printed in different colors for different grade of CS5 officers i.e.Asstt as indicated in page 9 of the enclosed

l.:~lHJi:J.n;'?colored "papet:s enclosed). The revised format with g~l:i.deJiHe:;S~~~~W~~~~~Ql";'~i,~,·!lflt,"cad.t;'~~u:tt~0riJies·where, C8S~?t$i~r.~·,.i3.'t'entil~1:e.<1l-lj, .,' c:a:dFeS 'm~Ykmdryhave adequate numberof blankfo:·tlie concerned 'C"SS officers in accordance with the time

'l:DJr:CA:mloTe1io'l of APARs. The revised/new formal is applicable from the

;' l .c,-/ _rr ..,...(--~--..:/' ~--,~(M.C. Luther)

Deputy Secretary to the Government of IndiaTele: 14629411

e-mail: dscsl-dopt@nic.in

""

, r•.. . ,

',', j ~

~~~ .•.: .'.'

6ric~·..,tn i?:~g;~~7",c·i7~f~-·"··"··~·,;:r_-";:.: \ . ' . ,:.:.;\'"All MinlStiie.5:tDepartrpents cf'Gcvernment of IndiaJS (£sWAd!?ri) .

HEADQUARTERS OffICE~j4PLOYEES' STATE INSURANCE CORPORATION

PAf'JCHDEEP6HAVAN: C.I.G, ROAO:NfV I DELHI-l10002http://esic.nic.in

NO.A-33/11/1/2009

To

1) All the Regional Directors

2) All the Directors /JT. Directors I/c of the SROs/JD-VHqrs. Office

3) D(M)Delhi/ D(M) Noida

4) All the Medical Superintendents of the ESICHospitals& ESICModel Hospitals

Dated:26.3.2009

Subject: Timely submission of Annual Confidential Reports.

Sir/ Madam,

The Department of Personnel& Training, Govt. of India has time and again issued the

instructions emphasizing the timely completion of the process of the writing of Annual

Confidential Reports of officers/employees for smooth cadre management and processing of

ca~es pertaining to confirmation, promotion etc. A time schedule has been prescribed for

different stages vide DOPTOM No.35014/4/83-Estt.(A) dated 23.9.85. The matter has been

further reviewed by DOPTand the time limit after which the Reporting/Reviewing Officer shall

forfeit his right to record the ACR has been prescribed vide OM No.21011/02/2009-Estt.(A)

dated 16.2.2009. The OM .dated 16.2.2009 received through MOL&E lettet

No.Z.11016/1/2008-Adm.III dated 2.3.2009 is forwarded herewith for information

and strict compliance.

Further to ensure the timely completion of the work regarding writing of ACRsand to

smoothen the process the following action may be ensured:-

(1) lime limits prescribed in the OM No.35014/4/83-Estt.(A) dated 23.9.1985 may be

strictly adhered to as far as possible. The time scheduled is appended as Annexure.

(2) Henceforth, it will be the responsibility of the controlling officer i.e. Regional

Director/Joint Director l/c/D(M)D/D(M)Noida/Medical Superintendent ESICH/ESIMHto

furnish a statement of all Group A & B Non-medical/Medical Officers including the

officidb ifi respect of Villorn CRsare being matntatneo by . '-"is, to JD t,1., JD E.n or jD

(f"h-:dical)as the case may be by io" March of every yea'-, Similar list may also be

prepared for other Group C & D Officials which would enable the field offices to

complete the work of ACRsand also to monitor the same.

(3) All controlling officers i.e. Regional Director/Joint Director

I/c/D(M)D/D(M)Noida/Medical Superintendent ESIMH/ESICH, must ensure that the

ACRsin respect of all the officers/officials working in the region/hospital/office during

the preceding year has been filled up, reported & reviewed within the scheduled time

frame. If the Reporting Officer/Reviewing Officer is posted in another reqlon, the ACR

shall be forwarded through the Admn. Branch of the Region/SRO/Hospitalconcerned.

A copy of the forwarding letter may be endorsed to the custodian of the Confidential

Reports {JD E.Ir JD E.n & JD (Medical) as the case may be}. This intimation will help

the custodian to monitor the progress in writing of the ACRsand also to locate, at any

timer the stage at which the ACRsare pending.

I \

(4) In regard to the Officers who have been transferred from one office to another during

the course of the year, the Administration Division of the office where the officer

worked during the relevant period, shall arrange for sending the blank ACRForms for

writing the self appraisal. The officer may be advised to submit the CR to reporting

officer within the stipulated period. A copy of the letter may be endorsed to reporting

and reviewing officers and also to the present controlling officer for taking the onward

action at their end.

(5) If the ACR with self-appraisal is not received within the stipulated time from

the Officer concerned, the Reporting Officer must go ahead with the writing

of the ACR in a fresh ACR form without waiting, any further, for the self-

appraisal by the Officer reported upon. It will be the responsibility of the Head of

the Office to ensure that all the reports including part reports of all the Officers who

have been working in the particular region/office/hospital are written by the Officers

within stipulated time and transmitted to the Reporting/Reviewing Officers. If despite

of all efforts of the Head of Officer the officer reported upon fails to submit the ACR

with self appraisal within the given time framer the reporting officer may take action

2

c!'j per the guidelines given above. A remark to this effect mav invariably be recor-ded

in the ACRsof the officer reported upon.

(G) 111 case, the ACRis not initiated by the Reporting Officer for any reason beyond 30th

June of the year in which the financial year ended, he shall forfeit his right to enter

any remarks in the ACRof the officer to be reported upon and he shall submit all ACRs

held by him for reporting to the ReviewingOfficer on the next working day. Similarly,

the Reviewing Officer shall also forfeit his right to enter any remarks in the ACR

beyond 31st August of the year in which the financial year ended.

(7) The explanation of the concerned officer concerned may be called for not having

performed the public duty of writing the ACRswithin the due date and in the absence of

proper justification, a written warning for delay in completing the ACRbe placed in the

ACRfolder of the defaulting officer concerned.

(8) Hqrs. office has came across cases where two or even three reviewing officers have

written report in respect of a single Officer for a single reporting year. While there can

be two or three Reporting Officers for an officer, the Reviewing Officer can only be one.

Whenever more than one Reporting Officer is involved in the process of writing of the

ACRs, the Officer who supervises the work of the Reporting Officer for the last part of

the year should review the CR provided such Reviewing Officer was in such supervisory

capacity for not less than 3 months. Otherwise, the previous reviewing authority will

review the reports at the end of the year. If, however, a reviewing authority retires

while there is no change in the Reporting officer and the subsequent reviewing authonty

does not have three months' experience of work and conduct of the reportee, the

reviewing portion will be left blank with the suitable note, recorded therein. This note

can be recorded by the new reviewing authority who could not review the repot because

he did not have even three months experience, or by the Reporting officer himself.

(9) Wherever the Reporting Officer finds the integrity of the officer reported upon to be

doubtful, he must meticulously follow the procedure of enclosing secret notes and

sending separate report to the next superior officer as per the Govt. of India C.S,O.M,

No.51/5/72.Estt (A) dated 20th May, 1.972.(copy enclosed)

(10) Wherever the Reporting officer retires during the course of the year, all the ACRs in

respect of the Officers in respect of whom he is the Reporting Officer, should be got

3

written by him before he demits office Of within ;I 111Qnth of his retirement or derni.;:;;,);i

of office as the casemay be.

(11) The adverse remarks recorded in the ACRsof the officers upto the cadre of Insurance

Inspectors may be communicated at the level of RO/SRO/HospitaIjD(M)D itself and the

factum of such communication intimated to Headquarter office in forwarding letter of

the concerned ACRs.

(12) To curb any delay it has also been decided that from the year 2009-10 onwards, the

blank forms of ACRs for different grade of officers/staff will be printed by the

concerned Regional Director/D(M)D and not by the Hqrs. office. A sample copy of the

ACRsof different categories is enclosed herewith. The same may also be downloaded

from the Hqrs. web site. The blank ACRforms shall be printed accordingly. In caseof

any change in the ACR form the same will be informed by the Hqrs. office. JD I/c

. /MS, ESI Hospitals and ESIM Hospital of a particular region will procure the blank

forms as per their requirement from the concerned Regional Director/D(M)D.

(13) All Head of Offices are also required to furnish a certificate to Hqrs office by 1st week

of July every year that the work pertaining to CR in respect of all staff/officers under

their control has been completed and the CRs have been submitted to

Reporting/Reviewing Officers as per schedule.

(14) Further, in order to ensure proper recordino in ACRs with regard to General

Assessment and specially for 'grading' the instructions issued by DOPTare reiterated

for information and guidance of Reporting & Reviewing Authorities as under:-

(i) Promotion to the pay Scale (Grade) of Rs.12000-16500 8t above:

The mode of promotion is 'selection' and the bench mark for promotion to the above

category is 'Very Good', to ensure element of higher selectivity in comparison tr

selection promotions to the grades lower than the aforesaid level where the bench mart

is only 'Good'. Further, the DOPTvide OM No.22011/3/2007-Estt(D) dated 18.2.200:

has stipulated that promotion to the scale of RS.18400-22400(pre-revised) and above.

the prescribed benchmark of 'very good' is invariably met in all ACRsof five years undc

consideration. The ope, in terms of guidelines of the DOPT is required to mak-

4

/Its OW'('1 assessment on the basis of errtrie in th-e CRs and not be g"Jid;::(~

merely hy the overall grading.

(ii) Promotion to grade below the pay scale (Grade) of Rs.12000-16500

(pre-revised)(including promotions from lower Groups to Group 'A'

posts/grades/services):

The mode of promotion is selection and the bench mark continues to be 'Good'.

The DPC shall for promotion to posts/grades/services in the aforesaid categories,

grade officers as 'fit' or 'unfit' only with refer~nce to above mentioned bench marks. Only

those who are graded as 'fit' shall be included in the select panel prepared by the DPCin order

of their inter se seniority in the feeder grade. There shall be no supersession in promotion

among those who are found 'fit' by the DPCin terms of the aforesaid prescribed benchmarks.

While recording the relevant entries in CRsand recommending the grading, the above

position may kindly be kept in view.

The instructions stipulating the time limit after which the reporting/reviewing officer

shall forfeit their right to write the ACRshould be applicable for the ACRsfor the year 2008-09

onwards.

Receipt of the instruction may kindly be acknowledged.

Encls.As above.Yours,faithfully,

(DE JOSHI)JOINT DIRECTOR-E.Ifor Director General

Copyto:-

1. PPS/PS to DG/FC/IC/MC/CE/AC(P&A)/AC(R)/AC (NTA).

2. All Officers, ESIC Hqrs.

5

\t\t\<;/\.;(~-\'OJ No. 21011/02/20J9Est1 (AI~~, /' / Government of India( ';r~-' Mir;J%fry of Personnel, Public Grievances and Pensions

~-:"-;?:J' // Department of Personnel and TrainingtfP ~ . *****,------ .

New Delhi, dated the 16th February, 2009

OFFICE MEMORANDUM

Subject:- Timely preparation and proper maintenance of ACRs.

The undersigned is directed to say that this Department has been emphasizingfrom time to time the need to complete the Annual Confidential Reports of all classes ofemployees in time for smooth consideration of cases pertaining to confirmation,promotion, deputation to ex-cadre posts, etc. A time schedule was prescribed forvarious stages in the matter of writing of Confidential Reports in this Department's O.M.No. 35014/4/83-Estt.(A) dated 23.9.1985. The writing of ACH is a public trust andresponsibility. All Ministries/Departments are again requested to ensure that the timeschedule for preparation of Confidential Reports and other instructions as laid down inthis Department's O.M. dated 23.9.1985 are followed to ensure that ACRs arecompleted in time.

2. As cases continue to occur where confirmation, regular promotion,appointment to sensitive posts, etc., could not be considered in time because of non-availability of ACRs for' the relevant period, the matter of timely completion of ACRswas further reviewed in this Department and it nos been found necessary to prescribea time. limit after which the Reporting/Reviewing Officer shall forfeit his right to recordthe ACR. It has been decided that while the time-limits prescribed in the aforesaidO.M. dated 23.9.1985 should be adhered to as far as possible, in case the ACR is notinitiated by the Reporting Officer for any reason beyond 30th June of the year in whichthe finanCial year ended, he sfiall forfeit nis right to enter any remarks in the ACR of theofficer to be reported upon and he shall submit all ACRs held by him for reporting to theReviewing. Offi~er on the next working day. Similarly, the Reviewing Officer shaH also

1:7;' .~ ,forfeit his right to enter any remarks in the ACR beyond 31 st August of the year in which'.',,!~~ ~ the financial year ended. The Section entrusted with maintaining the ACRs shall. while,:': ~ ~ forwarding the ACRs for self-appraisal with copy to the Reporting/Reviewing Officers,\~ ': N; also annex the schedule of dates as enclosed herewith. It shall also bring to the notice'" . -:;}. of the Secretary concerned in the case of MinistrylDepartment and the Head of the

~~ organization in the case of attached and subordinate offices, the names of those Group, A and B Reporting Officers and Group A Reviewing Officers ill the month of October

after receiving the completed CRs who have failed to initiate/review the ACRs'even by...i so" June or 31 st August as the case may be. The Secretary in the Department/Head of

i~':.' ;.\~ the organization in the case of attached/subordinate offices may direct to call for the;" \.' 'x· explanation of the concerned officers for not having performed the public duty of writing

the ACRs within the due date and in the absence of proper justification direct that a~ written warning for delay in completing the ACR be placedin the ACR folder of the

,.r ~~ defau,lting officer concerned .

.~r .._/~ .-.'/ lIT.' :.(:<I ~IT! ·1 .•; ..... -...•• Contd.2/-~ .'."(1- /' ~:-;i0-"- • '.~ .v- -: , . T' r,;",~' .'7.

~

~. -- l 'l~\·'·;lon.·Y·'··'··~··(.··'\J "/~ tl. C,T:' ·l J. '.:'.'\ .'. • c--; C)" _, ,-"\.(./ 3l,..i......:.Jj.;;:\L f-.H I ,., 0<.~".··.••..... I

- --- -----

-2-

:\ In case the remarks of the Reporting officer or Reviewing Officer as the casemay be have not been entered in the ACR due to the concerned officer forfeitinq hisright to make any entry as per the provision in para 2 above, a certificate to this effect~e added in his ACR for the relevant period. In case both the Reporting officerand RevIewing officer had forfeited their rights to enter any remarks, the CR format withthe self appraisal given by the officer to be reported upon will be placed in his ACRdossier.

4. All the Ministries/Departments are requested to kindly bring to the notice of allconcerned the above instructions for future preparation and maintenance of ACRs.These instructions shall be applicable for the ACRs for the period 2008-09 onwards. Incase any CR for the past period is pending completion, the concerned Head of theOrganisation in the case of attached/subordinate offices and the Joint Secretaryconcerned in the Ministries/Departments may take appropriate measures to ensure thatthe CR dossier is complete within the next 6 months either with the relevant CR or therequired 'No Report Certificate" for valid reasons.

5. Hindi version will follow.

I " l(' ...·~'~J:\S;~:)~.::..t· ",Y.. :, .. '-,." ..(C.A. Subramanian)

. DirectorTo

All Ministries/Departments of Govt. of India

Copy to:

1) Comptroller & Auditor General of India, New Delhi2) Unipn ~ublic Service Commission3) Central Vigilance Commission, New Delhi4) Central Bureau of Investigation, New Delhi5) Lok Sabha/Rajya Sabha Secretariat6) All attached and subordinate offices of the Ministry of Personnel, PG and

Pensions . .7) All officers and sections in the Ministry of Personnel, PG and Pension8) NIC (DoP&T) for placing this Office Memorandum on the web-site ofDoP&T9) Hindi Section for Hindi version of the O.M.

Cond.3/-

IIMI- SCHEDULE FOR PREPARATION OF CONFIDENTIAL REPORTS

I : No ,;~~i~~~;:;::b:':~o~~,:~;~~~l;;::;~;hi:~-i::~~~:::I:::~_JI'reported upon where self-apprais; Iweek earlier).has to be given and to reporting !officers where self-appraisal is not Ito be given) I- - ;-;::-m---------------------l-

Submission of self-appraisal to 15 April.reporting officer by officer to bereported upon (where applicable). i

I- ------------ -------- ----;Submission of report by reporting Iofficer to reviewing officer _

- Where self-appraisal byI officer reported upon is r: May.

prescribed.- Where self-appraisal by

officer reported upon - is not I 21st April. I-

prescribed.- Where officer reported upon /' _ I

- ~ is himself a reporting officer 22nd

May. ~for subordinates under him,

2,

3.

;~>~(i) The Reporting Officer is requested to complete the ACRs as per the schedule

above. The Reporting Officer shall have no right to enter any remarks in theeRs after so" June following the annual reporting period. _

(ii) Reviewing Officer is also requested to complete the review of the ACRs asper the schedule above. The Reviewing Officer shall have no right to enterany remarks in the eRs after 31st August following the annual reportingperiod, •

6

performance of the Scheduled Caste/Scheduled Tribe officer bas beer. fair and just."

(Department of Personnel & Administrative Reforms OM No. 21011/3/79--£.[(( (A), dated25th July, 1979)

..'.3.6 There should also be a column in the Annual Confidential Report form .ror enablingthe Reporting Officer'to give his specific comments on the attitude of the Government servanttowards Scheduled Castes/Scheduled Tribes/Weaker Sections of the Society, his understandingand his willingness to deal with them .

. (Department of Personnel & Training OM No. 12/2/84-PP: dated the 17th December, 1986:

3.7 In every form of Confidential Report there should bea column regarding integrity toenable the Reporting Officer to make his remarks on the integrity of the Government servantreported upon.· The following guidelines should be followed in the matter of making entries inthe columnrelating to integrity ;- ..

." ,,',

(a) Supervisory officer should maintain a confidential idiarje.in. which instances whichcreate suspicion about the integrity of asubordinateosheuld be, noted from I time-totime and action to verify the truth of such suspicion should be taken expeditiouslyby making confidential enquiries departmentally; or. by"referring the matter to theSpecial Police Establishment. At the time of recording the Annual ConfidentialReport, this diary should be consulted and the materialr-in it utili sed for filling in thecolumn relating to integrity. If the column is not filled on account of the unconfirmednature of the suspicions, further action should be taken in accordance with thefollowing sub-paragraphs.

(b) The column pertaining to integrity in the Character Roll should be left blank anda separate secret note about the doubts and suspicions regarding the Governmentservants integrity should be recorded simultaneously and followed up.

(c) A copy of the secret note should be sent together with-the Character Roll to the nextsuperior officer who should ensure that the follow up action is taken expeditiously.

(d) If, as a result of the follow-up action, a Government servant is exonerated, his integrityshould be certified and an entry made in the Ch~ter Roll. .. .

(e) If suspicions regarding his integrity are confirmed, this fact can also be recorded andduly communicated to the Government servant concerned.

if) There may be cases in which after a secret report/note has been recorded expressingsuspicion about a Government servant's integrity,'tlie.inquiries that follow do notdisclose sufficient material to remove the suspicion orto confirm it. In such a case,the Government servant's conduct should be watched for a further period, and, inthe meantime, he should, as far as practicable, be kept .away from positions in which.there are opportunities for indulging in corrupt practices and thereafter action takenas indicated at (d) and (e) above. ; .

(g) There are occasions when a Reporting Officer cannot in fairness to himself and tothe Government servant reported upon, either certifi.'integrity or make an adverse ',entry or even be in possession of any information which would enable him to makea secret report to the Head of the Department.' .Such instances can occur when aGovernment servant is serving in a remote station.and 'the Reporting Officer has nothad occasion to watch his work closely or when: aGovernment servant has workedunder the Reporting Officer only for a brief period-or has been on long leave'etc.In all such cases, the Reporting Officer should make an entry in the integrity columnto the effect that he has not watched the Government servant's work for sufficient. time to be able to make any definite remark or thavhe has heard nothing against the

fI

i

Government servant's integrity, as the case may be. This would be a factual state-Plent to which there can be no objection. But it is necessary that a superior officershould mAke every effort to form a definite judgement about the integrity of thoseworlcing under him, as early as possible, so that he may be able to malce a positivestatement. •.' ,.: '

(lHpeutmefll of Personnel OM No. SI/Sf72-EsII 'A', JI. 20lh May, 1972) "

3.8 Specific'mention should be made in the Con6dcntial Reports on Government Servantswortm& in. or holdin& ChafF 0(, Top SecretfSccret Sections about their truStworthiness. cspcciaUyin' maum"aft'cctin& departmental scrutity. ' ".. . .-,

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:..~ ".1 •.

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'{Ikpartmml of PmonMI OM No. SlfSf72-EsII 'A', doled th« 20lh May, 1972)

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