APAR WRITING

(Annual Performance Appraisal

Report)
S.Mookerjee
Director General
National Academy of Indian Railways

TO DELIBERATE ON:
WHY? WHEN? WHAT?

&

HOW?

SEMINAR ON APAR
WRITING

SEMINAR ON APAR WRITING

BEFORE WE START..

THE OBJECTIVE IS TO REFRESH YOU ON

ISSUES WHERE OCCASIONAL
DEPARTURES/DEFICIENCIES FROM LAID
DOWN PROCEDURE HAVE BEEN NOTICED.

WE BEGIN WITH A PREFACE & A

BACKGROUND AND SINCERELY HOPE THAT
THE PRESENTATION WILL BE OF HELP.

PREFACE
ACR / APAR are important documents.
These are necessary inputs for taking
decisions in the matter of promotion,
placement, training, premature retirement
etc.
They are supposed to serve the interest of
both organization as well as its members.
They have a very important bearing on
the efficiency of the public service and
motivation of its members.

BACKGROUND
Prior to reporting period 2008-2009, Annual
Confidential Report (ACR) was being
maintained in the Indian Railways.
Only the adverse remarks in the ACR
needed to be communicated to the
concerned officer for representation, if any.
Identity of the officer commenting
adversely in the ACR was not disclosed
while making such adverse communication.

BACKGROUND (Contd)
In a case filed by Dev Dutt vs Union of
India, (Civil Appeal No. 7631 of 2002), the
Supreme Court of India held in their
judgement dated 12.5.2008, that the
object of writing confidential report and
making entries is to give an opportunity to
the public servant to improve his
performance.
This judgement signalled the beginning of
a new era.

BACKGROUND (Contd)
The 2nd Administrative Reforms Commission in
their 10th Report also recommended that the
performance appraisal system for all services
be made more consultative and transparent on
the lines of the PAR of the All India Services.
The basic aim was to ensure fairness and
transparency in public administration.
Hence, the existing nomenclature of the Annual
Confidential Report (ACR) was modified as
Annual Performance Appraisal Report (APAR)
and introduced in the Indian Railways from the
reporting period 2008-2009.
Now, the complete APAR is communicated to
the officer.

Why To Write An APAR?

The system of APAR writing has two
principal objectives. These objectives are:
a) To assess truly the performance of the
sub-ordinate in his present job and by
providing guidance and counseling to him
to improve his performance: and
b) To assess his potential and to prepare
him through appropriate feedback and
guidance for higher responsibilities.

WHY ? (Contd.)
Success of the reporting system depends
on the following principles:
(i) Absolute objectivity of the assessors.
(ii) Setting of quantitative/physical/
financial targets in the beginning of the
year in consultation with officer to be
reported upon.
(iii) The indices used while setting targets
should be relevant and measurable.

WHY ? (Contd.)
(iv)

Periodical reviews during the

course of the year between the
Reporting and Reported upon Officer
to confirm understanding of goals
and targets.
(v) A true assessment of job related
performance and fitness to shoulder
higher responsibility while writing.
(vi) Follow up action aimed at
improving the performance of the
employee.

When To Write An
APAR ?

An APAR in the prescribed form shall be

written annually in respect of each railway
servant, admissible non-gazetted
categories and those holding gazetted
posts, whether he holds it in a substantive
or officiating capacity, for the year ending
31st March and submitted to the
concerned custodian for finalisation and
custody by the 1st week of June of same
year.

PRESCRIBED FORMS GC 16
(NON-GAZETTED STAFF)
ANNEXURE-V (REVD.2003) : FOR STAFF IN
RS.1200-2040 ( i.e. GP-RS.2400/2800)
ANNEXURE-IV(REVD.1987) : FOR
TEACHERS/NSTRUCTORS
ANNEXURE-III (REVD.1987) : FOR PWIs,
APWIs, SIGNAL INSPECTORS & ASSTT.
SIGNAL INSPECTORS
ANNEXURE-II(REVD.1987) : FOR IOWs &
AIOWs
ANNEXURE-I(REVD.2003) : FOR REST OF THE
STAFF.

PRESCRIBED FORMS
(GAZETTED OFFICER)

FORM NO.III : FOR ABOVE THAN SAG

OFFICERS.

FORM NO.II : FOR ALL SAG OFFICERS

INCLUDING NON FUNCTIONAL SAG
OFFICERS OF MEDICAL DEPARTMENT.

FORM NO.I : FOR REST OFFICERS INCLUDING

NON FUNCTIONAL SAG OFFICERS OTHER
THAN MEDICAL DEPARTMENT.

WHEN? (Contd)
Similar report shall also be written and
submitted on transfer of an officer from
one railway to another during mid year, if
the officer has worked in a post for a
period of not less than 90 days.
While calculating the period of 90 days,
period spent on leave, training etc.,
should be debited from working
period.

WHEN? (Contd)
When a reporting officer vacates his post
on account of transfer, retirement etc.,
he should, before making over charge of
his post, or immediately thereafter, record
APARs of all employees who have served
under him for a period of not less than
90 days.
It should not be deferred till the end
of the year.

WHEN? (Contd)
Normally for each year there should be only
one APAR.
However, there is no objection to two or more
reports being written during a year by
different Reporting Authorities subject to the
condition that the officer reported upon has
worked at least 90 days under each Reporting
Officer on which he can base his Report.
Where more than one Report is written in the
course of a year, each Report should
indicate precisely the period covered by
it.

What Do I Need To Keep In

Mind While Writing An APAR
TIME SCHEDULE (JAG & BELOW)

Supply of Forms
: 25th of March
Self Appraisal by
: 15th of April
Reporting by
: 15th of May
Review by
: 25th of May
Acceptance by
: 30th of May
Communication by
: Next Working
Day
This schedule is expected to be
followed while preparing non
gazetted APAR also.
1.
2.
3.
4.
5.
6.

WHAT ? (Contd)
It is the responsibility of the Reporting
Officer that no delay in writing APAR
occurs.
Maintain the time schedule at all levels of
writing.
If self - appraisal is delayed, APAR may
be written without self appraisal.
The Columns should be filled with due care
and attention and after devoting adequate
time.

WHAT ? (Contd)
Words and phrases should be carefully
chosen and should accurately reflect the
intention of the authority recording
answers.
Please use unambiguous and simple
language. Omnibus expressions like
Outstanding, Very Good, Good,
Average, Below Average while giving
comments should be avoided.
Remember that a casually written report
will be easily discernible to the higher
authorities.

WHAT ? (Contd)

Assessment should be confined to the

officers performance during the
period of report only.

It is not a fault finding process but a

developmental one.

Do not shy away from reporting

shortcomings in performance, attitude or
overall personality of the officer reported
upon.

WHAT? (Contd)
Where for a period of report, there is no
Reporting Officer with the requisite work
period of 90 days, to initiate the report, the
Reviewing Officer himself may initiate the
report provided the Reviewing Officer has
been the same for the requisite period of
report and he is in a position to fill in columns
meant for Reporting Officer.
Where a report is thus initiated by the
Reviewing Officer, it will have to be submitted
by him to his own superior for Review.

WHAT? (Contd)
The Reporting and Reviewing Officers
should not be the same. The Accepting
Authority should act as Reviewing Officer
too, if required.
In any other eventuality, where an APAR
could not be written, the same may be
reported by Reviewing/Counter signing
authority.
Where the Reviewing authority/Accepting
authority disagrees with the assessment
given by the Reporting Officer/Reviewing
Officer as the case may be, he should
clearly mention the reasons thereof.

WHAT? (Contd)
Maintain consistency while writing APARs at all
levels. Do not forget to maintain parity
between remarks recorded against
ATTRIBUTES columns of the APAR (PT.III (b) of
the gazetted APAR and SECTION-II of the nongazetted APAR) and the OVERALL GRADING
recorded for a particular year.
Where the Confidential Report in respect of an
officer/official could not be written, a
certificate explaining such circumstances
should be issued by the competent authority
and placed in the APAR dossier.

How To Fill Up Personal Data

In An APAR
Fill up all columns of Personal data page in a
APAR after consulting SR.
If any column is left blank by the office, the
concerned reported upon officer should
invariably fill it up.
The reported upon officer should fill up Name,
Service etc in the detachable Developmental
Section (PT.VII) of a Gazetted APAR.
Fill up name, designation etc. in the Section II
of a non-gazetted APAR also, as leaving it blank
may lead to serious complications.

How To Deal With Fitness

Box In A Gazetted APAR
In Gazetted APAR, fitness box to be filled up
by JAG and above officers by indicating
YES/NO only.
No Column should be left blank and those
not required to be filled may be crossed out.
No officer should give fitness for posts
higher than his own.
For Gr. A Officers, who have completed
12/15 years of service, fitness for
ADRM/DRM in the fitness box should be
indicated by SAG level and above only.

How To Decide Reporting

Authority etc. In A NG APAR
Fulfilling all pre necessities, the reporting
authority of an APAR should be sufficiently
senior in rank to the reported upon
officer .
For NG staff in GP 2400 and 2800, the
reporting officer may be his NG supervisor
in GP 4600 and above.
For NG staff in GP 4200 and above and
likely to be considered for Gr.B, the
reporting officer should not be below the
rank of an Asstt. Officer.

How To Decide Reporting

Authority etc. In A NG APAR
For

NG staff in GP 4200, Section II of

a NG APAR should be filled up.
The status of the
reviewing/accepting authority in a
NG APAR should not be below that of
a gazetted officer of the department.
Acceptance of NG APARs for staff in
GP 4200 and above should be done
by a SAG level officer only.

How To Deal Cases Of Doubt

Or Suspicion About Integrity?

The integrity column should be left

blank.

A separate secret note should be

recorded and followed up.

A copy of the note should also be sent

together with the APAR to the next
superior officer who will ensure that the
follow up action is taken expeditiously.

How To Deal Cases Of Doubt Or

Suspicion About Integrity?
Where it is not possible either to certify the
integrity or record the secret note, the
Reporting Officer should state either that he
had not watched the officers work for
sufficient time to form a definite judgement,
or that he has heard nothing against the
officer, as the case may be.
If as a follow up action, the doubts are
cleared, the officers integrity should be
certified and an entry made accordingly in
the APAR and communicated to the Officer.

How To Deal Cases Of Doubt

Or Suspicion About Integrity?
If as a follow up action, the doubts are
confirmed, this fact should also be recorded
and duly communicated to the Officer
concerned.
If as a result of the follow up action, the
doubts or suspicions are neither cleared nor
confirmed, the officers conduct should be
watched for a further period and thereafter
action taken as per outcome.
Remember that the Secret Note need
not be communicated to the Officer as
a matter of course.

How To Deal Cases Of

Representation Against APAR?

While communicating APAR, inform that

time limit for giving representation, if any,
is 15 days from the date of receipt of the
APAR photocopy.

Representation should come through

proper channel and shall be addressed to
the Accepting Authority of the APAR.

Representation submitted after lapse

of 15 days should not be entertained.

How To Deal Cases Of

Representation (Contd)

Representations should be restricted to

the specific factual observations contained
in the APAR leading to the assessment of
the officer.

Views of the Reporting and Reviewing

Officers, if they are still in service, should
be taken into account by the Accepting
Authority prior to deciding upon the
representation.

How To Deal Cases Of

Representation (Contd)
The time limit for disposal of a
representation by the Accepting
Authority is one month from the date of
representation and communication
thereof is to be done within 15 days
from the date of order by the Accepting
Authority.
Where the Accepting authority of the
APAR is no longer in service due to
retirement etc., representations will lie
to the present officer holding such

How To Deal Cases Of

Representation (Contd)

Once a representation has been

disposed by the Accepting authority no
further appeal will lie and the grading
in the APAR will then be treated as FINAL.

Do not keep copy of the representation

and remarks thereto attached to the APAR.
Attach only the final order of the
Accepting Authority on the
representation.

How To Decide Reporting

Authority etc. In A NG APAR
Fulfilling all pre necessities, the reporting
authority of an APAR should be sufficiently
senior in rank to the reported upon
officer .
For NG staff in GP 2400 and 2800, the
reporting officer may be his NG supervisor
in GP 4600 and above.
For NG staff in GP 4200 and above and
likely to be considered for Gr.B, the
reporting officer should not be below the
rank of an Asstt. Officer.

How To Decide Reporting

Authority etc. In A NG APAR
For NG staff in GP 4200, Section II of a
NG APAR should now be filled up, even
though in pre-revised pay scales it was not
required for staff in pay scale Rs.50008000, who are now a part of GP 4200.
The status of the reviewing/accepting
authority in a NG APAR should not be
below that of a gazetted officer of the
department.
Acceptance of NG APARs for staff in GP
4200 and above should be done by a SAG
level officer only.

How To Deal Below Bench

Mark ACR Prior To 2008-09?
Below bench mark ACRs of both gazetted
and non gazetted officers, prior to the
reporting period 2008-09, which if needed
for DPC, should be communicated.
Representation, if any, submitted should
be considered and disposed and the APAR
FINALISED before placing the same
before DPC.

SEMINAR ON APARS

CONCLUDED
THANKS AND REGARDS