PERFORMANCE APPRAISAL – RECORDING & CUSTODY

1. Employees are the Corporation’s most precious asset and like all assets need
to be periodically appraised. This appraisal is in fact a continuous process,
though the results of such appraisal are recorded at prescribed intervals.

The appraisal is both in the interest of the organisation as well as of the

individual in that it should enable both to know the strength and weakness of
the employees and take necessary action as warranted by the requirements of
the organisation and individual growth. The need for an honest unbiased and
frank appraisal of employees at regular intervals is accepted in all
organisations, though the systems adopted for assessment might be different.

The following general instructions regarding the periodicity, recording, custody

etc. of the Performance Appraisal are laid down for observance in the
Corporate Office, Projects / Units:

1.1 FORMATS
The forms as indicated below will be used for writing the Performance
Appraisal:

a)For Cadre Employee:

For Executives upto the level of E-1 to E-6 Form I (w.e.f. FY 2011-12)
For Executives in the level of E-7 to E-8(GM) Form 1A (w.e.f. FY 2011-12)
For CMD, Functional Directors, EDs & CGMs Form 1B (w.e.f. FY 2010-11)

Formats revised in respect of Executives of the level of E1 to E6 & E7 to

E8(GM) w.e.f. financial year 2011-12 (Part-I Office Order No.09/11 dated
23.03.11 & vide Part-I Office Order No. 26/2016 dated 29.03.2016).

Formats in r/o CMD, Functional Directors, EDs & CGMs revised from the
Financial Year 2010-11 vide Part-I Office Order 37/10 dated 20.09.10 and Part
–I Office Order No. 33/2015 dated 12.06.2015.
(Alignmentof Grades has been updated with DPE Scales vide Part-I Office Order No. 30/2018
dated 30.05.2018 & designation has been renamed as per Part-I Office Order No. 53/2018
dated-15.11.2018).

For Supervisors Form II

For workmen Form III
(Revised vide Part –I O/O No/ 66/2013 dated 09.09.2013 & vide Part-I O/O No.
26/2016 dated 29.03.2016).

b) For deputationist :

Forms as prescribed by the respective lending Organisations.

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1.2 PERIODICITY

a) The reports will be written for 12 months period on financial year basis i.e. 1st
April to 31st March(Ref: O/O No.09/2009 dated 22.07.09)

b) For deputationists, the 12 months period will be reckoned as prescribed by their

parent departments.

1.3 RECORDING/ COMPLETING OF APPRAISAL

a) Deputationists
Action will be initiated by the HR Wing of Corporate Office/Projects, to procure
the necessary forms from the concerned lending organisations two months
before the expiry of the period for which the appraisal is to be recorded. On
receipt of the forms and after filling in the relevant particulars, the same will be
passed on to the concerned officers for recording the appraisal. Performance
Appraisals of all executives duly completed with an extra copy to be retained
in the Corporate Office, will be sent by the Projects/Units to Corporate Office
(in sealed cover by name to Chief General Manager (HR)/GM (HR) for onward
transmission to the lending organisations. A copy of the Performance
Appraisal may be kept by the Project for their reference before sending to the
Corporate Office.

Performance appraisal of non-executive deputationists will be sent to the

lending Organisations directly by HR Wing of the respective Projects/Units
after retaining copies for reference.

b) Cadre Employees :
HR Wing in the Corporate Office/Projects will forward to the respective
departments, the forms with relevant particulars of employees duly filled in.
Completed Appraisals will be returned in time to the Head of respective HR by
name by the concerned department.

c) HR Wing will scrutinize all Appraisals to ensure that the same are complete in
all respects. Incomplete Appraisals will be returned and got completed from
the respective Officers before taking further action thereon.
Performance Appraisals in respect of all cadre Executives will be forwarded by
the Heads of HR Wing in the Projects to the Corporate Personnel Wing in
time, after retaining a copy thereof for Project reference.

d) Performance appraisal of an employee will be written by the Initiating Officer

only when the employee has completed at least three months with the
Initiating Officer. When an Officer (Initiating Officer) is transferred to another
Department / Project /Unit, repatriated to his parent organisation or leaves
service of Corporation, the Performance Appraisals of the staff who have
worked under him for a period of three months and more should be got
completed by him before his release.

e) When an employee is transferred very frequently and does not complete even
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 three months with any Initiating Officer, a Certificate to the effect that the
Performance Appraisal of such employee has not been written as he did not
work with any officer for at least three months, will be inserted in his
Performance Appraisal dossier under the signature of his present immediate
Officer. However, if the present Initiating Officer or the Reviewing Officer is of
the opinion that he can comment upon the work and conduct of such an
employee he may record his comments. Alternatively, a certificate may be
recorded that the employee’s appraisal for the previous year may be taken as
his appraisal for the current year also and placed in the Performance appraisal
Dossier of the employee.

1.4 INITIATING / REVIEWING OFFICER

Generally, the Appraisal will be written by an officer called the "Initiating
Officer", reviewed by a superior officer called the "Reviewing Officer" and
accepted by the next higher officer called the "Accepting Officer". However, in
respect of the personal staff attached to General Managers/ Heads of
Departments/Directors/Chairman and Managing Director, Initiating, Reviewing
and Accepting Officer will be the same.
The Initiating / Reviewing / Accepting Officers for employees in various level of
Appraisee will be as under:-
Level of Initiating Reviewing Accepting Officer
Appraise Officer Officer
W-0 to W-10 E-1 E-2/E3 E-4
S-1 to S-4 E-1 E-2/E3 E-4
E-1 E-2/E3 E-4 E-5
E-2/E3 E-4 E-5 E-6
E-4 E-5 E-6 E-7
E-5 E-6 E-7 E-8(GM)
E-6 E-7 E-8(GM) E-8 (CGM)
E-7 E-8(GM) E-8 (CGM) E-9
E-8(GM) E-8 (CGM) E-9 Director
E-8(CGM) E-9 Director CMD
E-9 Director CMD CMD
(Alignmentof Grades has been updated with DPE Scales vide Part-I Office Order No. 30/2018
dated 30.05.2018 & designation has been renamed as per Part-I Office Order No. 53/2018
dated-15.11.2018).

Note:-

1. The Trainee Officer/ Trainee Engineer will not initiate PAR's.

2. The appraisal will be initiated by the Executive directly supervising the work
of the employee reported upon. In case any I.O., R.O., or Accepting Officer
is not available at the level defined, the officer of the next level will initiate,
review or accept the PAR. In case a GM is reporting to GM (Incharge), his
report shall be initiated by GM-Incharge.

Where Chief General Manager(s) are reporting to Chief General

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 Manager(In charge) and Executive Director(s) are reporting to Executive
Director (In charge) their PARs will be initiated by respective Chief General
Manager(In charge) and Executive Director (In charge) respectively.
(Amended vide Circular No. 05/05 dated 01.03.2005 & & designation has been
renamed as per Part-I Office Order No. 53/2018 dated-15.11.2018)

3. While initiating officer cannot review the PAR, the accepting officer can
review & accept the PAR, in case there is no reviewing officer at the level
indicated above in the table. In other words, no report can be initiated and
reviewed by the same officer while reviewing and accepting of report can
be done by same officer.

For example, if a Sr. Manager is reporting to Chief General Manager who

is reporting to the Executive Director then the PAR will be initiated by CGM
and reviewed and accepted by the Executive Director.

4. In respect of Heads of HR/Finance divisions of the Projects/ Units/ Regional

Offices the Reports should be initiated by Head of the Project/ Unit /R.O
and will be accepted by the respective functional Director i.e., Director (HR)
or Director (Finance), as the case may be.
(Amended vide O/O No.49/2001 dated 22.08.2001)

1.5 GENERAL INSTRUCTIONS

1. Appraisal should be objective assessment of the capability, performance,

personality, strength and weakness of the employee reported upon. Vague
and ambiguous remarks should be avoided.

2. To guard the over rate / under rate tendency while filling up the PAR’s and
rating the assesses, the following percentage ceiling of PAR marks / grading
should be adhered.

Workmen
PAR Grade %
Outstanding 10 – 15%
Above Average 40 – 50%
High Average
Upto 15%
Average
Low Average Upto 10%
Below Average 10%
Supervisors & Executives (E1 to E5)
PAR Grade
100-81(Outstanding) 10 – 15%
80-61(Very Good) 40 – 60%
60-41(Good 20-30%
40-21(Average
Poor 10%

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 Executives (E6 and above)

PAR Grade
100-81(Outstanding 10 – 15%
80-61(Very Good) 40 – 50%
60-41(Good Upto 15%
40-21(Average) Upto 10%
20-0(Poor) 10%
The above grading % shall be maintained discipline and grade-wise.
(Amended vide Part-I Office Order No.15/2009 dated 16.04.09)

3. The assessment should be based on sufficient evidence reflected during the

period under review. It should be fair and accurate. Personal bias should not
operate in assessing an employee.

The assessment of an employee should not be based on a recent incident or

4.
two during the assessment period but on his performance throughout the
period under review.

5. Appraisals with Low and Below Average or Outstanding ratings must be

supported by positive reasons / work done leading to the said rating.

6. In case of difference of opinion between the initiating & Reviewing officer, the
assessment of Accepting Officer will stand.

7. Notwithstanding any other instructions, all Low and below average and
outstanding appraisals in regard to non-executives / executives will be
submitted to the General Manager or Chief General Manager / Chairman &
Managing Director respectively.

8. The substance of an adverse remark in the appraisal will be communicated to

the reportee in writing (in the proforma specimen enclosed as Annexure-I) by
the initiating officer and the fact of such communication noted on his
appraisal, within 30 days from the date of acceptance of the appraisal. In
exceptional cases, if the accepting officer feels that communication of
adverse remarks will serve no useful purpose and may only discourage the
reportee, he should submit the case for orders of his next superior officer
unless the accepting officer is himself a Director / Chief General Manager or
the CMD.

9. A score of 3 marks or less against quantifiable factors will constitute an

adverse remark and will be communicated to the assessee. In regard to
factors which are not quantifiable, what constitutes ‘adverse remark’ will be
decided by the Accepting Officer, whose decision will be final. The Accepting
Officer will clearly spell out in the Appraisal itself the adverse remarks to be
communicated.

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 Note:
Adverse remarks should be communicated by the Custodian of the ACRs.
(Vide PPL-684/Cir No.16/99 dated 26.03.99)

10. Appeals, if any, against, ‘adverse remarks’ will be submitted within 30 days
from the receipt of such remarks by the employee concerned.

11 The power to expunge the adverse remarks will lie with General Manager or
Chief General Manager in the case of non-executives and Chairman &
Managing Director in the case of executives.
12 Where the Initiating / Reviewing / Accepting Officer are getting retired on
attaining the age of superannuation or leaving the services of the Company
for whatsoever reasons, in such cases, all Performance Appraisals in r/o
employees working under them are required to be got completed within one
month from the date of leaving the services of the Company. Where such
reports could not be got completed during the period of one month the reports
in such cases shall be filled in by the next higher authority.
(Amended vide Part-I Office Order No.15/2009 dated 16.04.09)

Note :
(i) All PARs in respect of Supervisors and Executives shall be countersigned
by the respective Regional Head/ HOP / HOPS / HODs at Corporate
Office (not below the level of General Manager).

(ii) All Regional EDs / HOPs / HOPS / HODs at Corporate Office shall ensure
that the above grading percentages are maintained and reports in respect
of all central cadre employees / executives are sent to Corporate Office
within the prescribed period. Further, all PARs must be sent at one go
and not in part manner.
(Added vide Part-I Office Order No.15/2009 dated 16.04.09)

1.6 CUSTODY
Custody of Performance Appraisals will be with officers as indicated below :
(a) Executives/Supervisors & Under the custody of
Workmen at Corporate Office
(i) In respect of Executive Directors/ Chief Chairman and
General Managers/General Managers Managing Director
(E09/E08(CGM)/E08 (GM))
(ii) In respect of Dy. General Managers/ Director(Personnel)
Sr. Managers/ Managers
(E07/E06/E05)
(iii) In respect of Deputy Executive Director(HR),
Managers/Assistant Managers/ Corporate Office
Engineers/ Officers (E04/E03/E02)
(iv) In respect of Executives below Grade GM(HR)-Establishment,
E02 / Non-Executives in Corporate Corporate Office.
Office & Central Cadre Supervisors
(b) Non-Executives in Projects/ Power Head of HR Wing.

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 Station/Units
1.7 The development of an officer is the direct responsibility of the officer under
whom the individual is working. It is, therefore, the paramount duty of the
reporting officer to counsel the assessee once a quarter, on various
inadequacies and ways to overcome them. He should also keep a tag on the
progress made by the assessee. The personal record of such counsels and
responses may be kept by the Reporting Officer as an aid to annual
Performance Appraisal.

NOTE :
In order to place the Trainee Engineers/Officers as per their aptitude, the
respective Reporting / Controlling Officer will keep an eye on the aptitude of the
Trainee Engineer/Officer, besides their performance on the job, and record the
same in the “Performance Evaluation Report” for clearance of Training period
so that record to this effect is maintained at the Corporate level.

All HODs /HOPs are therefore adhere to the above requirement while
forwarding the “Performance Evaluation Report” to the Corporate Office for
clearance of training period of Trainee Engineers/Officers. Appropriate
cognizance should also be given to this fact while recommending/approving
the probation of TEs/TOs. The revised proforma for clearance of training
period/probation period are as Annexure-II. (vide Circular No.11/99 dated
23.02.99)

For initiation of ACR for of PVOs/VOs, please refer Circular no. NH/VIG/I-
36/582 dated 26.07.2000 (annexure-III)

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 ANNEXURE –I

MEMORANDUM

Subject: Communication of Adverse Remarks

After a careful consideration of the Performance Appraisal of Sh/Smt./

Kumari__________________________________ for the year ______ the following
remarks have been approved for communication to him / her

( Column in Performance appraisal ) (Extract)

He / She is advised to take note of the above and to be more careful in future / to show
improvement in his / her work.

Signature: ------------------------
Name :-----------------------------
Designation:----------------------

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 FORM I
NHPC Ltd.
(A Government of India Enterprise)

PERFORMANCE & POTENTIAL APPRAISAL FORM

FOR EXECUTIVE IN THE LEVEL OF E-1 to E6

FOR THE YEAR___________

PERSONAL DATA:
(To be filled in by the Appraisee / Human Resources Deptt.)

NAME:
EMPLOYEE NO. :
DESIGNATION:
UNIT / LOCATION:
DATE OF JOINING:
DATE OF BIRTH:
DATE OF SUPERANNUATION:

QUALIFICATION

PAST POSITIONS HELD:

FROM TO PLACE OF POSITION KEY
POSTING HELD RESPONSIBILITIES

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 PART I: PERFORMANCE

A: PERFORMANCE PLAN AND MID YEAR REVIEW

Key Performance Areas together with measures / indicators and max. marks to be jointly
agreed upon between the Appraiser and Appraisee at the beginning of the review period
and then filled in the format given below:-
PERFORMANCE PLAN MID YEAR REVIEW
Key Performance Measures/ Maximum Actual Review
Areas Indicators Marks Achievement (by
(given by Appraiser)
Appraisee)

1.

2.

3.

4.

5.

6.

7.

8.

Signature of Appraisee Signature of Appraiser

(Initiating Officer)

Date: Date:

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 B: YEAR-END PERFORMANCE REVIEW

The KPAs and measures after incorporating changes, if required, will be recast from the
previous page and year-end review will be carried out.
PERFORMANCE PLAN YEAR-END REVIEW

Key Measures/ Max. Actual Achievement Review Marks

Performance Indicators Marks (given by (by Awarded
Areas Appraisee) Appraiser) *
1.
2.
3.
4.
5.
6.
7.
8.

Total Performance Marks for the year = Total Marks obtained X 75

(Prorated to total Marks of 75) Total Maximum Marks

Signature of Appraisee Signature of Appraiser

Date: Date:

Note: * The column 'Marks Awarded' will be filled only by the Appraiser.

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 PERFORMANCE REVIEW SHEET
COMMENTS ON PERFORMANCE AND REVIEW DISCUSSIONS IF ANY BY
APPRAISER

SIGNATURE OF THE APPRAISER

Date:

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 PART-II -COMPETENCIES
(This section consists of functional / technical and managerial competencies required for
successful performance in the job)
SL. COMPETENCIES RATINGS
NO. 1-2-3-4-5
1. Business Environment Knowledge - Knowledge and
understanding of economic, leqal, socio political trends.
2. Profession Specific Knowledge - Knowledge related to profession
as a whole. Knowledge which is determined by authority and
responsibility of other positions; knowledge of mission, values and
standard operating procedures, policies.
3. Making Business Decision - Use business related data to support
effective and timely business decisions by *systematically gathering
relevant business information *identifying the strengths and
weaknesses of a particular business line *recognising opportunities
or threats and acting on them rapidly *using business facts collected
in daily decision making.
4. Vision - Develop a vision for the future of the Organisation by:
*grasping the meaning of trends and inter-relationships between the
Organisation and its environment at the local, national and
international level *identifying fundamental values and beliefs to
guide the Orqanisation into the future.
5. Systematic Thinking - Identifying connections between situations
that are not obviously related *using common sense, past
experience and basic rules to identify key underlying issues
*generating and testing hunches which may explain complex
situations or problems.
6. Networking - To cultivate an informal network which may help to
get things done through *developing contacts with people outside of
the immediate work unit *using networks as a source of information
and support.
7. Organising Resources - Ensure that all financial, personnel and/or
other resources are in place to meet needs by * identifying and
acquiring the resources *allocating and utilising the resources in a
timely and cost effective way *monitoring and controlling all
resources required to maintain the efficiency of operations.
8. Inspire People - To generate a sense of purpose for the work done
by the organisation through instilling enthusiasm, loyalty and
commitment among team members at all levels of the organisation
*inspiring, motivating and guiding others toward organizational goals
and objectives *setting an example for others by behaving in ways
that are consistent with espoused beliefs and values and the
Organisation's vision and direction.
9. Team Player - To contribute to group objectives in a team
environment through *cooperating and interacting well with others
*contributing actively and fully to team projects *working
cooperatively as opposed to competitively with others
*acknowledging diverse opinions, addressing relevant concerns and

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 working towards consensual solutions that enhance the output of the
team.
Rating on Competencies = Total of all ratinqs X 15
(Prorated to 15 marks) 45

SIGNATURE OF THE APPRAISER

Date:

Critical Incidents :

(Use this space to narrate Critical Behavioural Incidents that have helped you arrive at
the ratings given in the previous section.)

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 PART III – VALUES

(This section consists of Values which are to be demonstrated in day to day activities).
Sl.No. VALUES RATINGS
1-2-3-4-5
1. Fairness - Decisions are made objectively, free from patronage
and reflect the just treatment of employees and applicants.
2. Transparency - There is open communication about every
aspect of managerial decisions which concern people.
3. Trust - Trustworthiness leading to confidence *Allow staff the
freedom to grow and develop *Relate to others on the basis of
mutual respect *courage to stand by your convictions.
4. Candour - Frank and forthright *Give and receive constructive
criticism/suggestions *openly discuss performance deficiencies
and take corrective action *Appreciate good performance *be
consistent in words and deeds *face up to your mistakes.
5. Collaboration – working in tandem *Be open in sharing
information and in seeking suggestions I opinion *Be sensitive
to concerns of others. Honour your commitment *encourage
team work across departments I function.
6. Involvement - Total commitment *Be dedicated and committed
to work. Build commitment by encouraging wide participation in
decision making process to the maximum extent possible.
7. Flexibility - Ability to participate and adapt to changing
circumstances using sound judgement *Be open to accepting
new ideas *Be willing to learn from anyone and to do things
differently. *Be prepared to operate and adapt to different
environments.
8. Willingness to accept challenge - *Be willing to experiment.
*Allow for freedom to fail, but learn from it too.
9. Discipline - Adherence to accepted norms. *Honours the
promises and adhere to agreed system *respect for others time
and space *Exercise self control.
10. Ethical Behaviour - Demonstrate honesty and sincerity in
every action. *Apply sound business and professional ethics.
*Show consistency with principles, values and behaviors.

Rating on Values = Total of all ratinqs X 05

(Prorated to 05 marks) 50

SIGNATURE OF THE APPRAISER

Date:

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Integrity* (Please comment on the integrity of the officer reported upon by choosing any
one of the following options):
i) Beyond doubt
ii) Since the integrity of the officer is doubtful, a
secret note is attached
iii) Not watched the officer’s work for sufficient
time to form a definite judgment but nothing
adverse has been reported to me about the
officer

Date Signature

*Inserted vide part –I Office Order No. 26/2016 dated 29.03.2016

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 PART IV - POTENTIAL APPRAISAL

(This section consists of Attributes which are to be demonstrated in day to day activities.
Attributes would represent the core values required for Senior level positions)

SL.NO. GENERIC ATTRIBUTES RATINGS

1-2-3-4-5
1. Leadership Abilities - Demonstrates ability for *guiding
collective decision making, *for succession planning, *Crisis
Management and *ability to take risks.
2. Team Building - Demonstrates effectiveness in re-organising
his/her own department, *manage diverse and divergent
views and group processes without losing sight of objectives.
3. Ability to build a Strategic Vision - *Demonstrates ability to
manage change *focus on long term issues *strategic thinking
*translate vision into goals.
4. Business Sense - *Commitment to bottom-line results by
enhancing revenue generation by addressing interest of
customers and stakeholders *Balancing need for viable short
and long term performance *Optimizing unit / organization's
contribution while supporting Corporate objectives *Spotting
and pursuing new business opportunities wherever possible.
5. Communication Skills - Communicate ideas and information
effectively and market key points effectively through public
speaking and presentation, ability to convert ideas through
action plan and ensure acceptability within the organisation
and performance at Board meetings.

Rating on Potential = Total of all ratings X 05

(Prorated to 05 marks) 25

Date: SIGNATURE OF THE APPRAISER

Appraiser's Comments on Potential Suitability

The Appraiser will indicate suitability of the Appraisee for higher Positions or horizontal
movement in different functions I Organisations and / or suitability for any specific or
particular Sector or further continuance.

Date: Signature

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 PERFORMANCE & POTENTIAL PROFILE

Final Marks Scored

Total Marks Marks Scored

PART-I PERFORMANCE 75
PART-II COMPETENCIES 15
PART-III VALUES 05
PART-IV POTENTIAL 05
TOTAL 100

Name & Designation of Appraiser:

Date: Signature
Comments of Reviewing Officer:

Date: Signature:
Name:
Designation:
Comments of Accepting Officer:

Date: Signature:
Name:
Designation :

Space for Administrative Use

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 Training Needs Form

To be detached and sent to HR in order to identify the Individual Training Needs

(To be filled by the Appraiser in consultation with the Appraisee. The Plan must be
approved by the Reviewing Officer)

Behavioral Training Needs

S. For Existing Roles For Future Roles Action Support Time

No. Plan required Frame
for
Immediate Long Immediate Long Completi
Requirement Term Require- Term on
Require ment Require-
ment ment

Technical Training Needs

S. For Existing Roles For Future Roles Action Support Time

No Plan required Frame
for
Immediate Long Immediate Long Comple
Requirement Term Require- Term tion
Require ment Require-
ment ment

Signature of Appraisee :__________________________

Signature of Appraiser :__________________________

Signature of Reviewing Officer :____________________

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 FORM IA
NHPC Ltd.
(A Government of India Enterprise)

PERFORMANCE & POTENTIAL APPRAISAL FORM

FOR EXECUTIVE IN THE LEVEL OF E-7 to E8(GM)

FOR THE YEAR___________

PERSONAL DATA:
(To be filled in by the Appraisee / Human Resources Deptt.)

NAME:
EMPLOYEE NO. :
DESIGNATION:
UNIT / LOCATION:
DATE OF JOINING:
DATE OF BIRTH:
DATE OF SUPERANNUATION:

QUALIFICATION

PAST POSITIONS HELD:

FROM TO PLACE OF POSITION KEY
POSTING HELD RESPONSIBILITIES

-20-
 PART I: PERFORMANCE

A: PERFORMANCE PLAN AND MID YEAR REVIEW

Key Performance Areas together with measures / indicators and max. marks to be jointly
agreed upon between the Appraiser and Appraisee at the beginning of the review period
and then filled in the format given below:-
PERFORMANCE PLAN MID YEAR REVIEW
Key Performance Measures/ Maximum Actual Review
Areas Indicators Marks Achievement (by
(given by Appraiser)
Appraisee)
1.

2.

3.

4.

5.

6.

7.

8.

Signature of Appraisee Signature of Appraiser

Date: (Initiating Officer)
Date:

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 B: YEAR-END PERFORMANCE REVIEW

The KPAs and measures after incorporating changes, if required, will be recast from the
previous page and year-end review will be carried out.
PERFORMANCE PLAN YEAR-END REVIEW

Key Measures/ Max. Actual Review Marks

Performance Indicators Marks Achievement (by Awarded
Areas (given by Appraiser) *
Appraisee)
1.
2.
3.
4.
5.
6.
7.
8.

Total Performance Marks for the year = Total Marks obtained X 65

(Prorated to total Marks of 65) Total Maximum Marks

Signature of Appraisee Signature of Appraiser

Date: Date:

Note: * The column 'Marks Awarded' will be filled only by the Appraiser.

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 PERFORMANCE REVIEW SHEET

COMMENTS ON PERFORMANCE AND REVIEW DISCUSSIONS IF ANY BY

APPRAISER

SIGNATURE OF THE APPRAISER

Date:

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 PART-II -COMPETENCIES
(This section consists of functional / technical and managerial competencies required for
successful performance in the job)
SL. COMPETENCIES RATINGS
NO. 1-2-3-4-5
1. Business Environment Knowledge - Knowledge and
understanding of economic, leqal, socio political trends.
2. Profession Specific Knowledge - Knowledge related to
profession as a whole. Knowledge which is determined by
authority and responsibility of other positions; knowledge of
mission, values and standard operating procedures, policies.
3. Making Business Decision - Use business related data to
support effective and timely business decisions by *systematically
gathering relevant business information *identifying the strengths
and weaknesses of a particular business line *recognising
opportunities or threats and acting on them rapidly *using business
facts collected in daily decision making.
4. Vision - Develop a vision for the future of the Organisation by:
*grasping the meaning of trends and inter-relationships between
the Organisation and its environment at the local, national and
international level *identifying fundamental values and beliefs to
guide the Orqanisation into the future.
5. Systematic Thinking - Identifying connections between situations
that are not obviously related *using common sense, past
experience and basic rules to identify key underlying issues
*generating and testing hunches which may explain complex
situations or problems.
6. Networking - To cultivate an informal network which may help to
get things done through *developing contacts with people outside
of the immediate work unit *using networks as a source of
information and support.
7. Organising Resources - Ensure that all financial, personnel
and/or other resources are in place to meet needs by * identifying
and acquiring the resources *allocating and utilising the resources
in a timely and cost effective way *monitoring and controlling all
resources required to maintain the efficiency of operations.
8. Inspire People - To generate a sense of purpose for the work
done by the organisation through instilling enthusiasm, loyalty and
commitment among team members at all levels of the organisation
*inspiring, motivating and guiding others toward organizational
goals and objectives *setting an example for others by behaving in
ways that are consistent with espoused beliefs and values and the
Organisation's vision and direction.
9. Team Player - To contribute to group objectives in a team
environment through *cooperating and interacting well with others
*contributing actively and fully to team projects *working
cooperatively as opposed to competitively with others
*acknowledging diverse opinions, addressing relevant concerns

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 and working towards consensual solutions that enhance the output
of the team.

Rating on Competencies = Total of all ratinqs X 15

(Prorated to 15 marks) 45
SIGNATURE OF THE
APPRAISER
Date
Critical Incidents:

(Use this space to narrate Critical Behavioural Incidents that have helped you arrive at
the ratings given in the previous section.)

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 PART III – VALUES

(This section consists of Values which are to be demonstrated in day to day activities).

Sl.No. VALUES RATINGS

1-2-3-4-5
1. Fairness - Decisions are made objectively, free from patronage
and reflect the just treatment of employees and applicants.
2. Transparency - There is open communication about every
aspect of managerial decisions which concern people.
3. Trust - Trustworthiness leading to confidence *Allow staff the
freedom to grow and develop *Relate to others on the basis of
mutual respect *courage to stand by your convictions.
4. Candour - Frank and forthright *Give and receive constructive
criticism/suggestions *openly discuss performance deficiencies
and take corrective action *Appreciate good performance *be
consistent in words and deeds *face up to your mistakes.
5. Collaboration – working in tandem *Be open in sharing
information and in seeking suggestions I opinion *Be sensitive
to concerns of others. Honour your commitment *encourage
team work across departments I function.
6. Involvement - Total commitment *Be dedicated and committed
to work. Build commitment by encouraging wide participation in
decision making process to the maximum extent possible.
7. Flexibility - Ability to participate and adapt to changing
circumstances using sound judgement *Be open to accepting
new ideas *Be willing to learn from anyone and to do things
differently. *Be prepared to operate and adapt to different
environments.
8. Willingness to accept challenge - *Be willing to experiment.
*Allow for freedom to fail, but learn from it too.
9. Discipline - Adherence to accepted norms. *Honours the
promises and adhere to agreed system *respect for others time
and space *Exercise self control.
10. Ethical Behaviour - Demonstrate honesty and sincerity in
every action. *Apply sound business and professional ethics.
*Show consistency with principles, values and behaviors.
Rating on Values = Total of all ratinqs X 10
(Prorated to 10 marks) 50

SIGNATURE OF THE APPRAISER

Date:

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Integrity* (Please comment on the integrity of the officer reported upon by choosing any
one of the following options):

i) Beyond doubt
ii) Since the integrity of the officer is doubtful, a
secret note is attached
iii) Not watched the officer’s work for sufficient
time to form a definite judgement but nothing
adverse has been reported to me about the
officer

Date Signature

*Inserted vide part –I Office Order No. 26/2016 dated 29.03.2016

-27-
 PART IV - POTENTIAL APPRAISAL

(This section consists of Attributes which are to be demonstrated in day to day activities.
Attributes would represent the core values required for senior level positions)
SL.NO. GENERIC ATTRIBUTES RATINGS
1-2-3-4-5
1. Leadership Abilities - Demonstrates ability for *guiding
collective decision making, *for succession planning, *Crisis
Management and *ability to take risks.
2. Team Building - Demonstrates effectiveness in re-organising
his/her own department, *manage diverse and divergent
views and group processes without losing sight of objectives.
3. Ability to build a Strategic Vision - *Demonstrates ability to
manage change *focus on long term issues *strategic thinking
*translate vision into goals.
4. Business Sense - *Commitment to bottom-line results by
enhancing revenue generation by addressing interest of
customers and stakeholders *Balancing need for viable short
and long term performance *Optimizing unit / organization's
contribution while supporting Corporate objectives *Spotting
and pursuing new business opportunities wherever possible.
5. Communication Skills - Communicate ideas and information
effectively and market key points effectively through public
speaking and presentation, ability to convert ideas through
action plan and ensure acceptability within the organisation
and performance at Board meetings.

Rating on Potential = Total of all ratings X 10

(Prorated to 10 marks) 25

Date: SIGNATURE OF THE APPRAISER

Appraiser's Comments on Potential Suitability

The Appraiser will indicate suitability of the Appraisee for higher Positions or horizontal
movement in different functions I Organisations and / or suitability for any specific or
particular Sector or further continuance.

Date: Signature

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 PERFORMANCE & POTENTIAL PROFILE

Final Marks Scored

Total Marks Marks Scored
PART-I PERFORMANCE 65
PART-II COMPETENCIES 15
PART-III VALUES 10
PART-IV POTENTIAL 10
TOTAL 100

Name & Designation of Appraiser:

Date: Signature

Comments of Reviewing Officer:

Date: Signature:
Name :
Designation :
Comments of Accepting Officer:

Date: Signature:
Name :
Designation

Space for Administrative Use

-29-
 Training Needs Form

To be detached and sent to HR in order to identify the Individual Training Needs (To be
filled by the Appraiser in consultation with the Appraisee. The Plan must be approved by
the Reviewing Officer)

Behavioral Training Needs

S. For Existing Roles For Future Roles Action Support Time

No Plan required Frame
for
Comple-
Immediate Long Term Immediate Long Term tion
Require- Require- Requirement Requirement
ment ment

Technical Training Needs

S. For Existing For Future Roles Action Support Time Frame

No Roles Plan required for
Completion

Immediate Long Immediate Long Term

Require- Term Requirement Requirement
ment Requir
e-ment

Signature of Appraisee :__________________________

Signature of Appraiser :__________________________

Signature of Reviewing Officer:____________________

-30-
 PERFORMANCE APPRASIAL REPORT OF CHIEF EXECUTIVES/FUNCTIONAL
DIRECTORS/ EXECUTIVE DIRECTORS/ GENERAL MANAGERS OF CENTRAL PUBLIC
SECTOR ENTERPRISES

FORM

-31-
 FORM

PERFORMANCE APPRAISAL REPORT OF THE CHIEF EXECUTIVES, FUNCTIONAL

DIRECTORS, EXECUTIVE DIRECTORS (E9) AND CHIEF GENERAL MANAGERS
(E8) OF CENTRAL PUBLIC SECTOR ENTERPRISES (CPSEs)

For the year/period from ----------- to ----------------

Each and every section of this form should be filled in by the concerned
officer/authority after carefully reading the instructions attached to this form.

Section I - Basic information

(To be filled in by the Human Resource/Personnel/Administration Department of
the CPSE)
Recent
Photograph of
the officer
reported upon to
be affixed

Personal Data of the officer

1. Name of the Officer reported upon:

__________________________________

2. Employee Number: _____________________

3. Date of Birth: __________________________

4. Brief Academic & Professional Qualifications :

5. (a) Name of the Post held:

_________________________________________

(b) Grade of Post held: ___________________

(c) Date of Continuous Appointment in this Post: _________________

(d) Present Pay and Scale of Pay: ____________________________

(e) Date of continuous Appointment in the same enterprise:

_______________

6. (a) Date of First Public Enterprise Appointment: ____________________

(b) Scale of Pay of the Post on First Appointment: __________________

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7. Reporting, Reviewing and Accepting Authorities during the year

Name & Designation Period worked

from To

Reporting Authority

Reviewing Authority

Accepting Authority

8. Period of absence on leave, etc. during the year

Period Type Remarks

On Leave other than
Casual Leave

Others (specify)

9. Qualification acquired and Training programmes attended during the year:

(a) Details of Qualification acquired during the year

S.N Details of Institution from Details of subjects

o Qualification which studied studied and the marks
obtained

(b) Details of Training programmes attended during the year

Date from Date to Institute Subject

10. Awards/Honours received during the year

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11. Number of officers for whom PAR was not written by the officer reported upon
as Reporting/Reviewing Authority for the previous year

12. Date of filing the property return in the prescribed format for the year ending
31st March,_________

13. Date of last prescribed medical examination. Please attach a copy of the
summary of the medical report.

Signature:
Name & Designation of the officer of
the
Human Resource/Personnel/Administration Department

Date:

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 Section II - Self-appraisal of the Apprissee

1. Brief description of responsibilities:

(Objectives of the position you hold and the responsibilities you are required to
discharge, in about 100 words)

-35-
2. Annual work plan and achievement:

Tasks to be performed Weightage Deliverables1 Achievement2

I - MOU Targets * - @
II - Other key assigned
tasks flowing from MOU
i)
ii)
iii)
iv)
v)
vi)
vii)
viii)
ix)
x)
Total (i to x) #
III - Grand Total 75

1. Deliverables refer to quantitative or financial targets or verbal description of

expected outputs. The deliverables and the weights for individual key
assigned tasks will be decided by the Reporting Authority after consulting the
officer reported upon within two months from the start of the period of report.
The Reporting Authority shall send a copy of the details of the finally agreed
key assigned tasks and their relative weights targets to the Nodal officer by
30th June.
2. Actual achievements refer to the achievements against the specified
deliverables in respect of each task. No explanations for divergences are to be
given in this table.
* The weightage for MoU targets is 75 for Chief Executives, 40 for Functional
Directors and 25 for Executive Directors/Chief General Managers.
@ The final MoU score based on audited accounts conveyed by DPE should be
filled in this space.
# The total weightage for other assigned tasks flowing from MoU is nil for Chief
Executives, 35 for Functional Director and 50 for Executive Directors/Chief
General Managers.

3. During the period under report, do you believe that you have made any
exceptional contribution, e.g. successful completion of an extraordinarily
challenging task or major systemic improvement (resulting in significant
benefits to the Company and/or reduction in time and costs)? If so, please give
a verbal description (within 100 words):

-36-
4. What are the constraints that hindered your performance?

5. Please indicate specific areas of training that will add value to you:

For the current assignment:

For your future career:

Note:
Chief Executives and Functional Directors should send their updated CV,
including additional qualifications acquired, training programmes attended,
publications/special assignments undertaken to the Nodal officer of the CPSE
as well as the Nodal officer of the Administrative Ministry once in 5 years so
that updated records are available with them. However, the Executive Directors
and Chief General Managers should send such information once in 5 years to
the nodal officer of the CPSE only.

6. Declaration

Have you filed your immovable property return in Yes/No

the prescribed format as due? If yes, please
mention the date.
Have you undergone the suggested medical Yes/No
check up?
Have you set the annual work plan for all officers Yes/No
for the current year, in respect of whom you are
the Reporting Authority?

Date Signature of the employee

-37-
 Section III - Appraisal of the Imitating Officer

1. Please state whether you agree with the responses relating to the
accomplishments of the work plan as filled out in Section II. If not, please
furnish factual details.

2. Please comment on the claim (if any) made by the officer reported upon
about his exceptional contribution.

-38-
3. Has the officer reported upon met with any significant shortfall in achieving
the targets? If yes, please furnish factual details.

4. Do you agree with the constraints mentioned by the officer reported upon
that had hindered his performance and, if so, to what extent?

5. Do you agree with the competency up-gradation needs as identified by the

officer?

-39-
6. Assessment of the achievements made against the targets. (This assessment
should rate the officer vis-à-vis his peers and not the general population. Grades
should be assigned on a scale of 1-10, in maximum of 2 decimal numbers, with 10
referring to the best grade and 1 to the lowest grade. Weightage to this Section will
be 75%).

Particulars Weightage Reporting Reviewing Initials of

Authority Authority Reviewing
Absolut Weighted Absolute Weighted Authority
e grade grade grade grade
(a) (b) (c = a x (d) (e = a x
b)/100 d)/100
1 2
I - MOU * *
Targets
(a) (b) (c = a x (d) (e = a x
b)/100 d)/100
II - Other key
assigned
tasks
i)
ii)
iii)
iv)
v)
vi)
vii)
viii)
ix)
x)
3
Total (i to x) * - -
III - Grand 75 - -
Total I & II

Weighted grade is to be computed by multiplying the absolute grade by the relative

weights. Overall grading is to be computed by summing up the weighted grade and
rounding off to 2 decimals.

1. The weightage for MoU targets will be 75 for Chief Executives, 40 for Functional
Directors and 25 for Executive Directors/Chief General Managers.
2. The final MoU score based on audited accounts conveyed by DPE should be filled in
this space.
3. The weightage for other key assigned targets will be nil for Chief Executives, 35 for
Functional Directors and 50 for Executive Directors/Chief General Managers.
(Para-6&7 w.r.t. marks has been amended vide Part-I O/O No. 31/2018 dated-15.06.2018)

-40-
 7. Assessment of Personal Attributes and Functional Competencies (Grades
should be assigned on a scale of 1-10, in maximum of 2 decimal numbers, with 10
referring to the best grade and 1 to the lowest grade. Weightage to this Section will
be 25%)

S. Particulars of Personal Grade by Grade by Initials of

No. Attributes and Functional Reporting Reviewing Reviewing
Competencies Authority Authority Authority
i Effective communication skills
ii Strategic orientation and Decision
making ability
iii Problem solving and Analytical ability
iv Ability to develop and motivate team
members
Ability to coordinate and develop
collaborative partnerships
vi Innovation and change orientation
vii Planning and Organising
viii Result orientation
ix Business Acumen
x Role based functional competency
Total (i to x)
Overall Grading of Personal
Attributes and Functional
competencies (Total/4)
All the personal attributes and functional competencies (S.No.i to x) carry equal weights.
Overall grading is to be computed by dividing the total grade by 4 and rounding off to 2
decimals.

8. Integrity (Please comment on the integrity of the officer reported upon by choosing
any one of the following options):

i) Beyond doubt
ii) Integrity of the officer is doubtful. A separate secret note is
attached
iii) Nothing adverse has been received about the officer

-41-
9. Pen picture by Reporting Officer. Please comment (in about 100 words) on
the overall qualities of the officer including areas of strengths and those
which need improvements. The pen picture should be consistent with the
overall grade furnished in Item no. 10.

10. Overall grade (on grade 0-100) based on the grades awarded in Item no. 6 &
7. This should be computed by summing up the weighted average grade
indicated in Item no. 6 & 7.

Signature of Reporting Authority

Name & Designation of the Reporting Authority

Date:

-42-
 Section IV - Review by the Reviewing Officer

1. Do you agree with the assessment made by the Reporting officer with
respect to discharge of responsibilities and various attributes of the officer
reported upon in Section III? (In case you agree with the assessments made
by the Reporting Authority, please make a note to that effect in the space
provided for you in Item No. 6 and 7 of Section III and initial it. If you do not
agree with any of the numerical assessments made by the Reporting
Authority, please record your assessments in the space provided for you in
Item No. 6 and 7 of Section III and initial your entries).

Yes/No

2. Do you agree with the assessment of the Reporting officer in respect of

extraordinary achievements and/or significant shortfalls of the officer
reported
upon?

Yes / No

3. In case of difference of opinion, details and reasons for the same may be
given.

4. Comments, if any, on the pen picture written by the Reporting Authority.

5. Overall grade on scale of 0-100 (Scores should be assigned on a scale of 0-

100, with 100 referring to the best grade and 0 to the lowest grade). The
overall score should be computed by summing up the weighted average
grade obtained in item No.6 and 7 of Section III.

Signature of Reviewing Authority _______________

Name & Designation of the Reviewing Authority

Date:

-43-
 Section V - Acceptance by the Accepting Officer

1. Is the overall grade given by the Reporting/Reviewing Authority is

consistent
with the pen picture given by them?
Yes/No

2. Do you agree with the remarks of the Reporting /Reviewing Authorities?

Yes/No

3. In case of difference of opinion, details thereof and reasons for the same may
be given.

4. Overall grade on a grade of 0-100 (Scores should be assigned on a scale of

0-100, with 100 referring to the best grade and 0 to the lowest grade).

Signature of Accepting Authority

Name & Designation of the Accepting Authority

Date:

-44-
 Section VI - Review by the Acceptance Officer in the light of the
representation received from the officer

1. Whether the Accepting Authority considers any merit for revising the overall
grade given earlier to the officer reported upon in the light of the
representation made by him/her?

Yes/No

2. If Yes, please indicate the revised overall grade on a grade of 0-100 (Scores
should be assigned on a scale of 0-100, with 100 referring to the best grade
and 0 to the lowest grade).

Signature of the Nodal officer

Name & Designation of the Nodal Officer

Date:

Note:
The concerned Nodal officer shall fill this section based on the orders passed by the
Accepting Authority. Copies of the representation made by the officer reported upon and
the orders of the Accepting Authority thereon are to be attached.

-45-
 SUMMARY OF MEDICAL REPORT

(To be filled by the Medical wing of the concerned Location)

Date:
Name: Age: Sex: M/F
Employee No.:
Name of the Post held:
Brief clinical history, if any:

Summary of Medical Report:

1. Overall Health of the officer

2. Any other remarks based on the

health check up of the officer

3. Health profile grading

Date Designation

-46-
 Instructions for filling up the Performance Appraisal Report (PAR) of the Chief
Executives, Functional Directors, Executive Directors (E9) and Chief General
Managers (E8) of Central Public Sector Enterprises (CPSEs)

1. Introduction

The Performance Appraisal Report is an important document. It provides the basic and vital
inputs for further development of an officer. The officer reported upon, the Reporting
Authority, Reviewing Authority and the Accepting Authority should, therefore, undertake the
duty of filling up the form with a high sense of responsibility.

Performance Appraisal should be used as a tool for career planning and training, rather
than a mere judgmental exercise. Reporting Authorities should realize that the objective is
to develop an officer so that he/she realizes his true potential. It is not meant to be a fault-
finding process but a developmental tool. The Reporting Authority, the Reviewing Authority
and the Accepting Authority should not shy away from reporting shortcomings in
performance, attitudes or overall personality of the officer reported upon. The columns
should be filled with due care and attention and after devoting adequate time. Any attempt
to fill the report in a casual or superficial manner will be easily discernible to the higher
authorities.

Performance appraisal is expected to be used as a tool for human resource development,

career planning and training rather than a mere judgemental exercise. Thus the Reporting
Authority and the officer reported upon should meet at the beginning of the year to set
targets and goals of performance.

2. Section I - Basic information

This Section should be filled up in by the Nodal officer or the Human Resource/Personnel/
Administration Department of the CPSE. Period of report could be either the entire
reporting year, namely, from 1st of April to 31st March or a part of the year (exceeding 3
months). In case the period of report is a full year, it should be indicated accordingly; for
example, 2010-2011. In case the period of report is less than the entire year, specific start
and end dates should be indicated, for example, 10th September 2010 to 31st March 2011.

Item No.1: Name of the officer reported upon should be written in capital letters.

Item No.8: The period of absence from duty, on leave other than casual leave, training,
or for other reasons should be mentioned in this section.

Item No.12: The date of filing the annual property return in the prescribed format is to be
mentioned.

Item No.13: This Section provides for annual medical examination of the officer reported
upon from an approved medical institution. The health check up is, however,
mandatory for all officers above the age of 40. The officer concerned should
get his medical examination completed by 30th June every year at a medical
institution designated by the concerned CPSE. A suggested format for the
medical report is appended to the PAR form. CPSEs may, however, prescribe
a separate form provided it includes all the details specified in the form
suggested by the Committee. A copy of the summary of the medical report of
the officer reported upon is to be attached to the Performance Appraisal

-47-
 Report Form by the Nodal officer or the Human Resource/ Personnel/
Administration Department of the CPSE before circulating the same to the
concerned officer for completing self-appraisal.

3. Section II - Self-appraisal of the officer reported upon

Item No.1: The officer reported upon is first required to give a brief description of his
responsibilities, which would normally not exceed about 100 words. Ideally,
this should be in bullet form.

Item No.2: In this section, the officer reported upon is required to furnish the details of
targets and achievements unless revised by the new Reporting officer. While
the targets for the Chief Executive will be only MOU targets; for others, the
targets will be both MOU targets as well as other assigned tasks flowing from
MOU targets. All officers are required to develop a work plan for the year and
agree upon the same with the Reporting officer. The work plan should
incorporate the work related to the area of functioning of the concerned officer
and it should emanate from the MOU targets/goals. The work plan would
normally consist of quantifiable targets. The exercise is to be carried out at
the beginning of the year and finalized by 31st May, positively. The work
plans, duly signed by the officer reported upon and the Reporting Authority
has to be submitted by 30th June to the nodal officer for record.

After the work plan is prepared, it is possible that the officer reported upon is
transferred out. There need not be more than one work plan for one post
each year. In case of a change of the Reporting officer during the year, the
work plan agreed with the previous Reporting officer would continue to apply
unless revised by the new Reporting officer. The contribution of the officer
reported upon during the period spent by the officer on the post could be
considered for evaluating his performance against the work plan.

Item No.3: This section provides an opportunity for the officer to reflect upon his
performance during the year and indicate one item in which he/she had made
significant contribution during the year. It is always possible for any officer to
make significant contribution even in activities otherwise regarded as routine
in nature.

Item No.5: The officer reported upon is required to indicate specific areas in which
he/she feels the need to upgrade competencies and attend training
programmes. He/she should also mention the specific steps that he/she has
taken or proposes to take to upgrade his/her competencies in the identified
area.

4. Section III - Appraisal of the Reporting Authority

Item No.l: The Reporting Authority is required to comment on the self-appraisal made by
the officer reported upon in Section II, and specifically state whether he/she
agrees with the responses relating to accomplishments. In case of
disagreement, the Reporting Authority should highlight the specific portions
with which he/she is unable to agree to and the reasons for such
disagreement.

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 Item No.6: In this Section, the Reporting Authority is required to record a numerical grade
(not more than 2 decimals) in respect of the work output of the officer reported
upon against each of the key assigned tasks.

Item No.7: In this section, the Reporting Authority is also required to record a numerical
grade (not more than 2 decimals) in respect of personal attributes and
functional competencies of the officer reported upon. To ensure that the
personal attributes and functional competencies are clearly understood by all
stakeholders of the PAR process, the descriptions of each of them are given
in Table No.1 below:

Table No.l - Description of Personal Attributes and Functional Competencies

S. Personal Attributes and Description of Personal Attributes and Functional

No. Functional Competencies
Competencies
i) Effective communication Communicates articulately and assertively to influence
skills critical stakeholders and strives to achieve a win-win
solution.
ii) Strategic orientation and Demonstrates comprehensive business and
Decision making ability environment awareness including related laws and
rules; develops/aligns self and team to the long term
business strategy and overall organizational vision.
Considers multiple factors while taking decisions for
long term organization impact.
iii) Problem solving and Analyzing and solving a problem by identifying the
Analytical ability elements and relationships of a problem in a systematic
way and identifying logical links.
iv) Ability to develop and Provides direction and support, encourages team work,
motivate team members inspires and motivates team and manages conflict to
accomplish group objectives while focusing on
capability enhancement of the team.
v) Ability to coordinate and Builds collaborative partnerships with internal and
develop collaborative external stakeholders and leverages relations through
partnerships networking to meet organizational objectives.
vi) Innovation and change Takes initiative; manages and champions change and
orientation learning processes; encourages new and innovative
approaches.
vii) Planning and Organising Ability to plan and organize own as well as team
activities, prioritize and handle contingencies to meet
set goals and objectives within defined timelines.
viii) Result orientation Demonstrates drive for results and ensures that
operating practices and performance results adhere to
high standards of efficiency and excellence.
ix) Business Acumen Understands the tie between and revenue and
expenses; utilizes financial data and information to
make sound business decisions that promote cost
consciousness, profitability, revenue and growth.
x) Role based functional Demonstrates knowledge of rules and laws, systems
competency and processes, functional domain and IT applications in
order to carry out the assigned role with conviction.

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In order to bring in more objectivity in the assessment of the attributes and competencies and
minimize bias, benchmarking for assigning grades to various Personal Attributes and
Functional Competencies are indicated in the Table No.2 given below:-

Table No. 2 - Benchmarking for assigning grades to Personal Attributes and

Functional Competencies

Grade Description of the Details of Behaviour competencies

benchmark
1 Consistently exceeds Demonstrates exemplary behaviours, consistently in all
expectations situations far above that are required for effectiveness in
the current role. Demonstrates outstanding professional
attributes, which indicates strong potential for rapid future
development.
2 Consistently meets Consistently demonstrates behaviours which surpass
expectations those required for effectiveness in current role.
Demonstrates professional skills that indicate strong
potential for future advancement.
3 Meets expectations Regularly demonstrates behaviours at the level required
most of the times for effectiveness in current role. Displays the required level
of proficiency for this competency, exceeding expectations
at times.
4 Partially meets Inconsistently or partially demonstrates behaviours
expectations required for effectiveness in current role; however
significant progress is required to achieve the expected
proficiency level for this competency.
5 Consistently does not Does not sufficiently demonstrate behaviours required for
meet expectations effectiveness in current role and immediate improvement
is needed to achieve the required proficiency level for this
competency.

Item No.8:
In this section, the Reporting Authority is required to comment on the integrity of the officer
reported upon. In recording remarks on integrity, he/she need not limit him/herself only to
matters relating to financial integrity but would also take into account any violation, by the
concerned officer, of the code of conduct laid down by the Board of the CPSE. The
following procedure should be followed in filling up column relating to integrity: (i) If the
Officer's integrity is beyond doubt, it may be stated; (ii) If there is any doubt or suspicion, a
separate secret note should be recorded and sent to the Reviewing Authority after
recording this fact in the column relating to integrity, (iii) Where it is not possible either to
certify the integrity or to record secret note, the Reporting Authority should state that
he/she has not received anything against the officer reported upon.

The Reviewing Authority will ensure that the follow up action on the secret note submitted
by the Reporting Authority is taken expeditiously. If, as a result of the follow up action, the
doubts or suspicions are cleared, the integrity of the officer reported upon should be
certified and an entry made accordingly by the Reviewing Authority in the Performance
Appraisal Report. If the doubts or suspicions are confirmed, this fact should also be
recorded by the Reviewing Authority in the PAR. If as a result of the follow up action, the
doubts or suspicions are neither cleared nor confirmed, the officer's conduct should be
watched for a further period of one year and the outcome should be recorded in the
Performance Appraisal Report by the Reviewing Authority. The Nodal officer shall

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 communicate the final decision on the integrity of the officer reported upon to the officer
concerned as well as the Reporting Authority.

Item No.9: The Reporting Authority is also required to record a descriptive pen-picture on
the overall qualities of the officer reported upon and his performance and this
should be consistent with the numerical grade given to the officer. This should try
to cover overall qualities of the officer, including areas of strengths. The pen-
picture is also meant to be a qualitative supplement to the quantitative
assessments made in earlier part of this section.

Item No.10: Finally, the Reporting Authority is required to record an overall grade. This should
also be done on a scale of 0-100 based on the grades awarded in item No. 6&7.
This should be computed by adding the weighted average grade indicated in
Item no.6 & 7.

5. Section IV - Review by the Reviewing Authority

Item No.1: This Section is to be filled up by the Reviewing Authority. He/she is required to
indicate whether he/she agrees with the assessments made by the Reporting
officer. In case of disagreement, he/she may record his own assessment about
the work output and/or any of the attributes in the column specifically provided for
the purpose in Item No.6 and/or Item No.7 of Section III. The numerical grades
should not be given in more than 2 decimals.

Item No.3: In case of disagreement with the assessment made by the Reporting Authority,
the Reviewing Authority should record the details of disagreement and the
reasons for the same in this section.

Item No.4: In this section, the Reviewing Authority should comment on the pen picture
written by the Reporting Authority.

Item No.5: Finally, the Reviewing Authority is required to record in this section an overall
grade in the scale of 0-100 (Scores should be assigned on a scale of 0-100,
with 100 referring to the best grade and 0 to the lowest grade). This should
be computed by adding the weighted average grade indicated in Item no. 6 &
7 of Section III.

6. Section V - Acceptance by the Accepting Authority

Item No.1&2: This Section is to be filled by the Accepting Authority. He/she is required to
indicate whether he/she agrees with the assessments made by the Reporting
Authority/Reviewing Authority.

Item No.3 : In case of difference of opinion, the Accepting Authority is required to give details
and reasons for the same in this section.

Item No.4: Finally, the Accepting Authority is required to record in this section an overall
grade in not more than two decimals in the scale of 0-100. In case the overall
grade given to the officer reported upon by the Reporting/Reviewing Authority is
not consistent with the pen picture given by them, the Accepting Authority should
make suitable changes to the overall grade to make them consistent.

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7. Section VI: Review of the overall grade by the Acceptance Authority

In this section, the Nodal officer will fill in the form, the final decision of the Acceptance
Authority on the representation, if any, made by the officer reported upon.

8. Numerical Grades

At several places, numerical grades are to be awarded by Reporting/Reviewing Authorities. In

awarding a numerical grade, the Reporting, Reviewing and Accepting Authorities should rate
the officer against a larger population of his peers that may be currently working under them or
would have worked under them in the past.

9. Weightage & Mean:

Weights have been assigned to work output, personal attributes and functional competencies.
The overall grade in not more than 2 decimals will be based on the addition of the weighted
mean value of each group of indicators.

10. Benchmarking of the Grade:

The overall grade obtained by the officer shall be benchmarked as under:

Grade Score
Outstanding 90-100
Very Good Less than 90 to 70
Good Less than 70 to 50
Fair Less than 50 to 33
Poor Less than 33 to 0

*****

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 CONFIDENTIAL

FORM II
N H P C LIMITED

(A GOVERNMENT OF INDIA ENTERPRISE)

PERFORMANCE APPRAISAL FOR SUPERVISORS

Appraisal for the period from ____________ to _____________

1. Before filling, please see guidelines on the last page.

2. Assessment against factors (8)(i) to 8(vii) which carry 9 marks each is to be quantified .
Each factor has been defined (see instructions to the Appraiser). Mark each quality out of 9
by awarding specific marks depending upon the performance of the assesse, as follow;
Outstanding-9, Very good 8; Good 7 or 6; average 5 or 4; poor 3, 2, 1 or 0.
DO NOT USE FRACTIONS IN YOUR MARKING.
1. Name and Employee No. :
2. Designation and since how long in this post :
3. Project/Division/ Office :
4. Present Scale of pay / Basic pay ( from) :
5. Academic and professional qualifications :
6. Date of joining NHPC. :
6(A) Date of Birth :
6(B) Details of the Reporting Officer (Initiating Officer)
Name Designation & Place of Period of reporting
Posting
From To

To be filled by the Initiating Officer

7. Describe briefly the nature of work which the employee has been engaged on during the
period under review.

Signature :
Name :
Designation :

Date:

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8. Assessment of the Initiating / Reviewing officers:

Initiating Officer Reviewing Officer

I) Job ability
II) Work responsibility
III) Work output
IV) Quality of work
V) Inter-personal relations
VI) Punctuality
VII) Discipline
( State, if any disciplinary action has been
taken or is pending
Total
8. Dependability / Loyalty
9. Integrity* (Please comment on the
integrity of the employee reported upon by
choosing any one of the following options):
i) Beyond doubt

ii) Since the integrity of the

officer is doubtful, a secret
note is attached
iii) Not watched the employee’s
work for sufficient time to form
a definite judgement but
nothing adverse has been
reported to me about the
officer

*(Amended vide part –I Office Order No.

26/2016 dated 29.03.2016 )
11. Mention areas where assesse can do
better

12. Specify adverse remarks, if any to be

communicated to the individual

Signature: Signature:
Name: Name:
Designation: Designation:
Date: Date:

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13. Assessment of the Accepting Officer

The appraisal is over-estimated/ liberal / justified/ strict/ under estimated.

The adverse remarks recorded by Initiating Officer / Reviewing Officer should

be communicated.

Signature.................................
Name......................................
Designation.............................
Date.......................................
Adverse remarks have been communicated vide Memo No._______ dt._____

Signature................................
Name.....................................
Designation............................
( Custodian of PAR )

Rating Score

Outstanding 54-63

Very Good 48-53

Good 38-47

Average 26-37

Poor 00-25

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INSTRUCTIONS TO THE APPRAISER

Before recording the assessment, the factor definitions should be read carefully.

The factors in item 8 to 10 are to be assessed; of these, assessment of the factors in item
8(I) to 8(vii) is to be quantified and the score for each factor be indicated by awarding
specific marks depending upon the performance of the assessee. For facility of
assessment, ingredients of factors in items 8 ( i to vii), 9 and 10 are given in Annexure-II.
The Appraiser may keep these ingredients in mind while assessing these factors.

Performance evaluation should be based on how well the employee has achieved the
results expected during the period under assessment. Each factor should be assessed
independently, uninfluenced by the rating the other factor(s).

Tendency to over rate/under-rate should be guarded against. This is unfair both to the
employee reported upon as well as to his colleagues.

The assessment should be based on sufficient evidence reflected during the period under
review. It should be fair and accurate. Personal bias should not operate in assessing an
employee.

The assessment of an employee should not be based on a recent incident or two during the
assessment period but on his performance throughout the period under review.

If the evaluation of an employee on a particular factor is considered to be ‘9’ or ‘3’ or less,

the evaluation should be justified by citing specific supportive evidence in the relevant
column.

Where the Accepting Officer does not agree with the assessment of the Initiating Officer /
Reviewing Officer he should record his own assessment against each factor.
Adverse remarks must be clearly distinguished from suggestions. "His relations with
subordinates need improvement" is a suggestion while "his relations with subordinates are
bad or he treats his subordinates badly or rudely" is an adverse remarks.

In case there is any doubt about the integrity of an employee, the column in the ACR form
should be left blank and a secret note maybe recorded and followed up. If as a result of
follow-up action, the doubts are cleared, the employee’s integrity should be certified and if
the doubts are confirmed, this should be recorded in the ACR and communicated to the
employee.

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 CONFIDENTIAL

FORM III
NHPC LIMITED

(A GOVERNMENT OF INDIA ENTERPRISE)

PERFORMANCE APPRAISAL FOR WORKMEN

Appraisal for the period from ____________ to _____________

1. Before filling, please see guidelines on the last page.

2. Assessment against factors (8)(i) to 8(vii) which carry 9 marks each is to be
quantified . Each factor has been defined (see instructions to the
Appraiser). Mark each quality out of 9 by awarding specific marks
depending upon the performance of the assessee, as follow;
Outstanding-9, Above average 8; High Average 7 or 6; average
5 or 4; Low Average 3 or 2, Below average 1.
DO NOT USE FRACTIONS IN YOUR MARKING.
1. Name and Employee No. :
2. Designation and since how long in this post :
3. Project/Division/ Office :
4. Present Scale of pay / Basic pay ( from) :
5. Academic and professional qualifications :
6. Date of joining NHPC. :
6(A) Date of Birth :
6(B) Details of the Reporting Officer (Initiating Officer)
Name Designation & Place of Period of reporting
Posting
From To

To be filled by the Initiating Officer

7. Describe briefly the nature of work which the employee has been engaged
on during the period under review.

Signature :
Name :
Designation :
Date :

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8. Assessment of the Initiating / Reviewing officers:
Initiating Officer Reviewing Officer
I) Job ability
II) Work responsibility
III) Work output
IV) Quality of work
V) Inter-personal relations
VI) Punctuality
VII) Discipline ( State, if any disciplinary
action has been taken or is pending
Total
9. Dependability / Loyalty
10. Integrity* (Please comment on the
integrity of the employee reported
upon by choosing any one of the
following options):
i) Beyond doubt
ii) Since the integrity of the
officer is doubtful, a secret
note is attached
iii) Not watched the employee’s
work for sufficient time to
form a definite judgement
but nothing adverse has
been reported to me about
the officer

*(Amended vide part –I Office Order

No. 26/2016 dated 29.03.2016 )
Mention areas where assessee can
11.
do better
12. Specify adverse remarks, if any to be
communicated to the individual

Signature:
Signature:
Name:
Name:
Designation
Designation:
Date:
Date:
The appraisal is over-estimated/ liberal / justified/ strict/ under estimated.

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The adverse remarks recorded by Initiating Officer / Reviewing Officer should be
communicated. YES/ NO.

Signature
Name
Designation

Signature.................................

Signature................................
Name.....................................
Designation............................
( Custodian of PAR )

Rating Score
Outstanding 54-63

Above Average 48-53

High Average 38-47

Average 26-37

Low Average 12-25

Below Average 07-11

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 IMPORTANT ORDERS / INSTRUCTIONS
SUB: PERFORMANCE APPRAISAL REPORTS OF HR EXECUTIVES POSTED AT
PROJECTS
Dear Sir,
1. Instructions were issued in April, 1981, that the Confidential Reports of HR staff at project will
be initiated at the appropriate level in the projects but will be countersigned by the General
Manager(HR). Instances have come to the notice that the above orders of the Corporate Office
are not being implemented by the projects and the reports of various Officers in personnel
Department instead of being sent to Director (P) are being sent to other Directors for review /
acceptance etc./ The matter has been examined again and it has been decided that :-
i. ACRs upto the level of Dy. Manager(P) may be written by the next senior HR Executive
concerned and may be reviewed by the head of the project and sent to Director (P) for final
acceptance ;
ii. The annual report of Manager/ Sr. Manager(HR) may be initiated by the next HR Executive,
if available, other wise by Chief engineer / General Manager concerned and thereafter the
report should be reviewed by the next higher project officer i.e. General Manager/ Executive
Director, if any and sent to Director(P) for review / acceptance;
iii. The annual report of Chief (HR) of the project shall be initiated by General manager/
Executive Director concerned and it will be reviewed by Director(P) and submitted to CMD for
final acceptance.
2. As regards performance Appraisal reports in respect of Executive in FINANCE Discipline
detailed procedure has already been circulated to the projects vide Confidential Circular No.
NH/DF/MISC/91 dated 21.2.1991 wherein it has been laid down that :-
i. Reports in respect of Deputy Managers / Managers/ Sr. Managers should be sent to
Director(F) for acceptance.
ii. Reports in respect of Chief (FINANCE) of the project shall be initiated by GM/ ED concerned
and it will be reviewed by Director(F) and submitted to CMD for final acceptance ;
3. It is requested that the above instructions in regard to filling up of performance Appraisal
reports of FINANCE and HR Executives may kindly be followed in all cases.
4. This letter issues with the approval of Director(P).
Kindly acknowledge receipt.
Yours faithfully,
Sd/-
(S.K. KAPUR)
SENIOR MANAGER(P)
Copy to:Director(F)/Director(T)/ Director(Projects)/ Chief Engineer(CMD Sectt.)

Directions issued by Director to:-

ALL HEADS OF PROJECTS / TCUS / HEADS OF DIVISIONS.

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 SUB: ADMINISTRATIVE & FINANCIAL RESPONSIBILITIES OF FINANCE WINGS IN THE
PROJECTS/UNITS

1. Detailed instructions were issued during 1980 enumerating the administrative and financial
responsibilities of the Finance and Accounts wings in the Project and transmission Units. I would
request you to go through these instructions carefully to ensure that these are generally being followed
in your project/ unit.

2. Your attention is drawn in particular to the contents of para 3(a) & 3(b) of the circular which required
that Finance wing is fully associated in all matters involving finances and the directions in Finance and
Accounts matters issued by the FINANCE wing are compiled with by the other units and formations in
the project and that no expenditure is authorised without a properly framed estimate. It also enjoins that
the powers of sanction exercised at all levels are covered by valid delegations. I have considered it
necessary to bring these existing instructions to your specific notice because few instances have come
to the notice of the management where these instructions were deviated in a manner which amounts to
financial indiscipline, Naturally a serious view had to be taken of these deviations. You may like to
review the existing practices in your project/ unit in this regard.

3. Your attention is also drawn to para 6.1 of the circular. In terms of these instructions the periodical
assessment and review of performance of the Finance and Accounts personnel is required to be
carried out under the supervision of Director ( Finance) . As stated in para 6.1(d) it is also necessary
that Director(Fin) has opportunity to review the performance and technical calibre of the FINANCE
personnel. Though in the earlier years there had been a practice of sending all ACRs of FINANCE
personnel to Director(Fin) for final acceptance, this practice was discontinued during the last few years
for practical reasons. This matter has been discussed with Corporate Personnel and it has been
decided that in regard to writing/ review / acceptance of ACRs of FINANCE Personnel the following
should be followed:
i. The ACRs of all the FINANCE personnel in the project/ unit upto the rank of Assistant
Manager(FINANCE) will be finally accepted at the project level by the concerned Chief
Engineer/ General Manager as the case may be and such reports need not be sent to Director (
Fin) for acceptance.
ii. The ACRs of Dy. Manager(FINANCE) and above ( namely Dy. Managers, Managers, Sr.
Managers and Chiefs) should be sent to Director(Fin) for final acceptance Director(fin) will put
up the ACRs of Chief (FINANCE) to CMD for final acceptance.

4. In order to reduce the number of various Reviewing Officers, the following practice should be followed
i. The ACR of the DM(FINANCE) may be written by the next senior FINANCE executive
concerned as may be decided by the local head of the FINANCE wing and may be reviewed
by the Chief Engineer and sent to Director(Finance) for final acceptance.
ii. The annual Report of Manager/ Sr. Manager(FINANCE) may be initiated by the next higher
FINANCE executive, if available, otherwise by the Chief Engineer / General manager.
Thereafter the report should be reviewed by the next higher project officer(GM/ED) if any
and sent to Director(Fin) for review/ acceptance.
iii. The annual report of chief (FINANCE) of the project shall be initiated by GM/ ED concerned,
it will be reviewed by Director ( Fin) and submitted to the CMD for final acceptance.

Special advice- Your attention is again drawn to the provision of para 6.3 of the Cir. mentioned above.

(GHANSHIAM DAS)
(Director(Finance)

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 Annexure- II

TRAINING AND HRD DEPARTMENT

PERFORMANCE REPORT FOR “ON THE JOB TRAINING”

(To be filled in by the HR Department)

PART-I
• NAME OF TRAINEE : …………………………………………………….
• EMPLOYEE NO. : …………………………………………………….
• DISCIPLINE : …………………………………………………….
• NAME OF PROJECT/
OFFICE : …………………………………………………….
• DEPARTMENT : …………………………………………………….
• PERIOD : FROM ………………… TO ……………………
• EOL AVAILED : FROM…………………. TO……………………

Signature
Name and Designation

(To be filled by the Trainee Officer/Trainee Engineer):

S. Duty/Task performed/ Period Key Work Officer with
No. Training undertaken Area whom
during the period (in From To attached
serial order)

Signature
Name of Trainee Officer/Engineer

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 PART-II
PERFORMANCE EVALUATION REPORT BY REPORTING OFFICER

S.No. PARTICULARS MAXIMUM MARKS

MARKS OBTAINED
1. Understanding job, extent of 15
Grasping professional knowledge,
how far the trainee has been able to
tackle the job and related problems.

2. Responsibility regarding planning 15

and organizing the work, meeting
targets.

3. Initiative, decision making and cost 15

consciousness.

4. Interpersonal Relations 15

5. Discipline & Punctuality 15

6. TOTAL 75

7. Grade : …………………………………………………….

8. Adverse remark, if any,

communicated to the
trainee (annex details) : …………………………………………………….

9. Aptitude for : …………………………………………………….

10. Remarks/recommendations
of the Reporting Officer : …………………………………………………….

11. Name & Designation of the

Reporting Officer (not less
than E-4 level) : …………………………………………………….

12. Signature of Reporting

Officer, with date : …………………………………………………….

13. Name. designation and

signature of the Accepting
Officer : …………………………………………………….

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 PART-III

RECOMMENDATION OF THE PERFORMANCE EVALUATION COMMITTEE AFTER

INTERVIEW

MAXIMUM MARKS MARKS OBTAINED

25

The Committee recommend / do not recommend the clearance of training period of

Sh./Ms. ……………………………………, Designation ……………………. Emp.No.
………………….He / She has special aptitude for ………………………

SIGNATURE OF COMMITTEE MEMBERS WITH NAME, DESIGNATION & DATE :

______________ ______________ _____________ ______________

______________ ______________ _____________ ______________

______________ ______________ _____________ ______________

Date : …………… SIGNATURE OF HOD / HOP: ………………………

_______________________________________________________________
Note:
1. The following grades may be kept in view while assessing the performance:
*Outstanding - 80% & above
Very Good - 70% to 79%
Good - 60% to 69%
Average - 50% to 59%
*Below Average - 49% & above.
(* Reasons for giving Outstanding or Below Average to be recorded)

2. Minimum Marks for eligibility for completion of Training Period are 60% and
above.

3. Performance of the Trainee may be graded with reference to the daily working
diary filled by the Trainee.

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 ANNEXURE-III

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