FOR OFFICIAL USE ONLY
GOVERNMENT OF INDIA MINISTRY OF RAILWAYS (RAILWAY BOARD) NEW DELHI
BROCHURE ON CONFIDENTIAL REPORTS
PREFACE
Confidential Reports are important documents. These are necessary input for taking decisions in the matter of promotion, placement, training, premature retirement etc.
Confidential Reports are supposed to serve the interest interest of both
organisation as well as its members; organisation gets feedback about the performance of individual members through these documents so that it may utilise their capabilities and potential in best possible manner to achieve its goals.
For
individuals, system of CRs act as a catalyst for their professional development as it enables them to improve their performance. A system of Confidential Reports has a very important bearing on the efficiency of the public service and motivation of its members.
A need was, therefore, felt that the philosophy and procedure of writing of confidential reports should be made known to all concerned to enable them to write CRs objectively and in a fair manner. There is a chapter on confidential reports in Indian Railway Establishment Code, 1971 edition. This chapter was not reprinted in the 1983 edition. edition. It was decided that a detailed brochure consolidating and laying down instructions, policy and guidelines on CR writing, and incorporating, inter-alia, the relevant provisions of 1971 code, may be brought out and given wide publicity for information of all officers.
Accordingly, the work of writing of the brochure was undertaken.
For this
purpose, practice being followed by the Department of Personnel & Training, Ministry of Defence etc., and instructions issued by the Government from time to time were studied and inputs from various other relevant sources were taken and after detailed deliberations and efforts, it has been possible to bring out this brochure as a maiden issue.
Since this is the first brochure of its kind being brought out on Railways,
suggestions for improvement in the same will be highly appreciated.
D. P. TRIPATHI Secretary, Railway Board
II
NOTES
1.
With the issue of this Brochure, the existing chapter on confidential reports in IREC Vol.I 1971 edition, in regard to the provisions thereof incorporated herein, may be treated as deleted.
2.
Other instructions issued for writing of CRs on gazetted Railway servants which are not contradictory to the provisions of this Brochure will remain in force.
3.
In case of any doubt in regard to interpretation of the provisions of the Brochure or its applicability, the matter may be referred to Railway Board whose decision would be final.
4.
Instructions contained in this Brochure are in the nature of administrative guidelines for the guidance of Railway officers for writing of ACRs of Gazetted Railway servants. Nothing contained herein should be construed and quoted for furtherance of any illegitimate claim or untenable demand/request not otherwise due or admissible, for modification, revision or alteration of any ACR written and finalised and not proved to be malafide.
*****
III
INDEX
Chapter No.
Page No.
Preface
I
Notes
II
1.
Performance appraisal - Philosophy and Approach
1-3
2.
General
4-7
3.
Contents and Objective Assessment
8-15
4.
Adverse Remarks and Representations thereagainst
5.
Timely Completion of Confidential Reports
21-23
6.
Special Provisions in certain cases
24-26
7.
Miscellaneous
27-30
Annexure-I Annexure-I
16-20
31
____
IV
CHAPTER - I PERFORMANCE APPRAISAL - PHILOSOPHY AND APPROACH
1.1
The performance of an organisation is ultimately the sum total of the
performances of the individuals through which it functions. Performance appraisal is an essential tool of management to know how the individual functions. It helps in achieving the objectives of the organisation through the critical assessment of the capabilities and potential of its employees, and their usefulness for the organisation. A formal appraisal in the Government sector is known as Annual Confidential Report written at the end of calendar or financial year.
1.2
The system of Confidential Reports on the performance of Government
servants is a means to an end and not an end in itself. The ultimate goal is to optimize the achievement of organisation's objectives and programs. This is possible possible only if the Confidential Reports lead to the optimization of the performance of the concerned Reportee officer.
The main focus of the Reporting system should, therefore, therefore, be
developmental rather than judgmental. A Confidential Report should be a true indicator of the achievement of the Reportee officer; and should not be merely to control or discipline him.
1.3
The main purpose of a reporting system is to serve the interest of
organisation by ensuring that the Administration knows the officers and makes optimum use of their capabilities. This implies that the officers showing promise are spotted and assigned higher responsibilities. gets the best from its members.
Postings are done in a manner that the organisation It gives them job satisfaction and the officers are
apprised of weaknesses for further professional development. Hence, the reporting system has an important bearing on the efficiency of the individual and the organisation as a whole.
1.4
Performance appraisal should be continuous and participative process,
based on two-way dialogue between the supervisor and the supervised throughout the year culminating into a formal Annual Performance Review (CR). Managers should as part of their daily responsibility have open and informal discussions with subordinates throughout the year. This should happen as a matter of course and has no rigid form or
1
timing.
However, the need to plan for the future demands the formal requirement to
record an annual and more detailed review.
Informal including verbal conversations,
memos, notes, directions should constitute a natural progression to the Annual Review.
1.5
The system of Confidential Reports has two principal objectives and the
Reporting officer should have a very clear perspective of these 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.
1.6
1.7
Success of the Reporting system depends on the following principles:-
(i)
Absolute objectivity of the assessor (s).
(ii)
Two-way communication between the reportee and reporting officer.
(iii)
A true and objective assessment of job-related performance and fitness to shoulder higher responsibilities.
(iv)
Should be aimed at improving the performance of employees.
(v)
Subsequent follow-up action.
It is in the interest of every Gazetted Railway servant that he should know
whether he is performing his job well or otherwise. In fact, he should be more interested in knowing his defects. He should always endeavour to know and to find out his defects in his interaction with his superiors, colleagues and public/persons with whom he deals. His defects would affect his career advancements in the long run, unless he comes to know of them in time and overcomes them by making special efforts. Any system to be successful should also provide this feedback to him.
1.8
It is the duty of the superior officer to give the subordinate a clear
understanding of the tasks to be performed and the subordinate is required to contribute to the best of his capacity to the qualitative and quantitative achievement of the given
2
tasks making optimum use of the resources available. Also, both the superior and his subordinate have necessarily to be aware of the ultimate goal of their organisation, which can be achieved only through joint efforts of both of them.
3
CHAPTER-II GENERAL
2.1
A confidential report in the prescribed form shall be written annually in
respect of each railway servant holding gazetted post, whether he holds it in a substantive or officiating capacity, for the year ending 31 st March, and submitted to the concerned Authority. (Para 1606 of Estt.Code) (DOP&T's O.M. No.51/5/72-Estt.A dated 20.5.72) 2.2
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. (No.62/289-B/Secy./Admn. dt. 16.7.1962)
2.3
When a Reporting officer vacates his post on account of transfer,
retirement etc., he should, before making over charge of his post, record CR of all gazetted railway servants who have served under him for a period of not less than 90 days. (No.68/289-B/Secy./Admn. dt. 12.11.1968) (No.88/289-B/Secy./Admn. dt. 10.1.1989) 2.4
While normally there should be only one Report covering the year of
Report, there can be situations in which it becomes necessary to write more than one Report during a year. There is no objection to two or more Reports being written during a year by different Reporting Officers, subject to the condition that the Reportee Officer has worked at least three months under the Reporting officer on which he can base his Report on the gazetted railway servant reported upon. Where more than one Report is written in the course of a year, each Report should indicate precisely the period covered by it. When a Report has to be written by a Reporting Officer, who is under transfer, it should be written at the time of transfer or immediately thereafter and not deferred till the end of the year. (No.68/289-B/Secy./Admn. dt. 12.11.1968) (DOP&T's O.M. No.51/5/72-Estt.A, dated 20.5.72)
4
2.5
The responsibility for obtaining the Annual Confidential Report in above
cases will be of the Head of the Department or Office, where the concerned officer had been working before transfer. (DOP&T's O.M. No.51/5/72-Estt.A dated 20.5.72)
2.6
Where for a period of Report, there is no Reporting Officer with the
requisite work period of three months, 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 to be filled in by the 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. In any other eventuality, where an annual CR on an officer could not be written, the same may be initiated by Reviewing/counter signing authority. (No.79/289-B/Secy./Admn. dt. 30.04.1979) (No.21011/8/85-Estt.A dated 23.9.85) 2.7 be a
Although performance appraisal is a year end exercise, in order that it may tool for human resource development, the
Reporting
Authority and the officer
reported upon should interact during the course of the year at regular intervals to review the performance and to take necessary corrective steps. (No.95/289-B/Secy./Admn. dt. 5.5.95)
2.8
In exceptional circumstances, where Annual Confidential Report in respect
of an officer could not be written, a certificate explaining such circumstances should be issued by the competent authority and placed in the CR dossier. (DOP&T's letter No.8/9/74-AIS(II) dt.02.07.1974)
2.9
Where the ACR is written only at two levels, the reporting and reviewing
officers should not be the same. The higher authority, i.e. Accepting Authority should act as reviewing officer too. (No.90/289-B/Secy./Admn. dt. 07.03.90)
2.10
ACR should be initiated by the Reporting officer immediately after the
reporting period - annual or part, is over. It is the responsibility of the Reporting officer that no delay in writing of ACRs occurs.
The Reporting authority has also the
responsibility regarding making a mention in the report about warning, admonishment, displeasure, reprimand etc., administered to a Railway servant for inefficient working
5
during the reporting period. In case the officer has shown improvement after warning etc., the Reporting officer may decide not to make a reference in the ACR to the warning etc., otherwise he may make an appropriate mention in the relevant columns. In that case adverse remarks thus entered should be conveyed to Railway servant concerned and his representation disposed off as per procedure. (Para 1608 of IREC) & (No.91/289-B/Secy./Admn. dt. 8.1.91) (No.85/289-B/Secy./Admn. dt. 15.2.85) & (No.96/289-B/Secy./Admn. dt. 28.8.96) Where the higher authority is satisfied that Reporting officer had not written the report with due care and attention, it may record suitable remarks accordingly in the ACR of the Reporting officer. (No.85/289-B/Secy./Admn. dt. 9.1.85 & 15.2.85) & Instructions at the end of CR formats. formats . 2.11
After the report is written by Reporting officer, it would be reviewed by
Reviewing authority i.e. authority superior to Reporting authority or such other authority as may be prescribed in this regard. The Reviewing authority should should exercise a positive and independent judgement on the remarks given by the Reporting authority in the ACR and record his/her agreement or disagreement with the remarks/assessment of the Reporting authority, particularly if they are adverse.
Where the Reviewing authority disagrees with the assessment given by the Reporting officer, he should clearly mention the reasons therefor particularly in cases where it downgrades the assessment/rating given by the Reporting officer. (Note (iii) below Part IV of the ACR formats) (No.90/289-B/Secy./Admn. dt. 30.01.90) Where the Reviewing officer is not sufficiently familiar with the work of the Railway servant reported upon to arrive at a proper and independent judgement of his own, the Reviewing authority should verify the correctness of the remarks of the Reporting authority after making such enquiries as he may consider necessary. If need be, he may give a hearing to the Railway officer concerned before recording his remarks. (No.68/289-B/Secy./Admn. dt. 12.11.68) (DOP&T's O.M. No.51/3/74-Estt.A dated 22.5.75) 2.12
ACRs on all Gazetted Railway servants who are transferable are prepared
in duplicate. (Para 1614 of IREM)
6
2.13
In view of separate procedure laid down for evaluation of the performance
of Probationers during their training, it may not be necessary to record their formal ACRs for the relevant period. (No.97/289-B/Secy./Admn. dt. 20.01.98) 2.14
Working Report/Special Working Report on the performance of concerned
officer may also be called for if considered necessary by GM/Board.
7
CHAPTER-III CONTENTS AND OBJECTIVE ASSESSMENT
3.1 format.
Annual Confidential Report is required to be written in the prescribed ACR formats may vary according to grade/post depending upon the nature of
work/duties attached to various posts.
ACR format is divided into several parts.
It
begins with the part containing service particulars and self-appraisal of the officer reported upon. In subsequent parts, Reporting/Reviewing officers are required to record their assessment by filling up various columns. The last part is for Accepting officer to be filled in. Reporting /Reviewing/Accepting officers are normally next superior officers in hierarchical order or as decided by Administration. (Para-1606 of IREC)
3.2
The Reporting officer shall, as far as possible, in the beginning of year, set
targets/goals preferably in quantitative and financial terms, in consultation with each of the officers with respect to whom he is required to report upon. In the case of an officer taking up a new post in the course of the reporting year, such targets/goals shall normally be set at the time of assumption of the new charge. The tasks/targets/goals set should clearly be known and understood understood by both the officers concerned.
While fixing
targets/goals, priority should be assigned item-wise taking into consideration the nature and area of work of the officer to be reported upon. (DOP&T's O.M. No.12/2/84-PP dated 17.12.86) (Item 6 of ACR format)
3.2.1
There may be some positions where it may not be possible to set any
quantitative or physical targets. However, in all positions whether targets and goals have been fixed or not beforehand, it is the duty of the Reportee officer to do his best to achieve maximum qualitative and quantitative results in his his work area. He should try to achieve a very high level of performance and realise fullest potential and objectives of the job held by him notwithstandi notwithstanding ng and even surpassing surpassing fixed targets, targets, if any. He should should contribute to his maximum capacity towards achieving objectives and goals of his job and the organisation.
3.3
The Confidential Report is initiated by the Government servant to be
reported upon himself, who gives a brief description of his duties, specifies the targets
8
set for him wherever applicable, achievements against each targets, the shortfalls, if any, constraints encountered and areas where the achievements have been greater. (DOP&T's O.M. No.12/2/84-PP dated 17.12.86)
3.4
The Reporting Officer will have to comment on the part filled in by the
Government servant reported upon. He will also have to comment upon the quality of out-put, the knowledge of sphere of work, the attitude to work, the decision making ability, initiative, ability to inspire and motivate, communication skill (written and oral) interpersonal relations and teamwork of the Government servant to be reported upon where ever applicable. (DOP&T's O.M. No.12/2/84-PP dt. 17.12.86)
3.5
The Reporting Officer should also comment upon the Government servants
relations with the public, his accessibility to the public and responsiveness to their needs. In addition to the detailed assessment of specific attributes, every Confidential Report should carry a general appreciation of the character, conduct and aptitudes and shortcomings of the the government servant reported upon. Reference to specific incidents may be made, if at all, only by way of illustration to support adverse comments of a general nature, e.g. inefficiency, dilatoriness, lack of initiative or judgment etc. (DOP&T's O.M. No.12/2/84-PP dt. 17.12.86)
3.6 time.
CR should be filled with due care and attention and after devoting adequate Any attempt to fill the report in a casual or superficial manner will be easily
discernible to the higher authorities. (Item 3 of ACR format)
3.7
If the Reviewing Authority is satisfied that the Reporting Authority had
made the
report without due care and attention he shall record a remark to that
effect in the Confidential Roll of the Reporting Authority. (Item 4 of ACR format)
3.8
Every answer shall be given in a narrative form.
indicates the desired length of the answer.
The space provided
Words and phrases should be chosen
carefully and should accurately reflect the intention of the authority recording the answer. Omnibus expressions like ‘Outstanding’, ‘Very Good’, ‘Good’, ‘Average’, ‘Below Average’ while giving comments should not be used. (Item 5 of ACR format)
9
3.9
Confidential reports on gazetted railway servants must contain a full and
frank appraisal of his work during the year, the traits of character, whether pleasant or unpleasant, aptitude, personality and bearing, which contribute to quality of his work as a gazetted railway servant and his fitness for shouldering higher/particular responsibilities. The reports must not be confined merely to general remarks and off hand impressions so brief and casual as to convey little or no real meaning and the assessment must be based on failure or excellence in the work entrusted to the gazetted railway servant. (Para 1607 of IREC)
3.10
ACR contains a column regarding general assessment of the Government
servant and grading of his work. The Government servant to be reported upon should be graded according to his performance.
A Government servant should not be graded
'Outstanding' unless exceptional qualities and performance have been noticed in him. Reasons for giving such a grading should be clearly brought out. Where performance of an officer is graded 'Average', it should be supported by reasons bringing out his deficiencies in the body of the report which should be communicated to the concerned officer for improvement of his performance. (DOP&T's O.M. No.12/2/84-PP dated 17.12.86) (No.98/289/Secy./Admn. dated 6.4.98) 3.11
ACR format also contains columns regarding fitness for promotion to next
higher grade/posting against specific posts.
Where the performance of the officer officer is
graded as 'Good' but he is considered 'Not Fit' for promotion, the grounds therefor should be clearly brought out and communicated to the officer reported upon. (No.96/289-B/Secy./Admn. dt. 28.8.96)
3.12
No officer should give fitness for posts higher that his own.
(Note(i) in Part-IV of ACR format-II)
3.13
Where an officer is holding a post on ad-hoc basis, the report writing officer
should clearly mention whether he is considered fit for promotion to next higher grade or in the same grade on regular basis. In absence of such indication, it will be taken that the Reportee is fit for the grade in which he is working on ad-hoc basis. (No.99/289/Secy./Admn. dated 26.05.99)
10
3.14
Where
the
grading
given
by
Reporting
officer
is
altered
by
Reviewing/Accepting officer, grounds for such difference of opinion should be clearly brought out otherwise such revised grading shall not be accepted. (Note (iii) of Part-IV of ACR format-II)
3.15
The following procedure should be followed in filling up the column relating
to integrity.
(i)
If the officer’s integrity is beyond doubt, it may be so stated.
(ii)
If there is any doubt or suspicion, the column should be left blank and action taken as under :-
(a)
A separate secret note should be recorded and followed up. A copy of the note should also be sent together with the Confidential Report to the next Superior Officer
who will ensure that the follow up
action is taken expeditiously.
Where it is not possible either to
certify the integrity or to record that secret note, the Authority should state either that he
had
not
Reporting
watched
the
Officer’s work for sufficient time to form a definite judgement or that he has heard nothing against the officer, as the case may be.
(b)
If, as
a
result
of
the
follow
up
action,
the
suspicions are cleared, the Officer’s integrity should
doubts be
or
certified
and an entry made accordingly in the Confidential Report.
(c)
If the doubts or suspicions are confirmed, this fact should also be recorded and duly communicated to the officer concerned.
(d)
If
as
a result
of
follow up action, the doubts or suspicions are
neither cleared nor confirmed, watched for
a further period
the officer’s conduct should and thereafter
action taken
be as
indicated at (b) and (c) above. (No.E(D&A)65 RG-6-47 dt. 24.11.65) (DOP&T's O.M. No.51/5/72-Estt.A dated 20.5.72) 3.16
The assessment of the performance of a gazetted railway servant at more
than one level ensures a greater degree of objectivity and fairness.
11
However where a
gazetted railway servant has only one supervisory level above him as in the case of personal staff attached to officers, the assessment will be at the level of Reporting Officer only. The officers at both Reporting and Reviewing levels are required to have at least three months experience of supervising the work and conduct of the gazetted railways servant reported upon, before they can record their assessment on the performance of the gazetted railway servant. (DOP&T's O.M. No.51/5/72-Estt.A dated 20.5.72)
3.17
To minimise operation of subjective human element and of conscious or
unconscious bias, writing of ACRs at more than one level has been desired.
While it
might be difficult for an higher officer to have a detailed knowledge of the qualities of a gazetted railway servant two level below him, his overall assessment of the character, performance and ability of the gazetted railway servant reported upon is vitally necessary as a built-in corrective. The judgment of the immediate superior can sometimes be too narrow and subjective to do justice to the the gazetted railway servant reported upon. The Reviewing Officer should, therefore, consider it his duty to personally know from his judgment judgment of the work and conduct of the gazetted gazetted railway servant reported reported upon. He should exercise positive and independent judgment on the remarks of the Reporting Officer under the various detailed headings in the form of Report as well as on the general assessment and express clearly his agreement or disagreement with these remarks. This is particularly necessary in regard to adverse remarks (if any), where the opinion of the higher higher officer shall be construed as the correct assessment. The Reviewing Officer is also free to make his own remarks on points not mentioned by the Reporting Officer.
Such additional remarks would, in fact, be necessary where the Report of the
Reporting officer is too brief, vague or cryptic. (DOP&T's O.M. No.5/5/72-Estt.A dated 20.05.72)
3.18
Where the Reviewing Officer/Accepting Officer is not sufficiently familiar
with the work of the Government servant reported upon, so as to be able to arrive at a proper and independent judgement of his own, it should be his responsibility to verify the correctness of the remarks of the Reporting Officer after making such enquiries as he may consider necessary. Where necessary, he should also give a hearing to the gazetted railway servant reported upon before recording his remarks. (DOP&T's O.M. No.51/3/74-Estt.(A) dated 22.5.75)
3.19
As a corollary to the need for maintaining objectivity by a Reporting and
Reviewing Officer, care should be taken to ensure that a close relative of an officer is not
12
posted under the direct charge of that officer. When such situation becomes inescapable, it should not be allowed to continue beyond the barest minimum time necessary. In such a situation, the officer concerned should abstain from writing the Report on the gazetted railway servant who is his close relative and instead, the Reviewing Officer should take on the role of the Reporting Officer.
If the Reviewing Officer is also closely related to the
gazetted railway servant reported upon, the role of the Reviewing Officer will have to be taken by the officer superior to him. (DOP&T's O.M. No.21011/3/78-Estt.(A) dated 31.5.78)
3.20 and
The confidential Report is an important document.
It provides the basic
vital inputs for assessing the performance of an officer and for his/her further
advancement
in
his/her career. The officer reported upon, the Reporting Authority,
the Reviewing Authority and the Accepting Authority should, therefore, undertake the duty of filling out the form with a high sense of responsibility. It should be the endeavour of each appraiser to present the truest possible picture of the appraisee in regard to his/her performance, conduct, behaviour and potential. (DOP&T's O.M. No.12/2/84-PP dated 17.12.86) (Item 1 of ACR format) 3.21
The Reporting officer should state in clear terms if he agrees or disagrees
with the self appraisal given by the officer reported upon, and may also give reasons/details in the case of disagreement.
3.22
The Reporting officer should identify and record in clear terms the strength
and weaknesses of the Reportee officer.
3.23
The report should reflect the work done during the entire year/reporting
period and should not be based on on any isolated incident, good or bad. The grading given at the end of the report should be based on commentary and not the other way round.
3.24 writing ACR.
The report writing officer should devote much time and thought while It should not be done done in a casual manner.
It should be ensured that that
opportunity has been given to the officer reported upon to improve by way of advice, warning etc., during the year before an adverse remark is recorded in the ACR. (Item No.7 of ACR format) (D.O. No.95/289-B/Secy./Admn. dt. 5.5.95)
13
3.25
Report writing officer should ensure to maintain absolute objectivity while
writing ACRs and should not allow any element of subjectivity to creep in and influence their judgement regarding the assessment of performance of the reportee officer.
3.26
Some posts of the same rank may be more exacting than others.
degree of stress and strain in any post may also vary from time to time. should be
borne
in
mind
during
appraisal
and
should be
The
These facts
commented
upon
appropriately. (Instruction 10 of ACR format)
3.27
Officers writing confidential reports should have carefully observed the
work and conduct of individuals working under their control and have provided the required training and guidance where necessary. ACRs should be based upon results of such observations as well as periodical inspections. (DOP&T's O.M. No.51/5/72-Estt.(A) dated 20.5.72)
3.28
Performance appraisal through Confidential Reports should be used as a
tool for human resource development.
Reporting Authorities should realise that
objective is to develop an officer so that he/she realises his/her true potential. meant to be a fault-finding process but a developmental one.
the
It is not not
The Reporting Authority
and the Reviewing Authority should not shy away from reporting shortcomings in performance, attitudes or overall personality of the officer reported upon. (DOP&T's O.M. No.51/7/72-Estt.A dated 20.5.72) & (O.M. No.12/2/84-PP dated 17.12.86) 3.29
All
Reporting
officers
should,
in
framing
their
reports,
be
just,
conscientious, and entirely unafraid of the consequences of writing adverse report.
(No.47/289-B/Secy./Admn. dt. 26.6.1947)
3.30
The commentary in the Confidential Report and the views/recommendation
given by the General Manager or Reviewing/Accepting authority, sometimes do not tally and it becomes difficult to find out true assessment of the performance of the officer reported upon. This may be due to a hesitation on the part of Reporting officers to say much against an individual officer. The Report writing officers must express their honest opinion about the performance and potential of the Reportee officer and need not worry as to how the officer reported upon is going to react, if the Report has been recorded objectively and in a fair manner.
14
CHAPTER-IV
ADVERSE REMARKS AND REPRESENTATIONS THEREAGAINST
4.1
A gazetted railway servant shall not ordinarily be given an unfavourable
confidential report before an opportunity has been taken, by means of a personal interview and/or, by means of a personal letter/memo pointing out to him the direction in which his work has been unsatisfactory or the faults of character or temperament, which are required to be remedied.
The manner and method of conveying to the gazetted
railway servant that his work needs improvement in certain directions must be such that the advice given and the warning or censure administered, whether orally or in writing, shall, having regard to the temperament of the gazetted railway servant, be most beneficial to him. If, in spite of this, there is no appreciable improvement and an adverse confidential report has to be made, the facts on which the remarks are based should be clearly brought out in the confidential report itself. (Para 1608 of IREC)
4.2
As a general rule, in no circumstances, should a gazetted railway servant
be kept in ignorance for any length of time that his superiors, after sufficient experience of his work, are dissatisfied with him; where a warning might eradicate a particular fault, the advantages of prompt prompt communication are obvious.
On the other hand, the
communication of any adverse remarks after a long time and removed from their context is likely to give a misleading impression to the gazetted railway servant concerned. (Para 1609 of IREC)
4.3
Every Reporting Officer should realise that it is his duty not only to make
an objective assessment of his subordinate’s work and qualities but also to give him at all times the necessary advice, guidance and assistance to correct his faults and deficiencies. If this part of the Reporting Officer’s duty is properly performed, there should be no difficulty about recording adverse entries, which would only refer to defects which had persisted despite the Reporting Officer’s efforts to have them corrected. In any case, the Report writing officers should not shy away from mentioning short-comings in performance, attitudes and over all personality of the Railway servant reported upon in the manner as indicated in the preceding paragraphs.
15
(DOP&T's O.M. No.51/7/72-Estt.A dt.20.5.72 & No.12/2/84-PP dt. 17.12.86) 4.4
There may be occasions when a superior officer may find it necessary to
criticise adversely the work of a Railway servant working under him. If the matter is not serious enough to justify the imposition of the formal punishment of censure, a written warning, admonition or reprimand may be resorted to as per procedure. Where such a communication of a written warning, admonition or reprimand, is issued, it should be placed in the personal file of the Railway servant concerned. At the end of the year (or period of report), the Reporting Officer, while writing the Confidential Report of the Railway servant, may decide not to make a reference in the confidential report to the warning/ displeasure/reprimand, if, in the opinion of the authority, the performance of the Railway servant
reported upon has improved and has been found satisfactory,
after the issue of the warning or displeasure or reprimand. However, if in the considered opinion of the Reporting Officer the Railway servant has not improved which has also to be substantiated in the report itself, he may make appropriate mention of such warning/displeasure/reprimand in the relevant column of the form of Confidential Report, in which case, a copy of the warning/displeasure/reprimand referred to in the Confidential Report should be placed in the Confidential Report dossier as an annexure to the Confidential Report for the relevant period. (No.61/289-B/Secy./Admn. dated 20.7.61) (DOP&T's O.M. No.21011/1/81-Estt.A dated 5.6.81) 4.5
Where a copy of the warning is also kept in the Confidential Report dossier,
it will be taken to constitute an adverse entry and the Railway servant so warned will have the right to represent against the same in accordance with the procedure relating to communication of adverse remarks and consideration of representations against, unless an opportunity has already been given to the Railway servant concerned to make a representation in the matter relating to the relevant incident or faults and such representation has been duly considered and a decision taken before the warning
or
reprimand was administered or the “displeasure” communicated to him. (DOP&T's O.M. No. 22011/2/78-Estt.A dt. 16.2.79 & O.M. No.51/5/72-Estt.A dt. 20.5.72) 4.6
A broad view of the overall performance of the officer during the entire
year has to be taken into consideration, and adverse remarks should be recorded spelling out specific factual deficiencies and substantial failings and not on trivial matters, after the officer concerned has been warned and given adequate time to improve himself.
16
4.7
The authority having the custody of the Annual Confidential Report should
scrutinise the ACR received to see whether there are any adverse remarks to be communicated to the Railway servants concerned, and ensure that such adverse remarks as decided to be communicated by the Accepting/Reviewing authority, are duly communicated to the Reportee officer. This should be done as far as possible within one month of the completion of the report. The communication should be in writing and a record of such communication should be kept in the Confidential Report dossier of the Railway Servant concerned. (D.O. No.98/289-B/Secy./Admn. dt. 16.9.98) (DOP&T's O.M. No. 51/5/72-Estt.A dt. 20.5.72) 4.7.1
An
endorsement
to
the
effect
that
the
adverse
entry
has
been
communicated to the officer should be made by the competent authority in specific terms.
This entry may be made by an officer who has the custody of the confidential
reports on Railway who should also initial the entry with date.
4.7.2
It shall be the responsibility of the Accepting Authority to either pass
orders for conveying the adverse entries, including those specified by him, or specifically comment that these are not to be taken as adverse. (Note in Part-VI of ACR formats)
4.7.3
In some cases, officers are declared 'not fit' for promotion to the next
grade without any supporting entries to this effect in the report.
Occasionally, the
reviewing authorities also declare an officer unfit without mentioning the reason thereof. To do justice to the reportee officers not considered suitable, it is necessary that the reasons should be adduced in the relevant columns of the report form and the shortcomings, if any, are brought to the notice of the officer or appropriate counseling is done so that the officer is able to improve upon his performance.
(No.96/289-B/Secy./Admn. dt. 20.8.96)
4.7.4
The grading of 'Average' should invariably be supported by remarks in the
body of the report pointing out the specific deficiencies and the same should be communicated to the concerned officer to enable him to improve his performance. (No.98/289-B/Secy./Admn. dt. 6.4.98)
4.8
While communicating the adverse remarks, the identity of the officer
making such remarks should not normally be disclosed.
17
(DOP&T's O.M. No. 51/5/72-Estt.A dated 20.5.72)
4.9
Only one representation against adverse remarks should be allowed within
one month of the date of communication of such remarks.
While communicating the
adverse remarks to the Railway servant concerned, this time limit should be brought to his notice. (No.98/289-B/Secy./Admn. dt. 16.9.98) (DOP&T's O.M. No. 21011/1/77-Estt.A dt. 30.1.78)
4.10
All representations against adverse entries should be decided expeditiously
by the Competent Authority and not later than three months from the date of submission of the representation. (No.98/289-B/Secy./Admn. dt. 16.9.98) (DOP&T's O.M. No. 21011/1/77-Estt.A dt. 30.1.78)
4.11
Adverse remarks should not be deemed as operative, if any representation
filed within the prescribed time limit is pending. If no representation is made within the prescribed time, or once this has been finally disposed of, there would be no further bar to taking notice of the adverse entries. (DOP&T's O.M. No. 21011/1/77-Estt.A dt. 30.1.78)
4.12
No memorial or appeal against the rejection of the representation should
be allowed six months after such rejection. (No.98/289-B/Secy./Admn. dt. 16.9.98 & DOP&T's O.M. No. 21011/1/77-Estt.A dated 30.1.78)
4.13
The following procedure may be adopted in dealing with representations
from Railway servants against adverse remarks communicated to them :-
(i)
All representations against adverse remarks should be examined by an Authority superior to the Reviewing Officer, in consultation, if necessary, with the Reporting and Reviewing officers. (No.69/289-B/Secy./Admn. dt. 05.12.60 & DOP&T's O.M. No. 51/5/72 Estt.A dt. 20.5.72)
(ii)
If the said Authority finds that :-
18
(a)
the remarks were justified and the representation is frivolous, a note will be made in the Confidential Report of the Railway servant that he did not take the correction in good spirit;
(b)
there is no sufficient ground for interference, the representation should be rejected and the Railway servant informed accordingly;
(c)
the remarks should be toned down, he will make the necessary entry separately with proper attestation at the appropriate place of the report (on no account will corrections be made in the earlier entries themselves), and
(d)
the adverse remarks was inspired by malice or is entirely incorrect or unfounded, and therefore, deserves expunction, he should score through the remark, paste it over, or otherwise obliterate it, and also make a dated entry. Under his signature, stating that he he had done so, under intimation to concerned Head of the Department of Office, if he himself does not occupy that position.
(iii)
Representation (including explanations) submitted in respect of adverse
entries should not be appended to the respective confidential reports. (DOP&T's O.M. No.51/5/72-Estt.A dt. 20.5.72)
4.14
It is not open to the Authority while taking a decision to expunge adverse
remarks, to upgrade the Grading, already recorded in the ACR. It is for DPC to take a view in such cases. (No.98/289-B/Secy./Admn. dt. 16.9.98)
CHAPTER - V TIMELY COMPLETION OF CONFIDENTIAL REPORTS
5.1
Annual Confidential Reports are vital for proper personnel administration.
It is, therefore, essential that they are completed within a time frame so that up-to-date Confidential Reports are available at any given time.
With this end in view, a time-
schedule has been prescribed and the same is included at Annexure-I at the end of
19
Brochure.
The Time Schedule should be strictly complied with.
Failure at any level,
whether Reportee, Reporting or Reviewing, to adhere to the time schedule should be viewed seriously.
In the absence of proper justification for any delay, the officers
superior to the Reportee/Reporting/Reviewing Officers may suitably warn/caution the officer concerned, and if warranted, place the warning in his Confidential Report.
5.2
Notwithstanding the time schedule prescribed, the Administration may call
for ACRs on an earlier date also, if considered necessary.
5.3
It is the duty of the Reportee officer to give self-appraisal at the soonest
possible and not later than 7 days from the date of receipt of the form. In case he does not submit self-appraisal even within 15 days despite reminder from the Reporting Officer, Report should be initiated by the Reporting officer without self-appraisal. For this purpose, the Reporting officer may obtain another blank ACR form from the concerned section/cell dealing with ACRs.
5.4
It is the primary duty of the Reporting officer that Report of all officers
working under him are written at the soonest possible after the Reporting period is over and are finalised by the due date.
Reviewing authority should should also keep a watch and
remind the Reporting officer(s) under him for timely submission of ACRs.
Delay in
writing of self-appraisal should be viewed seriously and adversely commented upon in the ACR of the concerned officer. (DOP&T's O.M. No.21011/1/77-Estt.A dt. 30.1.78)
5.5
A special watch should be kept on timely completion of ACRs. It would be
desirable if Secretary to GM monitors timely submission of ACRs and review the position regularly and bring the cases of delay in completion of ACRs to the notice of GM. Position regarding pending ACRs should be reviewed regularly in POM also.
It is needless to
emphasise that ACRs are an essential tool of management to meet the administrative needs of promotion, postings, transfers etc., and administrative actions get delayed if ACRs are not complete. It is, therefore, necessary that these are completed in time and should be available when asked for. (No.98/289-B/Secy./Admn. dt. 13.8.98) 5.6
When the Reporting Officer completes his part of the Report and submits
the report to the Reviewing Officer for review, he may send an intimation in this regard to the Section or Cell concerned with the work relating to preparation of Confidential Report. Thereafter, it shall be the duty of that Section or Cell, as the case may be to
20
keep in touch with the Reviewing Officer to secure timely completion of the Confidential Report and to bring the delayed cases to the notice of Head of Department/Organisation.
5.7
The Section or Cell concerned with the work of preparation of Confidential
Reports should not wait till the expiry of the time allotted for the completion of Report. They should remind the concerned officer at least five days before the date of expiry of the stipulated time limit for completing the Confidential Reports if the completed Confidential Report is not received by that time.
If, inspite of such reminder, the the
completed Confidential Report are not received immediately after the expiry of the stipulated time-limit, the fact may be brought to the notice of the Officer superior to the Reviewing Officer for taking appropriate action.
5.8
It shall be the duty of the Head of Department/Head of Organisation to
forward the complete Confidential Reports to the Section or Cell concerned with the work of preparation of Confidential Reports so as to reach them on or before stipulated date. If, for unavoidable reasons, some delay is expected to occur in forwarding the complete Confidential Report, the position may be advised to Confidential Cell and report must be submitted within one week after the stipulated time.
5.9
It is the duty of the Section or Cell concerned with the work of preparation
of Confidential Reports to keep a regular watch on the progress in the completion of Confidential Reports at different stages. If no intimation intimation is received from the Reporting Officer regarding the submission of the Confidential Reports by him to the Reviewing Officer within stipulated time for completion of his part of the Confidential Reports, the matter should be taken up immediately with the Reporting Officer so that the report is submitted by him to the reviewing Officer without any further delay. Similar action should be taken if the completed report is not received from the Reviewing Officer in time. Any delay on the part of the Reporting/Reviewing Officer, inspite of their being so reminded, should be brought to the notice of the Reviewing Officer/Officer Superior to the Reviewing Officer, as the case may be.
5.10
When the Report is required to be obtained in the course of a year owing to
a change in the Reporting Officer or some other reason, it shall be the duty of the Section or Cell concerned with the work of the preparation of Confidential Reports to get the Report written within three weeks of such change, if no self-appraisal by the Government servant reported upon is required and within five weeks of such change when selfappraisal by the Government servant reported upon is required to be given. The Reports
21
so written by earlier Reporting Officer may be reviewed within two weeks of the receipt of the Report from the earlier Reporting Officer. The successor Reporting Officer writing the report up to the end to the year of Report should adhere to the time limit in the time schedule.
(Contents of the Chapter are broadly based on the provisions contained in DOP&T's Brochure on writing of ACRs)
22
CHAPTER-VI SPECIAL PROVISIONS IN CERTAIN CASES
6.1
While Confidential Reports need not be written on honorary or part-time officers,
they should be written on Government servant appointed on on contract. As Confidential Reports is an annual assessment of the work and conduct of every Government servant serving under the Government, the Confidential Report on a Government servant appointed on contract can be the basis to assess his performance and to decide whether the contract may be renewed if the circumstances require extension of the contract. (DOP&T's O.M. No.51/5/72-Estt.A dt. 20.5.72 & (DOP&T's O.M. No.21011/1/84-Estt.A dt. 26.4.84) 6.2
In the case of Government servants who are deputed to the United Nations or its
Agencies, the following procedure should be followed :-
(a)
Where there is no practice of writing periodical assessment reports by the concerned agency, it is not necessary to get Confidential Reports on Government servant on deputation deputation to it. An entry, however, may be made in the Confidential Report Dossier of the Government servant to the effect that he is on deputation to a U.N. Agency where there is no practice of writing Annual Confidential Reports. Any assessment made by the the Agency regarding the work of the officer during the period of assignment if received may, however, be kept in view at the discretion of the competent authority while considering the officer for posting/deputation etc.
(b)
In respect of Government servants working on deputation under the World Bank, Asian Development Bank and I.M.F., Confidential Reports may be obtained through the Executive Directors, normally at the end of the tenure of the Government servants and,
in special cases, when a Government
servant is to be considered for promotion. Ministry of Finance (Department of Economic Affairs) may be approached for obtaining such reports as and when required by any cadre authority.
(c)
Confidential Reports in respect of past cases where the Government servant might have already returned from deputation need not be obtained.
23
(DOP&T's O.M. No.51/5/67-Estt.A dt. 17.10.74)
6.3
No Confidential Report need be obtained on Government servants deputed to
foreign Governments (Other than Government of Bhutan) on Contract assignments under bilateral arrangements and assignments under ITEC, SCAAP, etc. A note may be kept in the Confidential Report Dossier of such a Government servant indicating that during the relevant period the Government servant concerned was on foreign assignment. (No.77/289-B/Secy./Admn. dt. 17.3.77)
6.4
Performance evaluation of PHODs should be made in the mid year i.e. for
period ending 30 th September, as per the following guidelines, on a regular basis every year :
(i)
After completion of the first six months of the financial year, each PHOD will send a Self-assessment statement to the Member concerned through the General Manager, containing the following information :-
(i)
(a)
Targets set by the administration and actual results achieved.
(b)
Targets set by the PHOD himself and actual results achieved.
(c)
New ideas or systems initiated.
(d)
Any other remarks about the work done by him.
All PHODs will send the Self-Assessment Statements by 31 st October to the General Managers, who will forward these to the Board Member latest by the 15 th November. The Board Member may also if necessary, meet the PHOD concerned, and complete his assessment by the end of January with this self-assessment report. He may also take action to advise any corrective measure to the PHOD concerned.
(ii)
At the time of writing the Annual Confidential Reports at the end of the year, midyear appraisal made as above may also be taken into account.
24
A similar review should be conducted by the General Managers and Heads of Organisations of other officers down the line. (No.87/289-B/Secy./Admn. dt. 30.7.87)
6.5
An Assessment/Annual Confidential Report(s) in respect of officer(s) on
training in India or abroad for a period of more than six months should be called from the Head of Institute etc. and the same should be kept in the CR dossier of the officer(s) concerned. (No.97/289-B/Secy./Admn. dt. 28.11.97)
6.6
In respect of officers working in Technical/Academic Institutions or
fellowship programme etc., and where there is no system of writing of Annual Confidential Reports, their working report may be obtained from such institutions on an annual basis.
6.7
DRMs are the mainstay of the Railway management and it is obvious that
utmost care is taken while assessing the qualities in an officer before he is certified fit for the post. post.
Emphasis on this particular aspect should be carefully considered before
recording fitness of an officer for the post of DRM.
It must also be ensured that, at the
time of certifying an officer fit for this post, clear and unambiguous record should be made in each case giving the background of field experience gained by the officer and the potential shown by the officer justifying his appointment as DRM.
(No.82/289-B/Secy./Admn. dt. 15.1.82)
25
CHAPTER-VII MISCELLANEOUS
7.1
Dossiers of confidential reports on Group 'A' Railway officers upto 13 years
of Group 'A' service shall be maintained by the lien holding holding Railway.
CR dossier of all
Gazetted officers should be kept in the custody of the General Manager/Head of the Unit/Organisation. After the officer completes 13 years Group 'A' service and becomes due for Selection Grade, the dossiers will be transferred to the Confidential Cell of Secretary, Railway Board for custody and maintenance. (No.63/289-B/Secy./Admn. dt. 29.7.63) (No.88/289-B/Secy./Admn. dt. 19.4.88) 7.2
Reports of officers working in GM grade & above, Secretary, Railway Board
and Joint Secretary (C), Railway Board, shall be maintained and kept in the custody of Chairman, Railway Board.
7.3
To have the service profile of an officer at a glance, a single page sheet in
the prescribed form indicating particulars of the officer, his postings from time to time, Training courses attended etc., should be added at the beginning of the Confidential Reports Dossier. This Sheet should be kept up-to-date up-to-date by adding additional material as and when it becomes necessary. In the CR dossier, a passport size photograph of the officer concerned should also be affixed in the beginning of the dossier.
7.4
For Railway officers, CRs are prepared in duplicate.
In such cases,
whenever CRs of a Railway servant is required by any outside authority, duplicate copy may always be sent keeping back the original. In other cases, it would be advisable to have a single photocopy made out of the required CRs for sending to the outside authority.
Copies of CRs should not be sent to private bodies in connection with any
purpose whatsoever. However, CRs to Public Sector Undertakings or autonomous bodies may be sent in full where it is in the Government's own interest, after taking the orders of competent authority.
7.5
The
practice
of
granting
letter
of
appreciation
or
notes
of
commendation to Railway servants and placing them in Confidential Reports Dossier may be discouraged except in the following cases :-
26
(i)
Letters of appreciation issued by the Head of Department or Head of Organisation in respect of any outstanding work.
(ii)
Letters of appreciation issued by special bodies or commissions or committees, etc. or excerpts of their Reports expressing appreciation for a Government servant by name.
(iii)
Letters of appreciation from individual non-officials or from individual officers (other than a Secretary of Head of Department) may go into the confidential Report if confined to expressing appreciation for services rendered far beyond the normal call of duty and provided the Secretary or the Head of Department so directs.
7.6
The mere fact that a letter of appreciation goes into the CR dossier
of the officer reported upon does not give the officer undue advantage in the matter of promotion which is governed more by consideration of general and consistently high performance than by occasional flashes of good work.
7.7
Appreciation of work should be recorded in Annual Confidential
Report rather than in letters of appreciation which do not give complete perspective of the Government servant’s good and bad points.
7.8
Follow-up Action :
The branch/officer dealing with preparation and maintenance of ACRs should ensure that :-
(a)
ACRs of the officers are received without undue delay;
(b)
To scrutinise the ACRs as soon as received to see whether the adverse remarks if any have been communicated to the officer concerned. If it is found that adverse remarks have not been communicated, ACR should be returned to the concerned officer or to the Head of Department for communicating the remarks and returning the CR after due compliance.
27
(c)
To bring to notice of Head of Department/Organisation if there is appreciable fall in standard of performance of an officer as compared to his past performance as noticed from his CRs.
(d)
To bring to notice of Head of Department/Head of Organisation if performance of an officer is consistently below par. HOD/HOO should make a detailed review of such cases and take necessary corrective measures such as counseling, change of job etc., to improve and motivate motivate the concerned officer. officer. Where he is found to be incorrigible and past any improvement, he may be considered for being weeded out as per rules.
(e)
It is also the duty of the Branch/Cell dealing with CRs to scrutinse that ACRs have been written in accordance with the extant instructions. If there is any defect in his report, it should be returned to the Reviewing/Accepting officer concerned for rectification.
7.9
It needs hardly any emphasis that the CR Dossier is the very
foundation on which the career of a Government servant is built.
It is, therefore,
expected of the various cadre controlling authorities to carefully observe the various principles and procedures relating to preparation and maintenance of Confidential Reports, as it will go a long way in promoting sound personnel management.
7.10
Confidential reports of officers who retire/resign from service should be
destroyed after five years and of deceased after two years, in the manner prescribed for destruction of confidential papers, in the presence of a Group 'A' officer to be nominated by the General Manager/Head of Organisation. However, where CR of an officer may be subject to scrutiny in a court case or vigilance/ departmental proceedings, the same may be retained till the judicial process is over. (No.60/289-B/Secy./Admn. dt. 20.12.60) (No. 77/289-B/Secy./Admn. dt. 04/04/77) 7.11
A register should be maintained for the purpose wherein details of the
confidential reports destroyed, as also the the date of destruction, should be recorded. The officer in whose presence the reports are destroyed should sign the entries. (No.60/289-B/Secy./Admn. dt. 20.12.60)
28
7.12
The CR files of JAG and above officers should be kept in the personal
custody of the General Manager, in order to maintain the sanctity attached to the Confidential Reports on such senior officers.
29
ANNEXURE-I I.
TIME SCHEDULE FOR FINALISATION AND SUBMISSION OF ACRs.
Post Post
Date by whi ch to be f in ali sed and submitt ed
(i)
SAG & above officers with 25 years or more Group 'A' service.
15th April
(ii)
SAG officers with less than 25 years Group 'A' service.
30 th April
(iii)
SG/JA Grade officers with 13 years and above Group 'A' service.
15th May
(iv)
Other officers.
31st May
II.
TIME
SCHEDULE
FOR
REPORT
WRITING
Nature of Action 1.
Submission of Report by Reporting authority to Reviewing authority
Note :
PORTION
OF
CR.
10th April
In case of SAG and above officers with +25 years Group 'A' service, where Self-appraisal Self-appraisal is prescribed.
20 April
In case of SAG and above officers with less than 25 years Group 'A' service.
30th April
In cases of SG/JAG officers with 13 years service. In all other cases.
15th April
10th May
In case of AS level & SAG and above officers with +25 years service. In case of SAG officers with less than 25 years Group 'A' service. In SG/JAG with +13 years of service.
25th May
In all other cases.
15th April
In case of AS level, SAG and above officers with +25 years Group 'A' service
30th April
In case of SAG officers with less than 25 years service.
15th May
In SG/JAG with +13 years of service.
30th May
In all other cases.
25th April
Report to be completed by Accepting authority and sent to Administration
THEIR
In case of AS level and above where Self-Appraisal is not prescribed.
15 May
3.
COMPLETE
7th April
th
Report to be completed by Reviewing Reviewing officer
TO
Date by which to be completed
th
2.
OFFICERS
ACR forms should be distributed to all Reportee officers by 25 th of March who should submit the selfappraisal latest by 7th April.
30
