Monday, 30 September 2019

Performance Appraisal Report draft circular of Central Civil Services Rules, 2019

Performance Appraisal Report draft circular of Central Civil Services Rules, 2019

DoPT Orders 2019

No.21011/01/2017-Estt.A-1I
Government of India
Ministry of Personnel, Public Grievances and Pensions
Department of Personnel & Training
North Block, New Delhi
Dated 27th September 2019
OFFICE MEMORANDUM

Subject: Circulation of draft Central Civil Services (Performance Appraisal Report) Rules, 2019 - seeking comments of Ministries/Department.

The undersigned is directed to say that Annual Performance Assessment Report (APAR) of Government servants holding Group 'A', Group 'B' and Group 'C' posts of Central Civil Services are at present being governed by instructions/guidelines issued by this Department from time to time.
2. With a view to consolidate the instructions, draft Central Civil Services (Performance Appraisal Report) Rules, 2019 have been prepared and enclosed. Comments/ suggestions/ modifications on the draft Rules, if any, may be furnished to the undersigned within two weeks from the date of issue of the O.M. at the e-mail address jayashree.c@nic.in.
(Jayashree Chellamani)
Under Secretary to the Govt. of India
Tel: 23040468
Email: jayashree.c@nic.in

Read also: DoPT Order: Recording of the Annual Performance Appraisal Report (APAR) for the 2017 – 18 financial year for CSS officers



 

Ministry of Personnel, Public Grievances and Pensions
Department of Personnel and Training
DRAFT

CENTRAL CIVIL SERVICES (PERFORMANCE APPRAISAL REPORT) RULES, 2019

In exercise of the powers conferred under Article 309 and clause (5) of Article 148 of the Constitution of India and after consultation with the Comptroller and Auditor-General in relation to persons serving in the Indian Audit and Accounts Department, the President of India hereby makes the following rules, namely: -

1. Short title and commencement - (1) These rules may be called the Central Civil Services (Performance Appraisal Report) Rules, 2019, in short CCS (PAR) Rules, 2019.
(2) They shall come into force on the date of their publication in the Official Gazette.

2. Application:-
(1) These rules shall be applicable to all Government servants holding Group 'A', Group'B' and Group 'C' posts of Central Civil Services in Ministries/Departments (including attached and subordinate offices), civilian Government servants in the Defence Services and to officers appointed against a civil post on contract basis, but shall not apply to:
(a) any railway servant,
(b) any officer of the All India Services,
(c) any person in casual employment,
(d) any person for whom special provision is made, in respect of all or any matters covered by these rules, by or under any law for the time being in force or by or under any agreement entered into.
(2) Notwithstanding anything contained in sub-rule (1), the President may by an order exclude any group of Government servants from the operation of all or any of these rules.
(3) In the case of a Government servant temporarily transferred to a service or post to which these rules do not apply, these rules shall continue to apply.
(4) If any doubt arises as to whether these rules or any of them apply to any person it shall be referred to the President or such other authority as may be specified by the President by general or special order and the President or such other authority shall decide the same.


3. Definitions. - In these rules, unless the context otherwise requires;-
(a) "Accepting Authority" means the authority which supervises the performance of the reviewing authority as may be specifically empowered in this behalf by the Government;
(b) "Annual Confidential Report (ACR)" means Performance Appraisal Report recorded prior to the reporting year 2008-09.
(c) "Cadre Controlling Authority (CCA)", in relation to a service has the same meaning as in the rules regulating that Service;
(d) "Central Civil Services" means all Central Civil Services including General Central Services but excluding All India Services;
(e) "Competent Authority" means authority referred to in Rule 14(7)(a) and Rule 14(8)(a) of these Rules to decide the representation of officers reported upon against PAR disclosed to him/her;
(f) "Custodian" means the Unit/Section responsible for generation, disclosure and overall maintenance of PAR/Dossier.
(g) "Dossier" means the compilation of the PARs and ACRs written on an officer of the Service, referred to in rule 4, and includes such other documents as may be specified by the Central Government, by general or special order, in this behalf;
(h) "Empanelment" means the process of assessing the suitability for appointment at the level of Joint Secretary and above as well as equivalent posts in the Government of India;
(i) "Government" means,
(i) in case of a Government servant on deputation to a State Government or who is deputed for service in any company, association or body of individuals whether incorporated or not, which is wholly or substantially owned or controlled by the Government of a State, or in a local authority set up by an Act of the Legislature of a State, the Government of that State;
(ii) in any other case, the Central Government.
(j) "Government servant" means any person appointed by Government to any civil service or post in connection with the affairs of the Union and includes a civilian in a Defence Service;
Explanation- A Government servant whose services are placed at the disposal of a company, corporation, organisation or a local authority by the Government shall, for the purpose of these rules, be deemed to be a Government servant serving under the Government notwithstanding that his salary is drawn from sources other than the Consolidated Fund of India;
(k) "Officer Reported Upon" means officer of Central Civil Services whose performance is assessed through PAR;
(l) "Performance Appraisal Report" means the PAR for the financial year (April to March or a part thereof) and referred to in the rules;
(m) "Report" means PAR;
(n) "Reporting Authority" means such authority supervising the performance of the Officer Reported Upon, as may be specifically empowered in this behalf by the Government Provided that where the Officer Reported Upon is a Group 'C' officer, the Reporting Officer shall be an officer holding a post not below Level-6 in Pay Matrix in ih Central Pay Commission.
(o) "Reviewing Authority" means such authority supervising the performance of the reporting authority, as may be specifically empowered in this behalf by the Government;
(p) "Schedule" means the Schedules annexed to these rules;
(q) "State" means a State specified in the First Schedule to the Constitution and includes a Union Territory;
(r) "State Government" means the Government of the State where the officer reported upon is working in connection with affairs of the State.

4. Maintenance and custody of PAR.-(1) A comprehensive dossier shall be maintained for each Government servant by the Central Government in the manner specified under these rules and the dossier shall consist of the documents specified in Schedule- 1.
(2) Time schedule for recording and maintaining of PAR shall be as provided in Schedule-2 Appendix-II and as may be specified by the Government from time to time. Provided that if a report for a financial year is not recorded by 31 st December of the year in which the financial year ended, no remarks may be recorded thereafter and the officer may be assessed on the basis of the overall record and self-appraisal for the year, if he has submitted his self-appraisal within the scheduled time.
(3) (a) The Dossier of a Government servant shall be retained for a period of two years from the date of superannuation, retirement, resignation or death. After a period of retention of the dossier for two years but before weeding out, if a specific written request is received from the concerned retired officer, a copy of the dossier may be provided to him. Such Dossier before being weeded out shall be retained in electronic form such as PDF format etc.
(b) Pending finalisation of disciplinary proceedings at the time of superannuation or retirement or resignation, the period of two years shall count from the date of issue of final orders in the disciplinary proceedings;
(c) Where at the time of superannuation or retirement or resignation, a case is pending in Central Administrative Tribunal or any Court of Law, the period of two years shall count from the date of final decision in the case or two years from the lapse of time for filing of appeal or two years from the date of final decision on the appeal filed, if any;

5. Form of the PAR-
(1) Every CCA shall, if not already done, migrate to electronic generation and recording of PAR in electronic form immediately after notification of these Rules.
Provided that in exceptional case, prior approval of the Department of Personnel & Training may be obtained for manual generation and recording/reviewing/acceptance of PAR.
(2) The PAR shall be generated and recorded by the officer reported upon electronically in such form as specified in Appendix-I-A, 1-8 and I-C of Schedule Provided that the Central Government may make such additions in the form or modify the cut-off dates so specified, as may be considered necessary.
(3) In case of Government servants on deputation, the format of the parent cadre shall prevail for recording of PAR.
(4) The comments of the reporting, reviewing and accepting authority, in case he is a Government servant, shall be recorded electronically, as per guidelines issued from time to time for filling the report.
(5) The political executives may record their comments manually and the PAR so recorded shall be uploaded electronically as per time frame specified in Appendix-II of Schedule 2.
(6) Accepting Authority is to be an additional level in the channel of recording of PAR in respect of Group 'A' posts (DS/ Director or equivalent level and above).
(7) The PAR shall be written for such Government servants who may be on study leave or training in such form as is specified in the Appendix-III / Appendix-IV of Schedule 2.

6. Reporting of PAR.-
(1) The PAR shall be generated by Custodian and written by the officer reported upon electronically.
(2) The reporting authority shall record his remarks on the report, within the timeframe specified in the Appendix-II of Schedule 2. Provided that a report may not be written in such cases as may be specified by the Central Government, by general or special order;
(3) Where more than one report is written for an officer reported upon during the course of a financial year, each such report shall indicate the period to which it pertains: Provided that only one report shall be written on a Government servant for a particular period during the course of the financial year and there shall be a single reporting, reviewing and accepting authority at each level of appraisal which shall be specified, in the channel for writing PAR, by the Government.Provided further that if more than one person of the same superior level supervises the performance of the Government servant, the administrative Ministry/ Department shall identify the reporting officer / reviewing officer / accepting authority, as the case may be, who has/have supervised substantial work of the officer reported upon, during the period of report, well in advance of the relevant appraisal year.
Provided, further, that if the officer reported upon occupies more than one post, the Government shall identify the post (substantive or additional charge) to report, review and accept, well in advance of the relevant assessment year.

(4) Where the reporting authority has not supervised the performance of a Government servant for a minimum period of three months, but the reviewing authority has supervised the performance of Government servant for a minimum period of three months during the period for which report is to be written, the reviewing authority shall write the report of any such officer for any such period.

(5) Where, both the reporting authority and the reviewing authority have not supervised the performance of the Government servant for a minimum period of three months and the accepting authority, if any, has supervised the performance for a minimum period of three months, the accepting authority shall write the report of such officer for such period.

(6) Where the officer reported upon has not worked under a Reporting Officer, a Reviewing Officer and an Accepting Authority, for a minimum period of three months, he shall mandatorily submit a self-appraisal and thereafter the Custodian shall place 'No Report Certificate (NRC)' in the dossier for such period;

(7) Where the officer reported upon has been sanctioned leave (all kinds of leave as are admissible under rules governing leave) for a period of more than 15 days at a stretch, the period of leave so sanctioned shall be deducted from the total period spent on the post, for the purpose of computing the minimum period of three months required for recording, reviewing and acceptance of Report.
(8) A PAR shall also be written when either the officer reported upon or the reporting authority, who is a government servant, relinquishes charge of the post on transfer/deputation etc., and, in such a case, the report shall be written within the time frame as specified in Appendix-II of Schedule 2 of the Rules for completion of PAR.

7. Review of the PAR-
(1) The reviewing authority shall record his remarks on the report, within the timeframe specified in the Appendix-II of Schedule 2.
(2) Where the report is written by the reviewing authority under sub-rule (4) of rule 6, or where the reviewing authority has not supervised the work for a minimum period of three months, and the Accepting authority, if any, has supervised the performance of the Government servant for a minimum period of three months during the period for which the report is written, the accepting authority shall review the report of any such officer for such period within the time frame specified in the Appendix-II of Schedule-2.
(3) It shall not be competent for the reviewing authority, or the accepting authority, to review any such report unless the performance of the Government servant has been supervised by such authority for a minimum period of three months during the period for which the report has been written.
Provided further that where for a reporting period more than one officer has supervised the work as reviewing authority, the Reviewing Authority, who has last supervised the work of the officer reported upon for a minimum period of three months during the relevant period of the report may review the entire report but the assessment may be limited to the work for the period he has supervised.
(4) Where the officer reported upon has not worked under a Reviewing Authority, if any, for a minimum period of three months and there is no provision of accepting the report by an accepting authority, a 'No Review Certificate" (NRC) stating that the work of the officer reported upon has not been supervised by any officer in the capacity of a Reviewing Officer during the period, may be placed in the Dossier;

8. Acceptance of the PAR -
(1) The accepting authority, if any, shall within the timeframe specified in Appendix-II of Schedule 2, record his remarks on the PAR and may accept it, with such modifications as may be considered necessary, and countersign the report:Provided that where the accepting authority has not seen the performance of the Government servant for a minimum period of three months during the period for which the report has been written, it shall not be necessary for the accepting authority to accept any such report and an entry to this effect in the form of a 'No Acceptance Certificate' shall be made in the PAR.
Provided further that where for a reporting period more than one officer has supervised the work as accepting authority, the Accepting Authority, who has last supervised the work of the officer reported upon for a minimum period of three months during the relevant period of the report may accept the entire report but the assessment may be limited to the work for the period he has supervised.
(2) Notwithstanding anything contained in rule 6 or rule 7, where the accepting authority writes or reviews the PAR of a Government servant, it shall not be necessary to review or accept any such report.

9. Restriction on reporting, reviewing and accepting authorities in certain cases:
Not with standing anything contained in rules 6, 7 and 8, it shall not be competent for the reporting authority, the reviewing authority or the accepting authority to write a report -
(a) Where the reporting authority is a Government servant, who has retired, superannuated or resigned the post, after one month of such retirement, superannuation or resignation;
(b) In other cases, after one month of the date on which he demits office.
Explanation. - F or the purpose of this rule-
(a) "a Minister" shall not be deemed as having demitted the office if he continues to be a Minister in the Council of Ministers with a different portfolio or in the Council of Ministers immediately reconstituted after the previous Council of Ministers of which he was a Minister with the same or a different portfolio, provided the Prime Minister continues in office.

(b) "a Minister" shall be deemed to have demitted the office where pursuant to fresh elections, a new Council of Ministers has been reconstituted, even if the Minister who was in the earlier Council of Ministers, finds a place in the new Council of Ministers with the same or different portfolio.

10. Recording of entries within prescribed time limits:- Where the officer reported upon fails to submit his self-appraisal within the prescribed time, the reporting authority shall record remarks without self-appraisal. A certificate to the effect that self-appraisal was not submitted by the officer reported upon within the prescribed time, shall be placed along with the report by the Custodian. In case the remarks are not recorded by the Reporting Authority within the stipulated time, he shall forfeit his right to enter any remark in the Report. Similarly, the Reviewing Authority and the Accepting Authority shall also forfeit their right to record any remark in the Report beyond the prescribed time-limit.
Provided if the officer reported upon has submitted the self-appraisal within prescribed time, the report containing the self-appraisal, together with a certificate to the effect that the Reporting/Reviewing/Accepting authority, as the case may be, has/have not recorded the remarks within the prescribed time limit shall be placed in the dossier and the officer may be assessed on the basis of the overall record and self-appraisal for the year, if he has submitted self-appraisal on time.

11. Recording of entries relating to integrity of the officer reported upon: - The reporting, reviewing and accepting authority while recording the entries regarding integrity of officer reported upon shall keep in view the guidelines for filling up integrity column, issued from time to time.

12. Treating the PAR as non-est.-The PAR not recorded in terms of the provisions of these Rules and instructions issued there under shall be treated as non-est.

13. Communication of the PAR to the Central Government. - The report shall be obtained by the CCA if the Government servant is serving in connection with the affairs of the State or local body or autonomous body or public sector enterprise on deputation, shortterm contract or any other kind of attachment:
Provided that if the PAR is written in a language other than Hindi or English, it shall be accompanied by an authentic certified translation in Hindi or English.

14. Disclosure of PAR to the officer reported upon and procedure for representation -
(1) After finalization, the full report including the overall grading and appraisal of integrity shall be disclosed electronically to the officer reported upon by the Custodian within the time limit prescribed in Appendix-II of Schedule 2, to enable him to submit his representation, if any.
Provided that where a Government servant has only one supervisory level above him, as in the case of personal staff attached to officers, such disclosure shall be made after the reporting authority has recorded his remarks, within the time limit prescribed in Appendix-II of Schedule 2.
(2) The officer reported upon, on disclosure of the report, shall have the opportunity to give representation, if any, to the competent authority through the Custodian, within fifteen days of the receipt of the Report.
Provided further that no representation shall be accepted from the officer reported upon if such representation is not within the stipulated time of fifteen days, except where the officer reported upon is rendered immobilized on medical grounds.
(3) The representation, if any, shall be restricted to the specific factual observations contained in the Report leading to the appraisal of the officer in terms of attributes, work output and competency and grading.
(4) The competent authority to decide the representation received in terms of sub-rule (1) & (2) above, relating to overall grading or entry/entries in the PAR, shall within fifteen days of the receipt of the representation, forward or cause to be forwarded the same, to the Accepting, Reviewing and Reporting authorities and call for their comments on the representation.
(5) The reporting authority shall, within fifteen days of receipt of the representation, forward the representation, along with his comments to the reviewing authority. The Reviewing authority shall forward the representation along with views of the reporting authority and his comments to the accepting authority within fifteen days of receipt of the views of the reporting authority. The accepting authority shall forward the representation along with the comments of the reporting and reviewing authority and his comments to the competent authority, within 15 days of the receipt of the comments of the reviewing authority.
(6) The competent authority shall, after obtaining the comments of the Reporting/Reviewing/Accepting authority within the time limit mentioned in Appendix-II of Schedule 2, including from those who have retired or demitted/ relinquished office as the case may be, finalise his decision within a period of 30 days as under:-
  • In the case of representation against overall grading, the said authority may upgrade or downgrade or make no change in the grading already given and while doing so, shall record sufficient reasons for doing the same.
  • In the case of representation against entries/remarks, the said authority shall after examination, expunge, modify or retain the entries/remarks, without altering the overall grading. The authority, while expunging or modifying or retaining the adverse remarks, shall give reasoned order for doing so, failing which the order shall be treated as invalid and the report shall be treated as non-est.
  • In cases involving representation against both overall grading and entries, the said authority shall clearly bring out the reasons for any upgradation, downgradation or retention of overall grading and also expunction or modification or retention of entries/ remarks and shall give a reasoned order for doing so, failing which the order shall be treated as invalid and the report shall be treated as non-est;
  • The decision of the said authority shall be communicated to the officer reported upon by the Custodian in the form of reasoned order, within a period of 15 days of the decision.
(7) Authority competent to decide representations where competent authority is below Minister:
  • The competent authority to decide the representation will be one level higher than the Accepting Authority. Where there is no Accepting Authority, it shall be one level higher than the Reviewing Authority. Provided that where there are no Reviewing/Accepting authorities, the authority to decide the representation shall be one level higher than the Reporting Authority. The competent authority shall forward the representation to the Reporting Authority, Reviewing Authority and the Accepting Authority, as the case may be, and call for their comments. The comments of the reporting/reviewing/accepting authority (as the case may be) are required to be sought even if they have superannuated/retired/resigned or demitted office. In case the comments of reporting / reviewing /accepting authority are not received within the time limit mentioned in Appendix-II of Schedule 2, it shall be presumed that reporting /reviewing /accepting authority has no comments to offer.
  • The competent authority shall consider the representation of the officer reported upon, the comments of the reporting authority, reviewing authority and the accepting authority and shall finalise the decision within a period of 30 days.
  • The decision shall be communicated in the form of reasoned order to the officer reported upon by the Custodian within a period of 15 days of the decision.
(8) Authority competent to decide representations -where competent authority is 'Minister'
(a) where the reporting or reviewing or accepting authority, is a Minister, the competent authority to decide the representation against any entry/remark as well as the overall grading in the report will be the current Minister. Before deciding the representation, comments of the Reporting/Reviewing/Accepting Authority shall be obtained, by the Custodian. The comments of the reporting/reviewing/accepting authority (as the case may be) are required to be sought even if they have superannuated/retired/resigned or demitted office. In case the comments of reporting / reviewing /accepting authority are not received within the time limit mentioned in Appendix-II of Schedule 2, it shall be presumed that reporting/reviewing/accepting authority has no comments to offer.
b) The competent authority shall consider the representation of the officer reported upon, the comments of the reporting authority, reviewing authority and the accepting authority, if any, and may decide to expunge, modify or retain the remarks and upgrade, downgrade or retain the overall grading. The competent authority shall finalise the decision within a period of 30 days from the date of receipt of the representation.
(c) The decision shall be communicated to the officer reported upon through a reasoned order,by Custodian, within a period of 15 days of the decision.

15. Memorial
If the officer reported upon is not satisfied with the decision on his representation, he may submit a Memorial to the President within a period of ninety days of the receipt of the decision:
(i) Where the representation has been decided by an authority below Minister-in-charge of the Ministry/Department where the officer reported upon worked during the period of report - Memorial shall be decided by Minister-in-Charge;
(ii) Where the representation has been decided by Minister-in-Charge, the memorial shall be decided by the Minister-in-Charge on the recommendation of a Committee. The Committee shall be constituted by the Secretary of the Cadre Controlling Authority to which the officer belongs, and any two other Secretaries who may be nominated by the Minister in charge. The Secretary of the Cadre Controlling Authority to which the officer belongs shall be the Convenor Member of the Committee.

16. Recording of report in case of suspension
Report shall not be recorded for the period an officer is under suspension.

17. Applicability of rules and orders- Matters in respect of which no express provision has been made in these rules shall be determined by rules and orders issued by the Government from time to time.

18. Savings clause: Save as otherwise provided, the provisions of these rules shall not affect prejudicially anything done or omitted to be done in terms of various instructions issued from time to time prior to the notification of these rules. Provided that in respect of matters not covered by these rules, the instructions and orders issued by the Department of Personnel & Training prior to notification of the rules, shall stand.

19. General. -
The Central Government may issue instructions, not inconsistent with the provisions of these rules, or as it may consider necessary, with regard to the writing of the PARs, the maintenance of dossier and the effect of the PARs on the conditions of service of a Government servant.

Performance Appraisal Report draft circular of Central Civil Services Rules, 2019



Source: DoPT

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