(भारत सरकार एवं उ. .

सरकार का संयु त उप म)
(A Joint Venture of Govt. of India & Govt. of U.P.)

Down Stream View of Koteshwar HEP.

PMS HANDBOOK

*Amended in February 2019 A Ready Reckoner

 A WORLD CLASS ENERGY ENTITY WITH
COMMITMENT TO ENVIRONMENT AND SOCIAL
VALUES.

• TO PLAN, DEVELOP AND OPERATE ENERGY

RESOURCES EFFICIENTLY.

• TO ADOPT STATE OF THE ART TECHNOLOGIES.

• TO ACHIEVE PERFORMANCE EXCELLENCE

BY FOSTERING WORK ETHOS OF LEARNING
AND INNOVATION.

• TO BUILD SUSTAINABLE VALUE BASED RELATIONSHIP

WITH STAKEHOLDERS THROUGH MUTUAL TRUST.

• TO UNDERTAKE REHABILITATION AND RESETTLEMENT

OF PROJECT AFFECTED PERSONS WITH HUMAN FACE.
 (भारत सरकार एवं उ. . सरकार का संयु त उप म)
(A Joint Venture of Govt. of India & Govt. of U.P.)

FOREWARD

Strong performance management practices are critical to the

success of almost any organization. When it is effective, performance
management drives positive operational outcomes by encouraging the
desired attitudes, behaviours and results in employees.
However, performance management is one of the key areas where
organizations usually struggle because of challenge of main an
ongoing commitment and putting forward continuous efforts in
applying fair, objective and consistent processes that measure and
evaluate employee performance over time. The success of PMS
largely depends on the clear understanding and proper
implementation by all concerned.
The PMS Handbook provides an excellent guide on various
aspects of Performance Management System i.e. KRA formulation,
evaluation of competencies, feedback, training needs etc. I am sure
that the users would find it an extremely useful reference documents.

Vijay Goel
Director (Personnel)

Ganga Bhawan, Pragatipuram, Bye Pass Road, Rishikesh-249201, Uttarakhand

Tel. : 0135-2435842, Fax : 0315-2436761, E-mail : http://thdc.gov.in
 INDEX
SI. No. CONTENTS Page No.
1 INTRODUCTION 03

2 OBJECTIVE OF PMS 03

3 PERFORMANCE PLANNING, GUIDELINES FOR KRA FORMATION 04

4 BALANCED SCORE CARD 06

5 MID YEAR REVIEW, ANNUAL ASSESSMENT 07

6 ADDITIONAL TASKS 08

7 COMPETENCIES & CORE VALUES 08

8 RATINGS OF COMPETENCIES (E2 to E7) 09

9 RATINGS OF VALUES (E-6 & E-7) 10

10 ROLE OF REPORTING, REVIEWING OFFICER AND 11

ACCEPTING AUTHORITY

11 COMMUNICATION OF SCORES & APPEAL PROCESS 12

12 NORMALIZATION 14

13 TIME SCHDULE FOR DIFFERENT ACTIVITIES OF PERFORMANCE 15

APPRAISAL EXERCISE

14 REPORTING PATTERN 15

15 FILLING AND EVALUATION IN SPECIFIC SITUATIONS 16

16 FREQUENTLY ASKED QUESTIONS (FAQs) 19

17 DO’S and DON’TS 21

18 PMS PROCESS FLOW 24

19 PERFORMANCE APPRAISAL FOR THE EXECUTIVES IN E-8 & E-9 25

20 DESCRIPTION OF PERSONAL ATTRIBUTES AND FUNCTIONAL 26

COMPETENCIES FOR THE EXECUTIVES IN E-8 & E-9.

22 FORM-PERFORMANCE APPRAISAL REPORT OF THE EXECUTIVES 27

IN E-8 AND E-9.

21 NEW CIRCULAR 44

23 ANNEXURE-I, FORMAT FOR SUBMISSION APPEAL AGAINST 47

PMR SCORE BY THE EMPLOYEE.

Due efforts have been put to convert the printed PMS Handbook into
soft form and update it on a regular basis. However, incase any
inconsistency is found in the handbook, readers are requested to kindly
bring it to the notice of Policy Section to make the Handbook both
comprehensive and accurate for ready reference by all concerned.
(01)
 PERFORMANCE MANAGEMENT SYSTEM
-
INTRODUCTION
Performance management can be defined as a continuous process of assessing
and measuring the performance of an individual and aligning it with the
organizational goals.
An effective system should encourage collaboration, teamwork, and
communication. It's crucial for businesses to have systems in place to identify,
recognize, reward, and retain their top performers to achieve sustainable growth.

Introduction of PMS in THDCIL

The system of Annual confidential Report was a closed system and it appraised
and did not manage performance. The system has several gaps that limit its utility
as an effective appraisal tool. The previous Performance Appraisal System was
based on evaluation of personality traits and subjective achievements at the end
of appraisal period without the process of feedback.
DPE while approving the pay scale of executives effective from 01.01.2007 has
introduced the concept of Performance Related Pay based on physical and
financial performance. All PSUs have been directed to develop robust and
transparent Performance Management System. THDC India Ltd. clearly
understands the importance of Performance Management and with this aim
corporation introduced the PMS. Accordingly, certain changes were brought from
2009-10 and it was decided that KRAs are to be quantified in measurable terms.

OBJECTIVES OF PMS
• To build a culture of performance by aligning individual and organizational
objectives and encouraging open communication and continuous feedback.
• To promote professional excellence.
• To evaluate the potential of the executive to assume higher responsibilities in
the organization.
• To translate future skill requirements of the organization into individual
development plans.
• To facilitate fair and equitable compensation based on performance.
• To help the superiors to have a proper understanding about their subordinates.
• To achieve culture change in the shape of the creation of a high-performance culture.
• To contribute to the employee growth and development through training, self
and management development programmes.

PMS PROCESS
The PMS process is broadly divided into the following stages:-
1. Performance Planning (KRAs Formation).
2. Mid Year Review.
3. Annual Assessment.
4. Communication of scores and Appeal Process.
5. Normalization.

03
Performance Planning:
This process involves setting of Targets/Key Result Areas for the year. This step requires
participation of the Appraisee and Reporting Officer. It is imperative upon the Reporting
officer to convene a meeting of the executives working under them and discuss the
expectations i.e. the work to be done and the specific targets to be achieved during the
financial year taking into account the MOU targets as well as departmental targets.

Guidelines for KRA formation:

1. While drawing the KRAs it should be ensured that the targets are specific, measurable in
terms of time or level of service quality. The targets are set at equally challenging levels
across departments. Reference may be made to MOU targets, Departmental targets/KRA
directory available in our website for this purpose. The Executives whose KRAs are not
directly linked with the MOU Targets, they have to frame up Department Targets.

Organisational Goals/MOU

Unit Goals

Departmental
Goals

Individual
Goals

2. Weightage should be primarily assigned to each KRA depending upon the priority and
importance of such KRA. The Reporting Officer should prioritize the task based upon SMART,
Complexity of task, special skills, and innovation should be paramount importance.

04
SMART concept to be followed while framing the KRAs.

Unacceptable Acceptable
S pecific 'try to improve efficiencies' 'increase efficiencies by 10%.
M easurable 'Improve customer satisfaction' 'improve customer satisfaction so
that service complaints do not exceed
one per week on average'
A greed Reporting officers should not dictate Executives and reporting officers should
what the performance standard collaborate and contribute to the
should be. Executive should be left planning of the performance standards.
to set their own targets.
R ealistic Performance standard those are Performance standards should be
unreasonable and unreachable. consistent with the organizations
Performance standard those are set corporate strategies. Performance
too low, diminishing the employee’s standards should also be within the
motivation and removing the employee’s skills and capabilities.
challenge of a job.
T ime framed A number of performance A time span for each task. The time
standards without any time frame must be realistic. A number of
frame or to be achieved all asks should be staggered through the
at once. period.

Sl. Nature of Tasks Category Marks

No. of the task
1. Whether Task is routine nature and to be timely achieved. A 1-2
2. Whether the Task requires application of skill and is also to B >2-4
be timely achieved.
3. Whether the task is complex, special skill required and is to C >4-6
be timely achieved.
4. Whether the task is complex, sophisticated skill required, D >6-8
dependent on external agency and is to be timely achieved .
5. Whether the task is complex, requires sophisticated skill and E >8-10
innovation, dependent on external agency and also to be
timely achieved.

3. In certain roles viz. Shift operation, supervision of construction sites, Personal

Secretary, Liaison jobs, etc., there may not be much scope for differentiation. In such
cases the weightage of task may be based on relative importance as per the
assessment of Reporting Officer and volume of work with quality delivery.
4. Reporting Officer should ensure that proper data is maintained by the Appraisee
which may be requested for measurement during the midterm review as well as final
assessment. Effort should be made that the number of KRAs is restricted to 12.
Some important tips:
1. Cascading of KRAs should be on top down principle.
2. KRAs to be completed in more than one year should be divided in parts which are to
be completed and measured in a particular assessment year.
3. Use of MOU, Business plan, Department plans, Schedules, KRA directory & the
KRAs of the boss to frame targets.
4. Set a day aside for framing KRAs e.g. reviewing officer for his HODs, reporting
officers for his subordinates.
5. Most important, do it in time and follow the time schedule.
6. Targets setting should be mutually discussed with Reporting Officer.
7. Workload should be distributed evenly as far as possible amongst subordinates
For executives at the level of E6 to E9 the concept of KRAs based on the Balanced score
Card has been introduced.

05
BALANCED SCORE CARD BASED KRAs FOR (E6 to E7)
It is a tool for translating and deploying organizational strategy in performance. It provides
a balanced view of an organization's performance strategy across the four perspectives -
Financial, Customer, Process Improvement and Employee Learning and growth.

Financial perspective: Customer Perspective:

Takes into account the traditional way of Emphasizes on the increasing realization
valuing the business. of the importance of customer focus and
customer satisfaction in business.
Includes measures such as operating
income, return on capital employed, If customers are not satisfied, they will
economic value added, etc. eventually find other suppliers that will
meet their needs and in turn impact
business.
Process improvement: Learning and growth:
This perspective allows the managers to This perspective includes employee
know how well their business is running, training and organization's cultural
and whether its products and services attitudes related to both individual and
confirm to customer requirement. organization's self development.

Balanced Scorecard was popularized by Robert Kaplan and David Norton in 1992
I) Targets based on Financial Perspective:
The targets on financial perspective have two dimensions i.e. increase in revenue and
reduction in cost. While all departments do not directly deal with increase in revenue,
reduction in operating cost in terms of their departmental operating expenses is applicable
to all departments. The KRAs which are quantifiable having financial implication such as
saving in Cost or percentage utilization of budget or generation or project realization
amount or any such financial aspects leading to savings/ revenue generation will fall under
financial perspective. No other KRAs should be narrated under this perspective.
II) The customer perspective has two dimensions i.e. internal customers and
external customers. All departments provide service to other departments thus
departments receiving their service are their customers. OMS Departments has been
assigned the work to carry out a survey on various service parameters with their
customer department twice a year i.e. half yearly and annually before evaluation.
Thereafter based on the formula devised by IE department final rating is conveyed to
the concerned department.
iii) Targets based on Process Improvement Perspective:
This pertains to the targets to be worked out by the appraisee in consultation with the
reporting officer for bringing about certain improvements in the work being carried out
by them.
iv) Targets based on Employee learning and growth perspective:
This perspective has two parts:
i) Pertaining to meeting the training requirement as per the company training policy and
initiatives for creating a learning culture in the department and
ii) Completion of annual appraisal of self and subordinates within the stipulated time.
The training imparted to the Sub-ordinates irrespective of being arranged by the department
itself or through HRD deptt. is to be narrated under the Employee Capability Perspective. This
particular KRA is not applicable to those executives who are having no subordinates.

06
MID YEAR REVIEW (for E-2 to E-7 grades):
Mid Year Review is an important process in which the appraisee can re-visit the KRAs
and goals in the light of reasons which may be beyond the control of the appraisee. The
review also helps the Reporting Officer to review the progress of the agreed targets and
provide early warnings of non-performance to the Appraisee for improvement.
During the mid-term review, the targets are to be revisited and may be modified/
added/deleted depending upon the prevailing circumstances for the balance period.
All the Reporting Officer should counsel each subordinate and give proper feedback
on their performance so that they can improve during the next part of the year.

ANNUAL ASSESSMENT/FINAL EVALUATION:

This is the annual performance where actual stock of performance achieved is to be
taken vis-a-vis target and marks are to be assigned against each target to arrive at overall
achievements against performance targets. The objective of the annual assessment is to
discuss and arrive at real performance with respect to agreed targets.

OUTSTANDING

VERY GOOD

GOOD

FAIR

POOR
07
ADDTIONAL TASK/WORK

Additional Task is that which is not planned at the beginning of the year. Under this
column special achievements of the Executives during the year are required to be
recorded. Achievements like handling of emergency situations, process improvements,
contributing articles, representing the corporation in competitions like, Quiz, acquiring
special competencies, acting as Internal Faculty in the training programme organized by
HRD department etc. should only form a part of this special achievements section.
Reporting Officer can also assign specific task during the period under review and
successful completion of the task can also form part of this section.
Part-II (Additional Task) will be filled in by:-
(a) Appraisee.
(b) Reporting Officer.

COMPETENCIES AND CORE VALUES

Competencies are the combination of knowledge, skills, abilities, and behaviors that
contribute to individual and organizational performance. Knowledge is information
developed or learned through experience, study or investigation. Skill is the result of
repeatedly applying knowledge or ability. Ability is an innate potential to perform
mental and physical actions or tasks. Behavior is the observable reaction of an
individual to a certain situation. The evaluation of these competencies helps in
appreciating the preparedness /suitability of the executive for higher responsibilities
along the hierarchy. Core values are such values which are essence of the
organization and it guides the ethical and moral conduct of the executive.

08
Ratings of Competencies (E2 to E7)

S.No. Competencies Applicability Definition

E2-E5 E6 &E7
01 Communication Yes Yes The ability to communicate ideas/information effectively
to the Management/Counterparts by way of
verbal/written presentation.
02 Analytical ability Yes Yes The ability to co-relate the problem with facts and other
related information and formulating feasible alternatives
for decision making.
03 Learning Yes Yes The ability to update the knowledge by way of reading
journals/discussion with others /acquiring higher
education in respect of the current development in his
field of work.
04 Relationship Yes Yes The ability to develop a collaborated relationship with
Management internal/external customers of the organization in order
to meet departmental objectives.
05 Cost Yes Yes The ability to plan the work and implement with optimum
Consciousness cost within the budget.
06 Quality Yes Yes The ability to execute a work in a time bound manner
Consciousness within the cost and without compromising with the
quality.
07 Taking Ownership Yes Yes The ability to take a responsibility to accomplish a task
assigned with Minimum involvement of higher officials.
08 Team Work Yes No The ability to work with many individuals to accomplish a
task assigned with Minimum involvement of higher
officials.
09 Problem Solving Yes No The ability to solve problems involving varied levels of
complexity, ambiguity and risks with confidence.
10 Pro activeness Yes No The ability to take advance step in order to accomplish
the task.
11 Leadership No Yes The ability to supervise and motivate others to foster their
development by facilitating an environment for
enhanced performance and professional growth.
12 Team Building No Yes The ability to supervise and motivate others to foster their
development by facilitating an environment for
enhanced performance and professional growth.
13 Innovation/ No Yes The ability to create new ideas, giving them a concrete
Creativity shape through action plan with confidence.
14 Timely decision No Yes The ability to anticipate problems, formulating feasible
making alternatives and make prompt decision, willingness to
take calculated risks and responsibilities for decisions.
15 Empowering & No Yes The ability to develop subordinates by guidance,
motivational ability training, delegation, encouraging and supporting them
to work with confidence independently.
16 Planning and No Yes The ability to establish both long term and short term
organizing objectives, course for achievement and ensure resource
optimization.
17 Achievement No Yes The ability to maintain an absolute focus on business
Orientation goals while setting high standards for himself.

The ability to withstand the internal/external

18 With standing No Yes influences and pressures.
influence

09
Ratings of Values for E6 and E-7

S. No. Values Definition

01 Fairness Decisions are made objectively, free from patronage and
reflect the just treatment of employees and applicants
02 Transparency There is open communication about every aspect of
Managerial decisions which concern people.
03 Trust Trustworthiness leading to confidence, allow staff the
freedom to grow and develop, relate to others on the basis of
mutual aspect courage to stand by your mistake.
04 Candour Frank and forthright, give and receive constructive criticism
/suggestions, openly discuss performance deficiencies and
take corrective action, appreciate good performance, be
consistent in works and deeds, face up to your mistake
05 Collaboration Working in tandem, be open in sharing information and in
seeking suggestions/opinion, be sensitive to concerns of
others honour your commitment, encourage teamwork
across departments /function
06 Involvement Total commitment, be committed, be dedicated and
committed to work, build commitment by encouraging wide
participation in decision making process to the period
maximum extent.
07 Flexibility Ability to participate and adapt to changing circumstances
using sound judgment, 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.

08 Willingness to accept Be willing to experiment, allow for freedom to fail, but

challenge learn from it too.
09 Discipline Adherence to accepted norms, honours the promises and
adhere to agreed system, respect for over time, exercise self
control
10 Ethical behaviour Demonstrate honesty and sincerity in very action, apply
sound business and professional ethics, show consistency
with principles, values and behaviour.

"Your beliefs become your thoughts. Your thoughts

become your words. Your words become your actions.
Your actions become your habits. Your habits become
your values. Your values become your destiny."

- Mahatma Gandhi

10
ROLE OF REPORTING, REVIEWING AND ACCEPTING AUTHORITY

Reporting Officer:
The Reporting officer shall give the marks to the appraisee under his control in
such a manner that Reviewing Officer finds easy to rate the marks considering
the Bell Curve Criteria. Further, it is clarified that Reporting officer will not give
same marks to the two appraisee under his control in any circumstances.
Reporting Officer shall rank the appraisee under his control for the purpose of
applying Bell Curve by normalization committee. Ranking process shall be done
after obtaining all the PMR of all appraisee under his control.

Reviewing Officer:
Same process will be followed by Reviewing Officer in order to help the
Accepting Officer to rate the appraisee under the Bell Curve Criteria. For this, if
required the reviewing officer may discuss/consult with Accepting Authority
alongwith Reporting Officer. Ranking process shall be done after obtaining all the
PMR of all appraisee under his control.

Accepting Authority:
Accepting Authority will ensure ranking of the appraisee so as to help
Normalization Committee to apply Bell Curve because ranking is an important
management function which needs to be strictly adhered, to enhance objectivity
and transparency in the Appraisal System. Accepting Authority will ensure the
availability of all appraisee under his control before starting the ranking process.
In case there is no Reviewing Officer positioned in between Reporting Officer and
Accepting Authority, then Accepting Authority will act as Reviewing Officer.

11
COMMUNICATION OF SCORES AND APPEAL PROCEDURE:
In the interest of improving fairness and transparency in performance
appraisal process the executives will be provided copies of Performance
Management Report (PMR) to the Appraisee and also to afford an
opportunity to make appeal against the assessment made by the
Accepting Authority through the hierarchical channel.
The Appellate Authority for different categories of executives
is designated as under:

Accepting Authority Appellate Authority

Concerned GM Concerned Functional Director
Concerned Functional Director CMD
The Remuneration Sub-Committee of the
CMD Board

The PMRs of Executives have following components:

For the executives in E-2 to E-7 grades.
1. Part 1(a) Setting of Targets/Key Result Areas for the year.
2. Part-1(b) Mid Year Review.
3. Part-1(c) To be filled in case of Transfer/promotion.
4. Part-1 (d)- Final Evaluation.
5. Part-II Additional Task.
6. Part-III Rating of Competencies.
7. Part-IV Rating of Values (E6 & E-7)
For the executives in E-8 & E-9 grades.
1. The complete copy of PMR.
Following guidelines shall be applicable for submitting of appeal by an Appraisee
in respect of his/her PMR.
1) After the performance appraisal process is concluded, a copy of the PMR
indicating the final numerical score shall be provided to Appraisee. In case
Appraisee feels aggrieved, appeal can be made.
2) Appeal will generally be restricted to the agreed Key Result Areas (KRAs)
and marks finally allotted thereon in Part-1(d) for E2 to E7 grades and point 6
of section III of the PMR for E8 & E9 subject to the condition that there is a
difference between the score awarded by Reporting Officer and Accepting
Authority against individual KRAs is equal to or more than 15%.
3) For the executives in E2 to E7 Appeal against scores under Part-II Additional
Task shall only be entertained if such achievements are in conformity with
guidelines circulated.
4) As far as scoring related to Competencies and Values is concerned, such matters
of opinion will not be subject matter of appeal in ordinary course. Review will be
considered only in exceptional cases, where bonafide grounds are evidenced.
5) Appeal shall be made in the prescribed format, should be very brief and specific.
Enclosures/Annexures should be avoided. Appeal shall be confined to appellant's
own appraisal and reference/comparison to others is not permissible. Any use of
derogatory words and baseless allegations, shall not only render the appeal as
dismissed but would attract appropriate actions against such appellant.

12
PROCEDURE: The procedure for receipt/ disposal of the representations
received from the employee is given below:-
(i) In case of Units/Liaison offices, the final numerical PMR scores pertaining to
the cases where General Manager is the Accepting Authority shall be
communicated to the executives by the concerned personnel department of
units/liaison office/corporate office as the case may be. However, in cases
where Accepting Authority is Director and CMD, the communication of final
PMR score shall be made by the Corporate Personnel Department.
(ii) In respect of PMRs for the level of E8 & E9 executives where the custodian of
PMRs is Industrial Engineering department, the final numerical scores will be
communicated by the IE department.
(iii) The decision of Appellate Authority shall be final and no further appeal will be
entertained on a representation settled by the Appellate Authority.

Time schedule for settlement of appeal:-

Sl.No. Activities Time line
1. Appeal by the appraisee to Corporate Personnel Within 10 days
on receipt of score.

2. Corporate personnel to forward the appeal to Within 07 days

the reviewing officer for comments.

3. Submission of comments by reviewing officer to Within 07 days

accepting officer.

4. Submission of comments by accepting authority Within 07 days

to Corporate Personnel.

5. Submission of comments of accepting authority Immediately on receipt of comments by

by Corporate Personnel to Appellate Authority. Accepting Authority.

6. Appellate Authority to Communicate his decision Within 15 days from the date of submission
to Corporate Personnel. of appeal to Appellate Authority.

7. Communication of decision of appellate authority Within 07 days from the date of

to appellant by the Corporate Personnel. communication of decision of appellate
authority.

Do's & Don't of making an appeal

Do's Don'ts
Appeal shall be made in the prescribed format. Appeal on plain papers is not permissible.

Appeal should be very brief and specific. Enclosures/Annexures should be avoided.

Appeal shall be restricted to the specific factual No Reference/Comparison to other's appraisal

observations contained in the report shall be made

Appeal will generally restricted to the agreed Key Use of derogatory words and baseless allegations
Result Areas(KRAs) strictly not permitted.

Appeal shall be confined to appellant's own

appraisal

The appeal shall be against the final numerical

score as accepted by Accepting Authority

The appeal shall only be made where the

deviation between score awarded by Reporting
officer and Accepting authority is 15% or more

13
NORMALIZATION:
The objectives of normalization are:-
Ensure parity and integrity by minimizing variation in rating by different reporting
officers across various departments and locations. Checks are made for data
incompatibility resulting in skewing of scores.
As per expectations departments are required to follow the normal curve with
differentiation between top performers (15%), middle performers (80%) and
bottom performers (5%) in the pattern as mentioned below:

Category % age of Executives

Outstanding/Excellent Upto 15%
Very Good 55%
Good 25%
Fair 05%
Poor

The Performance score should accurately reflect the highest performance level
within the cluster.
Ranking is an important function which needs to be strictly adhered, to enhance
objectivity and transparency in the Appraisal System and facilitate linking of the
contribution of individuals for their career development, payment of PRP as well
as any other reward scheme which the management may frame.
Once the appeal process is complete, the finally approved scores are tabulated
for fitment into designated classes i.e Normalization Centres.
Normalization Centres are created to ensure:
1. Objectivity and rationale.
2. Proper identification of Performers in range in normal Curve.
3. To bring a parity in ranking of Executives under different Accepting
Authorities following different methods of ranking.
Basis of formation of Normalization Centres (NC):
1. Administrative control of the Units
2. Grade wise grouping
3. No. of Executives
4. Clubbing of different grades of executives if required
5. Adequate representation of Executives in particular grade in units/depts.
Once the appeal process is complete the finally approved scores are tabulated
for fitment into designated classes by the Corporate Personnel Department and
placed before a committee comprising nominees of Director (Personnel),
Director(Finance) and Director(Technical). The recommendations of the
committee would be approved by the Director (Personnel).

14
Time Schedule for different activities of Performance Appraisal exercise
Availability of ePMR on HRMS Portal By 1st April

Online submission of ePMR (after completion of Performance

th
Planning Sheet.ie. Part 1(A) by the Appraisee & reporting Officer By 30 April

Availability of ePMR on HRMS Portal for review Discussion for the

first Half i.e. [art 1(B) with Reporting Officer By 30th Sep.

Online Submission of ePMR after completion of Part 1 (B) By 15th Oct.

Availability of ePMR on HRMS Portal for final assessment i.e. Part

1(D), Part-II By 30th March

Completion of e filling of Part 1(d) and Part II by the Appraisee & By 15th April
Reporting officer. Part-III, Part IV as the case may be the Reviewing
Officer alone and forwarding the ePMR to the Reviewing Officer

Online completion by reviewing officer and Forwarding to the

Accepting Authority By 25th April

Completion by Accepting Authority By 10th May

th
Making availability of e-copies of PMRs at HRMS Portal By15 May

*Dates are tentative and may vary as per administrative reasons.

REPORTING PATTERN (Indicative):

Level of Appraisee Minimum level of Minimum level of Accepting Officer
Reporting Officer Reviewing Officer
Concerned
GM/Functional
E2-E4 E6 E8(AGM) Director/CMD
Concerned GM/
Functional
E5 E7 E8(AGM) Director/CMD
Concerned
E6-E7 E8(AGM) Concerned GM Director/CMD

E8(AGM) E8 (GM) Director CMD

E8(GM) E9 Director CMD

E9 Director CMD CMD

Note: In case particular level of officer is not available as Reviewing Officer then Accepting Officer will act both
as Reviewing Officer and Accepting Officer.

15
 Filling up and evaluation in specific situations.
1. In case of transfer of the appraisee during the period of assessment:
In case of transfer of the appraisee during the appraisal period, the assessment of the
KRAs pertaining to that period only is to be done by the existing Reporting Officer. New
KRAs are to be framed at new place of posting for the balance marks of Part-I.
For the assessment of Part - II if the situation arises, maximum marks will be
proportionately divided on the basis of period of service at previous place of posting
and new place of posting and will be evaluated by the respective Reporting Officer.
Evaluation of Part – III & IV as the case may be, will be done by the new
Reporting Officer and Reviewing Officer and Accepting Authority.
2. In case of Transfer/ Separation of the Reporting Officer :
In case of Transfer/Separation of the Reporting Officer, the total appraisal for
the Part-I and Part-II will be made by the new Reporting Officer. However
Part-III & IV as the case may be, will be appraised by the new Reporting
Officer in consultation with the Reviewing Authority.
3. In case of Transfer/ Separation of Reviewing Officer:
In case of Transfer/ Separation of Reviewing Officer during the assessment
year the total evaluation will be made by the new Reviewing Officer.
4. In case of Transfer/Separation of Accepting Authority:
In case of transfer/separation of Accepting Authority, during the assessment
year, the Final Evaluation will be done by the new Accepting Authority, based
on the Assessment of Reviewing Officer and Reporting Officer.
5. In case of appraisee is on study leave under company’s sponsorship
scheme:
The assessment of appraisee for the period before or after the study leave
during the assessment year in part-I and II will be done by the current
Reporting Officer, and for the rest part of the assessment year the evaluation
will be done on the basis of performance rating by the concerned institute.
Part-III & IV as the case may be, will be evaluated by the Reporting
Officer/Reviewing Officer at the end of assessment year.
6. Executive goes for long term training/study from one department and
joins back within the year in the same department:
6(a) If duration of training period 9 months or more:
Performance during the training period will be considered in Part I & II of
the PMR for equivalent marks of 70 (60+10) in case of E6 to E7 or 80
(60+20) in case of E2 to E5. Part III and Part IV as the case may shall
be filled by the reporting Officer.
Marks will be given proportionately with respect to grade obtained.
6(b)If duration of training period less than 9 months:
Marks for the framed KRAs will be assigned at the rate 5 per month for
the remaining period.
Remaining marks out of 60 will be assigned for the proportionate
evaluation of the executives based on marks/grades obtained from their
institutes during the training period.
Part II will be evaluated based on merit of the task done during the remaining
period. Part III and Part IV as the case may shall be filled by the reporting Officer.

16
7. Executive goes for long term training/study from one department and
joins back within the year in another department/unit:
Marks for the framed KRAs will be assigned at the rate 5 per month.
Remaining marks out of 60 will be assigned for the proportionate evaluation
of the executives based on marks/grades obtained from their institutes during
the training period.
Assessment of Part I & II shall be made by previous Reporting Officer.
Assessment of Part III (in case of both E2 to E5 & E6 to E7 levels) and or Part -IV for
values (in case of E6 to E7 level only) will be made by the new Reporting Officer.
New Reporting Officer may get verbal feedback of competency and values
from the old department of the executive, if required.
8. Executive goes for long term training/study from one department and
joins back in the next year in the same department:
Marks for the framed KRAs will be assigned at the rate 5 per month.
Assessment of the completed tasks completed before commencement of the
training/study will be made and closed before moving on training. Remaining
un-assessed marks in Part I & II will be based on the performance certificate
issued from the institution up to 31st March of the Assessment Year.
Assessment for remaining period of training/study from 1st April of the next
assessment year will again be based on performance certificate from 1st April till the
completion of year or the grade obtained for the full training period. Balance marks
will be assigned for the KRA framed for the remaining period of the assessment year.
Part II will be assessed based on merit of the task performed.
If the left over period during the assessment year is 3 months or less then the
evaluation of the employees for the training/study will be extrapolated of 70
or 80 marks as the case may be.
9. Executive goes for long term training/study from one department and
joins back in the next year in another department/unit:
Marks for the framed KRAs will be assigned at the rate 5 per month.
Assessment of completed tasks shall be made by previous Reporting Officer.
Assessment of Part III (in case of both E2 to E5 & E6 to E7) or Part IV for
values (in case of E6 to E7) will be made by the new Reporting Officer.
New Reporting Officer may get verbal feedback of competency and values
from the old department of the executive, if required.
Note:-
HRD department shall design a performance measurement system which can be
given to institutions for issuing a certificate stating the grading of performance vis-à-
vis corresponding marks (pre-determined) of appraisee during the training period.
10. If an executive does not participate in the process for setting up of KRAs, attending
mid year review or annual assessment in time despite being given ample opportunity
to do so, the Reporting officer has the authority to complete the form in the absence
of the executive and forward the same to the Reviewing Officer indicating the non-
participation of the executive. The Reviewing Officer may offer an opportunity to the
executive to be heard. Having verified that the executive has voluntarily decided not
to participate in the PMR proceeding despite given sufficient opportunity, the
Reviewing Officer will forward the format duly completed to the Accepting Authority.

17
18
 Frequently asked questions (FAQs)
1. What happens in case an executive Joins Corporation on appointment in
the middle of the year.
In case the period of assessment more than 3 months-
• Marks at the rate of 5 per month will be assigned for the framing of
different KRAs in Part I.
• Marks obtained will be extrapolated for 60 marks to bring them at par
with other executives.
• Part II will be assessed based on the merit of the task performed.
If period of assessment is equal to or less than 3 months
• Framing of KRA may be ignored during that assessment year.
2. Executive is transferred from one department to another department within
the same unit/project.
• Assessment of the completed portion of tasks in Part I and Part II will be
evaluated by the previous Reporting Officer at the time of relieving the
executives from department and closed.
• Assessment of completed portion of task & framing KRAs and additional
tasks (if any) in new place of posting, local P&A department or DPC Cell
in Corporate Office will immediately handover the PMR Booklet to the
executive at the time of relieving.
• Executive will frame KRAs in new place of posting for the un-assessed
portion of marks and additional task (if any).
• If none of the tasks are fully completed during the previous posting then the
executive will frame KRAs in new place of posting at the rate 5 marks per month.
• Same will be extrapolated upto 60 marks after assessment.
• Assessment of Part III (in case of both E2 to E5 & E6 to E7 levels) and or
Part IV for values (in case of E6 to E7) will be made by the new Reporting
Officer. New Reporting Officer may get verbal feedback of competency and
values from the old department of the executive, if needed.
4. Executive reporting concurrently to 2 separate Reporting Officers under
same Reviewing Officer.
Such cases shall be put up and approval shall be obtained on case to case basis.
5. Executive reporting concurrently to 2 separate Reporting Officer under
different Reviewing Officers.
Such cases shall be put up and approval shall be obtained on case to case basis.
6. What happens in case Reviewing Officer and Accepting Authority are
same? Accepting Authority will assess the executive both as Reviewing
Officer and Accepting Authority.
7. Appraisee is working directly under the Accepting Authority.
Accepting Authority will assess the executive as the Reporting Officer,
Reviewing Officer and also as the Accepting Authority unless a Reporting
Officer is designated for the purpose.
8. Is it mandatory that each of the four perspectives (Financial, Customer,
Process Improvement and Employee Learning & Growth) has a KRA?
Yes, it is mandatory that each of the four perspectives have at least
minimum of one KRA.

19
9. Can the same KRA be given to more than one officer?
It is likely that many officers will share a departmental target the KRA can be
same for many officers.
10. What happens in case there is no reviewing officer?
In case there is no reviewing officer accepting authority will also act as
reviewing officer. But reporting officer cannot act as reviewing officer.
11. In case of transfer of appraisee to a new position/location, what is the time
limit for filling up his/her PMR.
In case of transfer of appraisee to a new position/location, the incumbent
must fill up Part- 1(C) of PMR within 15 days of taking up new role.
12. Are retiring/resigned employees are supposed to fill PMR?
Yes, employees retiring/resigned are entitled to fill their PMR subject to the
condition that the service left during the assessment year is not less than 03
months. Final numerical score of such employee should be reviewed and
accepted just before his retirement and be extrapolated to 12 months for
keeping parity with other employees for ranking.
However, if the superannuation of the employee comes within 03 months then he
needs not to frame annual work plan. However, within one month of his retirement
he should submit his PMR giving a pen picture of his contribution made during the
period to his Reporting Officer. The Reporting Officer will evaluate the same based
on the merit besides Reporting Officer will assess his competencies also.
13. What happens in case of death of an employee?
In case of death of an employee the PMR of such employees should be
assessed by the reporting officer, reviewing and accepting authority at the
end of the assessment year subject to the condition that his service in the
company during the assessment year is not less than 03 months.
14. Are dismissed employees/ employees under vigilance enquiry entitled for
PMS evaluation?
Dismissed employees under vigilance cases are not entitled for PMS evaluation.
15. Why shouldn't I give the highest possible marks to my subordinates to protect
their interest?
Firstly, giving highest possible marks does not necessarily protect the best interest of
your subordinate. In fact, it could very well work against his & your interest, if during the
first & second level review it becomes apparent that you have not been fair in
assessment. The system has been designed in such a manner that the internal checks
& balances would ensure that your subordinate gets rated fairly, if not at your
level then at higher levels. However, if you give exaggerated marks, you are
seen in a poor light as a Reporting Officer.

20
 Do’s and Don’ts (for online PMS)
1. For the Appraisee:
Do’s at the time of framing Annual Work Plan:
• Check and Fill up all the blank boxes, if any, with relevant information in the
page where your details are given.
• Always consult your Reporting Officer before framing your KRAs.
• Ensure that your KRAs are aiming towards the achievement of tasks of your
Reporting Officer, Department as well as the MOU targets of the organization.
• Try to write a few KRAs of challenging nature to show your capability and
remaining may be of routine nature. For middle level and senior level
executives challenging jobs should be more.
• If any task agreed by your Reporting Officer but not appearing in the
Directory, the same has to be added in the KRA Directory.
• In the case of selecting any task related to MOU, please mention your
contribution to achieve the task in measurable form in the space provided as
‘Action Plan’.
Don’ts at the time of framing Annual Work Plan:
• Don’t forget to look at the KRA Directory meant for you. Always select tasks
from the Directory.
• Don’t select KRAs which are not related to the business of your department
or the Corporation.
Do’s at the time of Mid Year Review:
• Take time from your Reporting Officer for discussion on your achievement.
• Get feedback from him on your performance so that there is a scope for
improving it during the year.
• After discussion with your Reporting Officer, indicate your achievement
against framed tasks in the space provided within the scheduled time and
forward it to the Reporting Officer.
• If any KRA is to be kept in abeyance/deferred due to unavoidable
circumstance, then replace it with one new KRA of same marks with the
approval of Reporting Officer. If sufficient time is not available to incorporate
a new KRA, then provide documents to the Reporting Officer to show your
efforts made till date to achieve that target so that a proportionate mark
based on merit can be awarded by the Reporting Officer against the KRA.
Don’ts at the time of Mid Year Review:
• Never hesitate to ask about your degree of performance from Reporting Officer.
• Never hide any fact which is posing a bottleneck for the progress of the work.
• Never hesitate to inform Reporting Officer if you need training in a particular
area for improving your performance level.
• Never argue with your Reporting Officer instead of convincing him about any
issue.
Do’s at the time of Final Assessment:
• Indicate the achievement against each KRA.
• Discuss with Reporting Officer to appraise the achievement and make him convinced
on your achievement. It is to be kept in mind that mere achievement of the target
may not invite full marks. Reporting Officer has the right to assign marks based on
the quality of the task and efforts given by the Reporting Officer himself.
• After discussion with Reporting Officer, indicate your achievement against
framed tasks in the space provided within the scheduled time and forward it
to the Reporting Officer.
Don’ts at the time of Final Assessment:
• Do not hesitate to show the records as a proof of the accomplishment of the
task, if Reporting Officer asks.

21
In case of transfer or new assignment:
• Request your Reporting Officer for complete the assessment for the
contribution made till the date of transfer.
• Get approval of Reporting Officer for getting activation of link for assessment
of your PMR.
• Indicate your achievement / contribution made against each KRA in Part I and
Additional task, if any, in Part II.
2. For the Reporting Officer:
Do’s at the time of approving Annual Work Plan (AWP) of your subordinate:
• Check that KRAs framed by the Appraisee to ensure whether those are in line
with the KRAs of you and your Reporting Officer.
• Distribute task among the executives under you with uniform workload as far
as possible.
• Encourage the Appraisee to select challenging task(s).
• Complete the process of framing of AWP of all the executives under your
control within scheduled time.
• Guide appraisee if he needs your help or support for achieving the target timely.
• Keep a track of the progress of Appraisee.
• Also keep a track on the performance of the executives working under you so
that there is a fair judgment while assessing their PMR .
• Suggest HRD Deptt. to include specific training need for your subordinate(s)
in the training calendar.
Don’ts at the time of framing Annual Work Plan:
• Don’t forget to refer the KRA Directory/MOU Booklet while approving the
KRAs of any appraisee.
• Never forget to release the Appraisee to attend to any planned training program.
Do’s at the time of Mid Year Review:
• Plan a schedule to review the progress of work of each of the executives under you.
• Meet the executives individually.
• Greet and counsel the executives with a positive and encouraging note.
• Give feedback them on their performance so that there is a scope for
improving their level of performance during the year.
• Inform the subordinate well within time in consultation with your Reporting
Officer if there is a need to change / modify any of the KRAs, so that he gets
opportunity to frame a new KRA as a replacement.
• If there is a need to change/modify/defer any task of executive working under
you, give approval of the same in writing in consultation of your Reporting
Officer so that action the same can be made.
• Complete the review process within the scheduled time.
Don’ts at the time of Mid Year Review:
• Never hesitate to point out your executive in any area where he/she is lacking
so that he/she can get a scope for improving.
• Never criticize your subordinate(s).
Do’s at the time of Final Assessment:
• Indicate the achievement against each KRA of the subordinate.
• Assign marks depending upon the type of selected KRA (i.e. Routine or
challenging one), its cost effectiveness, contribution towards the
accomplishment of your own KRA.
• While assigning marks on Part II, please refer to the instruction to see the
nature of additional tasks fall under this category.
• Assign marks to Part III (Competency) and Part IV (Values).

22
• While assigning marks you have put your executives under the criteria of Bell
Curve. So be careful while giving marks. Change marks of any of the executives
in Part II, Part III and Part IV wherever applicable to rank the executives in
descending order and ensure that no two executives get same marks in total
• After assessment of Part I, Part II, Part III and Part IV within the scheduled
time forward it to Reviewing Officer of the subordinate.
Don’ts at the time of Final Assessment:
• Once marks in the Part I freezes, do not change.
• Do not be biased while assessing a subordinate.
• Do not hesitate to see the records as a proof of the accomplishment of the
task, if you require to see or have any doubt.
• Never judge a subordinate based on his recent performance alone.
In case of transfer or new assignment of any subordinate:
• Evaluate achievement / contribution made against each KRA in Part I and
Additional task, if any, in Part II only.
• For unfinished tasks assign marks based on the time elapsed, degree and
progress of the task made by the subordinate.
• Assign the unfinished task to other so that the desired KRA is accomplished
within time.
3. For the Reviewing Officer:
Do’s at the time of Final Assessment:
• Evaluate all the executives under your control in one go, if possible, for better
judgment.
• While assigning marks you have put your executives under the criteria of Bell
Curve. So be careful while reviewing the PMR.
• Keep a track on the performance of the executive working under you so that
there is a fair judgment while reviewing their PMR .
• Change the marks in such a way that no two executives get same marks in total.
• Change marks of any of the executives in Part II, Part III and Part IV
wherever applicable to rank the executives in descending order.
• After assessment and ranking in descending order within the scheduled time
forward it to Accepting Authority of the subordinate.
Don’ts at the time of Final Assessment:
• Do not be biased while assessing an executive. Each executive is working for you only.
• Never judge a subordinate based on his / her recent performance alone.
4. For the Accepting Authority:
Do’s at the time of Final Assessment:
• Accept all the PMRs in one go as far as possible.
• Before accepting ensure that all the PMR have been received or not.
• While accepting the PMRs observe whether fair evaluation have been done or not.
• While accepting PMRs, put your executives under the criteria of Bell Curve.
• Change the marks in such a way that no two executives get same marks in total.
• Change marks of any of the executives in Part II, Part III and Part IV
wherever applicable to rank the executives in descending order.
• After assessment and ranking in descending order within the scheduled time
forward it to the custodian of the PMR for further action at their end.
Don’ts at the time of Final Assessment:
• Do not be biased while accepting PMR of an executive. Each executive is
working for you only.
• Never judge a subordinate based on his / her recent performance alone.

23
PERFORMANCE MANAGEMENT SYSTEM
PROCESS FLOW

24
PERFORMANCE APPRAISAL FOR THE EXECUTIVES IN E-8 AND E-9 GRADE.

Executives in the level of E-8 and E-9 grade shall use format for their
Performance Appraisal Report circulated by DPE.

The Performance Appraisal Report comprises 06 sections.

Section- I. Basic information of the officer reported upon.

Section –II. Self appraisal of the officer reported upon.

1. Brief description of responsibilities.

2. Annual workplan deliverable and achievement.

3. 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).

4. Constraints that hindered your performance.

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

6. Declaration regarding submission of property return, Medical check-up and annual

work plan for all the officer for whom the officer reported upon is the reporting officer.

Section –III. Appraisal of the Reporting Authority relating to the accomplishment filled
in section-II and Personal Attributes and Functional Competencies.

Section- IV. Review by the Reviewing Authority: Over all grades should be computed
by summing up the weightage average in assessment of the achievements
made and Personal Attributes and Functional Competencies.

Section-V. Acceptance by the Accepting Authority.

Section-VI. Review by the Accepting Authority in the light of the representation

received from the officer reported upon.

Evaluation of KRAs filled in section-II and Personal Attributes & Functional Competencies
should be assigned on a scale of 1-5, in maximum of 2 decimal numbers, with 1.00
referring to the best grade and 5.00 to the lowest grade. Weightage to KRAs will be 75%
and Personal Attributes & Functional Competencies will be 25%.

Appeal procedure will be same as that for E-2 to E-7. Representation, if any,
against the assessement of the achievements made against the targets and
assessment of Personal Attributes and Functional Competencies shall be
considered as per the terms mentioned for other executives of the corporation.
Normalization of scores for the purpose of payment of PRP will be as per method
adopted for the other Executives in the corporation.

25
Description of Personal Attributes and Functional Competencies for E-8 & E-9

S. Personal Attributes and Functional Description of Personal Attributes and Functional

No Competencies Competencies
I) Effective communication skills Communicates articulately and assertively to
influence critical stakeholders and strives to
achieve a win-win solution.
ii) Strategic orientation and Decision Demonstrates comprehensive business and
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 Analytical Analyzing and solving a problem by identifying the
ability elements and relationships of a problem in a
systematic way and identifying logical links.
iv) Ability to develop and motivate Provides direction and support, encourages team
team members work, inspires and motivates team and manages
conflict to accomplish group objectives while focusing
on capability enhancement of the team
v) Ability to coordinate and develop Builds collaborative partnerships with internal and
collaborative partnerships external stakeholders and leverages relations through
networking to meet organizational objectives.
vi) Innovation and change orientation Takes initiative; manages and champions change and
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 competency Demonstrates knowledge of rules and laws, systems
and processes, functional domain and IT applications
in order to carry out the assigned role with conviction.

26
 ANNEXURE-II

FORM
PERFORMANCE APPRAISAL REPORT OF EXECUTIVES in E-8 and E-9 grade
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 reported upon

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: ______________________________

27
7.Reporting, Reviewing and Accepting Authorities during the year

Period worked
Name & Designation
from To

Reporting
Authority

Reporting
Authority

Reporting
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

Details of subjects
S. Details of Institution from
studied and
No. Qualification which studied
the marks obtained

28
(b) Details of Training programme attended during the year

Date from Date to Institute Subject

10. Awards/Honours received during the year

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

29
12. Date of filing the property return in the prescribed format for the year
ending 31st December, _________.

13. Date of last prescribed medical examination (for officers over 40 years of age).
Please attach a copy of the summary of the medical report. (Suggested format
of detailed and summary of the medical examination report is at Appendix I)

Date:
Signature:

Name & Designation of the officer of the

Human Resource/Personnel/Administration Department

30
1. Brief Description of responsibilities:

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

31
2. Annual work plan and achievement:

Tasks to be
Weightage Deliverables Achievement
performed

I - MOU Targets *3 - *4

II - Other key assigned

tasks flowing from MOU

ii)

ii)

iii)

iv)

v)

vi)

vii)

viii)

ix)

x)

Total (i to x) *5

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.
3. The weightage for MoU targets is 75 for Chief Executives, 40 for Functional Directors and 25 for Executive
Directors/General Managers.
4. The final MoU score based on audited accounts conveyed by DPE should be filled in this space.
5. The total weightage for other assigned tasks flowing from MoU is nil for Chief Executives, 35 for Functional
Director and 50 for Executive Directors/General Managers.

32
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 (within100 words):

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:

33
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 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

Yes/No
property return in the
prescribed format as due? If
yes, please mention the date.

Have you undergone the Yes/No

suggested medical check up?

Have you set the annual work Yes/No

plan for all officers for the
current year, in respect of
Yes/No whom you are the
Reporting Authority?

Signature of the officer reported upon

Date:

34
 Section III - Appraisal of the Reporting Authority (Please read the relevant
instructions attached to this form before filling up this section)

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.

35
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?

36
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 1-5, in maximum of 2 decimal numbers, with 1.00 referring to the best
grade and 5.00 to the lowest grade. Weightage to this Section will be 75%).

Particulars Reporting Reviewing

Weight age Authority Authority Initials of
Reviewing
Absolute Weighted Absolute Weighted Authority
grade grade grade grade

(a) (b) (c=axb) (d) (e=axb)

I - MOU Targets *6 *7

II - Other key
assigned tasks

ii)

ii)

iii)

iv)

v)

vi)

vii)

viii)

ix)

x)

Total (i to x) *8 - -

III – Grand Total II & III 75 - -

Overall Grade = - - -
Grand Total/100
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 dividing the total by 100 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/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/General Managers.

37
7. Assessment of Personal Attributes and Functional Competencies (Grades should be
assigned on a scale of 1-5, in maximum of 2 decimal numbers, with 1.00 referring to the
best grade and 5.00 to the lowest grade. Weightage to this Section will be 25%)

Particulars of Personal Attributes and Grade by Grade by Initials of

S. No. Functional Competencies Reporting Reviewing Reviewing
Authority Authority Authority

ii) Effective communication skills

Strategic orientation and Decision making

ii)
ability

iii) Problem solving and Analytical ability

iv) Ability to develop and motivate team members

Ability to coordinate and develop

v)
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/40)

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 40 and rounding off to 2 decimals.
a) Personal Attributes and Functional Competencies should be judged in the backdrop of Leadership ability to
lead by example, particularly in challenging circumstances.
b) Item nos. iv and v on the team work should be evaluated based on the ability of the incumbent to perform as a
member of a team and enhance team performance.

38
8. Integrity (Please comment on the integrity of the officer reported upon
by choosing any one of the following options):

i) Beyond Doubt

ii) Nothing adverse has been reported to me

about the officer

iii) Not watched the officer’s work for sufficient

time to form a definite judgment

iv) Since the integrity of the officer is doubtful, a

secret note is attached

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.

39
10. Overall grade (on a grade of 1 - 5) 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 and Item no. 7.

Signature of Reporting Authority

Date: Name & Designation of the Reporting Authority

40
 Section IV – Review by the Reviewing Authority (Please read the
relevant instructions attached to this form before filling up this
section)

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 a scale of 1 – 5 (Grades should be assigned on a scale

of 1-5, with 1 referring to the best grade and 5 to the lowest grade). The
overall grade should be computed by summing up the weighted average
grade obtained in Item No.6 and 7 of Section III.

Signature of Reporting Authority

Name & Designation of the Reporting Authority

Date:

41
 Section V – Acceptance by the Accepting Authority (Please read the
relevant instructions attached to this form before filling up this section)

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 1 – 5 (Grades should be assigned on a scale

of 1-5, with 1 referring to the best grade and 5 to the lowest grade).

Signature of Accepting Authority

Name & Designation of the Accepting Authority

Date:

42
 Section VI – Review by the Acceptance Authority in the light of the
representation received from the officer reported upon

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 1 – 5

(Grades s h o u l d be assigned on a scale of 1-5, with 1 referring to the
best grade and 5 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.

43
 (भारत सरकार एवं उ. . सरकार का संयु त उप म)
(A Joint Venture of Govt. of India & Govt. of U.P.)

No.THDC/RKSH/CP/101/ Date:10.11.2014

CORPORATE PERSONNEL CIRCULAR NO. 09/2014

Sub:- Timely submission of Performance Management Report (PMR) and

payment of Performance Related Pay.

Instructions have been issued from time to time regarding the procedure for filling
up the Performance Management Reports (PMR) along with specific timeline for
submission of PMR by the appraisee.
All Executives and Supervisors shall strictly adhere to the timeline for submission
of PMR. To regulate the payment of PRP on non-availability of PMR, the
following Procedure shall be applicable from the Appraisal Year 2015-16:
I. In case appraisee fails to frame KRAs at the time of performance planning, he/she
will loose the opportunity to fill the PMR for the entire appraisal year. At the time of
Final Evaluation, Reporting Officer will directly assess the performance of the
appraisee in Part- 1 D based on the task completed by the appraisee during the
respective year. Reporting Officer will assess also in Part-II (additional Task) and
Part-III & IV (competencies and Values) as the case may be. Such finalized PMR by
the Reporting Officer is not subject to any appeal by the appraisee.
II. Individual PMR rating of the concerned Appraisee shall be considered as one grade
lower than the MOU rating for the relevant financial year in case of non availability of
PMR due to the exception enumerated below and such cases will not be covered
under bell curve approach and will be only for the purpose of payment of PRP.:
a) Not recording PMR for the concerned period by the appraisee where the
period of recording PMR is less than 03 months in the assessment year.

(I. Tigga)
Sr. Manager
(Personnel)

44
 (भारत सरकार एवं उ. . सरकार का संयु त उप म)
(A Joint Venture of Govt. of India & Govt. of U.P.)

NO: THDC/RKSH/CP/Policy/101/ /3-7 Dated: 21.04.2016

CORPORATE PERSONNEL CIRCULAR No. 05 /2016

Sub: Guidelines relating to filling up the Integrity Column of Annual

Performance Assessment Reports — Reg.

Pursuant to guidelines issued by Department of Personnel & Training, remarks

against the integrity column of PMRs of the executive reported upon shall henceforth
be made by the Reporting Officer in one of the options mentioned below:-
i). Beyond doubt.
ii). Nothing adverse has been reported to me about the Officer.
iii). Not watched the Officer's work for sufficient time to form a definite judgement.
iv). Since the Integrity of the Officer is doubtful, a secret Note is attached.
Necessary changes have been incorporated in the PMR format.
Following guidelines may be followed by the Reporting Officer for filling up the
column relating to integrity in the PMRs:-
a) Reporting Officer should maintain a confidential diary in which instances
which create suspicion about the integrity of the executive/appraisee should
be noted from time to time and action be taken to verify the truth of such
suspicion expeditiously by making confidential enquiries. At the time of
recording final appraisal in the PMR, this diary should be consulted and the
material information utilised for filling the column about integrity.
b) If the column is not filled on account of unconfirmed nature of the suspicion,
then in that event, the column pertaining to integrity in the PMR should he left
blank and a separate secret note about the doubts and suspicion regarding
the Officer's integrity may be recorded simultaneously and followed up.
c) A copy of the secret note should be sent together with the PMR to the Reviewing
Officer who may ensure that the follow up action is taken with due expedition.
d) If as a result of aforesaid follow up action, the executive is exonerated, his
integrity should be certified and suitable entry made in the PMR. If suspicion
regarding his integrity is confirmed, then the fact may be recorded in the PMR
and also communicated to the executive concerned.

45
e) There may be instances where an Officer is serving in a remote Station and the
Reporting Officer has not had occasion to watch his work closely or when the said
Officer has worked under the Reporting Officer only for a brief period or has been
on long leave, etc. In all such cases, the Reporting Officer should make an entry
in the integrity column to the effect that he has not watched the Officer's work for
sufficient time to be able to make any definite judgement either/ or that he has
heard nothing against the executive's integrity, as the case may be.
However, it will be necessary for the Reviewing Officer to make efforts to form a definite
judgement about the integrity of those working under him as early as possible.
f) In cases where after a secret report/note has been recorded expressing
suspicion about the executive's integrity and the inquiries do not disclose
sufficient material to remove the suspicion or to confirm it, then in such cases,
the executive's conduct should be watched for a further period and such
executive as far as practicable should be kept away from positions in which
there are opportunities for indulging in corrupt practices.
The above procedure may be strictly followed for compliance.

(N.K. Prasad)
Dy. General Manager
(Personnel)
Distributio:
1. ED, Pipalkoti
2. GM (Tehri Complex)/(Tehri Stage-I), Tehri
3. GM (D&E-Civil/EMD)/(P&A)/(OMS, QA&S)/(Comml.)/
(Planning/MPS)/(Services)/ (S&E)/(Finance), RKSH
4. GM, Koteshwar
5. GM (SP), NCR Office, Kaushambi
6. AGM (HRD)/(Contract)/(L&A), Rishikesh
7. AGM (P&A), Tehri/AGM (NP), NTT
8. Chief Record Officer, Rishikesh
9. AGM (IT), Rishikesh: With a request to upload the same in THDCIL website
in employees portal.
10. AGM (1E), Rishikesh
11. AGM (Finance-Budget)/(Vigilance), Rishikesh
12. AGM, Liaison Office, Lucknow.
13. DGM (Comml./Personnel), Kaushambi.
14. DGM (Pers.-Estt.)/(Admn.), Rishikesh
15. Company Secretary, Rishikesh
16. DGM(P&A), Koteshwar/Pipalkoti
17. DGM (Fin), Tehri/Koteshwar/Pipalkoti
18. Sr. Manager (Fin.), Kaushambi
19. TS to CMD, Rishikesh
20. TS to D(T)/Sr. ES to D(P)/ES to D(F) Sectt Rishikesh
21. Office Order File

46
 ANNEXURE-I

(FORMAT FOR MAKING APPEAL AGAINST PMR SCORE BY THE EMPLOYEE)

Dated:_________
To,
The Appellate Authority
THDC India Limited
Appraisal Year:__________

(To be filled by Appraisee)

Sir,

I am in receipt of my PMR for the year________ vide letter No.________dated

_______. On perusal of the PMR entries, I have following grievances regarding
the assessment of Reporting Officer/Reviewing Officer/Accepting Officer:

(A) Appraisee’s Comments with regard to assessment against KRAs:

Sl. No. KRAs Marks allotted by Comments of appraisee on the

Number specific KRAs.
Reporting Reviewing Accepting
Officer Officer Authority

(Please note that the appeal in case of KRAs shall lie only if there is a deviation in the score
awarded by the Reporting Officer and Accepting Authority against individual KRAs and the
total marks allotted to all the KRAs in Part-I(D) is equal to or more than 15% taken together )

(B) Appraisee’s Comments with regard to assessment for additional tasks:

Details of Comments of appraisee on the
Sl. No. Marks allotted by
additional tasks specific additional tasks.
Reporting Reviewing Accepting
Officer Officer Authority

47
( C) Submission regarding assessment of competencies:

Sl. No. Competencies Marks allotted by Comments of appraisee on the

specific competencies.
Reporting Reviewing Accepting
Officer Officer Authority

( D) Submission regarding assessment of values:

Details Comments of appraisee on the
Sl. No. Marks allotted by
of values specific values.
Reporting Reviewing Accepting
Officer Officer Authority

It is therefore, requested to kindly review my PMR keeping in view my above

observations/grievances and the final PMR score may be communicated to me.

Thanking you,

Place:

Date: (Signature of employee)

Name : …………...……..
Emp No. : ……......………..
Designation : ……………....….
Deptt : …………..….…..
Unit : ………………….

48
Comments on the representation submitted by the appraise:

Comments of Reviewing Officer, if any:-

Signature………………..…..

Name ……………………….

Designation…………………

Comments of Accepting Authority, if any:

Signature…………………..

Name ………………………. Designation………………

49
 " I tell this to all recent hires. Good
enough is neither good nor enough."
This Handbook is only a guide to the Performance
Management System in the Corporation. However, in
case any discrepancy the HR Manual & Policy/Circulars
issued shall prevail.

Thanks
50
 (भारत सरकार एवं उ. . सरकार का संयु त उप म)
(A Joint Venture of Govt. of India & Govt. of U.P.)

(शे यूल ‘ए’ – म न र न ( ेणी-I) पी एस ई

SCHEDULE 'A' - MINI RATNA (CATEGORY-I) PSE

Ganga Bhawan, Pragatipuram, Bye Pass Road, Rishikesh-249201, Uttarakhand