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APAR instructions 2015-16 1/7

RITES CORPORATE OFFICE (PMS SECTION)

CIRCULAR

No. PERS/23/7/Policy Dated: 02.06.2016

Instructions for finalization of APARs for the year 2015-16 are as under:-

1. On Line APARs: From the year 2015-16 and onwards, APARs of employees (other than Deputationists and Executives belonging to E-8 level(GM and above) would be processed and accepted in online format only. This has already been communicated to all employees vide letters referred to above.

E-PMS is accessible from APAR link on ESS portal (ritesess.com). All departmental heads are requested to kindly communicate it to the employees under their control. SBU/Divisional/Department Heads are requested to review the reporting structure of their SBU using their ESS account (ESSAPARFiling of APAR 2015-16SBU HeadsReporting Structure) and get the same updated, wherever required.

The employees can access the portal at http://ritesess.com/ess and submit their initial goal setting; mid-year review (only for executives) and self appraisal on the links ESSAPARFiling of APAR 2015-16.

2. Timely finalization of APARs:

Timely finalization of APARs is one of the important factor/s for proper implementation of Performance Management System. The time limits are indicated in Annexure I. All concerned are advised to follow these time limits scrupulously.

3. Level of Initiation/Reviewing/Accepting of APARs: The levels of initiating/reviewing/accepting authorities are indicated in Annexure II. For P&A and F&A personnel posted in other divisions, the authorities for initiating /reviewing/accepting of APARs are as per Annexure III. The initiating/reviewing authority concerned should have supervised the work of employee concerned for a period of at least three months. The authorities can Report/Review/Accept, the performance of their subordinates within one month only of their superannuation.

Sub:

APARs for regular employees upto the rank of AGM for 2015-16

Ref: i- This office letter no. PERS/E-PMS/ dated 19.10.2015, ii- This office letter no. PERS/E-PMS/2 dated 22.12.2015 and iii- This office letter no. PERS/E-PMS/3 dated 19.02.2016

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4. Reporting/Reviewing/Accepting Authority for Secretaries:

For Secretaries, the controlling officer can function as Reporting, Reviewing and Accepting authority subject to the levels mentioned in Annexure-II. In case controlling officer is of lower rank than the Accepting Authority, such APAR would be finalised by an Authority of the level of Accepting Authority or a higher authority.

5. Initiation of Executives of E8 and above:

The APARs of Executives of E-8(GM) level and above require MOU score, which is available only in the month of December. To ensure timely completion of APARs, it has been decided that such executives shall submit their self appraisal (APAR) to the PMS cell by 15th June. The PMS cell would fill up MOU score on its receipt from DPE and submit it to reporting/reviewing/accepting authority concerned for finalisation.

6. Implementation of bell curve:

The management has decided that accepting authorities (SBU heads/EDs for Non Executives, ED’s for Executive cluster I & II and Directors for Executive Cluster III) must ensure that the rating distribution follow the below mentioned distribution in the relevant cluster within a division:-

i- OS(85 and above) – Not more than 40% ii- 90 and above- Not more than 1/3rd of OS population iii- Very Good (70 to 85) and above – Not more than 70%.

7. Process for implementation of bell curve:

All employees are advised to complete their self-appraisals within a period of 15 days of date of this letter and submit on line to their reporting authority concerned. The Reporting Authority shall complete the reporting of APARs. For this purpose Divisional Heads concerned shall counsel the officers concerned in advance, to follow the bell curve instruction indicated in para 6 above. On receipt of reporting of APARs of a cluster of the Division, PMS cell shall generate a list of ratings and would hand over to Executive Director and Director concerned. Executive Director would review these with regard to bell curve implementation and issue suitable guidelines to all concerned (the reviewing authorities) to follow the bell curve, at the stage of review itself so that instances of large scale deviations are taken care of before review and acceptance of APARs of Executive Cluster level-II and below; as well as of review of APARs of Executive-III and above. While accepting or reviewing APARs, Divisional Heads shall ensure that the bell curve instructions are followed generally. It may be noted that PMS (timely finalisation, following bell curve, objective assessment etc) shall compulsorily be one of the criteria of assessment in APARs of Executive Directors, carrying a weightage of upto 7 marks. Executives of the level of GM & above, should include this as one



of the factor of assessment within a weightage of upto 5 marks. All EDs & GM/GGM should include it as one of the criteria while filling up their own APAR for the year 2015-16 onwards. In view of the numbers of Executives working in Executive Cluster-III in Expotech, Technical Services, QA and RES divisions being low, they shall form one bell curve unit.

8. Disclosure of APARs by PMS section

Since APARs are being processed online, disclosure would be done by system administrator/PMS Cell only online after acceptance by the accepting authority. It would be uploaded on the portal which can be viewed by the employee. To facilitate, a email would be sent by system on the registered email ID of the employee concerned, wherever id of an employee is available. In other cases, where e-mail accounts are not available on ERP system, the employee concerned may log in to their ESS account to view the same.

Employees who have not got their email accounts registered with ERP system; are advised to get their email registered to facilitate instant communication on e-PMS, as well on other employee related matters. Once the APAR has been uploaded on the ESS portal, it would be deemed to have been disclosed.

9. Representation:

The appraisee (employee) may make a representation, if any online against the entries or the final grading in his/her APARs, within 15 days from date of disclosure. If no representation is received within stipulated time, APAR would be treated as final. The representation should be restricted to 300 words giving specific factual observations contained in the report on the assessment of the appraise in terms of personal attributes, work output, functional competencies etc, with which the appraise disagrees. The representations shall be finalised by an authority higher than the Accepting authority. In case, CMD is the Accepting authority, the same would be finalised by CMD. For representation at the level of GM (E-8) and above either CMD on his own or a committee of three Directors nominated by CMD shall examine the representation. In case of non availability of three directors, the committee may consist of two directors and one ED. The recommendations of the committee would be put up to CMD for approval.

10. Procedure & FAQs

9.1 A presentation detailing E-PMS, FAQs on procedure is attached herewith, a copy is also

available within APAR link of ESS portal for online help and guidance.



Annexure I

TIME SCHEDULE FOR COMMENCEMENT & COMPLETION OF APAR for financial year ending March’

2016 (Up to EXECUTIVE CLUSTERS II)

S. No. ACTIVITY CUT OFF DATE/ COMPLETION DATE

1 Submission of APAR form after self-appraisal, if any, by the officer reported upon to the Reporting Officer

15 days(from the date of issue of this letter)

2 Submission of APAR by the Reporting Authority to the Reviewing Authority


3 Submission of APAR by the Reviewing authority to Accepting Authority


4 Acceptance of APAR by the Accepting Authority 50 days(from the date of issue of this letter)

5 Disclosure of APARs by the system 60days(from the date of issue of this letter)

6 Submission of representation, if any, by the officer reported upon, to the competent authority

Within 15 days from the date of disclosure of APAR

7 Finalization of representation by the competent authority and communication of the decision

30 days from the date of disclosure of APAR

8 After representation is disposed off, and the employee is replied suitably, the APAR shall be treated as final.

Within 7 days of finalization of representation



Annexure-II S. No. DESIGNATIONS Cluster Grade Reporting Authority Reviewing Authority Accepting Authority* Normalisation

AUTHORITIES NOT LESS THAN 1 Messengers, Field Helpers, Khalasis, Malis,

Watchman-cum Record sorter etc. NE-I NE-I Immediate controlling

officer Officer to whom the reporting authority reports to

SBU head If not already reported/reviewed by SBU head

ED (Only for > 90)

2 Jr. Asst-Typist, Sr. Record Sorter, Jr. Accts Asst., Tracer, Data Entry Operator, Xerox Optrs, Xerox Operator, Drivers etc.

NE-II NE-II

3 Assts., Accounts Asstts., Sr. DEOs, Drivers, Xerox Optrs., Jr. D’’Men, GT Asstts., Survey Asstts etc.

4 Sr. Asstts.,Sr. Accounts Asstts., Drivers, Xerox Optrs., Data Entry Supervisors/Console Optrs, TA etc.

NE-III NE-III

5 Section Officers & Accountants etc. 6 Asstt Engineer/Asstt. Officer/Asstt. Accts.

Officer E-I E-0 ED if not already

reported/reviewed by ED -

7 Engineers, Jr. Managers E-1 8 AMs (P), AMs (C), Secys/AMs (Admn), AIEs, Sr.

Programmers, AMs (Accts) E-2

9 Managers, Spl. Secy-cum Managers (Admn), Sr. System Analysts & Translators Etc.

E-3

10 Dy. GMs E-II E-4 11 Sr. DGMs E-5 12 JGMs E-III E-6 Director if not already

reported/reviewed by Director 13 AGMs E-7 14 GM/GGM E-IV E-8 GM/GGM/ED DIRECTOR CMD 15 EDs E-9 DIRECTOR CMD CMD * APARs to be forwarded to accepting authority through system



Annexure-III

PARTICULAR PERSONNEL FINANCE

Regional/ Project/

inspection office

Reporting SBU Head of division where posted

SBU Head of division where posted

Reviewing GM/P&A Division Finance Officer/GM(F)/GGM(F)

Acceptance Appropriate Authority of discipline

Appropriate Authority of Finance

Corporate office

Reporting SBU/ Divisional Head of division where posted

SBU/ Divisional Head of division where posted In case reporting to 2 divisions, Senior ED/ Senior SBU Head

Countersign** GM/P&A GM/GGM(F)

Review Division Head/ Director concerned where posted

GM/GGM(F)

Acceptance Appropriate Authority of discipline

Appropriate Authority of Finance discipline


FAQ & General Instructions

General Instructions1. It is recommended that the user of E-PMS write the content to be entered into the system on an

excel sheet, word document etc. and then copy past the content to the required space on theonline form. This would ensure that data is not lost in case of there is loss of connectivity ortimeout from the system.

2. It is recommended that user should frequently save his work on E-PMS using the save featureavailable with different forms to avoid re-work.

3. System does not to save the user entries when two special characters namely & (ampersand)and ‘(apostrophe) are present in the text. Users are requested to avoid using these twocharacters when filing APARs through online-PMS.

4. The E-PMS system would be open for APAR submission only as per the time schedule. After thelast date is passed, the system will not be accessible.

1/6FAQ on EPMS (Online Performance Management System)



Resolving Issues encountered on using E-PMS on Internet Explorer

• Login to ESS Portal.

On Internet Explorer go to Tools Compatibility View Settings. Click Add.

Then on Internet Explorer go to Tools Internet Options.

Go to Privacy Tab Advanced.

Tick “Override automatic cookie handling” and “Always Allow Session Cookie”.

To approve APAR, go to MSS and select Approve_Apr link.




Representation and Finalization

1. The appraisee (employee) may make a representation online(if any) against the entries and thefinal grading in his /her APARs within 15 days from the date of disclosure.

2. If no representation is received within stipulated time , the APAR will be treated as final.

3. The representation should be restricted to 300 words giving specific factual observationscontained in the report on the assessment of the appraisee in terms of personal attributes , workoutput, functional competencies etc., with which the appraisee disagrees.

4. The representation shall be finalized by an authority higher than that of the accepting authority.Incase , CMD is the accepting authority , the same will be finalized by CMD.

5. For representation at the level of GM(E-8) and above, either CMD on his own or a committee of three Directors nominated by CMD shall examine the representation.Incase of non availability of three directors , the committee may consist of two directors and one ED. The recommendations of the committee would be put up to CMD for approval.




Frequently Asked Questions(FAQ)Q1. Which all browsers are supported by “E-PMS”?A1. Mozilla, Chrome. There may occur problems with Internet Explorer. Please make, changes as under, if Internet Explorer is used for swift process flow:-

i- Go to Tools Compatibility View settings. Click add. ii- Then go to tools and select Internet optionsiii- Go to privacy Tab Advancediv- tick “ Override Automatic Cookie Handling” and “ Always Allow Session Cookie’.v- Now it will work hassle free through browser Internet explorer.

Q2. From which year is online PMS applicable?A2. From appraisal cycle 2015-16. Appraisals for 2014-15 and earlier would be on paper only.

Q3. Are all employee covered in E-PMS?A3. All employees except deputationists and E-8 and above are covered.

Q4. How will I know who my reporting, reviewing and accepting authorities?A4. These are preset in the system.




Frequently Asked Questions(FAQ)

Q5. What if my reporting/reviewing/accepting authority shown in the system is incorrect or missing?A5. All SBU heads, Divisional Heads, Directors have been provided access to review and change the Reporting Structure of their SBU. Therefore employees should get the reporting structure updated through their department heads.

Q6.From where can I access the system to set my goals or complete the year end assessment?A6.Appraisee can access the various stages of EPMS thought the following process:

ESS Portal >Employee Self-Service>Employee Services>APAR>Filling of APAR 2015-16

Q7.From where can the Appraiser/Reviewer/Acceptor take action on the work submitted by the appraisee?

A7. This can be done through >ESS Portal >Manager Self-Service>Approve_Apr.

Q8.What if Appraiser/Reviewer/Acceptor are the same.A8. In this case the system will automatically bypass the middle stages and will directly reflect thefinal stage. Hence the form needs to be filled only once. However, same marks will be reflected in allstages.




Frequently Asked Questions(FAQ)

Q9. How can the Div. Heads/SBU Heads keep a tab on progress of their Div/SBU wrt E-PMSA9. All SBU heads, Divisional Heads have been provided access to various reports through their ESS login, wherein they can check the real time status of each employee with respect to different phases of appraisal such as goal setting, mid-year and year-end appraisal. You can access through ESS Portal >Manager Self-Service>Approve_Apr>List of Appraisee.



Online Performance Management System

1/19

Appraisal Cycle 2015-16 and Onwards

Presentation on E-PMS (Online Performance Management System)


Background Online Performance Management System is being launched at RITES for the appraisalCycle 2015-16 Onwards. This is one of the MOU 2015-16 target for RITES.

At this stage all regular employees up to E7 grade are covered by the system Employee who would be Separating/Resigning/Superannuating/Repatriating on or before 31st March 2016can fill up their APARs (2015-16) on paper.

Online PMS can be accessed from RITES ESS portal under the APAR menu

2/19Presentation on E-PMS (Online Performance Management System)


Goal Setting Page for Appraisee

An Employee is required to click on the goal setting option under the corresponding menu to file their APAR under Appraisee Menu.



Goal Setting Page for Appraisee

Similar screens wouldbe their for all theroles.

The system also hasreports for users tocheck status etc.

Save work to complete later

Send Goals to Appraiser for approval



Mid Year Review: Appraisee

•The process is same as goal setting.•It will reflect the goals accepted in goal setting.•However ,you can adjust goals to reflect real time changes in work allocation.

Incase there is no change in the goals, it can be indicated here and sent to the appraiser for

approval.



Year End Assessment: Appraisee

Select this button to make entries for KPAs

Save the form to work on it

later

Send to appraiser after

successful completion



Year End Assessment: Training Needs

Enter your Developing and

Training needs for the year

Send to appraiser after successful

completion



Year End Assessment: Training Attended

Make Entries For Yearly Training

Details


completion



Year End Assessment: Appraisee Remarks

Self Assessment in 100 Words


completion



Goal Setting/Mid Year Review: Appraiser

•A similar form will appear for Goal Setting as well.

•Once approved this stage will be locked , wherein no further changes will be possible.

•Appraiser can approve or resend to appraisee for certain corrections. Reason for the same can be mentioned in the comment section.



Year End Review: Appraiser

•For viewing/approving APAR of reporting employees, an Appraiser can visit Approve_AprR tab under Manager Self-Service section of ESS.




By clicking on employee number the appraiser can access the goals set/mid year report/self appraisal by the appraisee.




•Assessment can be done by selecting the highlighted tab.•Appraiser has to complete all sections before forwarding it to the next level in the appraisal process.



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