Master Circular No. 28

Confidential Reports on Non-gazetted Railway servants - Master Circular

The instructions issued by the Railway Board from time to time on the subject of preparation and maintenance of Confidential Reports on non-Gazetted Railway servants are contained in several letters. It has now been decided by the Railway Board to issue a consolidated master circular, as below, incorporating all the instructions issued so far on the subject for the information and guidance of all concerned.

General:

2. The Confidential Report is an important document, providing for the basic and vital inputs necessary for assessing the performance of a Railway servant for his/her advancement in official career. The Railway servant reported upon, the Reporting Authority and the Reviewing Officer should, therefore, fill in the form with a high sense of responsibility.

3. The report should be written annually on every Railway servant, except those mentioned below, in the form prescribed for the purpose, generally for the period ending with the financial year, appraising the performance, character, conduct and qualities of the concerned Railway servant:

a.     Group 'D' Railway servants:

[Ref: Board's letter No. E 55 CR 3/3 dated 09.11.1956]

b.     Group 'C' Railway servants in the initial recruitment grade of Rs. 950-1500 (RPS), except those working in the Ministry of Railways;

[Ref: Board's letter No. E(NG)57/CR/3/1 dated 14.06.1966]

c.      Group 'C' Railway servants whose initial grade is higher than the grade of Rs. 950-1500 (RPS) provided the next higher grade for them is a non-selection grade, except in the case of Skilled Gr. I & II Artisans staff for whom Confidential Reports shall be written for those in two grades below the selection grade.

[Ref: Board's letters No. E(NG)67 CR 3/2 dated 23.10.1967
and E(NG)I/81/CR/8  dated 22/26.09.1981]

Forms prescribed:

4. The forms prescribed for writing the Confidential Reports, since the reporting year 1986 are enclosed as Annexure-I to VI.

Annexure-I: - For all Group 'C' Railway servants, including Workshop Staff, but excluding PWIs, APWIs, IOWs, AlOWs, SIs, ASIs, Teachers / instructors and those working in grade Rs. 1200-2040 (RPS).

Annexure-II: - For IOWs & AlOWs.

Annexure-III: - For PWIs, APWIs, SIs and ASIs.

Annexure-IV: - For Teachers / instructors in Teaching / Training institutions.

Annexure-V: - For Group 'C' Railway servants in Gr. Rs. 1200-2040 (RPS).

[Ref: Board's letters No. E(NG)I/86/CR/5 dated 22.04.1987 (RBE 83/87)
and E(NG)I/86/CR/5 dated 23.06.1987 (RBE 83A/87)

4.1 In respect of Railway servants working in grade Rs. 1600-2660 (RPS) and in grades above Rs. 1600-2600, likely to be considered for promotion to Group 'B' Gazetted service, an additional section called Section-II is required to be written in the prescribed form as per Annexure-VI.

[Ref: Board's letters No. E(NG)II-75 CR/9 dated 14.09.1976;
 E(NG)I/86/CR/5 dated 22.4.1987 (RBE 83/87)
 and E(NG)I/86/CR/4 dated 23.02.1988 (RBE 32/88)]

4.2 : For Group 'C' staff in Hindi Deptt. a separate proforma for writing confidential reports has been prescribed and circulated separately. Reporting, reviewing and counter signing authorities in respect of this category of staff have been laid down vide Board's letter No. Hindi -86/OL-1/3/16 dated 7.11.1988 as modified by letter No. Hindi-90/OL-1/3/14 dated 14.2.1991.

Inserted vide Supplementary Circular No. 2 issued under Railway Board's letter No. E(NG)I/96/CR/6 dated 21.11.1996 (RBE 111/1996).

Self appraisal:

5. Every Railway servant working in Gr. Rs. 1600-2660 and in grade(s) above Rs. 1600-2660, should, before the CR is initiated, furnish a brief description of his duties and a resume of the work done by him during the year/period for which CR on him/her is written, bringing out the special achievements during the period and also shortfall in achievement, if any together with reasons therefor. This should he done in part-II of the CR form.

Reporting Authority & his duties:

5.1 The confidential report should be initiated by the Reporting Authority, who was, during the period for which the CR is written, immediately superior to the Railway servant on whom the report is written, or such other authority as may be specifically empowered in this behalf by the General Manager or any other officer authorised by him.

[Ref: Board's letter No. E(NG)I/81/CR/5 dated 26/30.09.1981]

5.2 The confidential reports on Railway servants working in grades below Rs. 1600-2660 (RPS) should be initiated by Supervisors working in Gr. Rs. 2000-3200 (RPS) and above. For those working in Gr. Rs. 1600-2660 (RPS) and above, the report should be initiated by a Gazetted officer.

[Ref: Board's letters No. E(NG)II-75 CR/9 dated 14.09.1976
and E(NG)I/82/CR/1 dated 20.03.1982]

5.3 The confidential reports on Teachers working in the schools may be initiated by the Headmaster/Headmistress/Principal of the School concerned irrespective of their grades. The report so written is subject to review and counter-signature by the Gazetted executive officer concerned.

[Ref: Board's letter No. E(NG)II/68/CR/1 dated 16.12.1970]

5.4 Where a close relative of a Reporting Authority functions under the latter (which situation should be avoided to the extent possible and if it becomes inescapable to be allowed for the barest minimum time possible), the Reporting Authority should abstain from writing the annual Confidential Report on the Railway servant who is his close relative. The Reviewing Officer will in such cases take on the role of the Reporting Authority. If a similar relationship exists between the Reviewing Officer and the officer reported upon, the same would apply in respect of the Reviewing Officer and the role of the Reporting Officer will be transferred to the authority next higher. In cases of this nature, should mere be any doubt, it would he incumbent upon the Reporting Officer to consult the next higher authority before he writes the report.

[Ref: Board's letter No. E(NG)II/78/CR/3 dated 08.08.1978]

5.5 The Reporting Authority has also the responsibility to decide regarding making a mention in the report about warning(s)/ admonition/ displeasure/ reprimand administered to a Railway servant for inefficient working/ acts of omission or commission depending upon the position while writing the Report, whether the concerned Railway servant's performance, after the warning/ reprimand, has improved and is satisfactory. If it has shown improvement, he may decide not to make a reference in the Confidential Report to the warning(s) etc. given. Otherwise, he may make an appropriate mention in the relevant column in Part-III of the report. In that case, a copy of the warning/ reprimands/ displeasure referred to in the Confidential Report should be placed in the CR folder as an annexure to the relevant Confidential report. The adverse remarks thus entered should also be conveyed to the Railway servant concerned and his representation, if any disposed of as per the procedure prescribed.

[Ref: Board's letter N o. E(NG)I/81/CR/8  dated 31.8.81/22.09.1981]

5.6 The Confidential Report should be recorded within one month of the expiry of the reporting period and delay in this regard by the Reporting Authority will be adversely viewed. If the Railway servant delays submission of self-appraisal, the Reporting Authority should comment adversely on this aspect. If the Reporting authority retires or demits office, he may give the Confidential Reports on his subordinates within a month of his retirement/demission of office.

[Ref: Board's letter No. E(NG)II/78/CR/2 dated 10.11.1978]

5.7 Performance appraisal through confidential reports is intended as a tool for human resource development. Reporting Authority should realise that the objective behind the appraisal is to develop the Railway servant, so that he/she may realise his/her true potential. There should, therefore, be no hesitation on the part of the Reporting Authority to report shortcomings in performance, attitude or overall personality of the Railway servant reported upon. Although writing CR is a year-end exercise, in order that it may be an effective tool for developing the individual, the Reporting Authority should, at regular intervals, review the performance of the Railway servants and take corrective steps as may be necessary, by way of advice, counsel etc. It should be the endeavour of each Reporting Authority to present the truest possible picture of the Railway servant on whom the report is written, in regard, to his/her performance, conduct behaviour and potential. Some posts of the same rank may be more exacting than the others. The degree of stress and strain may also vary from time to time. These facts should be kept in view during performance appraisal for appropriate comments/mention.

5.8 Where the higher authority is satisfied that the Reporting authority had not written the report with due care and attention, the competent authority has the discretion to make suitable remarks in the Confidential Report of the Reporting Authority.

Reviewing authority & his duties:

6. The confidential report on a Railway servant, after it is written by the Reporting Authority will be reviewed by the Reviewing Authority i.e the authority who was, during the period for which the report is written, immediately superior to the Reporting Authority or such other authority as may be specifically empowered in this behalf by the G.M.

6.1 The Reviewing Authority should exercise a positive and independent judgment on the remarks recorded by the Reporting Authority in the Confidential Report(s) on his subordinates and should clearly express his/her agreement or disagreement with the remarks of the Reporting Authority, particularly if they are adverse.

[Ref: Board's letter No. E(NG)57/CR/3/1 dated 14.06.1966]

If the Reviewing Authority is satisfied that the Reporting Authority had not made the report with due care and attention, he/she shall record a remark to that effect in Part-IV of the Confidential Report.

6.2 Where the Reviewing Authority is not sufficiently familiar with the work of the Railway servant reported upon, to arrive at a proper and independent judgment of his own, the Reviewing Authority should verify the correctness of the remarks of the Reporting Authority after making such enquiries as he may consider necessary. If need be, he may also give a hearing to the Railway servant concerned before recording his remarks.

[Ref: Board's letter No. E(NG)II-75/CR/1 dated 06/10.01.1977]

6.3 Reports containing remarks, which are vague or non-committal and entries which are not sufficiently meaningful, should be returned to the Reporting Officer for amplification/ explanation.

[Ref: Board's letter No. E(NG)II-75/CR/1 dated 06/10.01.1977]

6.4 The Confidential Report should be reviewed and countersigned by the Reviewing Authority ordinarily within one month of its receipt from the Reporting Authority.

[Ref: Board's letter No. E(NG)II-75/CR/1 dated 06/10.01.1977]

6.5 Delay, if any, on the part of the Reporting Officer, in not recording the Confidential Report on his subordinates within one month of the expiry of the report period should be adversely commented upon by the Reviewing Authority.

[Ref: Board's confidential letter No. E(NG)II/78/CR/2 dated 10.11.1978]

6.6 Where the Reviewing Authority retires or demits office and Confidential Reports of the Railway servants who had worked under him are required to he reviewed, he shall review the same ordinarily within a period of one month from the date of his retirement or demission of office.

6.7 Section II of the Confidential Report of Railway servants working in. Gr. Rs. 1600-2660 (RPS) on the Divisions may be reviewed by the Addl. Divisional Railway Manager, in stead of the DRM.

[Ref: Board's letter No. E(NG)I/82/CR/1 dated 20.03.1982]

In regard to Railway servants working in Gr. Rs. 2000-3200 (RPS) and above on the Divisions, the General Manager may lay down whether their C. R. (Section-II) shall be reviewed by the DRM, instead of ADRM. GMs may exercise discretion in this regard as warranted on their respective systems.

[Ref: Board's letter No. E(NG)I/85/CR/5 dated 09.12.1985 (RBE 333/85)]

7. Section-II of the Confidential Report which is required to be filled for the Railway servants working in Grade Rs. 1600-2660(RPS) and in above grades, should be initiated by a Senior Scale Officer, unless the Assistant Officer concerned is working directly under a Deputy Head of the Department or Divisional Railway Manager/Head of the Department.

[Ref: Board's letter No. E(NG)57/CR/3/1 dated 14.06.1966]

Communication of Adverse Remarks:

8. Any remarks recorded in the Confidential Report of a Railway servant adversely reflecting on his performance or his basic qualities or potential shall be treated as adverse. Adverse remarks recorded in the Confidential Report of a Railway servant should be communicated in writing, irrespective of whether they are considered remediable or not, to the Railway servant concerned along with the substance of the favourable remarks contained in the Confidential Report. Such a communication shall be sent by the Reviewing Authority or by any other authority specified by the G.M. in this behalf within a period of one month of acceptance of the Confidential Report. A record of such communication should be kept in the C.R. folder of the Railway servant concerned, attached to the relevant report. Care should be taken to ensure that the remarks are communicated in such a form that the identity of the officer making the adverse remarks is not disclosed.

8.1 For the purpose of para 8.

a.     An entry in the Confidential Report that the Railway servant concerned is not fit for promotion shall be deemed to be an adverse remark and the whole entry including the reasons for the remark shall be communicated to the Railway servant;

b.     Any remark describing as 'average' either the performance or any other quality of the Railway servant shall not be treated as an adverse remark.

8.2 All representations against adverse remarks should be dealt with and decided upon expeditiously by the competent authority i.e. normally the authority next above the Reviewing authority and in any case within three months from the date of submission of the representation. The competent authority in consultation with the Reporting and/ or Reviewing Authority, if such consultation is necessary, should consider the representation and pass orders on the representation, either.

a.     Expunging the adverse or critical remarks in toto; or

b.     Toning down the adverse or critical remarks; or

c.      Rejecting the representation.

Pending the final disposal of the representation, if submitted within the prescribed time limit, the adverse remarks should not be treated as operative, for purposes of any consideration including promotion. If no representation has been submitted or the representation submitted has been finally disposed of, there is no bar to the adverse remarks being taken note of. The orders passed on the representation shall be final and the Railway servant concerned should be informed suitably of the decision, duly keeping a copy of the order in his CR folder.

8.3 No memorial or appeal against the rejection of representation should be allowed six months after the rejection.

[Paras 8 to 8.3—Ref: Board's letters No. E(NG)II-75/CR/1 dated 06/10.01.1977;
 E(NG)II/78/CR/2 dated 10.11.1978
and E(NG)I/81/CR/5 dated 26/30.09.1981]

9. The remarks "Average" recorded in the Confidential reports are not to be treated as adverse.

[Ref: Board's letter No.E(NG)II/76/CR/1 dated 15.10.1976]

9.1 If the rules/orders regarding preparation of confidential reports have been violated in any particular case, the Railway servant adversely affected by such action, may bring the matter to the notice of the authority higher than the Reporting authority. The latter should take necessary action to rectify the position, as may be warranted by the circumstances and advise the Railway servant concerned in regard to the action taken.

[Ref: Board's letter No. E(NG)II/67 CR 3/4 dated 17.02.1969]

Procedure to be followed while reporting on integrity:

10. If the Railway servant's integrity is beyond doubt, it should be stated so against the relevant item in Part-III of the report.

10.1 In respect of Railway servant working in Gr. Rs. 1600-2660 (RPS) and in above grade, for whom Section-II of the report, includes an item on Integrity to be certified, it is not necessary to fill in the item in Part-III.

10.2 If there is any unconfirmed doubt or suspicion on the Railway servant's integrity, the item should be left blank and action taken as mentioned below:

a.     A separate secret note should be recorded and followed up. A copy of the note should be sent together with the Confidential Report to the next superior authority, who will ensure that the follow up action is taken expeditiously. Where it is not possible either to certify the integrity or to record the secret note, the Reporting Authority should state either, that he has not watched the Railway servant's work for sufficient time to form a definite judgment or that he heard nothing against the Railway servant, as the case may be;

b.     If, on follow up action, the doubts or suspicions are cleared, the Railway servant's integrity should be certified and entry made accordingly in the Confidential Report;

c.      On the other hand, if the doubts or suspicions are confirmed either initially or after the doubts are confirmed after investigation, the fact should be recorded and communicated to the Railway servant; and

d.     As a result of follow up action, if the doubts or suspicions still remain without being either cleared or confirmed, the Railway servant's conduct should be watched for a further period and action taken thereafter, as referred to in (b) and (c) above.

[Ref: Board's letters No. E(D&A)65/RG/6-47 dated 24.11.1965
and E(D&A)90 RG 6/47 dated 05.06.1990]

Other Provisions:

11. The General Manager may lay down detailed rules for the timely preparation, submission and maintenance of Confidential Reports on non-Gazetted Railway servants on his system, in general conformity with the principles laid down in Chapter-XVI of Indian Railway Establishment Code - Vol.I 1971.

11.1 No authority should either report, review the Confidential Report on any non-Gazetted Railway servant, unless he has been acquainted with the work of the Railway servant reported upon, at least for three months during the period for which the report is written.

[Ref: Board's letter No. E(NG)II-75/CR/1 dated 06/10.01.1977
and E(NG)I/81/CR/5 dated 26/30.09.1981]

11.2 Delay should be avoided in writing the report. Promotion of a Railway servant should not be held up merely because of non-availability of the latest Confidential report for a particular period for which it has become due.

[Ref: Board's letter No. E(NG)I-81/CR/4 dated 14.07.1981]

11.3 All instances of Railway servants held responsible for accidents/ averted accidents should be recorded in the Confidential Reports, on the proforma provided for the purpose.

[Ref: Board's letter No. E(NG)II-77/CR/5 dated 06/13.01.1981]

11.4 In respect of Teachers/ Instructors in Teaching/ Training Schools there is a provision regarding qualifications/ achievements in the field of Scouts & Guides being mentioned in Column 9(c) of Annexure-IV attached with this Ministry's letter No. E(NG)I/86/CR/5 dated 22.04.1987 (RBE 83/87). In respect of other staff, Reporting Officers may mention such achievements/qualifications against Column 4 in Part-III of Annexure-I, II, & III and Column 11 of Annexure-V containing Confidential Reports formats circulated under this Ministry's letter dated 22.04.1987.

[Ref: E(NG)I/88/CR/4 dated 25.02.1991 (RBE 36/91)]

12.

                            i.            While referring to the Master Circular, the original circulars mentioned herein should be read for a proper appreciation. The master circular is only a consolidation of the existing instructions and should not be treated as a substitution of the original circulars. In case of doubt, the original circulars should be relied upon as authority;

                          ii.            The instructions contained in the original circulars referred to, have only prospective effect unless indicated otherwise;

                        iii.            If any circular having a bearing on the subject, which has not been superseded, has been lost sight of in the preparation of the master circular, the said circular which has been missed through oversight, should not be ignored but should be treated as valid and operative.

13. The letters on the basis of which, the Master Circular has been prepared are indicated in the enclosure.

ANNEXURE-I

................... RAILWAY

Confidential Report for Group "C" Staff including workshop staff (except) PWIs, APWIs, Signal Inspectors, Asstt. Signal Inspectors and Teachers/Instructors, for the year ending.

Part-I — Personal Data

1.     Name in full .................................................... .............................................

2.     Date of birth .........................................................................

3.     Designation* ...........................................................................

4.     Station at which employed ......................................................

5.     Substantive pay .......................... Scale ................................

Officiating pay .......................... Scale ................................

6.     Date of appointment to service ...............................................

7.     Date of continuous appointment to the present grade ................

8.     Whether permanent/ temporary or officiating ............................

9.     Educational, Professional & Technical qualifications ................

10.Particulars of examination (including Departmental Examinations) passed during the year . . . . . . . . .  . . . .  . . . . . . . . . .  . . . . .

11.Whether the employee belongs to Scheduled Caste/Scheduled Tribe

*In case of Territorial Army Personnel, their T.A. rank should also be indicated.

Part-II — Self-Appraisal

(To be filled by Staff in Grade Rs. 1600-2660 and above only)

1. Brief description of duties.

2. Brief resume of the work done by you during the year/period from . . . . . . . . . . . . . . . . . . . . . . to . . . . . . . . . .  . . . . . . . . . . . bringing out any special achievements during the year/period. In the event of shortfall in achievement furnish reasons. (The resume is to be furnished within the space provided limited to 100 words and is required to be signed).

Part-III — Assessment by the Reporting Officer

1.     Does Reporting officer agree with the statement made in Part II. If not the extent of disagreement and reasons therefor. (Wherever applicable).

2.     Character and habits to include comments on:

a.     Integrity (To be filled only in those cases in which Section II is not required to be maintained).

b.     Tact and Temper.

c.      Conduct

d.     Attendance

e.     Physical fitness for strenuous work.

3.     Departmental abilities (merits and demerits) to include comments on :

a.     Initiative and direction.

b.     General Intelligence.

c.      Keenness/promptness and efficiency.

d.     Power to control others.

e.     Organising/Supervising ability.

f.       Capacity for hardwork.

g.     Amenability to discipline.

4.     Special aptitude or qualification.