Performance and Competence for Excellence

(PACE)
Form for Grades E1 to E5

Name
Employee No. Grade
Department Section
Reporting Officer Grade
Location

NATIONAL THERMAL POWER CORPORATION LTD.

(A Govt. of India Enterprise)
 Observable Behavior For Managerial Competencies
Analytical Ability
Identifies problems and associated
issues
Identifies information and data
required for problem solving
Scans information, selecting relevant
details
Assists in problem structuring and
problem solving
Prioritizes steps to solution and
evaluate criteria for optimum solution
Builds alternatives and scenarios and
weigh them against each other in the
process of problem solving
Draws logical conclusions and builds
solutions
Not linear and symptomatic in
identifying issues and alternatives
Learning
Demonstrates curiosity and
enthusiasm for learning and sharing
knowledge
Utilizes every opportunity provided
by the organization i.e. formal and
informal sources to garner
knowledge and information.
Takes initiative in acquiring and
mastering the skills and knowledge
requirements for own position
Appreciates that each one in the
team has the ability to contribute
Contributes to capturing knowledge
to facilitate learning for others
Scans environment and taps
internal and external resource for
learning
Team Player
Supports and focuses efforts on the
mission and goals of the team
Co-operates with other team members to
offer assistance wherever needed.
Supports team work and co-operation
through honest and open communication
Appreciates and understands the benefits
of team work.
Places team priorities over individual
needs
Shares recognition and setbacks with the
team
Understands team dynamics
Works well in cross-functional and
cross-cultural teams
Appreciates differences in opinion within
a team and works towards resolving them
Builds consensus
Communication Skills
Expresses opinions and views in a clear,
concise and fluent manner (written as well
as oral)
Uses grammatically correct language to
organize and communicate ideas in words.
Good listener, with openness to
accepting other viewpoints
Does not interrupt or dominate
discussions
Prepares meaningful official
correspondence for delivering results
Builds arguments logically and fluently
to put across his viewpoints
Managerial Effectiveness
Regularly completes tasks
in the time available to
complete them, and get them
done in order of importance
Prioritizes jobs at hand
based on criticality and
importance
Draws a detailed time plan /
schedule before starting an
important task or project.
Follows the plan and
revisits status as task
proceeds
Practices punctuality and
shows respect and concern
for other’s time
Provides timely feedback to
seniors to track and arrest
slippages
Decision Making
Provides relevant inputs
and data to support and
develop rationale for
decision making at higher
levels
Creates contingency plan
for own area of work
Strives for brevity and
simplicity when solving
complex problems
Learns from past mistakes
for future decision making
Takes routine transactional
decisions as per company
systems and policies
Interpersonal Skills
Demonstrates sensitivity,
openness, empathy and trust in
work relationships
Respects individuals as they are
Exhibits tolerance for differences
and disagreement based on rational
and objective grounds
Shows respect, courtesy and
consideration for others
Establishes professional rapport
and develops constructive work
relationships with people within
and outside the group and
organization
Honors commitments to others
Remains unbiased by background
of people
Innovation and Creativity
Consistently challenges oneself to
generate innovative ideas
Contribute to developing new
products/ systems/ processes/
applications and solutions through
innovative ideas and processes
Displays willingness to
experiment with new ideas
Utilizes knowledge and material
resources in novel and more
efficient ways
Uses intuition and information
from non -traditional sources to
develop new ideas
Makes constructive suggestions
and ideas and collaborates in TQM,
Benchmarking and other such
initiatives
 NATIONAL THERMAL POWER CORPORATION LTD.

Performance and Competence for Excellence

Form for Grades E-1 to E-5
PACE Cycle: Year:___________ _

Personal Data:
(To be filled by Executive)

Date of Joining of executive in Current Department at Current D D M M Y Y

Location:

D D M M Y Y
Date of Entry of executive into the present Grade:

Dates of Sign-off by Reporting Officer and Executive:

Event Date
(To be filled by Reporting
Officer)
KPA setting and Competency Identification

Mid-Year Review

Annual Assessment
 PART I: Performance Planning and Assessment
Instructions:
At the beginning of the year:
• Reporting officer and executive to discuss KPAs by referring to the appropriate KPA directory, MoUs, functional
plans, business plans etc.
• Marks to be allocated for each KPA index and constituents
• 3 levels of targets to be set for each KPA constituent

At the end of the year:

• Scores to be awarded based on actual target achieved

Part IA

Maximum Marks 65

Dashboard of the Key Performance Areas

S. No KPA Index Maximum Marks Obtained

Marks (To be filled during
annual assessment)
1
2
3
4
5
6
7
8
9
10
Total 100

At the beginning of the year:

Signature of executive Signature of reporting officer

Date: Date:

At the end of the year:

KPA marks = Marks Obtained X 65 =

100

Signature of executive Signature of reporting officer

Date: Date:
 Part IA - Details Of KPA

S. KPA Constituents of KPA KPA Measure Marks Target Performance Actual Marks
No Index of Target Obtained
(Marks) constituents Achieved
Stretch Intermediate Base To be filled during
100% marks 80 % marks 60 % marks annual assessment
S. KPA Constituents of KPA KPA Measure Weightage of Target Performance Actual Marks
No Index Constituents Target Obtained
(Marks) Achieved
Stretch Intermediate Base To be filled during annual
100% marks 80 % marks 60 % marks assessment
S. KPA Constituents of KPA KPA Measure Weightage of Target Performance Actual Marks
No Index Constituents Target Obtained
(Marks) Achieved
Stretch Intermediate Base To be filled during annual
100% marks 80 % marks 60 % marks assessment
 PART IB
Mid Year Review

Instructions:
At the mid-year review:
• Reporting officer and executive to review and discuss the progress on KPA achievements, competencies, values
actualisation and potential and document discussions in the space provided.
• In case of change in KPAs, Part IC to be filled up using Form IC (attached at the end of this form)

Mid year assessment (self evaluation by executive):

Progress on KPAs:
Achievements:

Roadblocks / management support required:

Other achievements:

Comments of reporting officer:

At Mid-Year Review:

Signature of executive Signature of reporting officer

Date: Date:
 PART II
Competency Assessment

Maximum marks for Functional / Technical competency 10

Maximum marks for Managerial competency 10
Maximum Marks for Part II 20

PART IIA
Functional/ Technical Competencies

Instructions:
At the beginning of the year:
• Reporting officer and executive to agree upon at least five functional and cross-functional competencies by referring
to the appropriate Functional Competency Directory

At the end of the year:

• Assessment to be carried out using the rating scale provided

S. No. Competencies Ratings

(at least five functional and Needs Meets Moderately Significantly
cross functional Development Expectations Above Exceeds
competencies) Expectations Expectations
1 mark 2 marks 3 marks 4 marks
1
2
3
4
5
6
7
8
Aggregate Total Score

Total
At the beginning of the year (upon identification of competencies):

Signature of executive Signature of reporting officer

Date: Date:

At the end of the year (assessment of competencies):

Marks = Aggregate of scores of all competencies X 10 =

(No. of Competencies) X 4

Signature of executive Signature of reporting officer

Date: Date:
 PART IIB
Managerial Competencies
Instructions:
At the beginning of the year:
• Reporting officer and executive to choose 3 competencies in addition to the mandatory ones based upon direct and
significant relevance to the executive’s areas of responsibilities.
• Chosen optional competencies should be identified by placing a tick-mark (√) against them.
• Remaining competencies need to be crossed out (X).

At the end of the year:

• Assessment to be carried out by referring to behavioural descriptors for managerial competencies provided in the PMS
policy using the rating scale provided

Ratings
S. Selection Needs Meets Moderately Significantly
No. Competencies (√) Development Expectation Above Exceeds
Expectations Expectations

1 mark 2 marks 3 marks 4 marks

1 Analytical Ability Mandatory
2 Learning Mandatory
3 Team Player Mandatory
4 Communication
5 Managerial
Effectiveness
6 Decision-making
7 Interpersonal Skills
8 Innovation/
Creativity
9 Adaptability
10 Cost Consciousness
11 Quality
Consciousness
Aggregate Total Score

Total
At the beginning of the year (upon identification of competencies):

Signature of executive Signature of reporting officer

Date: Date:

At the end of the year (assessment of competencies):

Marks = Aggregate of scores of all competencies X 10 =

6X4

Signature of executive Signature of reporting officer

Date: Date
 PART III
Core Values

Maximum Marks 5

Instructions:
At the end of the year:
• Assessment to be carried out by referring to Core Values behavioural guidelines provided in the PMS Policy and the
Core Values Handbook using the rating scale provided

Ratings
Rarely Sometimes Often Always
Core Values demonstrates demonstrates demonstrates demonstrate
value value values s values
1 mark 2 marks 3 marks 4 marks
Customer Focus
Has conviction that the customer is the centre of all
activity; is courteous, sincere, patient and sensitive to
the customers and honours commitments on time.
Organisational Pride
Holds the company in high esteem and rejoices in
belonging to it; demonstrates loyalty and commitment
to the organisation and has a sense of ownership and
belongingness with it.
Mutual Respect And Trust
Has high regard for and faith in the fellow
organisational members; believes in collaboration and
openness and has good team spirit.
Initiative And Speed
Believes in taking the first step, thinking new and
ahead and being swift without compromising on
quality; is creative and innovative and has the
willingness to experiment and take risks.
Total Quality
Believes in pursuing excellence in all spheres of
activity; makes continuous efforts in improving
standards of performance, systems and processes.
Aggregate Total Score

Total
At the end of the year (assessment of core values):

Marks = Aggregate marks X 5 =

5X4

Signature of executive Signature of reporting officer

Date: Date:
 PART IV
Potential Appraisal

Maximum Marks 10

Instructions:
At the end of the year:
• Assessment to be carried out by referring to behavioural guidelines for potential competencies provided in the PMS
policy using the rating scale provided

Ratings
S. No.
Potential Competencies Needs Coaching Somewhat Always Demonstrates
and Development Demonstrates Competency
Competency

1 mark 2 marks 3 marks

1 Leadership

2 System Orientation

3 Resource Management and

Administrative Ability
4 Team Building

Aggregate Total Score

Total
At the end of the year (assessment of potential):

Marks = Aggregate marks X 10 =

4X3

Signature of executive Signature of reporting officer

Date: Date:

Integrity:
Nothing adverse
Questionable (brief details may be mentioned below)
 PART V
Special Achievements

Instructions:
At the end of the year:
• Sections 1 and 2 to be filled by executive in consultation with reporting officer

1. Individual and Team Achievements and Contributions

Examples: Handling of emergency situations, process improvements, mentoring, in-house training faculty, winning awards,
representing NTPC, writing white papers, office bearer of NTPC councils /forums /committees, suggestions made etc.
Area of Achievement Description of Contributions

2. Contributions (if any) for promoting Hindi

At the end of the year:

Signature of executive Signature of reporting officer

Date: Date:
 3. Any remarks that the Appraisee and the reporting officer would like to make about overall
performance:

Final year assessment (self evaluation by executive)

KPA Achievement:

Roadblocks:

Other achievement apart from special achievement:

Comments of reporting officer:

At the end of the year the performance and other related issue discussed & feed back given

Signature of executive Signature of reporting officer

Date: Date:
PART VI
Total Marks
Marks Part I Part-II Part-III Part-IV Total
Awarded

Rationale for change in marks, if any:

Signature of a member of Performance Management Committee:

Date:

Section A: By Reporting Officer

Part Components Maximum Marks Marks Obtained

Part I Performance 65
Part II (A+B) Competencies 20
Part III Values 5
Part IV Potential 10
Total Marks: 100
Signature of Reporting Officer: Date:

Section B: By Reviewing Officer

Marks Part I Part-II Part-III Part-IV Total
Awarded
(After discussions with reporting
officer)

Rationale for change in marks, if any:

Signature of Reporting Officer: Date:

Signature of Reviewing Officer: Date:

Section C: By Performance Management Committee

 PART IC
Mid Year Review – Change in KPAs

Instructions:
At mid-year review:
• This section to be used only if changes need to be made to the KPAs, weightages or targets
• ALL the KPAs need to be re-filled in the table below
• Reasons for change need to be cited at the end of the section.

At the end of the year:

• Annual review to be carried out with appraisal of KPAs and scores to be awarded based on actual target achieved

S. KPA Constituents of KPA KPA Measure Weightage of Target Performance Actual Marks
No Index Constituents Target Obtained
(Marks) Achieved
Stretch Intermediate Base To be filled during
100% marks 80 % marks 60 % marks annual assessment
S. KPA Constituents of KPA KPA Measure Weightage of Target Performance Actual Marks
No Index Constituents Target Obtained
(Marks) Achieved
Stretch Intermediate Base To be filled during
100% marks 80 % marks 60 % marks annual assessment
S. KPA Constituents of KPA KPA Measure Weightage of Target Performance Actual Marks
No Index Constituents Target Obtained
(Marks) Achieved
Stretch Intermediate Base To be filled during
100% marks 80 % marks 60 % marks annual assessment
Revised Dashboard of the Key Performance Areas

S. No KPA Index Maximum Marks Obtained

Marks (To be filled during
annual assessment)
1
2
3
4
5
6
7
8
9
10
Total 100

Reasons for Revision:

1. ___________________________________________________________________
2. ___________________________________________________________________

At Mid-Year Review:

Signature of executive Signature of reporting officer

Date: Date:

At the end of the year:

KPA marks = Marks Obtained X 65 =

100

Signature of executive Signature of reporting officer

Date: Date:
PMS Activity Checklist
Performance Planning
KPAs and constituents to be
identified and written in the
PMS form
Source: KPA Directory
Three levels of Targets to be
set
Functional /Technical
Competencies to be identified
and written Source:
Competency Directory
Optional Managerial
Competencies to be identified
and ticked in the PMS form
Sign off by the executive and
reporting officer
Description of Competency Assessment Rating Scales
Level of Competency
Needs Development
Meets Expectations
Moderately Above Expectations
Significantly Exceeds Expectations
Level of Competency
Needs Coaching and Development
Somewhat Demonstrates
Competency
Always Demonstrates Competency
Mid- Year Review Annual Assessment
Performance progress to be Marks to be given for target
discussed (KPAs, achieved against KPAs
Competencies, Potential and Summary of KPA marks to be
Values) filled in the dashboard
Self evaluation to be discussed Competencies to be rated
and documented Values to be rated
Document changes in KPAs if Potential to be rated
necessary Summary of scores
Comments of reporting officer Discuss and fill training and
to be documented development plan
Sign off by the executive and Sign off by the executive and
reporting officer reporting officer
Description for assessing Functional and Managerial Competencies
Is able to demonstrate the competency on some occasions on the job. Displays some of
the behaviours as indicated for the managerial competency. There are specific areas of
development for which training interventions are required
Is able to demonstrate the competency effectively on almost all occasions on the job
with minimum supervision and training intervention. Displays all behaviours as
indicated for the managerial competency. Is prepared to develop higher levels of the
competency
Is able to demonstrate the competency at a significantly higher level than that required
to carry out the assigned job on several occasions and though not an expert in the
competency, has the potential to be one and can be developed with minimum training.
Besides demonstrating the competency effectively required for the specific level, is
viewed as an internal expert in this competency. Peers seek his opinion across the
unit/company in his domain. Uses current expertise/behavioural capability to provide
coaching, guidance and transferring knowledge to subordinates and peers by conducting
training programs. Represents the organization’s capability to external agencies.
Description for assessing Potential Competencies
Is a learner and has not yet demonstrated the behaviour/skill required for the
competency as per description and requires a high degree of coaching and
guidance to do so.
Demonstrates some of the behaviours of the relevant competency as per
description with minimal coaching and guidance.
Repeatedly and characteristically demonstrates all behaviours of relevant
competency as per description without much coaching and guidance and is a
role model for others.
 PART VII
PACE:
Individual Training and Development Plan
(To be separated and forwarded to HR/EDC/PMI)

Name of employee Employee No.:

Designation Department

Grade: Location:

Instructions: training to be derived based on gaps identified in functions and other competencies or
additional skills/competencies required. Help of PMI and other training calendar may be taken for
filling up this part of the form

Training Area Training Needs

Functional / Technical
(based on functional competency
assessment in Part IIA)

Managerial / Behavioural
(based on managerial competency
assessment in Part IIB and potential
assessment in Part IV)

Any Other (specify):

At the end of the year:

Signature of executive Signature of reporting officer

Date: Date:
 Observable Behavior For Managerial Competencies
Adaptability Cost Consciousness Quality Consciousness
Continuously develops new ways of managing dynamic Manages his work within the Is aware of quality standards and procedures governing own work
situations allocated resources without area and takes part in continuous improvement programs
Appreciates and understands emerging situations and their any over run of cost and time. Always conscious of such quality standards and procedures while
impact on own area of work Is aware of the value and carrying out day-to-day duties and responsibilities by
Appreciates the need for changing his attitude/behavior due to need of organization resources demonstrating accuracy
environmental changes Makes judicious use of Delivers “zero-defect” work the first time with minimum re-work
Adjusts to changing demands and generates workable expensive resources to prevent Recognizes when work process can be improved
solutions misuse Does not hesitate to recommend improvements to
Willingly goes along with the decision by suitably adopting Suggests ways to reduce cost supervisor/manager
and adhering to the decision criteria. within own work environment Takes responsibility for quality of own work and that of the team’s
Actively embraces new policies and systems introduced at the Takes mitigating steps to Is part of the Quality Improvement program of the organization
organization/unit level eliminate wasteful practices Aware of current national and international quality standards
Creates awareness to change in immediate work area and acts
as a change agent, where required

Observable Behavior For Potential Competencies

Leadership Team Building System Orientation Resource Management and Administrative Ability
Manages small teams Defines and communicates team goals Uses appropriate problem solving Develops strategies for efficient procurement and
within his work area clearly methods to improve systems and deployment of resources
Communicates team Supports and focuses on the vision, processes Mobilizes people & resources to achieve objectives
goals and directs team mission and objectives of the Collects and evaluates relevant Delegates responsibilities and authority appropriately
efforts organization and directs team’s energy information to make decisions Holds people accountable and focused on their goals and
Creates a cooperative towards the same Gathers, organizes, maintains and priorities
work environment Understands the abilities of the various monitors the flow of information Utilizes the resources optimally with elimination of waste
Takes responsibility members in the team and best matches and determines the accuracy of the Establishes standards of performance through
beyond job abilities with task requirements same and communicates it by benchmarking
requirements Uses motivational techniques to keep various methods Establishes performance measurement and monitors
Displays and shares high energy levels within the team Develops systems and processes systems and processes to ensure smooth functioning of the
expertise and technical Manages expectations of individual required to support effective function/department
abilities with others team members and aligns them with functioning of own area of Takes control of situation in the event of a crisis and
Achieves results by team goals responsibility and encourages delivers results through optimum utilization of resources
managing team efforts Manages conflicts and differences adherence to the same Works out contingency plans for delivering results
Demonstrates within the team Emphasizes development of new
optimism and positive Shares rewards with the team systems through review and
expectations from Applies own technical and functional rationalization for replacement of
others skills to coach and mentor team obsolete ones
members
 Observable Behaviors for Values
Customer Focus
Is courteous to those with whom he/she deals
Exhibits energy and enthusiasm while dealing with
customers
Communicates eagerness to serve and overcome the
'avoidance' behavior
Minimizes defects and errors
Takes immediate steps to respond to customer concerns
Demonstrates the ability to see issues from the
customer’s perspective
Exudes warmth, efficiency, patience and instills
confidence while dealing with customers
Answers calls within say 2-3 rings and responds politely
Organizational Pride
Celebrates successes and
achievements of the company
unreservedly
Puts organisation before self on all
occasions
Takes ownership for own actions
and is willing to be held responsible
for the same
Avoids undue criticism of other
functions /depts.
Collaborates readily with others in
external events/forums bringing
name and fame to the organisation
Mutual Respect and Trust
Treats others with respect and dignity
Avoids infighting and professional jealousies
Respects differences in perceptions, opinions and
view points among co-workers
Is always ready to help others
Avoids stereotyping and generalizing
Behaves in a collaborative manner with peers,
subordinates and superiors, building trust and
cooperation, displaying openness in communication
and demonstrating team spirit

Initiative and Speed Total Quality

Is willing to take on responsibility beyond one's call of
duty
Constantly looks for new ways of doing/handling jobs
Develops a sense of ownership towards the task at hand
and sees it to completion
Anticipates problems and obviates or pre-empts them
Cuts down costs or procedures involved in any task
Demonstrates continuous improvement of existing
approaches and adaptation to change, leading to new
goals and/or approaches, resolves problems at their
source
Is result-oriented and follows up matters to their logical
end in a time-bound manner
Does things right, first time, every time
Acknowledges and encourages quality around self
Is organized and systematic
Has pride in quality output
Appreciates time and effort involved in developing quality output
Maintains a systems approach for all tasks being performed
Eliminates non-essential activities and concentrates on critical ones
Ensures all individual and team responsibility is carried in pursuit of excellence
Takes part in company’s programme for enhancing implementing quality
systems/excellence models