EXECUTIVE PERFORMANCE

APPRAISAL SYSTEM (EPAS)

GUIDED BY:- PRIYADARSHEENE IPSITA

MISHRA

DESIGNATION :- SENIOR DEPARTMENT

OF HRD ( HUMAN RESOURCE
DEPARTMENT )

PREPARED BY:- DIKSHYA SAMPARNA

RATH

DESIGNATION:- STUDENT OF SIKSHA

‘O’ ANUSANDHAN UNIVERSITY
1.0 PREAMBLE
The executive performance appraisal system (EPAS)
in its instant form was introduced in Nalco w.e.f 1st
April 1995 . Aligning with the business need to retain
talent , to enhance compentency , for succession and
career planning of the executives and to promote
professional excellence , the executive performance
appraisal system continued since then with
modifications/amendments as and when required .
The EPAS addresses the need of the organisation to
promote professionals excellence and to build future
leaders .
2.0 PHILOSOPHY
To align the individual performance with
organizational objective through open communication
and feedback .
3.0 OBJECTIVES
 To enable the appraise to set the tasks and
targets in consultation with the appraiser in line
with business and social objectives of the
country .
 To align the individual performance with the
mission and vision of the company .
  To retain talent , to enhance compentency , to
promote professional excellence , to identify and
develop leadership talent for future .
 To encourage communication , continuous
feedback between the appraise and appraiser
and create transparency in performance
assessment process and inculcate a
performance culture in the company .
 To evaluate the performance and potential of the
appraisee and to access the competency to
assume higher responsibilities .
 To identify the performers , recognize them
through rewards and incentives and also to fulfill
individuals aspirations .

4.0 SCOPE
The executive performance appraisal system(EPAS)
is aimed at assessing the performance and
managerial skills i.e. both performance and potential
competencies of executive up to E6 grade i.e. Asst.
General Manager level . Executives who join the
company on deputation and executives joining the
company in the middle of the appraisal calendar year
who have served for a minimum period of three
months are also covered . The performance appraisal
of executives at E7 and above grades i.e. in the
 evels of Deputy General Manager , General
Manager and Executive Director will be guided as per
PESB appraisal norms and format . (Amended w.e.f.
2016-17 , as notified vide circular No. CHRD/
RR/001.3/414/2016 dtd. 17/02/2016)

5.0 CYCLE
The performance assessment year commences from
1st April of each year to 31st March of the following
year and is applicable to all executives .

6.0 CALENDER
Executive performance appraisal system up to E6
grade is from 1st April of each year and continues till
31st March of the following year . EPAS calendar of
activities upto E6 grade (Amended w.e.f. 2016-17 , as
notified vide circular No. CHRD/RR/001.3/414/2016
dtd. 17/02/2016)

7.0 PROCESS
The EPAS process is broadly divided into the
following stages;
 Performance target setting
 Midyear performance review
 Annual assessment
  Assessment on managerial skills i.e.
performance and potential factors
 Rationalisation
 Feedback , coaching and counseling

8.0 FORMS IN EPAS

The EPAS is divided into seven parts;
 Performance tasks and targets
 Midyear performance review
 Annual target achievements (Competency
Assessment)
 Performance assessment (Functional/Technical
Competencies)
 Potential assessment (Managerial
Competencies)
 Annual assessment
 Rationalisation report

9.0 OPERATIONAL DETAILS

9.1 performance tasks and targets –
Form B
Purpose and Philosophy
(a) Executive is clear about what tasks he/she
is expected to perform with defined quantity
, time frame and date at the
 commencement of the appraisal calendar
year to achieve the internal MoU/Action
Plan of the department /shop/unit/office
(b) The process enhance competency of the
executive since the targets/tasks are set at
the beginning of the appraisal calendar year
thus helps in achieving the organization
objectives
(c) It helps in identification and allocation of
resources to the executives i.e. manpower ,
budget , support , training , etc to achieve
the tasks/targets

Performance tasks and

target process
 The reporting officer will inform the
appraise about the
department’s/section’s targets and
objectives with reference to internal
MoU/Action Plan of the
department/shop/unit/office in the
beginning of the assessment of the
year . The appraise and the reporting
officer will decide on the relevant key
performance areas (KPA) for the year
and finally agree to a set of key tasks
 with mutually agreed time
schedule/quality/date .
 The appraise will write down the key
tasks with time frame . The relative
importance of the key tasks and
additional tasks , if any , is to be
indicated by the appraise .
 Support/facilities required to achieve
these tasks/targets mat be projected
by the appraise in consultation with
the reporting officer .
 Each specific tasks/targets will have
to be assigned a certain weightage
depending on its relative importance ,
such that , the sum of all the
weightages , including the compulsory
key tasks , is equal to 1.0 . The
appraise and the reporting officer
have to decide on this weightages
mutually . these are to be filed up in
Form B and to be signed by both .
While adding weightages of various
tasks , it may be noted that the fixed
weightages of 0.05 earmarked for
compulsory key task of “timely
completion and submission of
 appraisal booklet as per appraisal
calendar” is to be taken into account .
 While filling up Form B any difference
arising between reporting officer and
appraise , will be resolved by the
reviewing officer 1 and his/her
decision on the matter will be final . It
shall also be the responsibility of the
Reviewing officer 1 to ensure that
KPAs identified is aligned with the
internal MoU/Action Plan of the
department/shop/unit/officeand key
tasks are derived from the KPAs .
 Form B is to be filled up in duplicate
and signed by both appraisee and
reporting officer at the first stage and
thereafter by the reviewing officer 1 .
9.2 Midyear performance review
Purpose and Philosophy
Performance management is not a yearend
assessment exercise but an ongoing process .
Midyear performance review is for,
(a) Review of performance plan by comments
on achievements and reason for variance .
(b) Re-allocating the KPAs and Key Tasks , if
necessary .
(c) The midyear reviews are focused on
feedback and counseling and hence
requires the Reporting Officer to give
suggestion for improvement .
(d) Identification of special tasks given and
indicate allocation of weightage and
adjustments against original KPAs .
(e) The Reporting Officer and the executive
jointly review the performance that avoids
year end assessment surprises .
Midyear performance review
process
 The targets mutually agreed and
decided upon at the beginning of the
year , will be reviwed once a financial
year (Ref . Forms “C”) . The objective
of this review will be to focus on the
extend of achievement of the targets
mutually agreed to and to record the
reason of variance and to record if
any special tasks were assigned . this
review is to be done in 1st week of
October positively falling which the
same would have a bearing on the
appraisal ratings . (Amended , as
approved in the 251st Functional
 Directors Committee held on
04/01/2020.)
 No rating or score is awarded by
Reporting Officer . The purpose of
performance review is to review the
extend of achievement and give an
oral feedback and assistance to the
appraisee at the end of each review
period for meeting his/her target .
Performance review can also be used
to verbally inform the appraisee
regarding any managerial
(performance & potential) traits in
which the appraisee needs to be
improve .
 In the of special tasks being assigned
during the year , maximum weightage
to such tasks shall be limited to 10% .
Accordingly , weightage assigned to
the original tasks agreed (including
additional task) shall be reduced
proportionality by 10% .
 9.3 Annual target
achievement(Competency
Assessment)(Form – D)
Purpose and Philosophy
 Annual target achievement (Competency
assessment) is for,
(a) An assessment of performance with
respect to agreed tasks/targets
(b) Pen picture/observation of the
executive on target achievement
(c) Mutually agreeable achievement
assessment between appraisee and
reporting officer
Annual target achievement (Competency assessment)
process
 Annual target achievement assessment is
done by reporting and reviewing officers at
the end of the appraisal calendar year
after performance reviews (Ref. Form ‘D1’)
.
 Annual target is compared against
achievement (in terms of quality , quantity
or time frame/date , as the case may be)
and percentage of achievement is
recorded separately in column C , column
 D , column E by reporting officer and
reviewing officer 1 ,2 ,3 respectively . (Ref.
Form D1) . Weighted score of a particular
target/special task is calculated giving 40%
weightage to reporting officer . Weightage
for each reviewing officer will be 20% in
case of three reviewing officers (Ref. Form
D1) . (Amended w.e.f. 2016-17 , as
notified vide Circular No.
CHRD/RR/001.3/414/2016 dtd.
17/02/2016)
 The reporting officer as well as reviewing
officers give their observation about the
appraisee at the space earmarked in Form
‘D1’ without his/her presence and
password sharing by the appraise as the
final report is to be disclosed to the
appraisee after finalization in all respect .
(Amended , as approved in the 251st
Functional Directors Committee held on
04/01/2020 .)

9.4 Performance Assessment

(Functional/Technical
Competencies) – (Form-D2)
 Purpose and Philosophy
Performance assessment (functional/technical competencies)
is for,
(a) Completion of tasks/targets requires
technical /functional competency
(b) An assessment of factors relates to
completion of assigned tasks

Annual target achievement (Competency assessment)

process
 The appraise will be appraised on managerial
characteristics (traits) i.e. six performance factors
(functional/technical competencies) (Ref. Form ‘D2’) . It
is suggested that a record of specific incidents be kept
separately by the Reporting Officer (both positive and
negative incidents) to the extent possible , for removing
subjectivity .