Brussels, 28.4.2004
C(2004) 1597

COMMISSION DECISION

on maintaining individual professional standards

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

Whereas:

1. Officials must be offered the support and aid they need to maintain a level of professional performance compatible with the requirements of the European civil service.
    
2. In this context, the new staff evaluation system provides for ongoing monitoring of the efficiency, ability and conduct of officials, enabling professional incompetence inter alia to be detected at an early stage.
    
3. Where the performance problem appears to be related to a personal difficulty, either medical or social, the relevant services must be informed so that they can invite the official for a consultation to determine whether these are in fact the reasons for the insufficiency. Concise information shall be supplied to the official's department, with scrupulous attention to the confidentiality of medical and personal data. Appropriate steps shall be taken in the light of the outcome of the consultation and, in implementing this decision, the Appointing Authority shall take account, where necessary, of personal difficulties, either medical or social, which could be the reasons for the insufficiency.
    
4. Where a performance problem is established, and without prejudice to the fact that support and aid measures would already have been taken before reaching the alert threshold defined in the career development report, the situations in which the level of performance is clearly insufficient will have to be remedied by means of a more intensive programme of supportive and constructive remedial measures. A specific form attached to the career development report can be used to ensure follow-up of the programme of supportive and remedial measures adapted to each individual case.
    
5. However, where these measures have proved insufficient, the Staff Regulations have to be fully implemented and consequently the procedure provided for in Article 51 has to be initiated.
    
6. The supporting role of the units responsible for human resource management is to be reinforced and, in that context, career guidance facilities are to be set up within every Directorate-General or other department,
    
7. The system of job descriptions is designed, in conjunction with an annual statement of the individual objectives for each official, to help establish a clear framework in which to assess the performance of officials.
    
8. The new rules on middle management emphasise the greater role to be played by unit heads in staff management.
    
9. In addition, the defendant's rights and the hearings procedure have to be guaranteed,

HAS DECIDED AS FOLLOWS:

• Chapter 1
  IMPROVING PROFESSIONAL PERFORMANCE
  • Article 1
     
• SECTION 1. INSUFFICIENCY
  • Article 2
  • Article 3
  • Article 4
  • Article 5
  • Article 6
  • Article 7
     
• SECTION 2. SERIOUS UNDERPERFORMANCE
  • Article 8
  • Article 9
  • Article 10
  • Article 11
  • Article 12
     
• SECTION 3. MEASURES TO IMPROVE PERFORMANCE
  • Article 13
     
• Chapter 2
  IMPLEMENTATION OF THE INSUFFICIENCY PROCEDURE
  • Article 14
  • Article 16
  • Article 17
  • Article 18
    
    
     

Chapter 1
IMPROVING PROFESSIONAL PERFORMANCE

Article 1

Where inadequate performance in terms of efficiency, ability or conduct in the service is detected at the time of the career development report, the reporting officer shall immediately take every supportive and corrective action he or she considers necessary to help the official regain the required level of performance.

SECTION 1. INSUFFICIENCY

Article 2

For the purposes of this Decision, and without prejudice to the rules laid down in Annex II to the general provisions for implementing Article 43 of the Staff Regulations ⁽¹⁾, where the definitive career development report gives an overall score of between 7.5 and 9.5 points out of 20, the reporting officer shall draw up a programme of supportive and remedial measures for the official concerned. The programme shall run for a maximum of one year. It may include, inter alia and where necessary, one or more of the actions referred to in Article 13 of this Decision.

The programme shall be signed by the reporting officer, the jobholder and the human resources manager. At the request of the official concerned and to assist in implementing the programme, a mentor may be appointed from within or from outside the unit with the approval of the Commission mediator.

Article 3

The official's insufficiency shall in all cases be clearly indicated in the career development report and the period of one year referred to in the previous Article shall run from the date of finalisation of that report.

Article 4

At the end of the one-year programme of supportive and remedial measures, a career development report covering the year of the programme shall be drawn up.

1. If the difficulties have been overcome within the year, i.e. if the official concerned obtains a mark of at least 10 points out of 20 in the report and the procedure laid down in this Decision is terminated, this shall be indicated in the report and the procedure shall be terminated.
    
2. If the official’s mark remains between 7.5 and 9.5, the difficulties shall be deemed not to have been totally resolved. The reporting officer shall therefore set a new time-limit of six months in accordance with the conditions laid down in Article 5 to enable the official concerned to attain a sufficient performance level.
    
3. If the official’s mark drops to 7 or less, the difficulties shall be deemed to have worsened and consequently, in accordance with Articles 9(3) and 10 of this Decision, the reporting officer shall set a new six-month period of more intensive measures for the official.

Article 5

1. The new six-month period referred to in Article 4(2) shall start to run from the date on which the career development report for the year during which the programme of supportive and remedial measures applied is finalised. The second programme shall be signed by the reporting officer, the jobholder and the human resources manager. Any mentor appointed for the purposes of Article 2 or any other mentor appointed in a similar way may help the official to follow the programme.
    
2. The new measures set out in the report may also include, inter alia and where necessary, one or more of the measures referred to in Article 13 of this Decision.
    
3. During the second programme of supportive and remedial measures the official may ask for an interim career development report. If the difficulties have been overcome within the above-mentioned six-month period, i.e. if the official concerned obtains a mark of at least 10 points out of 20 in the interim career development report, that shall be indicated in the report and the procedure laid down in this Decision shall be terminated. If, on the other hand, the official’s mark remains below 10 points out of 20, the second programme shall continue until the scheduled completion date.

Article 6

At the end of the second programme referred to in Article 5(1), following consultation with the unit responsible for human resources within the Directorate-General, a further career development report shall be drawn up.

If performance has become sufficient, with an overall score of 10 points or more out of 20, the procedure for maintaining individual professional standards shall be terminated, otherwise the Appointing Authority shall be informed and once the report has been finalised, the procedure laid down in Article 51 of the Staff Regulations may be initiated.

Article 7

While the procedure laid down in Article 51 of the Staff Regulations is in progress, the official may also request an interim career development report. If on that occasion it is established that the official has regained a sufficient performance level, with an overall score of 10 points or more out of 20, the procedure shall be terminated.

SECTION 2. SERIOUS UNDERPERFORMANCE

Article 8

Where in the course of the first half of the year it appears to the reporting officer that the official is liable to receive a mark of 7 or less out of 20, the reporting officer shall issue a written warning to the official not later than 30 June. Such written warning shall be in the form of a memo to be annexed to the current career development report.

The reporting officer shall set the official a programme of supportive and remedial measures. The programme shall run for a maximum of one year and shall start on 1 July. It may include, inter alia and where necessary, one or more of the actions referred to in Article 13 of this Decision. The programme shall be signed by the reporting officer, the jobholder and the human resources manager. At the request of the official concerned and to assist in implementing the programme, a mentor may be appointed from within or from outside the unit with the approval of the Commission mediator.

Article 9

At the end of the one-year programme of supportive and remedial measures, a career development report covering the year of the programme shall be drawn up.

1. If the difficulties have been overcome within the year, i.e. if the official concerned obtains a mark of at least 10 points out of 20 in the career development report, this shall be indicated in the report and the procedure laid down in this Decision shall be terminated.
    
2. If the official’s mark rises to between 7.5 and 9.5, the difficulties shall be deemed not to have been completely resolved and accordingly the reporting officer shall allow the official the period referred to in Article 2 to attain a sufficient performance level. An official may qualify only once for the provisions of this paragraph.
    
3. If the official’s mark remains at 7 or less, the difficulties shall be deemed not to have been resolved and consequently, in accordance with Article 10, the reporting officer shall set a new six-month period and more intensive measures for the official.

Article 10

1. The new six-month period referred to in Article 9(3) shall start to run from the date on which the career development report for the year during which the first programme of supportive and remedial measures applied is finalised.
   
   This more intensive programme shall be signed by the reporting officer, the jobholder and the human resources manager. Any mentor as referred to in Article 8 or any other mentor appointed in a similar way may help the official to follow the more intensive programme.
    
2. The new measures set out in the report may include, inter alia and where necessary, one or more of the measures referred to in Article 13.
    
3. During the second programme of supportive and remedial measures the official may ask for an interim career development report.

Article 11

At the end of the second period referred to in Article 10(1), following consultation with the unit responsible for human resources within the Directorate-General, a further career development report shall be drawn up.

1. If performance has become sufficient, with an overall score of 10 points or more out of 20, the procedure for maintaining individual professional standards shall be terminated.
    
2. If the official’s mark rises to between 7.5 and 9.5, the difficulties shall be deemed not to have been completely resolved and consequently, in accordance with Articles 4(2) and 5, the reporting officer shall allow the official concerned a further six-month period to attain a sufficient performance level. An official may qualify only once for the provisions of this paragraph.
    
3. If the official’s mark remains at or below 7, the difficulties shall be deemed not to have been resolved and the Appointing Authority shall be informed accordingly and once the report has been finalised, the procedure laid down in Article 51 of the Staff Regulations may be initiated.

Article 12

While the procedure laid down in Article 51 of the Staff Regulations is in progress, the official may also request an interim career development report. If on that occasion it is established that the official has regained a sufficient performance level, with an overall score of 10 points or more out of 20, the procedure shall be terminated.

SECTION 3. MEASURES TO IMPROVE PERFORMANCE

Article 13

The reporting officer, in close cooperation with the unit responsible for human resources within the Directorate-General and the other relevant services, shall be responsible for choosing as a priority one or more of the remedial or support measures listed below.

1. Where the performance problem seems to be caused by a mismatch, on the one hand, between the background and skills of the official and, on the other, the requirements of the job, the reporting officer may consider assigning the official different tasks within the same unit or propose to the Appointing Authority that the official be reassigned in the interests of the service. The official concerned must be informed and consulted beforehand. The Appointing Authority shall decide on any transfer, in the light of the proposal made in the report. The official concerned may request the Appointing Authority to consider a transfer. The Appointing Authority shall decide on any transfer, in the light of the proposal made in the report. In the latter case, the transfer shall take place in cooperation with the central career guidance function.
    
2. A programme may be drawn up, incorporating for example a limited number of specific job targets, clear criteria for success that are measurable using indicators, a monthly progress review by the mentor (if there is a mentor), where appropriate an interim evaluation/review and a final evaluation in the presence of the official, the reporting officer, the mentor, the human resources manager and the countersigning officer.
   
   The programme shall also indicate the performance standard to be attained within the period specified.
   
   The unit responsible for managing human resources within the Directorate-General, and where appropriate the decentralised career guidance function, shall provide the reporting officer and the official concerned with assistance and advice and shall facilitate implementation of the programme. During the dialogues held at regular intervals on the initiative of the reporting officer with a view to monitoring the performance level in the light of the objectives laid down in the programme, the official concerned may ask to be accompanied by a person of her or his choice and/or by her or his mentor.
   Where the official refuses to cooperate in the process, the procedure described below shall be taken further without awaiting the completion of the second period.

Chapter 2
IMPLEMENTATION OF THE INSUFFICIENCY PROCEDURE

Article 14

Within three months of being informed of the continued inadequacy of an official's performance under Articles 6 and 11, the Appointing Authority shall initiate the procedure laid down in Article 51 of the Staff Regulations by submitting a reasoned proposal to the Joint Advisory Committee for professional incompetence referred to in Article 9(6) of the Staff Regulations.

Article 15

As soon as the proposal is sent to the Joint Advisory Committee, the Appointing Authority must inform the official of all his or her rights, in particular those set out in Article 51(3) of the Staff Regulations.

Article 16

The reports drawn up in accordance with this Decision shall be included in the official's personal file.

Article 17

The decisions adopted by the Appointing Authority under Article 51 of the Staff Regulations shall be published once a year in the Administrative Notices. The names of the officials concerned shall not be given. Nor shall other information by which they might be identifiable.

Article 18

In 2004 (transition period) the threshold for initiating the procedure laid down in Article 2 first indent is hereby replaced by the following:

“For the purposes of this Decision, and without prejudice to the rules laid down in Annex II to the general provisions for implementing Article 43 of the Staff Regulations (1), where the arithmetic mean of the definitive career development reports for 2002 and 2003 gives an overall score of between 7.5 and 9.5 points out of 20, the reporting officer shall draw up a programme of supportive and remedial measures for the official concerned. The programme shall run for a maximum of one year. It may include, if judged necessary, one or more of the measures referred to in Article 13 of this decision. The insufficiency thus calculated will form the basis of a memo to be annexed to the 2003 career development report and the starting point for the above-mentioned programme shall be the date on which the career development report is finalised.”

This Decision shall enter into force on 1 May 2004.

Done at Brussels, 28.4.2004.

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Footnotes

⁽¹⁾ Commission Decision of 3 March 2004 on the general provisions for implementing Article 43 of the Staff Regulations.