SPECIAL RULES RELATING TO THE APPRAISAL OF STAFF WORKING IN THE EXTERNAL SERVICE

Administrative Notice No 2-2005 of 12 January 2005 announced the start of the appraisal exercise for 2004 pursuant to the general provisions implementing Article 43 of the Staff Regulations adopted by the Commission on 23 December 2004. http://www.cc.cec/guide/publications/infoadm/2005/ia05002_en.html

On 6 April 2005, the Commission adopted a Decision on the specific rules relating to the appraisal of staff working in the External Service and amending Commission decision C(2002) 4867/2 of 27 December 2002. See Annex I.

The main change from the December 2002 decision concerns the appraisal of Heads of Delegation, which will now follow a pattern similar to that for the appraisal of other Category A* officials. This amendment seeks to improve the quality of the annual dialogue with the job-holder by making the first assessor the Director responsible for the geographical area in which the Delegation is situated (Article 2 of the draft Decision).

Specifically, the Heads of Delegation (apart from those occupying a post as Director-General or Director, who come under the rules for senior management) will be appraised by two reporting officers:

• The first reporting officer will be the Director responsible for the geographical area in which the Delegation is situated.
   
• The second reporting officer will be the Director of the External Service.

The Director-General or the Deputy Director-General of DG RELEX will act as countersigning officer. The appeal assessor will be the Commission Secretary-General, the Deputy Secretary-General or the Director-General of DG RELEX if the countersigning officer is the Deputy Director-General of DG RELEX.

The decision also makes a certain number of adjustments to bring the legal text into line with the practice followed by the External Service:

• The job-holder will be informed of the identity of the countersigning officer and of the appeal assessor (Article 2(3) and (4); Article 3(4); Article 4(6)).
   
• The first and second reporting officers together will attend the concertation referred to in Articles 3(1) and 4(3).
   
• The report sent to the job-holder will include the appraisals of the first and second reporting officers and of the countersigning officer (Articles 3(1) and 4(3)).
   
• The concept of functional director is defined in Article 3(1).

COMMISSION DECISION

of 06.04.2005

on the rules for the appraisal and promotion of staff working in the External Service of the Commission

• Article 1 Scope
• Article 2 Appraisal of Heads of Delegation
• Article 3 Appraisal of Category A* staff
• Article 4 Appraisal of Category B* and Category C* staff
• Article 5 Reporting standards
• Article 6 Specific time limits for the External Service
• Article 7 Joint Evaluation Committee
• Article 8 Promotions
• Article 9 Final provisions

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Staff Regulations of Officials of the European Communities and the Conditions of Employment of Other Servants of the European Communities laid down by Council Regulation (EEC, Euratom, ECSC) No 259/68 ¹, and in particular Articles 43 and 45 of the Staff Regulations,

After consulting the Staff Committee,

Having regard to the opinion of the Staff Regulations Committee,

Whereas:

1. On …., the Commission adopted general provisions for implementing Article 43 of the Staff Regulations² and general provisions for implementing Article 45 of the Staff Regulations³ .
    
2. The general rules laid down in the general provisions for implementing Articles 43 and 45 of the Staff Regulations should be accompanied by special rules covering certain aspects of the procedure for the appraisal and promotion of staff assigned to the External Service.
    
3. On 27 December 2002, the Commission adopted specific rules relating to the appraisal and promotion of staff working in the External Service⁴ , which require adaptation in order to take account of the amendments introduced by Regulation (EC, Euratom) No 723/2004 and the lessons to be drawn from the reporting exercise conducted in 2004 in connection with the rules for the appraisal of Heads of Delegation,

HAS ADOPTED THIS DECISION:

Article 1
Scope

1. This Decision shall apply to permanent officials and temporary staff within the meaning of Article 2 of the Conditions of Employment of Other Servants of the European Communities who are assigned to the External Service, hereinafter referred to as the "ES", including persons who, having been assigned to delegations to international organisations in the European Union, are not covered by Annex X to the Staff Regulations.
   
   It shall not apply to officials or temporary staff assigned to the ES who occupy a position as a Director-General or equivalent, or Director or equivalent.
    
2. The general provisions for implementing Articles 43 and 45 of the Staff Regulations adopted by the Commission on ….. shall apply to the staff referred to in paragraph 1, except where special rules are laid down by this Decision.

Article 2
Appraisal of Heads of Delegation

1. The appraisal of Heads of Delegation shall be conducted by the Director responsible for the geographical area in which the Delegation is situated, in conjunction with the Director of the ES. The Director responsible for the geographical area and the Director of the ES shall jointly assume the role of reporting officer within the meaning of Article 2(2) of the general provisions for implementing Article 43 of the Staff Regulations. The Director responsible for the geographical area is hereinafter referred to as the "first reporting officer" and the Director of the ES as the "second reporting officer". The first reporting officer shall consult the functional Director of the jobholder being appraised. The result of this consultation shall be attached to the career development report.
   
   In the case of Heads of multilateral Delegations, the first reporting officer shall be the functional Director and the second reporting officer the Director of the ES.
    
2. The first reporting officer and the second reporting officer for the jobholder being appraised shall be identified at the start of the reporting period. The jobholder and the members of the ES Management Committee shall be informed of their identity.
    
3. The countersigning officer shall be the Director-General for External Relations, who may authorise his or her Deputy to act on his or her behalf. The jobholder shall be informed of the identity of the countersigning officer.
    
4.  The appeal assessor shall be the Secretary-General, who may authorise his or her Deputy to act on his or her behalf. Where the countersigning officer is the Deputy Director-General, the Director-General for External Relations shall assume the role of appeal assessor. The jobholder shall be informed of the identity of the appeal assessor.
    
5. Subject to paragraphs 1 to 4 of this Article, the appraisal of Heads of Delegation shall be conducted in accordance with the rules laid down in Article 3 for the appraisal of Category A* staff ⁵.

Article 3
Appraisal of Category A* staff ⁶

1. The appraisal of Category A* staff, including Deputy Heads of Delegation, shall be conducted by the Head of Delegation in conjunction with the Director responsible for the geographical area in which the Delegation is situated or, if appropriate, with the functional Director of the jobholder being appraised. The Head of Delegation and the Director responsible for the geographical area or, where applicable, the functional Director (i.e. the Director whose responsibilities have the closest thematic link to the main duties of the official), shall jointly assume the role of reporting officer within the meaning of Article 2(2) of the general provisions for implementing Article 43 of the Staff Regulations. The Head of Delegation is hereinafter referred to as the "first reporting officer" and the Director responsible for the geographical area or, where applicable, the functional Director, as the "second reporting officer".
   
   The self-assessment referred to in Article 8(4) of the general provisions for implementing Article 43 of the Staff Regulations shall be transmitted by the first reporting officer to the second reporting officer. The formal dialogue referred to in Article 8(5) of the general provisions for implementing Article 43 of the Staff Regulations shall be held by the first reporting officer. The draft report referred to in Article 8(6) of the general provisions for implementing Article 43 of the Staff Regulations shall be drafted by the first reporting officer and transmitted to the second reporting officer.
   
   By way of derogation from Article 8(7) of the general provisions for implementing Article 43 of the Staff Regulations, when, for a given grade, at least two-thirds of the draft career development reports have been drawn up and transmitted, the second reporting officers shall, together with the first reporting officers, verify that the reporting standards have been applied consistently, compare merits and harmonise the merit points on the basis of the indications given by the first reporting officers during the formal dialogue.
   
   After this concertation the second reporting officer shall add his or her comments to the draft report.
   
   Before the reports are finalised, the Director-General for External Relations shall, in concertation with the countersigning officer, seek to ensure that, on the basis of the draft reports drawn up by the first and second reporting officers and in the light of the reporting standards adopted by the ES, the merits of the jobholders concerned have been appraised consistently across the ES and within each grade, in accordance with Article 8(3) of the general provisions for implementing Article 43 of the Staff Regulations.
   
   By way of derogation from Article 8(8) of the general provisions for implementing Article 43 of the Staff Regulations, after the above-mentioned concertation has taken place the second reporting officer and the countersigning officer shall finalise each career development report and transmit it to the jobholder. The report transmitted to the jobholder shall comprise the appraisal of the first reporting officer, as well as that of the second reporting officer and countersigning officer.
    
2. The first reporting officer and the second reporting officer for the jobholder being appraised shall be identified at the start of the reporting period. The jobholder and the members of the ES Management Committee shall be informed of their identity.
    
3. The countersigning officer shall be the Director of the ES. In cases of disagreement between the first and second reporting officers the final decision shall rest with the Director of the ES.
    
4. The appeal assessor shall be the Director-General for External Relations, who may authorise his or her deputy to act on his or her behalf. The jobholder shall be informed of the identity of the appeal assessor.

Article 4
Appraisal of Category B* and Category C* staff ⁷

1. The appraisal of Category C* staff shall be conducted by the Head of Delegation, who shall assume the role of reporting officer.
    
2. The appraisal of Category B* staff who occupy a job as a head of administration shall be conducted by the Head of Delegation, who shall assume the role of reporting officer, after consulting the functional Heads of Unit of the ES. Such consultation shall be mandatory and the resulting opinion shall be recorded in the career development report.
    
3. The appraisal of Category B* staff who do not occupy a job as a head of administration shall be conducted by the Head of Delegation, acting in conjunction with the Head of Unit responsible for the geographical area in which the Delegation is situated or, where appropriate, with the functional Head of Unit of the jobholder being appraised. The Head of Delegation and the Head of Unit responsible for the geographical area or, where appropriate, the functional Head of Unit, shall jointly assume the role of reporting officer within the meaning of Article 2(3) of the general provisions for implementing Article 43 of the Staff Regulations. The Head of Delegation is hereinafter referred to as "first reporting officer" and the Head of Unit responsible for the geographical area or, where appropriate, the functional Head of Unit, is hereinafter referred to as "second reporting officer".
   
   The self-assessment referred to in Article 8(4) of the general provisions for implementing Article 43 of the Staff Regulations shall be transmitted by the first reporting officer to the second reporting officer. The formal dialogue referred to in Article 8(5) of the general provisions for implementing Article 43 of the Staff Regulations shall be held by the first reporting officer. The draft report referred to in Article 8(6) of the general provisions for implementing Article 43 of the Staff Regulations shall be drawn up by the first reporting officer and transmitted to the second reporting officer.
   
   By way of derogation from Article 8(7) of the general provisions for implementing Article 43 of the Staff Regulations, when, for a given grade, at least two-thirds of the draft career development reports have been drawn up and transmitted, the second reporting officers shall, together with the first reporting officers, verify that the reporting standards have been applied consistently, compare merits and harmonise the merit points on the basis of the indications given by the first reporting officers during the formal dialogue.
   
   After this concertation the second reporting officer shall add his or her comments to the draft report.
   Before the reviews are finalised the Director-General for External Relations shall, in concertation with the countersigning officer, seek to ensure that, on the basis of the draft reports drawn up by the first and second reporting officers and in the light of the reporting standards adopted by the ES, the merits of the jobholders concerned have been appraised consistently across the ES and within each grade, in accordance with Article 8(3) of the general provisions for implementing Article 43 of the Staff Regulations.
   
   By way of derogation from Article 8(8) of the general provisions for implementing Article 43 of the Staff Regulations, after the above-mentioned concertation has taken place the second reporting officer and the countersigning officer shall finalise each career development report and transmit it to the jobholder. The report transmitted to the jobholder shall comprise the appraisal of the first reporting officer, as well as that of the second reporting officer and countersigning officer.
    
4. The Head of Unit responsible for the geographical area in which the Delegation is situated and the functional Head of Unit of the jobholder being appraised shall be identified at the start of the reporting period. The jobholder shall be informed of their identity.
    
5. The countersigning officer for all Category B* and Category C* staff shall be the Director of the ES. In cases of disagreement between the first and second reporting officers the final decision shall rest with the Director of the ES.
    
6. The appeal assessor shall be the Director-General for External Relations, who may authorise his or her deputy to act on his or her behalf. The jobholder shall be informed of the identity of the appeal assessor.

Article 5
Reporting standards

For the jobholders specified in Article 1(1) the reporting standards referred to in Article 8(3) of the general provisions for implementing Article 43 of the Staff Regulations shall be submitted by the ES Management Committee to the ES Steering Committee.

Article 6
Specific time limits for the External Service

By way of derogation from Article 8(14) of the general provisions for implementing Article 43 of the Staff Regulations, all annual reports of the jobholders referred to in Article 1(1) shall be closed by the end of May at the latest.

Article 7
Joint Evaluation Committee

1. A Joint Evaluation Committee, separate from that of the Directorate-General for External Relations, shall be set up for the ES. The Chair shall be held by a Director in a Directorate-General which does not belong to the RELEX family ⁸. The Chair shall be designated by the Director-General for Personnel and Administration and the Secretary-General of the Commission. The Chair may not be held by a Director of Resources.
   
   The Committee shall consist of six members: three staff representatives designated by the Central Staff Committee, a Director in a Directorate-General which belongs to the RELEX family, but not the Director of Resources of the ES, designated jointly by the Directors-General of the RELEX-family Directorates-General, the ES Head of Unit responsible for monitoring the appraisal exercise, and a Director, designated by the Director-General for Personnel and Administration, who does not belong to a RELEX-family Directorate-General and is to act as "external member" within the meaning of Article 9(1) of the general provisions for implementing Article 43 of the Staff Regulations.
    
2. The Chair and every full member shall each have at least one alternate. The Chair shall, if absent, be replaced by the external member. Alternate members may take part in meetings even when the full members are present, but shall in such cases not be entitled to vote. An alternate member shall automatically be entitled to vote if the full member whom he or she represents is absent.
   
   Where the number of full members present who have been designated by the Directors-General and the Staff Committee respectively is less than three, alternate members shall be entitled to vote provided the total number of members (full members and alternates) entitled to vote does not exceed three members designated by the Directors-General and three members designated by the Staff Committee.
    
3. All other aspects of the composition and remit of the Joint Evaluation Committee shall be governed by Article 9(3) to (8) of the general provisions for implementing Article 43 of the Staff Regulations.

Article 8
Promotions

1. For the purposes of promotions, the ES shall be considered as a separate Directorate-General. It shall therefore be allocated a number of priority points to be distributed among deserving officials in accordance with the rules laid down in Articles 5 and 6 of the general provisions for implementing Article 45 of the Staff Regulations.
    
2. Proposals for the award of priority points to Category A* staff shall be drawn up by the Director-General for External Relations after consulting the Heads of Delegation concerned. The ES Steering Committee shall be consulted and shall approve the proposals for the award of priority points.
    
3. Proposals for the award of priority points to Category B* and Category C* staff shall be drawn up by the Director of the ES on the initiative of the relevant Heads of Delegation and after consulting any other RELEX-family reporting officers concerned. This consultation shall take place within the framework of the ES Management Committee.
    
4. Paragraphs 1 to 3 shall not apply to the temporary staff referred to in Article 1(1).

Article 9
Final provisions

This Decision replaces that adopted by the Commission on 27 December 2002. As regards the appraisal rules, it shall apply to reports to be drawn up as from 1 January 2005. As regards the rules on promotion, it shall apply as from the 2005 promotion round.

Done at Brussels, 06.04.2005

For the Commission
S. Kallas
Vice-President of the Commission

________________________
Footnotes

¹ OJ L 56, 4.3.1968. Regulation as last amended by Regulation (EC, Euratom) No 723/2004 (OJ 124, 27.4.2004, p. 1).

² Decision C ……

³ Decision C ……

⁴ Decision C(2002) 4867/5 of 27.12.2002, as amended by Decision C(2004) 844 of 20.2.2004.

⁵ From 1 May 2006, references to category A* shall be understood as references to function group AD.

⁶ From 1 May 2006, references to category A* shall be understood as references to function group AD.

⁷ From 1 May 2006, references to Category B* or Category C* shall be understood as references to function group AST.

⁸ The following DGs are regarded as belonging to the RELEX family: External Relations, EuropeAid, Trade, Enlargement, Development and ECHO.