2007 PROMOTION EXERCISE

• CHARACTERISTICS OF THE PROMOTION SYSTEM IN FORCE SINCE 2003
• PARTICULAR FEATURES OF THE 2007 PROMOTION EXERCISE
• TIMETABLE FOR THE 2007 PROMOTION EXERCISE
• Indicative promotion thresholds for 2007

The 2007 promotion exercise will be the fifth organised in accordance with the procedures agreed by the Commission in 2002. This Administrative Notice recaps the key principles of these procedures.

The Commission is currently working to a timetable to allow for revised appraisal and promotion systems to enter into force in 2008. This would also require new general implementing provisions (GIPs).

1. CHARACTERISTICS OF THE PROMOTION SYSTEM IN FORCE SINCE 2003
   
   The current promotion system was applied for the first time in 2003. The entire promotion exercise is now managed via the Sysper 2 “promotion” module. Officials have individual access to their promotion files by means of a personal secret password. Promotion files contain information on the allocation of priority points received under the exercise and on the individual’s situation as regards accumulated priority points and merit points.
   
   1.1. Key principles of the promotion system in force since 2003
    
   • Officials accumulate merit points and priority points over successive promotion exercises. The aggregate number of these points produces an accumulated stock of points.
      
   • In each promotion exercise, the following individuals are promoted:
      
     • all officials with a number of accumulated points above the promotion threshold⁽¹⁾ ;
        
     • officials with a number of accumulated points equal to the promotion threshold, provided that there are sufficient budget resources available. To this end, provision has been made for a mechanism to choose between officials having the same ranking (“ex-aequo” officials) on a proposal from the promotion committees.
        
   • The aggregate number of points accumulated by promoted officials will be reduced by the number of points corresponding to the promotion threshold.
     
     The principles governing the new promotion system are set out in detail in Administrative Notice No 34-2003 of 2 May 2003.

   1.2. How are merit points and priority points accumulated?
   
   Each year, officials are allocated merit points and, in certain cases, priority points.
    

   • Merit points are the result of the mark out of 20 given in the annual career development review (CDR). Officials given a mark of 15 in their CDR for 2006 will be awarded 15 merit points for the 2007 promotion exercise.
     
     However, there are a number of exceptions to this general rule, for instance, if the official in question has had a number of appraisals each covering part of the previous year, has changed category or has not been in active employment for the whole of the reference period. In these cases, merit points will be calculated in proportion to the period served in the grade.
      
   • There are several categories of priority points:
      
     • Priority points allocated by the Directorate-General (PPDG): these are awarded by the Directors-General, within the quota available (see point 1.3.), to officials deemed most deserving, as follows:
        
       • officials who have demonstrated exceptional merit may be allocated 6 to 10 priority points;
          
       • other officials may be awarded a maximum of 4 points;

       Officials whose most recent CDR contains an assessment of “poor” or “inadequate” are not eligible for priority points.
       
       The criteria laid down for allocating these points must be made known to the staff of the Directorate-General concerned. They are notified to DG ADMIN, which informs the Staff Committee.
       
       The proposals for the award of priority points by the Directors-General (the formal intentions) are published by DG ADMIN (see point 3: timetable for the promotion exercise).
        

     • Priority points in recognition of additional work carried out in the interest of the institution (PPII): the promotion committees may propose the award of priority points to officials who have carried out tasks which are in the interest of the institution and which do not form part of their normal duties. The list of the tasks in question is contained in Annex I to the general provisions for implementing Article 45 (adopted by the Commission on 23 December 2004). A maximum of 2 such points may be awarded per official and per year.
       
       DG ADMIN has asked the European Personnel Selection Office and each Joint Committee Chair for a detailed list of the Commission officials who have taken part in their work and the number of days worked by each official.
       
       The information relating to these priority points will be made known to staff before the promotion committees meet (see point 3: timetable for the promotion exercise). Officials will therefore be able to lodge an appeal with the appropriate committee if they consider that the information published does not reflect the additional work which they undertook during 2006 in the interest of the institution.
        
     • Priority points awarded by the promotion committees on appeal (PPPCA): the committees may propose the allocation of priority points on appeal to officials who have contested the number of Directorate-General priority points accorded to them by lodging an appeal with the committee concerned. For the appeal to succeed, the committee must consider the appeal to be justified and must substantiate its proposal. No limit has been set for the number of points which may be allocated on appeal.
        
     • Transitional priority points awarded by the Appointing Authority (PPTAA): these will be awarded to officials whose seniority in their grade at 1 January 2007 exceeds the average seniority in that grade for officials promoted in 2006. The number of these points will depend on the official’s merit mark for 2005. It cannot exceed 4 points and must be calculated in accordance with the table at point 2.3 of Annex II of the general provisions for implementing Article 45.
        
     • Transitional priority points awarded by the promotion committees (PPTPC): the committees are able to propose the allocation of up to 3 priority points to offset any problems resulting from the transition from the old to the new promotion system.

   1.3. How is each Directorate-General’s quota of priority points calculated?
   
   Each Directorate-General or department has, for a given grade, a quota of priority points equal to 2.5 times the number of officials in that grade (as at 31 December 2006) and for whom the Directorate-General has by 15 June 2007:
    

   • completed the CDR(s) covering 2006;
   • set validated objectives for 2007;
   • drawn up a training map covering at least 2007.

   The quota of priority points is reduced if, for the grade in question, the average merit marks exceed the expected average by more than one point. However, Directorates-General may apply for exemptions. These applications are examined by a joint working party chaired by the Director -General of DG ADMIN and comprising four members representing the administration and four members designated by the Staff Committee, representing the staff.
   
   The average number of merit points expected for each grade, as referred to in Article 8 of the general provisions for implementing Article 43 of the Staff Regulations, has been set at 14.65 for the 2007 staff appraisal and promotion exercise.
   
   1.4. How are the promotion thresholds set?
   
   Promotion thresholds are not set in advance but established at the end of the annual promotion exercise, for each grade, by the promotion committees and the Appointing Authority. Thresholds depend on the budget resources available and the points allocated by the Directorates-General.
   
   Officials are classified on the basis of the number of points accumulated: top of the list is the official with the most points. If the available budget resources are sufficient to promote 100 officials from grade X to grade Y, the 100 officials with most accumulated points are promoted. The promotion threshold is set at the number of points accumulated by the official ranked 100 on the list.
   
   In view of this mechanism, it is impossible to determine the definitive promotion threshold for a given grade at the start of the exercise.
   However, at the start of the exercise DG ADMIN estimates an indicative threshold based on statistical simulations. The indicative promotion thresholds for 2007 are annexed to this Administrative Notice.
   
   1.5. Who is promoted?
   
   Officials with a total number of points above the promotion threshold are promoted, provided that they meet the criteria applicable under the Staff Regulations (minimum seniority in the grade and in service; compliance with article 45.2 where applicable). However, there is one key exception to this rule: officials who scored less than 10 in their most recent CDR cannot be promoted, even if they have accumulated a total number of points above the promotion threshold.
   
   Officials who have accumulated a number of points which coincides exactly with the promotion threshold may possibly be promoted. If budget resources do not permit the promotion of all the officials who have reached the definitive promotion threshold (“ex aequo” officials), the promotion committee proposes, from among these officials, those who may be promoted on the basis of subsidiary criteria such as seniority in the grade and factors relating to equal opportunities or the nature of duties undertaken. Officials with the same total number of points (whatever the origin of those points) are deemed to have the same merit.
   
   1.6. What are the appeal procedures?
   
   The general provisions for implementing Article 43 of the Staff Regulations (staff appraisal) provide for appeal procedures for officials who contest the content of their CDR, in particular the merit mark obtained. Joint Evaluation Committees have been specially set up covering each Directorate-General⁽²⁾.
   
   During the actual promotion exercise, officials who contest the proposed number of priority points from their Directorate-General or for additional work undertaken in the interest of the institution may lodge an appeal with the relevant promotion committee in accordance with the following procedures:
    

   • Once priority points have been awarded by the Directors-General, DG ADMIN informs staff of the lists which show, grade by grade, the officials to whom it is proposed to allocate priority points from their Directorate-General and those who might be granted priority points for additional work undertaken in the interest of the institution. Officials are then invited to consult their promotion file.
      
   • Officials have five working days from the publication of those lists to lodge an appeal, via Sysper 2, with the relevant promotion committee.
      
   • The promotion committees⁽³⁾ are responsible for:
      
     • making proposals on the allocation of some priority points (see point 1.2. above);
     • examining any individual appeals lodged by officials;
     • selecting possible promotees from among ex-aequo officials (see point 1.5 above).
        
   • Any points allocated by the Appointing Authority following the promotion committees’ work are included in the promotion file of each official concerned. In addition, DG ADMIN publishes the lists of officials whom the promotion committees consider to be the most deserving of promotion⁽⁴⁾ , the lists of officials to whom points have been awarded for additional work undertaken in the interest of the institution, and the lists of officials promoted.
     
     At the end of the promotion procedure, moreover, officials may lodge a complaint with the Appointing Authority under Article 90(2) of the Staff Regulations to challenge:
      
     • the fact that they have not been promoted;
        
     • the calculation of their merit points on the basis of the marks in the CDR concerned (any challenge involving the merit marks themselves is to be made as part of the appraisal exercise, as indicated above);
        
     • the total number of priority points obtained during the promotion exercise, regardless of the type of points concerned.
        
2. PARTICULAR FEATURES OF THE 2007 PROMOTION EXERCISE
   
   2.1. Career structure
   
   The 2007 promotion exercise will be held in the framework of the Staff Regulations which entered into force on 1 May 2004. This means that promotion exercises will take place for grades within the AD and AST (without a career restriction) function groups and the AST C and AST D career streams.
   
   2.2. Ability to work in a third language
   
   Administrative notice 16-2007 of 15.2.2007 sets out the implementing condition for Article 45(2) of the staff regulations in 2007 and succeeding years.
   
   To recall the basic principles:
    
   • Article 45(2) refers only to the first promotion after recruitment
      
   • The demonstration of the ability to work in a third language must be carried out in one of the several ways described in the administrative notice 16-2007.
      
   • Officials who are in line for a first promotion after recruitment in 2007 and who are thus concerned by article 45(2), must demonstrate the ability to work in a third language before the end of 2007.
      
   • Such officials who do not succeed in making such a demonstration will not be eligible for promotion in 2007.

   2.3. Transitional provisions
   
   Article 13 of the general implementing provisions for this promotion exercise refers to transitional provisions which provide, inter alia, that when the promotion thresholds mentioned are published, the Directorate-General for Personnel and Administration shall indicate the grades for which thresholds have levelled off and for which the transition phase has been completed.
   
   In this regard, the transition phase has been completed for the following grades: AD7, AST5, AST2/C and AST2/D. Moreover, for new grades (AD5, AD6, AD9, AST1, AST2, AST3, AST4, AST9), transitional provisions should not apply.
   
   This means that for these grades:
    

   • priority points (PPDG) should be based on the merit shown by the official during 2006;
      
   • there will be no allocation of transitional points (PPTAA and PPTPC).

   In addition, transitional points allocated by the promotion committees (PPTPC) will not apply to the grades AD13, AD12, AST10, AST6/C, and AST4/D for which no promotion possibilities were foreseen in the former career structure.
   
   2.4. The rucksack of attested officials or officials who have passed an internal competition D* to C* or C* to B*and who have become members of the AST function group with no career restriction with effect from 1 May 2006.
    

   • Officials who have become members of the AST function group without career restriction in 2006 following attestation or having succeeded an internal competition will figure on the AST (without career restriction) promotion lists in the framework of the 2007 promotion exercise. Their rucksacks have been re-calculated at the beginning of 2007, to maintain their relative distance from the new promotion threshold.
      
   • The calculation can be illustrated by the following example of an attested official in the function group/grade AST4/C:
      
     • the promotion threshold for the AST4/C grade for the promotion exercise 2006 is X;
        
     • the number of points accumulated by the former grade AST4/C official at the end of 2006 represents 50% of the 2006 promotion threshold;
        
     • the official concerned becomes a member of the AST function group without a career restriction as from 1 May 2006;
        
     • the promotion threshold for the grade AST4 (B*4) noted during the 2006 promotion exercise is Z;
        
     • at the beginning of 2007 the official’s rucksack has been re-calculated to keep the same percentage distance from the threshold in the new grade as in the old grade. It will therefore be equal to 50% of Z.
        
   • Officials who have become or will become members of the AST function group (without a career restriction) in 2007 following attestation or having succeeded an internal competition will figure on the AST/C and AST/D lists in the framework of the 2007 promotion exercise. They will figure on the AST (without a career restriction) list from the 2008 promotion exercise.
      
3. TIMETABLE FOR THE 2007 PROMOTION EXERCISE
   
   – May:
    
   • All officials will be able to access, via the 2007 promotion file in Sysper 2, their merit points (calculated in accordance with the methods described above) and transitional priority points awarded by the Appointing Authority.

   – June:
    

   • Directorates-General will submit any requests for exemption in the event that they exceed by more than one point the expected average merit marks covering 2006.
      
   • Directorates-General will inform their staff of the criteria for awarding priority points.
      
   • The joint working party will meet to examine any requests for exemption.
      
   • Directorates-General will submit to the Joint Evaluation Committees their proposals for awarding priority points.

   – July:
    

   • DG ADMIN will publish the formal intentions regarding the award of priority points, the lists of officials most deserving of promotion and the number of days worked in relation to work carried out in the interest of the institution.
      
   • End of July: closing date for lodging appeals with the promotion committees.

   – September/October:
    

   • The promotion committees will meet.

   – October/November:
    

   • DG ADMIN will publish the lists of those whom the promotion committees consider most deserve promotion, the lists of those promoted and the list of those awarded points for additional work undertaken in the interest of the institution.
     Further information on the promotion exercise can be found at: http://www.cc.cec/pers_admin/promotions/index_en.html.

ANNEX

Indicative promotion thresholds for 2007

As stated at point 1.4 above, the definitive promotion thresholds will not be established until the end of the promotion exercise, since they are determined by the number of promotions possible and the final list broken down by total points for each grade.

The indicative promotion thresholds which DG ADMIN is required to publish before the promotion exercise result from a statistical estimate based on a number of assumptions about how the exercise will progress. It is the best estimate available.

The results are obtained from the largest group of officials, those paid from the operating budget, but they are also valid for those paid from other budgets.
The indicative thresholds are given below.

TABLE OF INDICATIVE THRESHOLDS

_________
FOOTNOTES

⁽¹⁾ With the exception of certain specific cases such as officials who are not in active employment at the Commission when promotion decisions are taken, officials who obtained fewer than 10 merit points in the previous appraisal exercise, officials who are the subject of disciplinary procedures, etc.

⁽²⁾ When the promotion exercise is launched, this appeal procedure has in theory been exhausted.

⁽³⁾ There are three promotion committees: one for the AD function group, one for the AST function group (without a career restriction) and one for the AST/C and AST/D career streams. A promotion subcommittee has also been set up for staff paid from research appropriations in the general budget.

⁽⁴⁾ Lists containing, for each grade, the names of officials who are not more than five points below the promotion threshold and the names of officials who have reached or passed that threshold.
Author: ADMIN A.6