|
2009 APPRAISAL AND PROMOTION EXERCISE
Reference period: 1 January to 31
December 2008
This administrative notice explains the different aspects of the new
appraisal and promotion system (1).
This 2009 appraisal and promotion exercise will be conducted on the
basis of the new general provisions for implementing
Article 43 and
Article 45 of the Staff Regulations, adopted by the
Commission on 18 June 2008.
The new system is based on the following principles: the merit points
are replaced by five performance levels (IA, IB, II, III, and IV) which
reflect all aspects of the annual performance of officials and temporary
staff. In the interests of harmonising the evaluation of the efficiency,
abilities and conduct of Commission staff, new common appraisal
standards are introduced for the current exercise.
The appraisal will directly affect promotion because for each
performance level (except level IV for which the jobholder did not meet
the expected level of performance) there is a corresponding range of
three promotion points that are awarded on the basis of precise
criteria. These promotion points will in future be the only points that
count for the promotion exercise. Because most of the promotion
thresholds will be fixed and known in advance, officials will be able to
predict their career development more easily.
The appraisal and promotion exercises will take place at the same time,
and the new structure of the Joint Appraisal and Promotion Committees
will make the appeal procedures less cumbersome. All appeals against
appraisal reports and promotion points are dealt with in a single stage
by two Joint Appraisal and Promotion Committees, organised centrally
(one for ADs, the other for ASTs). The committees are also responsible
for overseeing the smooth running of the appraisal and promotion
exercises.
- GENERAL PRINCIPLES OF APPRAISAL
The performance of Commission staff is evaluated every year. This
evaluation is the subject of an individual report – the appraisal
report – which is produced using the Sysper2 computer application.
1.1 Who has to be appraised?
All officials and temporary staff (jobholders) who were in active
employment(2) or on
secondment in the interests of the service for a continuous period
of at least one month in 2008 have to be appraised. Contract staff
are appraised under separate rules.
Exceptions:
- A report does not have to be drafted for jobholders who left
the Community institutions in 2008 or who are going to leave in
2009, unless they request one from their reporting officer in
writing.
- This annual exercise does not affect those holding posts of
Director-General or equivalent, or Director or equivalent; they
will be assessed according to special rules.
1.2 Tools for the appraisal
1.2.1 Objectives and assessment criteria
The reporting officers must make sure that objectives are set
for each official and member of the temporary staff, because these
serve as the basis for assessing their efficiency. The objectives
must be consistent with the work programme of the DG and the unit
and the jobholder's job description. They must be accompanied by
criteria for assessing the results and an explanation of when they
will be considered to have been met.
1.2.2 Common appraisal standards
The common appraisal standards must be applied in all Commission
departments. They have been revised by the DG ADMIN following
consultation with the various departments and the Joint Appraisal
and Promotion Monitoring Committee. They were published in
Administrative Notice No IA No
22-2008 with a view to being used from the 2009 appraisal
exercise onwards.
The standards will be used to assess efficiency, abilities and
conduct in the service. Their aim is to harmonise staff appraisals
within a DG, to facilitate the dialogue between the reporting
officer and the jobholder and to ensure that appraisals are
comparable across all DGs. With the agreement of DG ADMIN, DGs may,
if necessary, supplement the standards at the beginning of the
reference period in order to cover specific aspects related to their
work. In that case they must be published for the staff of that DG
at the beginning of the reference period.
There is a single description per standard which reflects the
performance level expected of each jobholder. The reporting officer
chooses from the range of standards available the ones that apply to
the jobholder. The reporting officer and the countersigning officer
will determine whether the jobholder has reached, exceeded or failed
to reach the level described and decide, in the light of this, on
the appraisal to be given.
1.3 What period does the new appraisal exercise cover?
The reference period runs from 1 January to 31 December 2008.
If the jobholder or reporting officer moves during the reference
period, the reporting officer will write a contribution to the
appraisal in Sysper2, which will be taken into account by the
reporting officer responsible for the annual report.
For the 2009 exercise, the contributions of reporting officers
figure in the simplified or intermediate reports established in the
course of 2008.
1.4 The appraisal report and the five performance levels
The appraisal report(3)
brings together the information relating to the
jobholder's individual performance during the reference period.
There is a section for the jobholder to insert a self-assessment.
The report itself is divided into three sections, in which the
reporting officer comments on:
- Efficiency: assessed in the light of the individual
objectives and assessment criteria set for each jobholder at the
beginning of the reference period. To what extent has the
jobholder attained the objectives, taking into account the work
situation? The common appraisal standards for organising,
planning and performing work and ensuring quality must also be
used.
- Abilities: assessed on the basis of the common
appraisal standards relating to communication, negotiation
skills, analysing problems and applying solutions and awareness
of the working environment. In the case of jobholders in
management positions, their skills in leadership, people
management and financial resources management must also be
appraised.
- Conduct in the service describes the jobholder's
behaviour in the working environment. The common appraisal
standards cover aspects such as the ability to work in a team,
service culture, commitment to the job, personal development and
leadership.
The comments are summarised by one of the five performance levels
below:
| IA |
®
The jobholder's performance constantly exceeded
expectations*. |
| IB |
®
The jobholder's performance frequently exceeded
expectations*. |
| II |
®
The jobholder's performance fully met expectations*. |
| III |
®
The jobholder's performance partly met expectations*. |
| IV |
®
The jobholder's performance failed to meet expectations*. |
* in terms of efficiency, abilities and conduct in the service.
Maximum percentages apply to each DG for performance level IA (8% of
officials in each grade) and IB (22% of officials in each grade).
The result of applying these percentages is systematically rounded
up to the nearest whole number, so a second check is carried out at
the level of each function group to ensure that the percentages are
adhered to.
1.5 Assessing the demonstration of potential for the purpose of the
certification procedure
When completing their self-assessment, AST function-group officials
with no career restriction who wish to apply for the certification
procedure must ask their reporting officer to fill in the section
marked "Potential".
The "potential" section of the appraisal report only has to be
filled in if the jobholder explicitly requests it in his
self-assessment.
Using a drop-down menu, the reporting officer indicates what
administrator level tasks the jobholder took on in the course of
2008 (see guidelines on the website "certification, exercise 2008").
Where appropriate, the reporting officer will indicate any occasions
on which the jobholder has shown the potential to become a good
administrator through his efficiency, ability or conduct in the
service.
It will be up to the countersigning officer to decide, on the basis
of the reporting officer’s comments, whether or not the jobholder
has shown the potential to become a good administrator.
1.6 What are the implementing rules?
The general provisions for implementing
Article 43 of the Staff
Regulations, adopted by the Commission on 18 June 2008, will apply
to the annual appraisal reports covering the year 2008 for officials
and temporary staff paid from both the administrative budget and the
research budget of the Commission.
For personnel assigned to the external service of the Commission,
the decision of the Commission of 19 December 2008 regarding
appraisal and promotion modalities applies.
- GENERAL PRINCIPLES OF PROMOTION
A promotion exercise is organised each year. It entails awarding
promotion points and drawing up a list of the officials promoted.
Promotion points are the only points that count for the promotion
exercise. All other types of points, such as priority points awarded
by the DGs (PPDG) or in the interests of the institutions (PPII),
compensation points for leave on personal grounds or career delay,
have been abolished.
2.1 Who takes part in the promotion exercise?
The promotion exercise applies to all officials paid from
appropriations in the general budget, with the exception of grades
AST11, AST7/C and AST5/D, and officials in grades higher than AD13.
There is no promotion exercise for temporary staff or for contract
staff (special rules apply to the reclassification exercise for
contract staff).
2.2 Promotion points and criteria for awarding them
Officials may be awarded:
- 10, 11 or 12 promotion points if their performance corresponds to
performance level IA;
- 7, 8 or 9 promotion points if their performance corresponds to
performance level IB;
- 4, 5 or 6 promotion points if their performance corresponds to
performance level II;
- 1, 2 or 3 promotion points if their performance corresponds to
performance level III;
- no promotion points if their performance corresponds to
performance level IV.
The following are eligible for promotion points:
- officials who, in the year before the promotion exercise, were in
active employment (this includes sick leave, maternity, parental or
family leave, leave for military service) or seconded in the
interests of the service;
- probationary officials whose probation period ended no later than
31 December 2008 .
At the beginning of each year the Director-General, having consulted
the Directors and Heads of Unit, draws up the list of criteria for
awarding promotion points. These criteria take account of four
elements:
- the qualitative appraisal covering the year preceding the
promotion exercise;
- the official's use, in the course of his work, of languages other
than the one for which he produced evidence of a thorough knowledge
at the time of his recruitment;
- the level of responsibilities during the reference period;
- the tasks performed in the interests of the institution, in so far
as these are not part of the official's normal activities; these
tasks no longer give rise to the allocation of PPII, but they are
among the criteria to be taken into consideration for awarding
promotion points.
These tasks are:
- chair/member of a competition selection board or joint committee
for the selection of temporary staff,
- advisor to a selection board,
- marker of competition papers,
- chair/member of a joint committee.
Each DG will inform its staff of the detailed criteria for awarding
promotion points.
Information about the use of languages and level of responsibilities
will be included in the appraisal report for each official. In the
case of tasks performed in the interests of the institution, the
information will be collected centrally by DG ADMIN from EPSO, from
the chair of the joint committees and from the DGs. The list of
officials who have carried out the tasks referred to above will be
published in an administrative notice.
2.3 Promotion thresholds
2.3.1 All grades, except end-of-career grades (AD12, AST10, AST6/C
and AST4/D)
The general provisions for implementing Article 45 of the Staff
Regulations provide for a convergence plan for the period 2008-2011.
This specifies the pace at which the transition will be made from
the "historic" promotion speeds in the period 2000-2004 to the
speeds resulting from the multiplication rates set out in Annex IB
to the Staff Regulations.
For each year, the convergence plan gives the average waiting time
in each grade before promotion. The waiting time is the basis for
calculating the promotion threshold using the following formula:
Average waiting time x average number of promotion points awarded
per official
= promotion threshold. The advantage of such an approach is that it makes it possible to
calculate the promotion threshold in advance.
All officials with a number of points higher than or equal to the
promotion threshold and who fulfil the conditions specified under
point 2.6 will be promoted.
| |
2009 promotion thresholds
|
| AD13
|
30 |
| AD11
|
30 |
| AD10
|
27 |
| AD09
|
24 |
| AD08
|
23 |
| AD07
|
18 |
| AD06
|
18 |
| AD05
|
18 |
| AST09
|
30 |
| AST08
|
31 |
| AST07
|
24 |
| AST06
|
24 |
| AST05
|
24 |
| AST04
|
18 |
| AST03
|
18 |
| AST02
|
18 |
| AST01
|
18 |
| AST05.C
|
35 |
| AST04.C
|
27 |
| AST03.C
|
24 |
| AST02.C
|
24 |
| AST03.D
|
27 |
2.3.2 End-of-career grades (AD12, AST10, AST6/C and AST4/D)
There is no historic average waiting time for end-of-career grades.
The annual thresholds for these grades will be announced at the
official launch of the exercise, but will remain indicative until
the end of the promotion exercise. By promoting the specified number
of officials, the definitive threshold will be determined by the
number of points obtained by the last official promoted.
If budgetary constraints make it impossible to promote all the
officials who have accumulated exactly the same number of points as
the threshold, the Joint Appraisal and Promotion Committee will
suggest which of them can be promoted, by referring to subsidiary
criteria such as seniority in the grade and considerations related
to equal opportunities or the nature of the tasks performed.
However, the Staff Regulations do provide for a gradual increase in
the annual promotion rates for the end-of-career grades until 2011,
which means that the number of promotions will increase
significantly in the years to come.
| |
Indicative promotion thresholds
2009 |
| AD12
|
48 |
| AST10
|
52 |
| AST06.C
|
47 |
| AST04.D
|
52 |
2.4 Accumulation of points in the rucksack
The promotion points (between 1 and 12) awarded each year on the
basis of the official's appraisal report and of the criteria for
awarding promotion points laid down by the Director-General are
collected in a rucksack.
After promotion, the number of points corresponding to the promotion
threshold is deducted from the total number of points accumulated.
The balance, if any, is carried over to the next promotion exercise.
2.5 Quotas of promotion points by performance level, grade and DG
The total number of promotion points available for each DG for each
grade and performance level is as follows:
| Performance level
|
Promotion points available by performance level |
| IA |
10.5 points per official in level IA |
| IB |
7.5 points per official in level IB |
| II |
5.1 points per official in level II |
| III |
2 points per official in level III |
| IV |
0 points |
The points are calculated by grade only; points cannot be
transferred from one grade to another. The results are rounded up to
the nearest whole number.
If the quota of points available for a performance level in certain
grades is not enough to allow at least one official to be awarded
the highest number of possible promotion points for the performance
level in question, the Director-General may request a derogation
from the Joint Appraisal and Promotion Committee.
2.6 Who will be promoted?
An official may be promoted if:
- by 31 December of the year of the promotion exercise, at the
latest, he has achieved the minimum seniority in the grade required
by the Staff Regulation (two years);
- he has demonstrated his ability to work in a third language if the
promotion takes effect after the 1st of May 2004 and it is the first
promotion;
- he is in active employment (this includes sick leave, maternity,
parental or family leave and military service) or seconded in the
interests of the service on the date of adoption of the promotion
decisions by the appointing authority;
- his performance has not been rated at level IV (underperformance).
Any decision on the promotion of an official who is the subject of
disciplinary proceedings will be suspended until the results of
those proceedings are known.
2.7 When does the promotion take effect?
Promotions will take effect on 1 January of the year of the
promotion exercise. If the official does not have the required
minimum seniority on that date, the promotion will take effect on
the first day of the month following that in which he attains the
seniority required.
2.8 Demonstrating the capacity to work in a third language
For further details an additional Administrative Notice will be
published in January 2009.
All officials whose first promotion after recruitment takes effect
after 30 April 2006 are required to demonstrate the ability to work
in a third language.
| New!
|
With effect from the 2009 exercise, the minimum requirement is
level 6 of an interinstitutional language course. |
If an official has reached level 4 (the level required during the
transition period, which ends on 31 December 2008) but has not been
promoted, he will have to demonstrate that he has achieved level 6
before being promoted.
2.9 What are the implementing rules?
The general provisions for implementing Article 45 of the Staff
Regulations, adopted by the Commission on 18 June 2008, apply to the
promotion of officials paid from either the administrative budget or
the research budget.
With the exception of Article 9(3), these general provisions do not
apply to promotions resulting from an appointment following the
publication of a vacancy notice under Article 29(1)(a)(iii) of the
Staff Regulations (management posts).
- THE APPRAISAL AND PROMOTION EXERCISE
Starting this year, the appraisal and promotion processes will take
place at the same time. The exercise for 2008 will be launched on 7
January 2009. Generally speaking the annual appraisal reports should
be finalised by 20 May, enabling the appointing authority to decide
promotions by the end of July. For staff in the external service
there is a separate procedure with its own timetable.
The appraisal and promotion procedure is managed using the secure IT
application Sysper2. Every official has an appraisal file and a
promotion file, which form an integral part of the official’s
personal file. An official has access to the system via a personal,
secret password. The appraisal file comprises all the appraisal
reports entered in Sysper2, and the promotion file shows the number
of promotion points awarded in the course of the current exercise
and the total number of points accumulated. Jobholders who know they
will be unable to access Sysper2 over a long period can communicate
in writing through other channels.
3.1 Actors
Title
|
Person(s) concerned
|
| Jobholder |
The person to be appraised |
| Reporting officer |
The jobholder’s line manager (usually the Head of Unit) at the end
of the period covered by the report (31 December) |
| Countersigning officer |
The reporting officer’s immediate superior (usually the Director);
the person who is to be countersigning officer is determined at the
time the countersigning officer appears in the appraisal process |
| Appeal assessor |
In most cases this will be the Director General; the appeal assessor
is likewise determined at the time at which he first appears in the
process |
| Joint Appraisal and Promotion Committee
|
A joint committee for each
function group (one for ADs and one for ASTs); each committee has
seven joint working parties (one per group of DGs or services) |
| Director |
In the context of the promotion exercise, the Director is
determined at the time he first appears in the promotion process |
| Director-General |
For the purposes of the promotion exercise, the
Director General establishes his formal intentions for the award of
promotion points |
| Appointing authority (promotion)
|
For the purposes of the promotion exercise, the
appointing authority is the Director-General for Personnel and
Administration. |
3.2 What are the steps in the procedure?
3.2.1 Self-assessment
The reporting officer asks the jobholder to write a self-assessment;
the jobholder has eight working days in which to do so. The
jobholder should make use of the common appraisal standards. With an
eye to the promotion procedure, the jobholder is also asked to
comment on his level of responsibility and to list the languages he
actually uses in the execution of his duties in response to the
requirements of the service.
If the jobholder has been elected or designated to represent staff,
he should mention the fact in his self-assessment. In that case the
self assessment should be divided in two, so that the reporting
officer can consult the ad hoc group regarding the work the
jobholder has done as a staff representative. That consultation
takes place outside Sysper2.
Specific rules for officials who are absented on a full time or half
time basis to work for the staff representation are set out in the
general provisions for implementing Article 43 and Article 45.
Days of justified absence (for missions, leave, illness, …) are to
be deducted from the time-limits given to job holders during the
procedure.
3.2.2 Dialogue
After receiving the self assessment, the reporting officer holds a
dialogue with the jobholder. They discuss the appraisal of the
jobholder’s performance in 2008, the objectives to be set for 2009,
and an updating of training needs for 2009 and perhaps beyond. The
objectives set for 2009 must be measurable and consistent with the
work programme of the DG and the unit.
If the self assessment refers to staff representation work for which
the jobholder has been elected or designated, the reporting officer
must have consulted the ad hoc group. He must have received the
opinion of the ad hoc group before the dialogue can take place.
During the dialogue the reporting officer does not indicate a
performance level.
3.2.3 The reporting officer draws up the qualitative report
In the ten working days following the dialogue the reporting officer
drafts a qualitative report. As input he has the self-assessment,
the discussion at the dialogue, the objectives for the reference
period, and the common appraisal standards. He should take account
of any intermediate reports or simplified reports made by other
reporting officers in the course of 2008 (see paragraph 4.2), and of
the opinion of the ad hoc group if any was called for.
3.2.4 The countersigning officer examines the report and the
jobholder’s comments
The countersigning officer examines the comments in the report and
checks that the standards have been applied; he then confirms or
supplements the qualitative appraisal, and sends it to the
jobholder, who has five working days in which to respond. Any
comments by the jobholder are sent back to the countersigning
officer.
3.2.5 The countersigning officer proposes a performance level, and
the Director proposes promotion points
On the basis of the suggestions of reporting officers and the
content of the qualitative appraisals, the countersigning officer
proposes a performance level for each official and member of the
temporary staff.
The Director proposes promotion points for each official on the
basis of the performance level indicated by the countersigning
officers.
3.2.6 Coordination
The Director-General, acting in consultation with senior management,
identifies the officials in each grade whose performance corresponds
to levels IA and IB, and draws up his provisional formal intentions
for the promotion points to be awarded. These are entered in the
Sysper2 module. This coordination stage identifies any grades where
the quota of points available for a performance level does not allow
the highest number of promotion points laid down for that
performance level to be awarded to at least one official. A request
for exemption may be submitted to the Joint Appraisal and Promotion
Committee to allow the quotas of promotion points to be increased in
the problem grades.
3.2.7 Consultation of the Joint Appraisal and Promotion Committee
The Joint Appraisal and Promotion Committees will meet within five
working days of the transmission by DG ADMIN of a statistical
analysis of the proposals made by the DGs. The Committees have eight
working days in which to send any recommendations they wish to make
to the DGs. These recommendations are brought to the notice of staff
by means of an administrative notice.
The Joint Committees will also consider any requests for exemption
submitted by the DGs. If the Committee agrees, the quotas of
promotion points are adjusted accordingly in Sysper2.
3.2.8 Appraisal reports and promotion points finalised
Following the recommendations of the Joint Appraisal and Promotion
Committee, the Director-General may confirm or amend the list of
officials in performance levels IA and IB, and confirm or amend his
formal intentions for the award of promotion points.
DG ADMIN will then check that the maximum percentages laid down for
levels IA and IB and the quotas of promotion points available have
been complied with.
Once DG ADMIN has given its agreement, the countersigning officers
countersign all the appraisal reports by function group. This sends
the reports to the jobholders.
The Director-General countersigns the promotion lists at the same
time, and makes them accessible to the jobholders.
3.2.9 The jobholder accepts or refuses the report and the promotion
points
The jobholder has eight working days to accept his appraisal report,
with or without comments, and the promotion points, or to refuse
either or both. Acceptance closes the report; refusal moves the
report to appeal.
3.2.10 Specific provisions for the External Service
Each jobholder has two countersigning officers who jointly assume
this role. In cases of disagreement between the first and the second
countersigning officer, the final decision shall rest with the
second countersigning officer.
The External Service Steering Committee shall, upon proposal by the
Director-General for External Relations on the basis of the
individual qualitative appraisals, identify for all jobholders those
whose performance during the reporting period corresponds to
performance level IA and IB. It equally approves the provisional
formal intentions regarding the allocation of promotion points.
3.3 Timetable for the general exercise
|
Actors |
Action |
Deadline |
Timetable 2009 |
|
ADMIN |
Launches exercise by means of an administrative notice |
|
7 January |
Director-General +
management |
Discussion of performances within the DG, in each grade,
over the reference period |
|
12 January
|
|
Director-General |
Publishes common appraisal standards and any standards
specific to the DG for the following year |
|
no later than end of February |
|
Announces the criteria for awarding promotion points |
|
Reporting officer or human resources manager |
Creates reports in Sysper2 |
|
from 8 January |
|
Jobholder |
Self-assessment |
8 working days |
until 4 February |
|
Jobholder + reporting officer |
Dialogue: assessment of the jobholder’s performance over the
reference period; setting of objectives for the year;
updating of training needs |
|
4 - 20 February |
|
Reporting officer |
Drafts report on quality of performance (no indication of
performance level); reviews and validates objectives |
Dialogue + 10 working days |
25 February -6 March |
|
Countersigning officer |
Checks that common standards have been applied; compares
merits; confirms or amends comments; sends the qualitative
report to the jobholder, with no indication of the
performance level |
|
no later than 13 March |
|
Jobholder |
Sends any comments to the countersigning officer, or returns
the report to the countersigning officer without comment |
5 working days |
no later than 20 March |
|
Countersigning officer |
Following comments from the jobholder, confirms, makes
additions to or corrects the report Proposes performance
levels via a list in Sysper2 |
|
no later than 25 March |
|
+ Deputy Directors‑General |
Propose formal intentions for the award of promotion points |
|
no later than 25 March |
|
Coordination -Director-General + countersigning officers |
Grade‑by‑grade identification of performance levels IA (8%)
and IB (22%) |
|
30 March – 3 April |
|
Director-General + Directors |
Provisional formal intentions for the award of promotion
points in the promotion files, via a list in Sysper2 |
|
|
|
Directors‑General |
Submission of proposals for levels and points in Sysper2
|
|
8 April |
|
ADMIN |
Sends statistics to the Joint Committees |
|
no later than 17 April |
|
AD Joint Appraisal and Promotion Committee |
Checks that the exercise has been properly conducted in
respect of AD officials; may make recommendations to the
Director-General and to DG ADMIN; sends its analysis to the
staff |
8 working days |
22 April |
|
AST Joint Appraisal and Promotion Committee |
Checks that the exercise has been properly conducted in
respect of AST officials; may make recommendations to the
Director-General and to DG ADMIN; sends its analysis to the
staff |
23 April |
|
Director-General + countersigning officers |
If required, further coordination on the basis of the
recommendations from the Joint Appraisal and Promotion
Committee |
|
27 – 30 April |
|
Director-General |
Confirms or modifies performance levels IA and IB
Confirms or modifies lists of promotion points in the
promotion files, via a list in Sysper2 |
|
no later than 15 May |
|
ADMIN |
Checks compliance of percentages and points with the points
available by grade and by performance level; gives approval
for the finalisation of reports by countersigning officers,
and of lists of points by Directors‑General |
|
no later than 20 May |
|
Countersigning officer |
Validates reports and performance levels, and sends the
report to the jobholder |
|
no later than 20 May |
|
Director-General |
Validates lists of points in promotion files, and sends the
promotion file to the jobholder |
|
no later than 20 May |
|
Jobholder |
Accepts the report, with or without comments = report closed |
Rejects the report and lodges an appeal with the Joint
Appraisal and Promotion Committee |
8 working days |
no later than 5 June |
|
Accepts the promotion points awarded |
Rejects the number of points and lodges an appeal with the
Joint Appraisal and Promotion Committee |
3.4 What are the steps in the appeal stage?
3.4.1 Appeal to the Joint Appraisal and Promotion Committee
The jobholder may contest the appraisal report, the performance
level, or the promotion points awarded to him. An appeal can be
launched in Sysper2 from the appraisal report or from the promotion
file without distinction. For every aspect contested the appeal must
state reasons.
A jobholder who appeals against his report may ask for a second
dialogue, this time with the countersigning officer, if he so
wishes. The second dialogue must take place within eight working
days of the reference to the Committee. Whether or not the jobholder
asks for a second dialogue, the countersigning officer has ten
working days from the reference to the Committee to state an opinion
on the appeal. The opinion is sent to the jobholder, who has five
working days to respond to the countersigning officer’s comments, if
necessary. The report is then sent to the Joint Appraisal and
Promotion Committee.
3.4.2 The work of the Joint Appraisal and Promotion Committee
There are two Joint Appraisal and Promotion Committees, one for the
AD function group and one for the AST function group, each covering
both officials and temporary staff.
The Joint Committees consider all appeals individually. In the case
of an appeal against an appraisal report, it is not the Committee’s
job to take the place of the actors in the appraisal process: the
Committee instead checks whether the procedure has been complied
with, and whether the report was drawn up in accordance with the
appraisal standards laid down for the DG concerned.
In the case of an appeal against promotion points, the Committee
checks for compliance with the criteria for the award of promotion
points.
The Committee adopts an opinion, dealing with all points contested
in the appeal, which must come to a practical conclusion, giving
reasons, and make recommendations to the appeal assessor or the
appointing authority or both; if the opinion is not adopted
unanimously, it must also state any minority views expressed. In the
event of a tie, however, no opinion is delivered, and this fact must
be stated.
If the appeal is brought in respect of the appraisal report only,
the Committee’s opinion is inserted in the report. If the appeal is
concerned with the promotion points, the Committee’s opinion is
inserted in the promotion file.
The opinion is brought to the notice of the jobholder, the reporting
officer, the countersigning officer and the appeal assessor via
Sysper2.
Staff will be informed in good time of the membership of the Joint
Appraisal and Promotion Committees and of the working parties that
will prepare their deliberations.
3.4.3 Decision of the appeal assessor on an appeal against the
report
Once he has received the Committee’s opinion, the appeal assessor
has five working days to confirm or amend the report. If his
decision does not follow the opinion of the Committee he must give
reasons.
Where the jobholder and reporting officer or countersigning officer
have the same grade, the appeal assessor must take particular care
in examining the appeal if the Committee did not deliver an opinion
or where the opinion gave rise to a vote.
The report is then closed and the jobholder is informed. If the
jobholder does not agree he has three months in which to make a
complaint to the appointing authority under Article 90 of the Staff
Regulations.
3.4.4 Decision of the appeal assessor on an appeal against promotion
points
After receiving the opinion of the Joint Appraisal and Promotion
Committee, at the same time as the appeal assessor considers the
appeal, the appointing authority (promotion) (i.e. the
Director-General of DG ADMIN) awards the final number of promotion
points to officials who appealed against their promotion points and
to those whose performance level has been changed by the appeal
assessor.
If the jobholder does not agree, he has three months in which to
make a complaint to the appointing authority under Article 90 of the
Staff Regulations.
3.5 Timetable for the appeal stage
| Actor |
Appeal against report |
Appeal against promotion points |
Deadline |
Timetable 2009 |
| Jobholder |
Submits appeal against report |
Submits appeal against promotion points |
|
No later than 5 June |
| Jobholder + countersigning officer |
Optional second dialogue with
countersigning officer |
|
8 working days after submission of
appeal |
No later than 16 June |
| Countersigning officer |
Countersigning officer’s opinion on the
appeal |
|
10 working days after submission of the
appeal |
No later than 19 June |
| Jobholder |
Jobholder’s comments on countersigning
officer’s opinion |
|
5 working days |
No later than 26 June |
| Joint Appraisal and Promotion Committee |
Adoption of the opinion
addressed by the Joint Appraisal and Promotion Committee to
the appeal assessor, appointing authority or both |
|
|
| Appeal assessor |
Decision of the appeal assessor on the
report = finalisation of the report |
|
5 working days |
No later than 24 July |
| Appointing authority |
|
Decision of the appointing authority on
the promotion points |
|
No later than 24 July |
| ADMIN |
|
Publication of administrative notice
with list of staff promoted |
|
No later than 31 July |
- TRANSITIONAL PROVISIONS FOR THE 2009 EXERCISE
4.1 Recalculation of rucksacks
For more detail an additional Administrative Notice will be
published in January.
When the new system is introduced every official keeps the
entitlements he has accumulated in his rucksack. But the points
accumulated up to the end of 2008 are recalculated, to take account
of the difference between the average points per official in the
system that applied up to 31 December 2008 (17 points) and the
average in the new system (6 points). The results are rounded up to
the nearest whole number.
Rucksacks are converted to the new system, therefore, by multiplying
the accumulated points by a ratio of 6/17.
For officials who have not yet been promoted, and whose rucksack
still includes the 9 flat rate points for the probation period,
there are two separate ratios that apply. For the 9 probation period
points, the ratio is 6/12 (dividing by 12 because 9 points for 9
months correspond to 12 points for a year). For the remainder of the
rucksack the ordinary ratio of 6/17 is used.
The results are rounded up to the nearest whole number.
4.2 Interim and simplified reports drawn up during 2008
All the interim and simplified reports that were produced in the
course of 2008 on the basis of the general provisions for
implementing Article 43 of the Staff Regulations approved by the
Commission on 23 December 2004 will now be treated by the reporting
officer as contributions to the annual report. Only the comments in
the reports will be used, as the merit points no longer apply. If
there was an intermediate carryover in 2008, the comments in the
annual report for 2007 will serve as a contribution to the annual
report for 2008.
4.3 Probation reports drawn up during 2008
Officials or temporary staff who were the subject of a probation
report in 2008 – whether the probation period began in 2007 or 2008
– will take part in this year’s annual appraisal and promotion
exercise.
If the probation period began in 2007, the annual appraisal report
will cover the period from 1 January 2008 to 31 December 2008. But
the 2008 promotion points will be increased by a number of pro rata
promotion points to reflect the number of days’ probation in 2007.
If the probation period started and finished in 2008 (by 31 December
2008 at the latest), the annual appraisal report will cover the
period from the start of the probation period until 31 December
2008.
4.4 Points awarded where the theoretical maximum length of service
in the grade has been exceeded
The theoretical promotion time is intended to give an indication of
the length of time (expressed as a range) it shall in theory take
for each official to be promoted. In particular, it makes it
possible to identify officials who, despite having a reasonable
number of merit points, nevertheless see their promotion prospects
recede as the years go by.
Points are awarded for exceeding the theoretical maximum length of
service in the grade, once only, in 2009, to officials whose
seniority in the grade exceeds the theoretical maximum length of
service in the grade. They will receive a number of points (based on
the merit points they have acquired in the grade since their last
promotion and a notional allocation of priority points) in
accordance with the following formula:
On the basis of the theoretical
maximum length of service in the
grade, the jobholder should have
been promoted in |
Number of points
awarded |
| 2005 or earlier
|
4 points |
| 2006 |
3 points |
| 2007 |
2 points |
| 2008
|
1 point |
These points have already been added to the rucksacks of the
officials concerned, under the heading ‘Other’.
_________________________
Footnotes
(1) Two additional Administrative
Notices cover (a) the conversion of the rucksack and (b) the third
language requirement before first promotion after recruitment.
(2) Periods of sick leave, maternity
leave, family or parental leave or military service are regarded as
periods of active employment.
(3) The term “appraisal report” replaces
the former term “career development report” (CDR). |
