2010 Appraisal and Reclassification Exercise for Contract Staff under Article 3(a) of the CEOS

Reporting period: 1 January 2008 to 31 December 2009

General principles of Appraisal
General principles of Reclassification
The Appraisal and Reclassification exercise

This administrative notice explains the different aspects of the 2010 appraisal and reclassification exercise of contract staff under Article 3(a) of the Conditions of Employment of Other Servants (CEOS). You will find relevant information on its basic principles, the conditions of participation, the reporting period, the role of the different actors, as well as the detailed rules governing the appraisal and reclassification exercise.

The appraisal exercise aims at assessing individual performances through a substantial dialogue with the jobholder, setting objectives and effective work planning. This exercise is complementary to the ongoing feedback given during the year and has to contribute to the optimisation of the performances and to the future development of the jobholders' careers. The award of reclassification points is directly related to the appraisal of performance that has been demonstrated during the reference period.

The 2010 exercise, which covers the appraisal period 1 January 2008 to 31 December 2009, is launched on the basis of the attached rules.

General Implementing Provisions (GIPs) concerning contract staff are in the process of being adopted. The current exercise is being launched on the basis of this administrative notice without waiting for the adoption of these GIPs in order to ensure that the 2010 appraisal and reclassification exercise as well as the reclassification decisions are carried out on time. The rules to be applied to the current appraisal and reclassification exercise for contract agents, which can be found in annex to this notice, are very similar to those in force for the appraisal and promotion exercise of officials (General Implementing Provisions for Articles 43 and 45 of the Staff Regulations), although certain deadlines and steps have been shortened.

1. GENERAL PRINCIPLES OF APPRAISAL
   
   The performance of contract staff shall be appraised. This appraisal is the subject of an individual report – the appraisal report – which is produced using the Sysper2 computer application. Exceptionally in 2010, a single report will cover the two year period 2008-2009.
   
   Who has to be appraised?
   
   This appraisal exercise only concerns contract staff (jobholders) referred to in Article 3a of the Conditions of Employment of Other Servants (CEOS). These jobholders must have been engaged for a period of not less than one year and must have been in active employment or parental or family leave for a continuous period of at least one month during the reporting period.
   
   Exceptions:

• Jobholders who had not finished their probationary period by 31 December 2009.
   
• Jobholders whose statutory link with the Commission has changed. For example, in the meantime they became temporary agents or officials.
   
• A report does not have to be drafted for jobholders who left definitively the institutions in 2009 or who are going to leave in 2010, unless they request one from their reporting officer in writing.

What are the tools for the appraisal?

Objectives and assessment criteria

The reporting officers must make sure that objectives are set for each jobholder 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 with the jobholder's job description.

Common appraisal standards

The common appraisal standards which must be applied in all Commission departments were published in the annex to Administrative Notice No IA No 22-2008.

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.

What period does the appraisal exercise cover?

The reference period runs from 1 January 2008 to 31 December 2009.

In some cases, 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.

Why an appraisal report and what are the four performance levels?

The appraisal report 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.
   
• 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 four performance levels below:

I	® The jobholder's performance exceeded expectations in terms of efficiency, abilities and conduct in the service.
II	® The jobholder's performance fully met expectations in terms of efficiency, abilities and conduct in the service.
III	® The jobholder's performance partly met expectations in terms of efficiency, abilities and conduct in the service.
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 I (25% of jobholders in each function group and grade). The result of applying these percentages is systematically rounded up to the nearest whole number.

What are the detailed rules?

The detailed rules governing the current appraisal and reclassification exercise for contract staff may be consulted in annex.

2. GENERAL PRINCIPLES OF RECLASSIFICATION
   
   The reclassification exercise is organised in order to award reclassification points and draw up a list of the contract staff reclassified in a higher grade.
   
   Who takes part in the reclassification exercise?
   
   This reclassification exercise only concerns contract staff (jobholders) referred to in Article 3a of the Conditions of Employment of Other Servants (CEOS). These jobholders must have been engaged for a period of not less than one year and must have been in active employment or parental or family leave for a continuous period of at least one month during the reporting period.
   
   Exceptions:

• Jobholders who had not finished their probationary period by 31 December 2009.
   
• Jobholders whose statutory link with the Commission has changed. For example, in the meantime they became temporary agents or officials.
   
• Points are not awarded to jobholders who left definitively the institutions in 2009 or who are going to leave in 2010.

What are the criteria for the award of reclassification points?

At the beginning of the exercise, the Director-General, having consulted the Directors and Heads of Unit, draws up the list of criteria for awarding reclassification points. These criteria take account of three elements:

• the qualitative appraisal covering the two years preceding the reclassification exercise;
   
• the jobholder'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;

Each DG will inform its staff of the detailed criteria for awarding reclassification points.

Jobholders may be awarded:

• 5 or 6 reclassification points if his or her performance corresponds to performance level I;
   
• 3 or 4 reclassification points if his or her performance corresponds to performance level II;
   
• 1 or 2 reclassification points if his or her performance corresponds to performance level III;
   
• no classification points if his or her performance corresponds to performance level IV.

The following are eligible for reclassification points:

• jobholders who were in active employment (this includes sick leave, maternity, parental or family leave, leave for military service) during the reference period;
   
• jobholders on probation and whose probation period ended no later than 31 December 2009.

Reclassification thresholds are laid down for each grade by the authority authorised to conclude contracts of employment (AHCC) at the end of each reclassification exercise depending on the availability of funds. The threshold corresponds to the total number of points accumulated by the last jobholder for whom a reclassification in the next higher grade is possible.

How is the rucksack calculated?

Staff who have not benefited from a reclassification since 2004

All jobholders concerned will receive 4 points for each year of seniority in their grade for the years 2004 to 2007.

Exception: those jobholders who received a grade for their performance in 2006 and 2007 will have their grades converted into points as follows:

2007 exercise (appraisal year 2006)	Reclassification points	2008 exercise (appraisal year 2007)	Reclassification points
Outstanding	6	Outstanding	6
Very good	5	Very good	5
Good	4	Good	4
Sufficient	2
Poor	1	Poor	1
Insufficient	0	Insufficient	0

The award of reclassification points for any period of less than one year shall be calculated on a pro-rata basis for the number of days covered by the jobholders. The results shall be rounded up to the nearest whole number. For example, contract staff who joined the Commission on 1 September 2005 would be awarded 2 points for the appraisal year 2005 (4 points * 4/12 = 1.33, which is rounded up to 2).

Staff who have already benefited from a reclassification

Their rucksacks will be calculated according to the seniority in their current grade. Thus, a jobholder who has already benefited from a reclassification will only accumulate points from the date of their reclassification. It is important to note that the appraisals for which grades were awarded will only be converted into points as described in table above for those jobholders whose present grade is the same as it was when they were awarded those grades.

Probationary staff

Probationary staff recruited in the course of year N only for year N + 1 shall be awarded a number of reclassification points for year N calculated on a pro rata basis taking into account the number of months served in year N and the reclassification points awarded for year N + 1 in accordance with the following formula:

Months worked in year N x reclassification points awarded for the year (N+1)
12

The result of this calculation shall be rounded up to the nearest whole number.

What is the average waiting time in each grade before reclassification and how are the reclassification thresholds set?

The average waiting time in each grade before reclassification is as follows:

FUNCTION GROUP	GRADES	AVERAGE TIME IN YEARS SPENT IN THE GRADE BEFORE RECLASSIFICATION INTO THE NEXT GRADE
IV	18	-
	17	Between 6 and 10 years
	16	Between 5 et 7 years
	15	Between 4 et 6 years
	14	Between 3 et 5 years
	13	Between 3 et 5 years
III	12	-
	11	Between 6 et 10 years
	10	Between 5 et 7 years
	9	Between 4 et 6 years
	8	Between 3 et 5 years
II	7	-
	6	Between 6 et 10 years
	5	Between 5 et 7 years
	4	Between 3 et 5 years
I	3	-
	2	Between 6 et 10 years
	1	Between 3 et 5 years

Reclassification thresholds are laid down for each grade by the authority authorised to conclude contracts of employment (AHCC) at the end of each reclassification exercise depending on the availability of funds and the average time spent in the grade indicated above. The threshold corresponds to the total number of points accumulated by the last jobholder for whom a reclassification in the next higher grade is possible.

Who will be reclassified?

A jobholder may be the subject of a reclassification decision if

• he or she has accumulated a number of reclassification points which is equal to or above the relevant reclassification threshold,
   
• by 31 December of the year of the reclassification exercise, at the latest, he or she has achieved the minimum seniority in the grade required by Article 87(3) of the CEOS,
   
• he or she is in active employment or on parental or family leave on the date on which the reclassification decisions are adopted by the AHCC,
   
• according to his or her report for the reporting period, his or her performance does not correspond to performance level IV

Any decision on the reclassification of a jobholder who is the subject of disciplinary proceedings will be suspended until the results of those proceedings are known.

What is the date of effect of reclassification?

Reclassification will take effect on 1 January of the year of the reclassification exercise. If the jobholder does not have the seniority in the grade required under Article 87(3) of the CEOS, the reclassification shall take effect on the first day of the month following that in which he or she attains the necessary seniority.

What are the detailed rules?

Article 87 of the CEOS obliges the Commission to appraise and reclassify type 3a contract staff according to merit.
The detailed rules of the 2010 exercise can be consulted in annex.

3. THE APPRAISAL AND RECLASSIFICATION EXERCISE
   
   The appraisal and reclassification processes will take place at the same time. The exercise will be launched on 3 September 2010. Generally speaking the exercise should be finalised by 31 December 2010.
   
   The appraisal and reclassification procedure is managed using the secure IT application Sysper2. Every jobholder concerned has an appraisal file and a reclassification file, which form an integral part of the jobholder’s personal file. Jobholders have access to the system via a personal, secret password. The appraisal file comprises all the appraisal reports entered in Sysper2, and the reclassification file shows the number of reclassification 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.
   
   Who are the actors involved?
   
    

   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 2009)(1)
   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 report.(1)
   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 Reclassification Committee (JARC)	A single joint committee shall be formed for all function groups.
   Director	In the context of the reclassification exercise, the Director is determined at the time he first appears in the reclassification process
   Director-General	For the purposes of the reclassification exercise, the Director General establishes his formal intentions for the award of reclassification points
   Authority authorised to conclude contracts of employment (AHCC)	For the purposes of the reclassification exercise, the authority is the Director-General of DG HR.

   ⁽¹⁾ Please note that it is possible to delegate the roles of Reporting Officer and Countersigning Officer as described in the detailed rules in annex
   
   What are the steps in the procedure?
   
   Self-assessment
   
   The reporting officer asks the jobholder to write a self-assessment; the jobholder has five working days in which to do so. The jobholder should make use of the common appraisal standards. With an eye to the reclassification 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. More details about the specific rules for jobholders who are absented for part of their time to work for the staff representation can be found in the detailed rules in annex.
   
   Days of justified absence (for missions, leave, illness, …) are to be deducted from the time-limits given to job holders during the procedure.
   
   Dialogue
   
   After receiving the self assessment, the reporting officer holds a dialogue with the jobholder. It is an essential opportunity for the jobholder to obtain a constructive feedback on his performances during the reference period and to discuss his future objectives and career development. The dialogue must be transparent, substantial, and well prepared both by the reporting officer and by the jobholder.
   
   The reporting officer and the jobholder discuss in particular the appraisal of the jobholder’s performance in 2008 and 2009, the setting of future objectives, and an updating of training needs. The future objectives must be measurable and consistent with the work programme of the DG and the unit.
   
   The reporting officer draws up the qualitative report
   
   In the eleven working days following the dialogue the reporting officer drafts an individual qualitative appraisal of the jobholder’s efficiency, ability and conduct in the service.
   
   As input for drafting the report, the reporting officer 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 contributions made by other reporting officers in the course of 2008 and 2009, and of the opinion of the ad hoc group if any was called for.
   
   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 three working days in which to respond. Any comments by the jobholder are sent back to the countersigning officer.
   
   The Directorate-General identifies the jobholders whose performances correspond to level I
   
   On the basis of the individual qualitative appraisals, the Directorate-General shall identify, in consultation with the countersigning officers, for each grade, the jobholders whose performance over the reporting period corresponds to level I.
   
   Appraisal reports and reclassification points finalised
   
   The countersigning officer shall then finalise each report and in particular shall determine the performance level that corresponds to the performance of the jobholder.
   
   The Director-General shall then draw up formal intentions regarding the allocation of reclassification points on the basis of the performance level.
   
   The report shall then be communicated to the jobholder. To this end, all jobholders in a given Directorate-General and function group shall be invited collectively to consult their report electronically.
   
   The jobholder accepts or refuses the report and the reclassification points
   
   Within 6 working days from the date on which the jobholder was invited to consult his or her report, he or she shall accept the report without adding comments, accept the report whilst adding comments to the appropriate section, or refuse to accept the report, stating the reasons for refusal. Before accepting or refusing the report, the jobholder may ask for a dialogue within 4 working days with the countersigning officer for information purposes.
   
   If the report is accepted it shall become final. A jobholder who does not react within the time limits referred to in the previous paragraph shall be considered to have accepted the report.
   
   What is the indicative timetable of the exercise?

   It should be stressed that the calendar below is only indicative. The finalisation of the exercise depends on the actual completion date of the various steps in the procedure.

   Actors	Actions		Deadline	Calendar 2010
   HR	Launch of the exercise on the basis of an Administrative Notice			3 September
   Reporting Officer or HR manager	Creation of the reports in Sysper2			From 3 September
   DG + management	Exchange of views on the performances in each grade in the DG during the reference period			9 September at the latest
   DG	Publication of common appraisal standards and any DG-specific standards for the following year			End of September at the latest
   	Communication of the criteria for allocation of reclassification points
   Jobholder	Self-assessment		5 working days	10 September at the latest
   Jobholder and Reporting Officer	Dialogue: appraisal of performance during the reference period, fixing of future objectives, updating training needs		Self-assessment + 5 working days	17 September at the latest
   Reporting Officer	Draft appraisal report (no indication of the performance level), revision and validation of the objectives		Dialogue + 11 working days	4 October at the latest
   Countersigning Officer	Verification of the application of the common appraisal standards, comparison of merits, confirmation or modification of the comments; transmission of the report to the jobholder with no indication of the performance level
   Jobholder	Possible remarks to the countersigning officer, or return to the countersigning officer with no comments		3 working days	7 October at the latest
   Countersigning Officer	Following the remarks of the jobholder, confirmation, supplements or correction to the report Proposal of the performance level via a list in Sysper2			11 October at the latest
   Directors + Deputy Directors-General	Proposals regarding the formal intentions of the allocation of reclassification points
   Concertation DG + Countersigning Officers	Identification grade by grade, of the performance levels I
   Director-General + Directors	Formal intentions regarding the allocation of reclassification points in the reclassification files, via a list in Sysper2
   DGs	Deadline for the submission of proposals regarding the performance levels and the points in Sysper2
   HR	Verification that the percentages and the points as compared with the points available per grade and per performance level have been respected; agreement for the countersigning officer to finalise the reports, and the list of points per DG			13 October
   Countersigning Officer	Validation of the reports and the performance levels, and transmission of the reports to the jobholders			14 October at the latest
   Director-General	Validation of the list of points in the reclassification files, and transmission of the files to the jobholders			14 October at the latest
   Jobholder	Accepts the report, with or without comments = report closed	Rejects the report and launches an appeal to the JARC	6 working days	22 October at the latest
   	Accepts the reclassification points awarded	Rejects the number of points and launches an appeal

   What are the possibilities of appeal to the Joint Appraisal and Reclassification Committee?
   
   The jobholder may contest the appraisal report, the performance level and/or the reclassification points awarded to him. In this case, he must lodge an appeal to the Joint Appraisal and Reclassification Committee which analyses the appeal and delivers an opinion. The appeal is closed by the final decision of the Appointing Authority (Appraisal and/or Reclassification).