2011 APPRAISAL AND PROMOTION EXERCISE
Reference period: 1 January 2010 to 31 December 2010
This administrative notice explains the different aspects of the
appraisal and promotion system and sets out the context for the 2011
exercise. You will find relevant information on promotion thresholds for
2011, the calendar and deadlines for the different actors, appraisal
tools, basic principles, as well as the conditions for participating in
the exercise.The appraisal exercise aims to assess the
yearly individual performance, 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 aims
to contribute to the optimisation of performance and to the future
development of the jobholder's career. The award of promotion points is
directly related to the appraisal of the performance that has been
demonstrated during the reference period.
The 2011 exercise has been launched on the basis of the general
provisions for implementing
Article 43 and
Article 45 of the Staff Regulations (DGE), adopted on 18 June 2008,
as amended by Commission Decisions
C(2010)2957 and
C(2010)2958 of 6 and
7 May 2010.
Nevertheless, DG HR drew on experience from the 2009 and 2010
appraisal and promotion exercises and took due note of the comments
submitted by the various stakeholders.
Therefore substantial modifications of the DGE are likely to be
introduced for the future exercises, in close cooperation with the
social partners and stakeholders.
- 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 IT application.
Who has to be appraised?
All officials and temporary staff (jobholders) who were in active
employment1 or on secondment
in the interests of the service for a continuous period of at least
one month in 2010 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 EU Institutions in 2010 or who are going to leave in
2011, 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.
Tools for the appraisal
Objectives and assessment criteria
The reporting officers must make sure that objectives are set
for each official and member of temporary staff, because these serve
as the basis for assessing their efficiency. The objectives must be
consistent with the work programme of the DG, 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.
Common appraisal standards
The common appraisal standards which must be applied in all
Commission departments were published in Administrative Notice No (IA
No 22-2008) and have been 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 HR, 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.
What period does the appraisal exercise cover?
The reference period runs from 1 January to 31 December 2010.
If the jobholder or the reporting officer moves during the reference
period, not less than four months after the period covered by the
preceding report, the reporting officer for that period shall make
comments relating to the efficiency, ability and conduct in the
service of the jobholder via Sysper2 and the jobholder may comment
on them. These comments shall be taken into account by the reporting
officer responsible for the annual report2.
The appraisal report and the five 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. 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.
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
2010 (see guidelines on the website "certification, exercise 2010").
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.
What are the implementing rules?
The general provisions for implementing Article 43 of the Staff
Regulations, adopted by the Commission on 18 June 2008, as amended
by Commission Decision
C(2010)2957 of 6 May 2010, will apply to the
annual appraisal reports covering the year 2010 for officials and
temporary staff paid from both the administrative budget and the
research budget of the Commission.
For personnel presently assigned to the external service of the
Commission, the Commission decision of 19 December 2008 on the rules
for the appraisal and promotion of staff working in the External
Service of the Commission equally applies, at the exception of the
definition of actors (see "actors" title).
- 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.
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 some
temporary and contract staff).
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 2010.
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 HR 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.
Promotion thresholds
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.
Will be promoted all officials with a number of points higher
than or equal to the promotion threshold and who fulfil the
conditions specified under the title "who will be promoted"
|
2011 promotion thresholds |
AD13 |
30 |
AD11 |
24 |
AD10 |
24 |
AD09 |
24 |
AD08 |
18 |
AD07 |
18 |
AD06 |
18 |
AD05 |
18 |
AST09 |
30 |
AST08 |
24 |
AST07 |
24 |
AST06 |
24 |
AST05 |
24 |
AST04 |
18 |
AST03 |
18 |
AST02 |
18 |
AST01 |
18 |
AST05.C |
27 |
AST04.C |
27 |
AST03.C |
24 |
AST02.C |
24 |
AST03.D |
27 |
Considering the very limited number of officials in the grade
AST2/D, the threshold of this grade will be communicated directly to
the staff concerned
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 increases further during
this period.
|
Indicative promotion thresholds
2011 |
AD12
|
33 |
AST10
|
53 |
AST06.C
|
34 |
AST04.D
|
56 |
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.
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.
Who will be promoted?
An official may be promoted if:
- he has accumulated a number of points in the rucksack which
is higher than or equal to the promotion threshold in the
current grade;
- 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 it is the first promotion after recruitment;
- 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.
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.
Demonstrating the capacity to work in a third language
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. With effect from the 2009 exercise, the minimum
requirement is level 6 of an inter-institutional language course
(equivalent to level B2 of the Common European Framework of
Reference (CEF) of the Council of Europe).
The demonstration of this ability can be made in three main ways:
successfully passing level 6 of an inter-institutional language
course, passing a test organised by EPSO or having a language
certificate which is recognised by the appropriate assessment
committee of EPSO.
For further details an additional Administrative Notice will be
published in January 2011.
What are the implementing rules?
The general provisions for implementing Article 45 of the Staff
Regulations, adopted by the Commission on 18 June 2008, as amended
by Commission Decision
C(2010)2958 of 7 May 2010, 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
The appraisal and promotion processes will take place at the same
time. The exercise will be launched on 17 December 2010. Generally
speaking the annual appraisal reports should be finalised by 10 May
2011.
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 by arrangement with the HR Unit of their DG.
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 report. |
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 Appraisal and
Promotion 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 of DG HR. |
What are the steps in the procedure?
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 of the
Staff Regulations.
Days of justified absence (for missions, leave, illness, etc) 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. The dialogue constitutes one of the
reporting officer’s basic management duties (Article 7, paragraph 4,
of the General Provisions for implementing Article 43 of Staff
Regulations). It is also 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 2010, the objectives to
be set for 2011, and an updating of training needs for 2011 and
perhaps beyond. The objectives 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.
The reporting officer draws up the qualitative report
In the ten working days following the dialogue the reporting officer
drafts a qualitative report. This personalised report has to reflect
the real performance of the jobholder during the reference period.
The reporting officer has an obligation to state reasons in the
report in a sufficient and detailed way, thus allowing the jobholder
to grasp an informed understanding of his evaluation.
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 2010, 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 five working days in which to respond. Any
comments by the jobholder are sent back to the countersigning
officer.
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.
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.
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 HR 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.
Appraisal reports and promotion points finalised
Following the recommendations of the Joint Appraisal and
Promotion Committees, 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 HR 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 HR 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.
The jobholder accepts or refuses the report and the promotion
points
The jobholder has fifteen 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.
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.
1.1 Timetable for the general exercise
Actors |
Action |
Deadline |
Timetable
|
DG HR |
Launches exercise
by means of an administrative notice |
|
17 December 2010
|
Reporting officer
or human resources manager |
Creates reports in
Sysper2 |
|
from 17 December
2010 |
Director-General +
management |
Discussion of
performances within the DG, in each grade, over the reference period |
|
no later than
17 January 2011 |
Director-General |
Publishes common appraisal standards and any standards specific to the
DG for the following year |
|
no later than end
of January 2011 |
Announces the
criteria for awarding promotion points |
Jobholder |
Self-assessment |
8 working days |
no later than 17
January 2011 |
Jobholder +
reporting officer |
Dialogue:
assessment of the jobholder’s performance over the reference period;
setting of objectives for the year; updating of training needs |
|
no later than 7
February 2011 |
Reporting officer |
Drafts report on
quality of performance (no indication of performance level); reviews and
validates objectives |
Dialogue + 10
working days |
no later than
21 February 2011 |
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 28
February 2011 |
Jobholder |
Sends any comments
to the countersigning officer, or returns the report to the
countersigning officer without comments |
5 working days |
no later than
7 March 2011 |
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
21 March 2011 |
Directors + Deputy
Directors‑General |
Propose formal
intentions for the award of promotion points |
|
no later than
23 March 2011 |
Coordination
-Director-General + countersigning officers |
Grade‑by‑grade
identification of performance levels IA (8%) and IB (22%) |
|
no later than
23 March 2011 |
Director-General +
Directors |
Provisional formal
intentions for the award of promotion points in the promotion files, via
a list in Sysper2 |
|
no later than
23 March 2011 |
Directors‑General |
Submission of
proposals for levels and points in Sysper2 |
|
28 March 2011 |
DG HR |
Sends statistics to the Joint Appraisal and Promotion Committees |
|
no later than
04 April 2011 |
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 HR; |
|
12 April 2011 |
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 HR; |
12 April 2011 |
Director-General +
countersigning officers |
If required,
further coordination on the basis of the recommendations from the Joint
Appraisal and Promotion Committees |
|
13 – 26 April 2011 |
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 2
May 2011 |
DG HR |
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 5 May
2011 |
Countersigning
officer |
Validates reports
and performance levels, and sends the report to the jobholder |
|
no later than
10 May 2011 |
Director-General |
Validates lists of
points in promotion files, and sends the promotion file to the jobholder |
|
no later than
10 May 2011 |
Jobholder |
Accepts the report,
with or without comments = report closed |
Rejects the report
and lodges an appeal with the Joint Appraisal and Promotion Committee |
15 working days |
no later than 31
May 2011 |
Accepts the
promotion points awarded |
Rejects the number
of points and lodges an appeal with the Joint Appraisal and Promotion
Committee |
THE APPEAL PHASE
What are the steps in the appeal stage?
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. In this case, he must
lodge an appeal with the Joint Appraisal and Promotion Committee which
analyses the appeal and delivers an opinion. The appeal is closed by the
final decision of the Appointing Authority (Appraisal and/or Promotion).
An appeal against the report is automatically an appeal against the
qualitative comments of the report, against the performance level, and
against the promotion points.
An appeal against the points is an appeal against the number of
promotion points within a given performance level only.
Before lodging an appeal, a job holder may ask for a dialogue with his
countersigning officer. This dialogue must be requested in Sysper2
within 12 working days after the report has been communicated to the job
holder. The dialogue has an informative purpose only, and does not
impact the allocated performance level and promotion points.
Whether or not the jobholder asks for this dialogue, the jobholder must
accept or refuse the report within 15 working days after this report was
communicated to him.
If the job holder decides to lodge an appeal, he must state the reasons
to do so.
The appeal is then sent to the Joint Appraisal and Promotion Committee,
which will examine the appeal and send a recommendation to the appeal
assessor (in case of appeal against the report) or to the
Appointing Authority (in case
of appeal against the points)
The work of the Joint Appraisal and Promotion Committees
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 Joint
Appraisal and Promotion 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, the president of the Committee may cast a vote.
If the appeal is brought in respect of the appraisal report only,
the Committee’s opinion is inserted in the report. If the appeal
concerns the promotion points, the Committee’s opinion is inserted
in the promotion file.
The work of the Joint Appraisal and Promotion Committees is prepared
by joint working groups, which emit draft recommendations.
Staff will be informed in good time of the membership of the Joint
working groups and of the Joint Appraisal and Promotion Committees.
Decision of the appeal assessor on an appeal against the report
Once he has received the Joint Appraisal and Promotion 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
Joint Appraisal and Promotion 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 Joint Appraisal and Promotion
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 submit a
complaint to the Appointing Authority under Article 90, paragraph 2,
of the Staff Regulations The appeals against the points (issued from appeals against the report)
cannot be analysed before the appeal assessor has taken a decision on
the report
Decision of the Appointing Authority on an appeal against promotion
points
After receiving the opinion of the Joint Appraisal and Promotion
Committee, the Appointing Authority (promotion) (i.e. the
Director-General of DG HR) awards the final number of promotion points
to officials who:
- appealed against their promotion points
- appealed against their report and for whom the appeal
assessor modified the performance level
- appealed against the report, for whom the appeal assessor
confirmed the performance level, and in the same time did not
have the maximum number of points within their performance
level.
If the jobholder does not agree with the number of promotion
points, he has three months in which to submit a complaint to the
Appointing Authority under Article 90, paragraph 2, of the Staff
Regulations.
The opinions of the Joint working groups and the Joint Appraisal and
Promotion Committees are brought to the notice of the jobholders via
Sysper2 the day their appeal is closed.
Timetable for the appeal stage
The following timetable is purely indicative and does not constitute
any guarantee that the indicated deadlines will actually be met.
Actor |
Appeal against report |
Appeal against promotion points |
Deadline |
Timetable 2011 |
Jobholder |
Submits appeal against report |
Submits appeal against promotion points |
15 working days after reception of the report |
No later than 31 May |
Jobholder |
Optional request dialogue with countersigning officer |
|
12 working days after reception of the report |
No later than 26 May |
Joint Appraisal and Promotion Committee |
Adoption of the opinion addressed by the Joint Appraisal and Promotion
Committee to the appeal assessor (appeals against the report)
|
|
No later than 13 July |
Appeal assessor |
Decision of the appeal assessor on the report = finalisation of the
report |
|
|
No later than 20 July |
Joint Appraisal and Promotion Committee |
Adoption of the opinion addressed by the Joint Appraisal and Promotion
Committee to the Appointing Authority (appeals against the promotion points)
|
|
No later than 12 October |
Appointing Authority |
|
Decision of the Appointing Authority on the promotion points |
|
No later than 21 October |
DG
HR |
|
Publication of administrative notice with list of staff promoted |
|
No later than 30 November |
_________
Footnotes
(1) Periods of sick leave,
maternity leave, family or parental leave or military service are
regarded as periods of active employment.
(2) See Article 2 of Annex I to
the general provisions for implementing Article 43 of the Staff
Regulations.
(3) Article 3(4) of the general
provisions for implementing Article 43 of the Staff Regulations |