(Repealed on 12 March 2014 by Rule No. 1356)

Rule No. 1340 of 13 December 2011 on appraisal and performance enhancement

The Secretary General of the Council of Europe,

HAVING REGARD to Articles 17, 22 and 22 bis of the Staff Regulations and Article 19 of the Regulations on Appointments (Appendix II to the Staff Regulations);

CONSIDERING that appraisal of staff performance is a key element of performance management and thus important to the Organisation’s effective functioning and to the professional development of staff;

CONSIDERING that the process laid down in Rule No. 1285 of 28 November 2007 on staff underperformance is excessively complex and contains too many procedural constraints to be an efficient instrument for managing underperformance and that individual performance enhancement should be the consequence of underperformance  identified in the appraisal process and an integrated part of this process;

CONSIDERING therefore that the provisions of Rule No. 1285 of 28 November 2007 on staff underperformance and Rule No. 1305 of 13 July 2009 on appraisal should be streamlined and merged into a single rule on appraisal and performance enhancement;

HAVING CONSULTED the Staff Committee in accordance with Article 5, paragraph 3, of the Regulations on Staff Participation (Appendix I to the Staff Regulations);

D E C I D E S :

Article 1 – General introduction

1.       The appraisal process shall be a process of dialogue between Secretariat members^[1] and their hierarchical superiors. The main purpose of the appraisal process is to clarify the work of Secretariat members by establishing clear objectives, assess the results they have obtained towards the achievement of these objectives and help them develop the requisite competencies, thereby increasing the effectiveness and efficiency of Secretariat work. The appraisal is intended as an objective review of the past year’s work; it also provides an opportunity for fixing objectives for the following year. 

2.       During appraisal interviews and throughout the appraisal process, the appraiser is responsible for providing guidance, assistance and reasonable managerial support to achieve the objectives. The appraisee is responsible for informing the appraiser about any difficulties s/he may encounter (or may reasonably foresee) in achieving the objectives.

3.       The heads of Major Administrative Entities shall ensure that the appraisal system functions properly and that it is applied in a consistent and harmonious manner within their own administrative entity.

4.       The Directorate of Human Resources of the Directorate General of Administration shall coordinate and supervise the functioning of the appraisal system throughout the Council of Europe Secretariat.

5.       The outcome of the appraisal exercise (objectives and appraisal) shall be consulted whenever decisions are taken on the career and training of the Secretariat members. The appraisal report shall be the basis for assessing exceptional performance and for setting up an individual performance-enhancement process (hereinafter referred to as “IPEP”) in cases of underperformance. It may be taken into consideration in disciplinary proceedings.

6.       The principles of equality of opportunity and non-discrimination shall be taken into account during the appraisal procedure.

Article 2 – Scope

1.       This Rule lays down the conditions in which the Secretariat members shall be appraised.

2.       Staff members shall participate in the appraisal process. The names of any staff members not subject to this process shall be included in a list drawn up and published by the Secretary General after consulting the Joint Committee.

3.       Seconded officials governed by the Regulations for secondment to the Council of Europe shall participate in the appraisal process.

4.       Temporary staff members holding contracts of at least four consecutive months shall also be subject to appraisal reports.

Article 3 - The appraisal procedure

1.       The reference period for appraisal reports shall be the calendar year.

2.       Other than in the cases covered by Articles 4-6 and 14 of this Rule, the appraisal cycle shall take place once a year according to a timetable for the Secretariat of the Council of Europe as a whole.

3.       The appraisal exercise shall comprise two stages: the setting of objectives for the reference period and, at the end of the reference period, the appraisal of the results achieved in the light of the objectives set.

4.       The appraisee has five working days (not counting days of official journeys or leave) to electronically acknowledge receipt of the objective setting form and to add any comments s/he may have.

5.       Other than in the cases covered by Article 14, the appraisal relating to the preceding reference period and the setting of the objectives for the next period shall preferably take place at the same interview.

6.       The appraiser and appraisee shall agree on the date of the appraisal interview at least five working days in advance, not counting days of official journeys or leave of the appraisee.

7.       An interim appraisal report shall be drawn up in the event of a change in the duties of the appraisee or when s/he is assigned to another post/position in the course of the year, and new objectives shall be set for him/her within one month of the date of the change.

8.       On the basis of the same methods, an interim appraisal report shall be drawn up before the appraisee departs on long-term leave of at least four months duration, or if it was not possible to do so before the departure, within one month of his or her return. New objectives shall be set for him/her within one month of his or her return.

9.       Without prejudice to Article 15, where several absences during an appraisal cycle amounting to at least four months duration occur, their impact on the achievement of the objectives set shall be taken into account for the appraisal.

10.     An interim appraisal report shall also be drawn up prior to departure in the event that an appraiser leaves the Organisation, either definitively or on long-term leave of at least four months duration. There can be no obligation to draw up an interim appraisal report prior to departure in cases where it could not be foreseen in advance that the appraiser would be absent for four months or more. In this case, the n+2 decides who the appraiser shall be.

11.     The different interim appraisal reports drawn up for the same person in the course of the year shall be considered together for the appraisal cycle. Where differences in appraisal ratings during the cycle occur the average shall be taken into account.

12.     When the appraisee is a member of the Staff Committee, Chair or Vice-Chair of the General Meeting of Staff, a member of the Electoral Board, a member or secretary of a dispute-resolution body, a member of a joint representation body, head of a trade union represented on the Staff Committee, or a counsellor under Rule No. 1292 of 3 September 2010 on the protection of human dignity at the Council of Europe, his or her appraiser shall, upon his or her request, take account of this participation when setting objectives and conducting the appraisal.

13.     No interim appraisal reports shall be drawn up in respect of periods of less than four months, i.e. when the event that has rendered the drawing up of such a report necessary under paragraphs 7-9 above occurs less than four months after the setting of the objectives.

Article 4 - The appraisal procedure during the probationary period

1.       The first objective-setting for staff members during their probationary period shall take place at the latest two weeks after they take up their duties. These staff members shall be subjected to two appraisal reports, the first covering the period up to the end of their fourth month of employment, the second covering the next period up to the end of their eighth month of employment.

2.       These two reports shall be presented to the Appointments Board at the latest three months before the end of the probationary period. The second appraisal report shall be countersigned by the head of the Major Administrative Entity, who shall make one of the following recommendations: probationary period successful, extension of the probationary period, or termination of employment.

3.       If the staff member is confirmed in employment, objectives shall be set under Article 3 above for the remainder of the calendar year provided that this is not less than four months. In the event of an extension of the probationary period, staff members shall continue to be appraised every four months.

4.       This Article does not apply to staff members of grade A6 or A7.

Article 5 - The appraisal procedure for temporary staff holding contracts of at least four consecutive months

The reference period for appraisal reports for temporary staff holding contracts of at least four consecutive months shall be the period of the contract(s). Objectives shall also be set as soon as it becomes clear that consecutive contracts will exceed a total period of four months.      

Article 6 – Appraisal on termination of contract

An appraisal report shall be drawn up when the appraisee’s contract is terminated, except where the objectives were set up less than four months before the termination of the contract.

Article 7 - Appraisers

1.       In this Rule the appraiser is also referred to as n+1. His or her appraiser is also referred to as n+2.

2.       The appraisers shall be either specially appointed officials, Council of Europe staff members, seconded officials under the Regulations for secondment to the Council of Europe, or temporary staff members covered by Rule No. 1234 of 15 December 2005 laying down the conditions of recruitment and employment of locally recruited temporary staff members working in Information and Field Offices.

3.       The Secretary General or the Deputy Secretary General shall draw up the appraisal reports on the heads of Major Administrative Entities, with the exception of the Secretary General of the Parliamentary Assembly of the Council of Europe, the Secretary General of the Congress of Local and Regional Authorities of the Council of Europe, the Registrar of the European Court of Human Rights and the Registrar of the Administrative Tribunal of the Council of Europe. The Secretary General of the Parliamentary Assembly of the Council of Europe, the Secretary General of the Congress of Local and Regional Authorities of the Council of Europe and the Registrar of the European Court of Human Rights shall draw up the appraisal reports on the heads of the administrative entities placed under their direct authority. The Registrar of the Administrative Tribunal of the Council of Europe shall draw up the appraisal reports on staff placed under his or her direct authority.

 

4.       The head of each Major Administrative Entity shall decide who is to appraise each of the Secretariat members covered by Article 2 in his or her administrative entity.  In the case of an appraisee carrying out duties for several hierarchical superiors in this or other Major Administrative Entities, the head of the Major Administrative Entity may put in place special arrangements to take into account the opinions of the relevant hierarchical superiors while respecting the principle of one appraiser. The Directorate of Human Resources shall be informed of these decisions through the human resources correspondent.

5.       Each appraiser shall supervise the appraisal exercise conducted by those s/he is responsible for appraising under the fourth paragraph of this article.

6.       In the event that the appraiser (n+1) is unable to carry out the appraisal, the appraiser’s appraiser (n+2) shall take the necessary steps to ensure that it is carried out.

Article 8 - Appraisal reports

1.       Appraisal reports shall be drawn up by the appraiser, using the appropriate electronic form, based on the appraisal interview.

2.       The official language chosen by the appraisee shall be used for the appraisal exercise. However, with the appraisee’s consent, the appraiser may draw up the report in the other official language.

3.       Appraisal reports shall be countersigned by the appraiser’s appraiser (n+2).  Where the appraiser (n+1) is the head of a Major Administrative Entity, appraisal reports shall be countersigned by the Secretary General or Deputy Secretary General only if the appraisee so requests.

4.       An appraisee who does not agree with the substance of the appraisal drawn up by the appraiser (n+1) may request an interview with the appraiser’s appraiser (n+2).  The appraisee shall inform his or her appraiser (n+1) of this.

5.       Before signing the appraisal form, the appraisee shall make any comments within five working days (not counting days of official journeys or leave). 

6.       The n+1 has the duty to provide the Secretariat members s/he will appraise with clear information about performance expectations throughout the reference period. S/he should give Secretariat members regular feedback about their performance, both in areas in which they are doing well, and in areas in which they can further develop. In particular, the n+1 should make sure that Secretariat members are informed in writing when, during a reference period, their work shows significant shortcomings. The n+1 shall help Secretariat members to reach their objectives.

Article 9 - Electronic signature of the appraisal report

1.       The electronic signatures and countersignatures mentioned in this Rule shall be effective once the person concerned has validated the operation performed and has been duly authenticated.

2.       Access to the appraisal management system shall be subject to authentication in accordance with the Council of Europe policy on management of means of authentication. Persons without access to the appraisal management system shall have the electronic appraisal report concerning them signed on their behalf and at their request by an authorised staff member of the Directorate of Human Resources.

3.       After each stage of the signing process, the appraisal report shall be protected against any modification.

4.       An electronic appraisal report signed within the meaning of this Rule shall have the same legal force and the same effects as an appraisal report signed or co-signed in handwriting.

Article 10 - Use of appraisal reports

1.       Until it is finalised the appraisal report shall be confidential and may not be disclosed against the appraisee's will beyond the parties involved in the appraisal process.

2.       Appraisal reports shall be part of Secretariat members’ personal administrative files and may not be consulted against their will other than in the cases for which this article and the Rule on access to a staff member's personal administrative file provide.

3.       Appraisal reports may be consulted by the Directorate of Human Resources and the managers concerned whenever a decision is to be taken about the appraisee’s career or training.

4.       The latest appraisal report available shall be used by the Appointments Board. However, the candidate or, in exceptional cases, the Appointments Board may request that a maximum of the last three available reports be consulted.

Article 11 - Appraisal Board

1.       The Appraisal Board shall monitor the fair and homogeneous application of the system throughout the Organisation. To this end it shall analyse the functioning and results of the system and may address recommendations to the Secretary General relating to such matters as:

-        amendments needed to make the system more efficient and to correct any anomalies;

-        steps to be taken to guarantee fair and homogeneous use of the system;

-        training needs to be met and activities to be carried out to disseminate information about the system.

2.       The Secretary General shall decide what action to take on these recommendations.

3.       The Appraisal Board shall not examine individual cases.

4.       The Appraisal Board shall be chaired by the Director of Human Resources or his/her representative and shall comprise two staff members appointed by the Secretary General, or their substitutes, and two staff members appointed by the Staff Committee, or their substitutes.

5.       Appraisal Board members’ term of office shall be two years; this is renewable at most twice.

6.       A member of the Private Office of the Secretary General and the Deputy Secretary General shall take part in the meetings of the Appraisal Board.

7.       The Equal Opportunities Officer in the Directorate of Human Resources shall take part in the meetings of the Appraisal Board.

8.       The Appraisal Board’s secretary shall be an administrator appointed by the Director of Human Resources.

9.       The Appraisal Board shall draw up its own Rules of Procedure.

10.     The Appraisal Board shall endeavour to take its decisions by consensus; however, when this is impossible, it shall take decisions by a simple majority of its members, with the Chairperson taking part in the voting.

11.     The Appraisal Board’s work shall be confidential.  However, the Secretary General may authorise the publication of the Appraisal Board's recommendations mentioned in the first paragraph of this article.

Article 12 - Human Resources Correspondents

The Human Resources Correspondent of each Major Administrative Entity shall act as the intermediary between the latter and the Directorate of Human Resources in respect of all matters relating to appraisal.

Article 13 - Mediation and remedies

1.       It is the responsibility of the appraiser’s appraiser (n+2) to take the first steps with a view to resolving differences of opinion between the appraiser (n+1) and the appraisee about the appraisal.

2.       At any stage of the appraisal procedure, Secretariat members, both appraisers or appraisees, may request advice and assistance from the Director of Human Resources or his or her representative. In duly justified cases, a member of the staff of the Directorate of Human Resources may be invited to participate in the appraisal or objective-setting interview, at the request of either the appraiser or the appraisee.

3.       In case of a conflict, the appraisee may have recourse to one of the mediators under the conditions of the Rule on Mediation. However, applications to the mediator shall neither suspend the appraisal procedure nor cause it to run again from the beginning, nor shall it suspend the time allowed under the Staff Regulations for ordinary remedies or cause it to run again from the beginning.

Article 14 – Initiation of an individual performance-enhancement process (IPEP)

1.       Staff members confirmed in employment who have received the lowest rating in their latest appraisal cycle or the next lowest rating in their last two appraisal cycles shall undergo an IPEP during the following calendar year.

2.       The head of the Major Administrative Entity shall interview the staff member concerned. Unless the head of the Major Administrative Entity disagrees with the findings in the appraisal report(s) and provides reasons for his or her view in writing to the Director of Human Resources, s/he shall initiate the IPEP within one month after the latest appraisal report and inform the staff member concerned and the Director of Human Resources.

3.       The Director of Human Resources shall appoint an adviser to the appraiser and the staff member concerned.

Article 15 – The appraisal procedure during the individual performance-enhancement process (IPEP)

1.       Staff members shall be subject to two appraisal reports during the calendar year in which they are undergoing an IPEP. The first shall cover the period from the initial objectives being set up to the end of the sixth month of the year and the second shall cover the period up to the end of the year.

2.       The objective-setting for the first period shall take place at the latest two weeks after the initiation of the IPEP. The appraisal of the results achieved during the first period and the objective-setting for the second period shall take place at the latest two weeks after the end of the first period. The appraisal of the results achieved during the second period shall take place at the latest one month after the end of that period. The adviser shall attend the interviews for the objective-setting and appraisal of results.

3.       Absence from work for more than a total of three months during the second period shall result in this period being prolonged by an additional three months. This three-month prolongation shall be renewed until the staff member has been present at work for at least three months during the second period. The prolongation suspends the initiation of the next appraisal cycle.

4.       The objectives set during the IPEP shall include objectives dealing with the performance shortfalls of the staff member. The appraiser shall require the staff member to undergo appropriate training if this is likely to enhance his or her performance.

Article 16 – Follow-up in the case of continued underperformance

1.       If the staff member has received the lowest or next lowest rating in the report from the second period referred to in Article 15 both reports shall be transmitted to the head of the Major Administrative Entity who shall interview him/her.

2.       Unless the head of the Major Administrative Entity disagrees with the findings in the appraisal reports and provides reasons for his or her view in writing to the Director of Human Resources, s/he shall transmit the reports to the Secretary General via the Director of Human Resources and propose one of the underperformance measures set out in Article 22 bis of the Staff Regulations within two months  after the completion of the second period referred to in Article 15 and at the same time inform the staff member concerned.

3.       The procedure detailed under paragraphs 1 and 2 does not suspend the initiation of the next appraisal cycle.

Article 17 – Extension of deadlines

If the staff member concerned is absent from work when the IPEP should have been initiated, interviews conducted for the setting of objectives or appraisal of results, or follow-up implemented, this absence shall extend the relevant deadlines referred to in Articles 15 and 16 respectively.

Article 18 – Underperformance measures

1.       Before imposing an underperformance measure the Secretary General shall consult the Board on Underperformance composed of the Chair of the Disciplinary Board and two staff members chosen in accordance with the procedure laid down for the Disciplinary Board. The secretariat of the Board on Underperformance shall be provided in the same manner as the secretariat of the Disciplinary Board.

2.       The Secretary General shall refer the case to the Board on Underperformance by transmitting a report providing reasons for his or her proposal together with all the records of the process within four months after the completion of the second period referred to in Article 15. At the same time this report shall be communicated to the staff member concerned.

3.       The Board on Underperformance shall hear the staff member (who may be accompanied by a staff member of his or her choice), the appraiser and the adviser. It shall formulate an opinion providing reasons for the Secretary General within six weeks of referral. At the same time the opinion shall be communicated to the staff member concerned.

4.       The Secretary General shall decide whether an underperformance measure should be imposed within six weeks of the date of receipt of the opinion of the Board on Under Performance. Before imposing such a measure s/he shall hear the staff member concerned. At the hearing before the Secretary General the staff member concerned may be accompanied by a staff member of his or her choice. The Secretary General shall provide reasons for imposing an underperformance measure.

Article 19 - Final provisions

1.       This Rule repeals and supersedes Rule No. 1285 of 28 November 2007 on staff under-performance and Rule No. 1305 of 13 July 2009 on appraisal.

2.       This Rule shall enter into force on the first day of the month following its signature by the Secretary General.

3.       The individual performance enhancement process (IPEP) shall be carried out in accordance with the provisions of this Rule with regard to underperformance identified on the basis of appraisals for 2011 and thereafter. The provisions in force on the day before the entry into force of this Rule shall apply to performance enhancement with regard to underperformance identified on the basis of appraisals before 2011.

Strasbourg, 13 December 2011

The Secretary General

Thorbjørn JAGLAND