Transcript Etica si integritate

ENHANCING THE EFFECTIVENESS AND EFFICIENCY
OF THE CIVIL SERVICE THROUGH PERFORMANCE APPRAISAL
10-12 October 2012
BAKU, REPUBLIC OF AZERBAIJAN
Civil Servants Performance Appraisal
in Romania
National Agency of Civil Servants
www.anfp.gov.ro
[email protected]
Civil Servants Performance Appraisal in Romania
The National Agency of Civil Servants (NACS)

was established by the Law no. 188/1999 on Civil Servants the Statute as a specialized body of
central public administration subordinated to the Ministry of Administration and Interior
Role:


management of the civil service and civil servants
professional training and development of civil servants and other categories of employees in public
administration
Management:


a president, with the rank of secretary of state
a vice-president with the rank of undersecretary of state
Beneficiaries:

civil servants
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public authorities and institutions of the local and central public administration

citizens
NACS mission is to create and develop a professional, well prepared, politically neutral civil servants body,
capable of assimilating the performance standards imposed by the EU.
Civil Servants Performance Appraisal in Romania
Main responsibilities:

Elaborating the legal framework concerning the civil service and the civil servants;
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Monitoring and controlling the compliance with regulations in the field;
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Managing programmes concerning the civil service through which the management of
the civil service and the civil servants is accomplished;
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Collaborating with other institutions both national and international regarding the
professional training of civil servants;
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Offering professional training for both the personnel in public administration and
private sector;

Managing the database comprising the national register of civil service positions and of
civil servants.
Civil Servants Performance Appraisal in Romania
The Romanian civil servants body consists of 126.146 civil servants
holding the following positions:
senior civil servants
 management civil servants
 execution civil servants

Civil Servants Performance Appraisal in Romania
Performance appraisal – general framework

The performance appraisal is a basic activity of human resource
management in order to assess how efficient the organisation’s
employees are in the fulfilment of their tasks and responsibilities;

The individual professional performance appraisal of civil servants
represents the overall processes and procedures implemented on
annual basis, by applying the set performance criteria for the
achievement of the individual professional objectives set based on
the specific responsibilities in the job description;

The assessment regularity
– The assessment period is 1January – 31 December of the year
for which the assessment is performed;
– The assessment takes place between 1-31 January of the year
that follows the assessed period.
Civil Servants Performance Appraisal in Romania
Performance appraisal – general framework

The scores obtained in the assessment of individual job
performance are considered for promotions and the
dismissal from civil service.

The Assessor – person in the public authority or institution that has
management responsibilities in the department where the civil
servant subject to assessment works or, as the case may be, that
coordinates the activity of the civil servant in question.
Civil Servants Performance Appraisal in Romania
Performance appraisal – general framework
NACS’ role

establishes the criteria for the appraisal of civil servants activity;

elaborated the methodology for civil servants individual
professional performance appraisal approved by the Government
(after consulting the representative trade unions of civil servants at
national level).
Civil Servants Performance Appraisal in Romania
Performance appraisal – general framework
The individual performance appraisal aims at:

linking the job requirements to the actual activity of the person
holding that position;

achieving of the previously set objectives, and their assessment
against the gained results;

motivating the civil servants with exceptional results;

identifying training needs in order to enable the civil servants to
improve their performance.
Civil Servants Performance Appraisal in Romania
WHAT is assessed?
Results obtained compared with those expected regarding:
task
achievement
objectives
achievement
not planned
performance
major
relevant
Civil Servants Performance Appraisal in Romania
HOW it is assessed?
The aim is to know how the performance was obtained
 the way of fulfilling tasks and responsibilities
 competencies (knowledge, skills, attitudes):
- technical
- behavioral
Civil Servants Performance Appraisal in Romania
Performance appraisal – general framework
Civil servants appraisal has the following components:

Evaluating the degree and way to meet individual objectives;
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Evaluating the degree of achievement of performance criteria.
Civil Servants Performance Appraisal in Romania
Performance appraisal – general framework
The performance appraisal is conducted in a decentralized manner, in
each public institution and authority.
Generally speaking, the performance appraisal procedure is conducted
in three stages:
 the performance appraisal report is filled in by the assessor by:
– establishing a final score (1-5);
– marking the exceptional results and the challenges
acknowledged;
– setting the next year’s individual objectives,
– setting and the training and development needs identified;
 the interview between the assessor and the assessed
civil servant;
 the countersigning of the performance appraisal report
by the hierarchical superior of the assessor.
Civil Servants Performance Appraisal in Romania
Performance Appraisal Report – performance criteria section
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

Individual objectives are set by the assessor based on the tasks in
the job description, by reference to the civil service held, the
professional level, as well as theoretical and practical knowledge
and abilities of the civil servant
Requirements:
– to be specific to the activities of the civil servant
– to be measurable
– to be provided with deadlines
– to be realistic
– to be flexible
Review of objectives can be done quarterly or whenever
there is a change in the organizational structure of public
authority or institution
Civil Servants Performance Appraisal in Romania
Performance Appraisal Report – performance criteria section

Setting the objectives together with the employees leads to clear
expectations from them.

Setting objectives in an effective way can help stimulate a greater
spirit of cooperation and contribute to increased productivity and
morale.

It is very important that the objectives are clear and transparent
measures for performance appraisal. If possible, they should reflect
the desired outcomes rather than activities, although activities may
be part of the objectives.

Each key responsibility in the job description can have
multiple objectives.
Civil Servants Performance Appraisal in Romania
Performance Appraisal Report – individual objectives section





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For each of the objectives the assessor will set performance indicators
and time ratio from the total working time to achieve each objective
These indicators must be relevant in terms of measuring the degree of
achievement of individual objectives;
Each objective is assessed with scores from 1 to 5, the score expressing
the degree of achieving the relevant objective by reference to the
performance indicators.
The score awarded for achieving individual objectives is the arithmetic
average of the scores awarded for achievement of each objective.
It is necessary to correlate the data contained in the section “achieved”
and in the section “score” from the appraisal report.
For example, a 65% achieved objective will correspond to a score of 3.25,
being the value of the equivalent percentage of the maximum
score of 5.
Civil Servants Performance Appraisal in Romania
Performance Appraisal Report – example of individual objectives –
execution civil servant
Objectives
% of
time
Indicators
Achieved(
ratio)
-%-
Score
1. Increasing the ability to manage specific
activities of project management
25%
No. concluded partnerships
No. implemented activities
No. developed/implemented projects
No. organised events
No. project proposals
90%
4,5
2. Developing the ability to pursue and
accomplish the objectives set out in the
framework of partnerships/cooperation
agreements, international relations
25%
No. partnerships proposals
No. organised bilateral meetings
No. correspondence documents
No. organised events
Nr. concluded partnerships
90%
4,5
3. Developing the capacity of analysis and
synthesis
10%
No. documents
No. proposals/recommendations
90%
4,5
4. Developing the ability to develop studies on
civil service and civil servants
15%
No. studies
100%
5
5. Improving the ability to translate
programmatic/strategic documents
25%
No. translated documents
65%
3,25
Final score for the objectives achievement
4,35
Civil Servants Performance Appraisal in Romania
Performance Appraisal Report – individual objectives section

If objectives are reviewed during the assessment period they
are set performance indicators and their degree of
achievement is graded and included in the final score
calculation for achieving the objectives of the appraisal
report.
Civil Servants Performance Appraisal in Romania
Performance Appraisal Report – performance criteria section
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The individual professional performance of civil servants is assessed
through the performance criteria set by law, based on the specific
activity of the unit where the civil servant works;
Depending on the characteristics of the public institution’s
activities, the assessor may establish other criteria which must be
brought to the attention of the civil servant before the start of the
assessment period;
Depending on the fulfillment of the performance criterion in
achieving the established individual objectives each performance
criteria has a score form 1 to 5;
The score awarded for achieving performance criteria is
the arithmetic average of the scores awarded for each
criterion.
Civil Servants Performance Appraisal in Romania
Performance Appraisal Report – performance criteria section
There are two categories of performance criteria for civil servants, as
following:

Performance criteria for execution civil servants;

Performance criteria for management civil servants.
Civil Servants Performance Appraisal in Romania
Performance Appraisal Report – performance criteria section
The performance criteria for execution civil servants are the following:
–
–
–
–
–
–
–
–
–
–
Implementing capacity;
Capacity to efficiently resolve problems;
Capacity to take responsibility/accountability;
Capacity of self capacity building and draw on the acquired experience;
Capacity for analysis and synthesis;
Creativity and initiative;
Capacity to work independently;
Capacity to planning and strategic thinking;
Capacity to work in a team;
Competency in administering the allocated resources.
Civil Servants Performance Appraisal in Romania
Performance Appraisal Report – performance criteria section
The performance criteria for management civil servants are the following:
–
–
–
–
–
–
–
–
–
Capacity to organize;
Leadership;
Capacity to coordinate;
Capacity to get to the best results;
Decision-making competence;
Capacity to delegate;
Abilities to manage the human resources;
Capacity to develop the staff abilities/skills;
Mediation and negotiation abilities.
Civil Servants Performance Appraisal in Romania
Performance Appraisal Report – final score

The final score of the annual appraisal is represented by arithmetic
average of the scores obtained for the individual objectives and
performance criteria.

Following the appraisal of individual job performance, the civil
servant is given one of the following qualifiers, determined based
on the final score :
–
–
–
–
Very good (between 4,51 - 5,00);
Good (between 3,51 - 4,50);
Satisfactory (between 2,01 - 3,50);
Unsatisfactory (between 1,00 - 2,00).
Civil Servants Performance Appraisal in Romania
Performance Appraisal Report – final score

The meaning of the scores is as follows:
– score 1- minimum level and score 5 – maximum level.

Related to the previous example, if we assume that the score for
achievement of the individual objectives was 4,35 and the score for
meeting performance criteria was 4.45, the final score of the
assessment will be 4.40, which corresponds to the final qualifier
good.
Civil Servants Performance Appraisal in Romania
Performance Appraisal Report – final score
In completing the report relative to the assessment of individual
professional performances of civil servants, the assessor:
determines the final score for individual professional performance
appraisal;
 documents the outstanding results of civil servants, the objective
difficulties faced by them during the assessment period and any other
relevant comments;
 determines the professional training needs for the year that follows the
evaluated period;
 sets the individual objectives for the year that follows the
evaluated period.

Civil Servants Performance Appraisal in Romania
Appraisal Interview

The conclusion of the report will be preceded by the appraisal interview.

The interview represents an exchange of information between the
assessor and the civil servant, whereby:
- the civil servant subject to assessment is communicated the findings
of the assessor included in the appraisal report.
- the appraisal report is signed-off and dated by both the assessor and
civil servant subject of assessment.

In case divergent opinions appear between the civil servant subject to
assessment and the assessor on the findings documented, the comments
of the civil servant are included in the appraisal report.

The assessor may amend the content of the appraisal report
if a common view is reached.
Civil Servants Performance Appraisal in Romania
Countersigning of the performance appraisal report
The appraisal report is submitted to a counter–signatory.
 Counter-signatory – the civil servant hierarchically superior to the
assessor according to the organization structure of the public authority
or institution.
 In case the assessor is the head of the public authority or institution,
the appraisal report is not countersigned.
 The appraisal report can be modified according to the decision of the
counter-signatory if the documented findings are not true to the reality
or if between the assessor and the assessed civil servant are differences
of opinion that could not be resolved by mutual agreement.
 The
appraisal report amended by the counter-signatory is
communicated to the assessed civil servant.

Civil Servants Performance Appraisal in Romania
Right to complain against the performance appraisal report
 The civil servants who are not satisfied with the result of the
assessment are allowed to complain against it to the head of the public
authority or institution. The complaint is filed within 5 days from the
date when the civil servant became aware of the result of the
assessment.
 The complaint should be settled within 15 days from the date when the
complaint submittal term expires.
 The head of the public institution/authority settles the complaint on
the basis of the documents included in the appraisal file:
- the appraisal report
- the reports drawn up by the assessed civil servant, the
assessor, namely the counter-signatory.
Civil Servants Performance Appraisal in Romania
Right to complain against the performance appraisal report
 The result of the complaint is communicated to the civil servant within
5 days from solving the complaint.
 The civil servant who is not satisfied with the solution given to the
complaint may refer the dispute to the administrative courts for
settlement, as provided for by the law.
 The civil servants directly assessed by the head of the public authority
or institution who are not satisfied with the results of the assessment
are allowed to refer the dispute directly to the administrative courts, as
provided by the law.
Civil Servants Performance Appraisal in Romania
There are specific
rules
for the performance
appraisal of the debutant
Assessment
of the
debutant
civil servants
civil servants in probationary appointment:
 the probation report completed by the debutant civil servant;
 the preparation of the debutant civil servant tutor’s report;
 the assessment interview with the civil servant on probation.
The assessment of the debutant civil servant is made within 5 working
days from the end of probation, usually by the head of department
in which they operate, who is an assessor.
The assessor can provide two types of qualifiers: appropriate or
inappropriate, depending on the level of theoretical knowledge
that the civil servant made or didn’t make evidence of and
practical skills necessary to perform the public position.
Civil Servants Performance Appraisal in Romania
Assessment of senior civil servants


Senior civil servants hold the following positions in the civil service
system:
– Secretary General of Government/ Government Deputy
Secretary General,
– Secretary General / Deputy Secretary General of ministries and
other bodies of central public administration,
– Prefect / Sub-prefect,
– The government inspector.
The assessment of senior civil servants is done by a special
appraisal committee consisting of five members appointed by
decision of the prime-minister for a period of three years,
proposed by the minister of administration and interior.
Civil Servants Performance Appraisal in Romania
Assessment of senior civil servants
The assessment of senior civil servants’ performance has two
components:
 assessment of individual professional performance, carried out
annually and aimed at assessing the performances resulted from
effectively relating the outcomes to the operational objectives set
out;
 overall assessment, carried out once every 2 years and aimed at
confirming the professional knowledge, the capacities and skills
required to hold a senior civil servant position. In the overall
assessment, the outcomes are related to the strategic objectives
set out.
Civil Servants Performance Appraisal in Romania
Assessment of senior civil servants


For assessing individual professional performances, the assessed
period is 1 January – 31December of every year, and the assessment
period is 1 January – 31 March of the year following the assessed
period.
For the overall assessment, the assessed period is of 2 years,
starting with 1 January of the first year and ending on 31 December
of the following year, and the assessment period is 1 January –
31March of the year following the assessed period. In the year when
the overall assessment is performed, the assessment of individual
professional performances is part of the former.
Civil Servants Performance Appraisal in Romania
Assessment of public managers
A public manager is a civil service position for graduates of the
following programmes:

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A specialized training programme in public administration for public
managers, lasting two years;
A specialized training programme in public administration for public
managers, lasting one year;
The Special Scholarship "Romanian Government" organized to train
managers in the public sector, provided that it is followed by an
intensive specialized training in public administration in Romania.
Civil Servants Performance Appraisal in Romania
Assessment of public managers
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Public managers are assessed annually for the activities and
performances in the previous year, appraisal consisting of two
components: internal and external.
In what concerns the internal component, the assessment is carried
out based on performance criteria established for the permanent
execution civil servants.
If public managers carried out mainly coordination and leadership
activities, then the internal assessment will consider performance
criteria established for the management civil servants.
Civil Servants Performance Appraisal in Romania
Assessment of public managers

External assessment of public managers is carried out by persons
selected for this purpose and who act as external evaluators, in the 1st
semester of the year following the assessed year.

The result shall be notified to NACS within 5 days of the date on which
it was declared final (following the resolution of possible complaints).

NACS sets up and manages the external assessors’ body.
Civil Servants Performance Appraisal in Romania
Assessment of public managers
Following the individual professional assessment performed by
independent assessors, public managers may receive the following
results:

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reconfirmation of the public manager status and promotion to a higher
position;
reconfirmation of the public manager status and reconfirmation of
their current position;
reconfirmation of the public manager status and demotion to a lower
position;
loss of the public manager status.
Civil Servants Performance Appraisal in Romania
Thank our for your attention!
For any further information:
www.anfp.gov.ro
[email protected]