Performance Appraisal of Civil Servants in Romania: Achievements and Prospects

1. PERFORMANCE APPRAISAL OF CIVIL SERVANTS IN ROMANIAAndras SZAKAL Chairman - State SecretaryRepublic of Moldova - Chisinau International Conference„Performance Appraisal of Civil Servants: achievements and prospects” 6 May 2010 MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants

2. Regulatory Framework MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants • Law no. 188/1999 on the status of civil servants, as amended; • Law no. 161/2003 on certain measures to ensure transparency in the exercise of public office and in the business environment, prevention and punishment of corruption, as amended; • Law no. 571/ 2004 on the protection of staff in public authorities and other units who notify about violations of legal provisions; • Law no. 7/2004 on the Code of Conduct of civil servants, republished; • Government Decision no. 611/2008 on civil servants’ career, as amended; • Government Decision no. 341/2007 on joining the category of senior civil servants, career management and mobility of senior civil servants, as amended; • Government Decision no. 1344/2007 on disciplinary commissions, as amended; • Government Decision no.1066/2008 on the professional development of civil servants.

3. Role of National Agency of Civil Servants in the performance appraisal of civil servants MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants • deals with Romanian civil service management; • checks on the implementation of strategies and Government Program in the area of civil service management, as well as in the area of professional development of staff in public administration (in this respect, NACS drafted the appraisal methodology, which subsequently was approved through government decision); • provides consultancy to trade unions and professional associations of civil servants; • drafts appraisal regulations, common for public authorities and institutions; • formulates general performance criteria used in performance appraisal of civil servants; • monitors, checks on the compliance with legal provisions on performance appraisal.

4. Classification of civil service positions in Romania(1) MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants • general civil service positions and specific civil service positions; • civil service positions of class I (university degree, certified by a diploma, respectively long-term higher education, certified with a license diploma or the equivalent), civil service positions of class II (short-term higher education, certified by a diploma), civil service positions of class III (high school, respectively secondary education, certified by secondary school diploma);

5. Classification of civil service positions in Romania (2) MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants • state civil service positions (in ministries, specialized bodies of central public administration, and in autonomous administrative authorities), territorial civil service positions (within the prefect institution, deconcentrated public services of ministries and other bodies of central public administration from territorial-administrative units) and local civil service positions (in the offices of local public administration authorities and public institutions accountable to them). • Depending on the level of duties assigned to the holder of the civil service position, the civil service positions are grouped in the following categories: senior civil servants; management civil servants; executorial civil servants. In 2009, according to the data of the National Agency of Civil Servants, Romania had about 113 000 civil servants. Here are the shares of each of the categories mentioned above:

6. Share of civil servants, by categories according to level of duties, in 2009 According to the data of the National Agencyof Civil Servants, in 2009 there were 4695 institutions and public authorities (at all administrative levels) Senior Civil Servants Management Civil Servants Executorial Civil Servants

7. Appraisal Procedure – General Framework (1) MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants Aim of the appraisal The primary aim is to create a professional corps of civil servants, seeking to: • link job requirements with the performance of job holder; • achieve the preset individual objectives in comparison with the results achieved; • reward civil servants with outstanding performance; • identify training needs in order to improve the performance of civil servants. Who conducts the appraisal? • Appraiser is the direct manager of the appraised civil servant. • The appraiser is, as a rule, a civil servant, this contributing to impartiality in the appraisal process. • The code of conduct prescribes application of the principle of “objectivity in performance appraisal”.

8. Appraisal Procedure – General Framework (2) MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants What is appraised? • degree of achievement of individualobjectives (individual objectives can be revised on a quarterly basis, either when the organizational structure of the institution changes). • how well the performance criteria have been met (for instance: implementation ability; ability to solve problems efficiently; analysis and synthesis skills etc., or: management, coordination skills; decision-making skills etc.). Appraisal Process • The appraisal process is decentralized and takes place at each level of the institution and public authority. • Appraisal Procedure has 3 stages: • the appraiser fills out the appraisal report with the final rating, outstanding performances achieved by the appraised civil servant and challenges faced, individual objectives set for the following year and training needs identified; • interview between the appraiser and the appraised civil servant; • the appraisal report is countersigned by the direct manager of the appraiser, as a rule.

9. Appraisal Procedure – General Framework (3) MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants When are performance appraised? • Civil servants’ individual performance are appraised each year • in January of the year following the appraisal period Exceptions: • When the service relations of the appraised person is changed, suspended or modified; • When the appraised person is promoted or gets a diploma needed for promotion to a higher civil service position; • When the service relation/work relation of the appraiser is changed, suspended or terminated.

10. Performance appraisal of management and executorial civil servants MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants Normative Legal Framework: Government Decision no. 611/2008 on civil servants’ career, as amended. Exceptions: Specific appraisal procedures apply to certain categories of civil servants with special status or those appointed to specific positions. For ex.: • specialized entities of the Parliament of Romania, of President Administration, of the Legislative Council; • diplomatic and consular services; • customs authority; • police and other entities of the Ministry of Administration and Interior; • senior civil servants (their appraisal procedure is regulated by G.D. no. 341/2007 on senior civil servants, their career management and mobility. Senior civil servants are appraised by a special appraisal commission appointed through the decision of the prime minister); • public managers (whose appraisal has two stages: internal – procedure common for all civil servants and external – conducted by external appraisers).

11. Performance Appraisal of Debutant Civil Servants (1) MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants The probation period varies depending on the category of the civil service positions : • 12 months for the civil servants of class I, • 8 months for the civil servants of class II, • 6 months for the civil servants of class III. When is the debutant civil servant appraised (JCS)? • within 5 working days from the end of the probation period. Who appraises the DCS? • As a rule the direct manager (civil servant) of the DCS other then the mentor

12. Performance Appraisal of Debutant Civil Servants (2) MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants Appraisal Procedure contains • Report on the probation period drafted by DCS, containing information about the work done by DCS in the probation period, duties assigned, as well as difficulties faced; • Report drafted by the mentor of JCS; • Appraisal interview with JCS. • The appraisal of JCS takes into account a number of criteria, such as: knowledge of principles and peculiarities of administration, ability to fulfill duties, ability to work in a team etc. • Ratings: • „unfit” - the appraiser proposes dismissal of the civil servant. • „fit” – the appraiser proposes appointment of a DCS to civil service position. • There is also a procedure allowing the DCS to challenge the rating received at the appraisal at the end of the probation period

13. Performance appraisal of senior civil servants (1) MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants The category of senior civil servants (SCS) in Romania covers the persons appointed to the following positions: Secretary General of Government, Deputy Secretary General of Government, secretary general/deputy secretary general of ministries and other specialized bodies of central public administration, prefect/ subprefect, government inspector. Who conducts the appraisal? • Appraisal commission made of 5 members appointed through the decision of the prime minister for a 3-year period at the proposal of the minister of administration and interior. When are SCS appraised? • The senior civil servants are appraised yearly, based on the indicators achieved and contains the appraisal of individual performances and the overall appraisal conducted once in 2 years. How does the appraisal of SCS take place? • Performance appraisal is conducted annually, in order to appraise the performances achieved, comparing the results achieved with the preset operational objectives. Each member of the commission gives points from 1 to 5 for the objectives achieved (5 is the highest). The final score is the arithmetic average of the points given by the members of the commission for the operational objectives.

14. Performance appraisal of senior civil servants(2) MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants Overall appraisal is conducted once in 2 years and has two components: a) appraisal of individual performances achieved in the last year of the appraisal period; b) appraisal of strategic objectives achieved for the last 2 years of the appraisal period. Points from 1 to 5 are given (5 is the highest) for the strategic objectives achieved taking into account the timeframe and comparing them with the performance indicators, as well as for meeting the performance criteria. The arithmetic average of these two components is the score given for strategic objectives. • The final score of overall appraisal is the arithmetic mean of scores given for the two appraisals mentioned in a) and b). Procedure of challenging the appraisal results by SCS • In case of major differences between the report drafted by the senior civil servant and the appraisal report, an interview will be held. • The government or prime minister, as the case may be, may ask for a reexamination of the rating given if he/she considers the appraisal report inadequate. • In case if the senior civil servants are unsatisfied with the ratings received at the appraisal of individual performances, either overall ones, they can challenge them in relevant administrative instances.

15. Performance appraisal of senior civil servants (3) MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants The appraisal is based on: • activity report drafted by the senior civil servant; • appraisal report drafted by the prime minister for the secretary general of government and deputy secretary general of government; • report drafted by the manager of the authority and public institution for secretary general and deputy secretary general from the relevant ministry and other specialized body of central public administration; • appraisal report drafted by the minister of administration and interior for prefects and subprefects; • appraisal report drafted by the secretary general of Government for government inspectors; • job description of the appraised senior civil servant; • documents setting the objectives and performance indicators.

16. Appraisal of public managers (1) MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants • Public manager position is a specific civil service position in Romania, its holder acting as anagent of change in the area of public administration reform. The public manager provides support to the reform policies of Romanian Government in terms of design and implementation of procedures aiming at speeding up the reformation of the central and local public administration, starting with the strategic levels and ending with the operational ones. • There is a quick promotion system for public managers (PM) („fast-streaming”), due to specific appraisal procedures. When are PM appraised? • PM are appraised each year.

17. Appraisal of public managers (2) MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants How does PM appraisal take place? Has two stages: • internal appraisal, conducted by the direct manager, in line with the appraisal procedure common for all civil servants in Romania; • external appraisal conducted by external appraisers, in the first quarter of the year following the appraisal year. What is the appraisal impact on PM? • reconfirmation of the public manager status and promotion to a higher professional grade; • reconfirmation of the public manager status and reconfirmation into the professional grade; • reconfirmation of the public manager status and demotion to a lower professional grade; • withdrawal of public manager status.

18. Appraisal Consequences – General Framework MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants • After being appraised the civil servant is given one of the following ratings: very good, good, satisfactory, unsatisfactory. • These ratings are considered when making decisions on: • advancement on salary steps; • promotion to a higher position (one of the requirements for taking part in the competition /promotion exam is to get at least “good” at the annual appraisal of individual performances in the last 2 calendar years); • dismissal from civil service. • During the performance appraisal of civil servants the training needs are identified. The annual training plan is in line with these needs and sets: • training curricula for civil servants • priority areas for training civil servants

19. MINISTRY OF ADMINISTRATION AND INTERIOR National Agency of Civil Servants Thank you for attention !Questions?andras.szakal@anfp.gov.ro National Agency of Civil Servants 5 Eforie Str., sector 5, Bucharest ROMANIA