Session:“Methods and Technologies of Performance

Appraisal of Civil Servants”

Joachim Vollmuth, PhD

Global Conference “Civil Service Personnel Management”

Instruments of Performance Evaluation

Performance Evaluation

Objective oriented

evaluation

Criteria orientedevaluation

Objective Agreement

Periodical common setting of objectives and evaluation of results

Structured evaluation procedures

Periodical evaluation of performance by means of performance criteria

Combined procedures

Basic orientation: Career based system

Selection of personnel: qualification re-quirements depend on career/career group

Remuneration: depends on grade/rank, no compulsory link to position

Career: promotion to higher grade/rank; progress possible without change of position

Performance Appraisal: no direct link to salary system; basis for promotion, capacity building

Capacity building: promoting measures for new professional knowledge and experiences needed (mobility, detachment etc.)

Basic orientation: Position based system

Selection of personnel: qualification re-quirements depend on concrete position (tasks and functions).

Remuneration: follows the evaluation and classification of the position.

Career: change to higher position; progress not possible without change of position.

Performance appraisal: often direct link to salary system: performance premium, -step, -element.

Capacity building: enhancement of professional capacity necessarily gained by change of position.

Country Case Germany I

Civil Servants and Public Employees on all levels and in all areas of public administration

Until 2008: countrywide uniform regulations; since 2009: regions flexible for salaries and career

Salary scales with 16 grades in 4 groups; steps: flexible and of varying duration

Positions classified by analytical method Performance pay to limited extent; team bonus;

flexible procedure Recruitment for career group linked to education; 1st

grade group, general category: studies in law.

Country Case Germany II

Bi-annual appraisal, annual midterm review. Catalogue with comprehensive performance criteria in

4 dimensions (see annex 1); 7 grades with quota for 2 best; „potential analysis“ as integrated part (annex 2). Procedure regulated in detail.

Selection of leading members within general career development, permeable for „late developers“; no time limit, but probationary period.

Enhancement of leadership qualification supported by 4-step-training-system including internship in private economy.

Annex 1: Performance Appraisal Criteria Professional compentece

- Professional knowledge- Quality and validity of work results- Quantity of work and delivery in time- Appropriateness of means

Methods of work- Planning and organisation, setting of priorities- Independence, initiative, ideas- Commitment, ability to cope with pressure- Expression oral and in writing

Social competence Conduct concerning communication and information Co-operation and team-oriented action Conduct in conflict situations, ability to accept criticism

Management competenceAbility to guide staff, ability to delegate, control and assessAbility to set objectives amd to motivate for performance

Assessment: A1/A2 = above good average - B1/B2/B3 = good average C1/C2 = below good average:

The composition varies with regard to functions and duties

Annex 2: Potential Analysis Criteria

Professional competence - Willingness and ability to learn

Methodical competence- Planning and organisation, setting of priorities- Skills to negotiate- Service orientation, - Representation of the area of responsibility- Competence for conceptual work

Management competenceCompetence to guide staff and to enhance qualificationAbility to make decisions and to force through

Evaluation:A = distinct to a particularly high extentB = highly distinct

The composition varies with regard to functions and duties

Country Case Great Britain I

Bulk of public servants under general labour law. Civil servants in ministries and affiliated agencies.

Employment regulations are delegated to organs, framework esp. in Civil Sevice Management Code.

7 salary bands in 4 salary groups, each band includes 8-10 progression steps.= 3% increase.

Positions are classified by organs; „JEGS“ classi-fication system provides guideline.

Salary contains base pay and performance elements; progression steps are in principle performance related.

Recruitment for position (position based system); procedure and execution up to organ.

Country Case Great Britain II

No formal strucure of ranks, no planned promotion, but individual development plans.

Annual appraisal follows Bichard Report principles: objective agreement, midterm-review, results in narrative form without marks. Ranking negotiated in „award pannels/pay committees“.

Senior Civil Service: special regulation by Cabinet Office; 4 salary bands, fixed quota, high level; perfor-mance pay after appraisal decided by SCS Pay Committee.

Reservoir for SCS: „Fast Stream“, selected in internal competitions for good graduates and best performers.

Remarkable Features in EU Civil Services:Netherlands

Clear distribution of staff categories: in central government exclusively civil servants.

Salary scales with 18 grades in 6 groups, 10-15 steps each. Classification of all positions by standardized method FUWASYS.

No fixed periods for steps, advancement depends fully on appraisal, carried out annually in formalized Personal Interview.

High management group Senior Civil Service; access via competition; temporary assignment to leading positions 5-7 years, advancement to higher positions intended.

Remarkable Features in EU Civil Services:Finland

Centralized basic regulations for civil servants (80%) and contractual staff (20%). Salaries are bargained with trade unions on central and administration level. .

Remuneration consists of - basic pay (dependend on classified tasks) - performance pay (up to 30% of total pay).

Personal pay is linked to annual appraisel by calcu-lation method: result of appraisal (calculated of 5 factors and 5 marks) corresponds to performance level (1-11), which corresponds again to percentage of basic pay (0-48%), which is the personal pay added.

Finnish National Board of Patens and RegistrationIndividual pay component – salary table

Performance points Performance level % of job-specific pay

< 1.95 1 0 %

1.95 – 2.24 2 4.8 %

2.25 – 2.54 3 9.6 %

2.55 – 2.84 4 14.4 %

2.85 – 3.14 5 19.2 %

2.85 – 3.14 6 24 %

3.45 – 3.74 7 28.8 %

3.75 – 4.04 8 33.6 %

4.05 – 4.34 9 38.4 %

4.35 – 4.64 10 43.2 %

> 4.65 11 48 %