Appraisal of individual performance in the civil service

1. Appraisal of individual performance in the civil service Dr. Hans-Achim Roll (rollconsult@gmx.de) Podgorica 22-23 November 2010

2. Performance Management • The two purposes of civil service management: effectiveness, efficiency and civil service values • Organisational and individual performance management • The role of appraisal in a performance management system

3. Elements of a performance management system • Setting objectives and planning work • Continually monitoring and providing feedback • Developing the capacity to perform • Assessing/appraising individual performance periodically • Rewarding good performance and sanctioning poor performance

4. Appraisal schemes(trends) • Variety of appraisal schemes and “best” practice • Reform efforts and administrative culture (more hierarchic/more communicative and cooperative) • General trends: • decentralization of the design and implementation • changing relations between superiors and staff • linkages to performance related pay and promotion • simplification of appraisal procedures

5. The two major types of appraisal schemes • Traditional/standardized schemes: performance measured against a set of mandatory/optional criteria (competencies, skills, conduct); advantage:comparability, disadvantage: subjectivity and unclear terms • Target agreements/individualized schemes: performance measured by the degree of target achievement; advantage: transparency and motivation, disadvantage: reduced comparability, negotiating targets difficult

6. Elements of appraisal schemes • Appraisal frequency: annually, every two years, other intervals • Rating system: grades (three, four, five grades scales), verbal evaluation, no explicit rating • Evaluator: immediate superior, head of department/administrative body, commission, self-assessment, others • Appraisee: every civil servant, some positions excluded

7. Problems and challenges (1) • Appraisal interview: expectations with regard to an open and cooperative feedback often differ from reality • Objectivity/subjectivity: need for checks and balances (second evaluator, role of HRM unit, appeals) • Ratings: inflation of the best grades; remedies: verbal evaluation instead of grades (?), introduction of binding/non binding rating distributions (?)

8. Problems and challenges (2) • Managerial shortcomings: inadequate flow of information and insufficient commmunication of targets, decisions without involving employees, difficulties in solving group conflicts, deficiencies in superior´s management behaviour (dedicating time and resources, openness and honesty), behaviour too formalistic and „bureaucratic“ • Additional workload for middle management; remedies: design of assessment forms, number of procedural steps, electronic staff assessment ; areas for further development: policies for out-performers and under-performers

9. Recommendations (1) • Appraisal schemes are an important instrument to ensure the development of a professional, accountable and merit based civil service. • Staff appraisal is a continuous process throughout the whole appraisal period, and not just a once year event; • The appraisal scheme needs to be monitored and adapted if necessary.

10. Recommendations (2) • To make appraisal schemes successful and credible the legal provisions must be implemented properly; this requires managers with the necessary willingness and abilities. • Important preconditions for the introduction of new appraisal schemes: • Transparency of the process • Involvement of the employees/trade unions • Thorough training of managers • Conformity with the respective administrative culture