Title: Civil Service Performance Appraisal in Portugal:
1- Civil Service Performance Appraisal in Portugal
- General framework and the specific experience
with parliamentary staff - Isabel Corte-Real, Vilnius 24 May 2006
2SIADAPStructure of the presentation
- Introduction
- Why a new appraisal system
- SIADAP Principles requirements features
rating system, quotas forms appraisers and
other interfering entities process, managers
transparency strengths and weaknesses - Appraisals systems are complex appraisal systems
are useful. Key points for a successful appraisal - Specific experience with parliamentary staff
specific features other parliaments experiences
inspiring principles system features grading
system forms first year experience - Conclusion
- Sistema de Avaliação de Desempenho da
Administração Pública( performance appraisal
system for the civil service)
3SIADAPWhy a new system?
- Breaks with a discredited previous system
from1983 - Responds to new management needs (Efficiency
Quality Management pay bill control) - Integrates the service (s) annual management
cycle
4SIADAPGeneral principles
- Performance appraisal is results/objectives
oriented - SIADAP is an universal system , applicable to the
civil service as a whole - Enhances managers and subordinates
responsibilities - Staff contributions to the service and motivation
are better perceived - Differentiates levels of performance
- Aims at transparency
- Integrates HRM system
5SIADAPRequires
- Annual planning for the next year
- (taking into account strategic objectives,
government programme, service competences and
assignments) - Annual setting of service objectives
- Annual setting of individual objectives ( civil
servant or team) - Annual reporting
- Performance appraisal( against individual
objectives)
6SIADAPMain features
- Applicable to the Civil Service as a whole
- Main components
- Objectives
- Competences
- Personal Attitudes
7SIADAP Objectives
- Each service sets its own objectives
- Objectives( no more than five , no less than
three) must be agreed upon each subordinate and
immediate superior, depending one of them on
shared responsibility (team or group) - Each objective has its own weight for the final
mark (no less than 15, no more than 20) - Grading system
- Level five- Exceeds largely the objective
- Level three-Meets the objective
- Level one- Does not meet the objective
8SIADAPCompetences
- Set up against job requirements ( for each
professional group) - No less than four, no more than six
- The weight of each competence shall not be less
than 10
9Personal Attitude
- Evaluates how the job was performed, including
aspects as effort, interest and motivation
10Rating system
- Rating of each component from one to five
- The final appraisal of each component corresponds
to the following rating - Excellent from 4,5 to 5
- Very good From 4 to 4,4
- Good From 3 to 3,9
- Needs development from 2 to 2,9
- Unsatisfactory from 1 to 1,9
11Final appraisalresults from the weighted
average of each component according to the
following weight
Group Objective Compet. Attitude
Graduate staff 60 30 10
Administrat. assistants 50 40 10
Blue collars 40 50 10
Supporting staff 20 60 20
12SIADAPQuotas ( forced distribution)
- Very good No more than 20 of the staff
- Excellent No more than 5 of the staff
13Forms
- Forms are legally pre-defined for the all
civil service
14Who interferes in the appraisal system
- Superiors( appraisers)
- Performance appraisal coordination committee
(P.A.C.C.) - Director General ( top manager) of each service
15Appraisers( immediate superiors) assignments
- Set up objectives and conduct appraisals
16Performance appraisal coordination
committee(P.A.C.C.)
- Chaired by the D.G.
- Composed by other managers
- Assignments
- Sets up orientations
- Guarantees a selective system ( has to validate
excellent and very good ) - Advices the D.G. on claims
- Proposes the Minister specific system (s) ,
according to the law
17Appraisal processPhases
- Self appraisal
- Previous appraisal( by the superior)
- Harmonization of ratings by the P. A C. C.( the
highest ratings have to be signed by all members) - Appraisal interview( between superior and
subordinate) - Final appraisal approval by the D.G.
- The subordinate has to acknowledge the final
appraisal. In case of disagreement ,he can
present a claim to the D.G. The P.A.C.C. gives
advice on claim (s) - The subordinate can still appeal to the minister
18Managers( intermediate level) appraisals
- Objectives are weighted 75
- Competences are weighted25
- No forced distribution is established
19SIADAPTransparency
- A list of names , organized according final
grades( Excellent , Very Good, Good, Needs
development , Unsatisfactory) is publicized - A SIADAP data base is set up in the Directorate
General for the Civil Service - Services can also be assessed
20SIADAP- Strengths and weaknesses
- Strengths
- Result/objective oriented
- Set up within the context of TQM and MBO
- Breaks with a discredited previous system(
inflation of high ratings) - Responds to the need of controlling a high pay
bill
- Weaknesses
- Time consuming process for setting up objectives
( from Government Program to individuals)
specially within instability scenarios - In 2004 only 18 of services conducted PA . In
2005 no data are available a new system is being
prepared - Heavy work load and paper work( too demanding,
,considering a cost/benefit relationship) - Forced distribution creates inequity and
conflicts ( quotas are always fulfilled not on a
merit basis .They result from internal
negotiations ) - Managers and staff had a modest contribution to
the system - System misses flexibility ( too universal)
21Appraisal systems are complex
- In many organization performance measurement and
management systems are little more than human
resources bureaucracies , with forms, rules and
review layers. These paper-driven systems are
burdens to managers and hence are completely
marginally, if at all. They are typically seen by
raters as extra work and by ratees as at best
irrelevant, at worst demotivating ( Schneier,
Shaw and Beatty) - Inflation of high ratings in civil service is
common as civil service has no profit/market
regulation - Heavy paper work load and bureaucracies are
often associated - The emerging management of conflict takes time
and energy
22Appraisal systems are useful
- Recruitment and selection ( validates selection
procedures) - Integration of staff in the organization( asses
adaptation to the organization) - Training (identifies training needs)
- Promotion performance appraisal is a promotion
requirement ( promotion without merit can not
receive support and contributes to civil service
discredit) - Mobility Can recommend mobility
- Career and payment is the basis for different
tracks in career( slower or faster) with payment
impact
23Key points for a successful appraisal scheme
British Advisory and Conciliation Arbitration
Service
- Make sure senior managers are fully committed
- Consult with managers employees an d trade unions
- Give appraisers adequate training( setting
objectives and interviews) - Keep the system simple and straight
- Monitor and update system(s)
24Specific experience with parliamentary
staffParliaments special features
- General system is not directly applicable to
Parliament. Legislation provides for specific
rules and regulations - Parliament has no political planning for the
legislature ( contrary to what happens with
government programme). Main activities come from
political/parliamentary control of government
performance - Therefore, there is no cascade strategic planning
for the services, the departments or the
individuals
25Other parliaments experiences
- Civil Service general system is not used
- The general system is adapted in some cases
(Netherlands) - Some parliaments have their own model ( France
and U.K.) - No system is used in some cases ( Spain and
Luxembourg) - Annual interviews are conducted to set up
individual objectives , in order to developing
h.r.( Denmark and Finland)
26SIADARNew inspiring principles to pursuit
- Development of competences. The main reason for
appraisal is the further improvement of
performances - Decentralization in H.R.M.
- Motivation and performance improvement
- Appraisal does not replace other demanding
H.R.M. techniques and practices ( specially
recruitment) - Compensation performance related system
- Prevention of high ratings inflation and paper
overload - Clear and straight system
- Managers role
- Sistema de Avaliação de Desempenho da Assembleia
da República- Portuguese Parliament Performance
Appraisal System)
27SIADAR Features
- Corresponds to P.A. principles and H.R.M. needs
- P.A.C.C. sets up annual criteria for appraisals
- Sets up annual individual objectives by mutual
agreement( subordinate/immediate superior). An
Individual Plan for Development of Competences
(IPDC) is established . The IPDC is the basis
for development of competences and appraisals - Annual interview
- Annual appraisal report. The subordinate
acknowledges the Report - General principal good performance, with an
average impact in career compensation schemes
(ordinary appraisal) - Management takes the imitative for exceptional
performances appraisal( positive or negative) - P.A.C.C. validates exceptional appraisals
- Exceptional merit is awarded by the Speaker in a
public ceremony
28SIADAR grading(no marks)
- Good performance- ordinary appraisal scheme. It
is the rating required for standard career
development - Insufficient- extraordinary appraisal when the
performance is beyond required - Very Good Excellent performance( reduces six
months for promotion), awarded on the basis of
facts and/or particular events. In some cases an
exceptional merit rating can be awarded. In
these cases P.A. reduces one year time required
for promotion and abolishes competition
29FormsSummary
- Job description missions objectives to meet
- Difficulties encountered by the appraised
- Results achieved against objectives
- Strengths and weaknesses related to attributes
(skills and knowledge organization and
implementation capacity adaptation and
continuous improvement planning capacity team
work and coordination responsibility and
commitment personal attitude such as effort,
interest and motivation) .Grading of each
attribute Exceeds objectives, Meets objectives,
Needs development, Unsatisfactory - Individual Plan for Development of Competences
(IPDC) , agreed upon appraiser and appraised.
Encompasses the following items objectives and
results to be achieved next year conditions for
developing competences , including training
evolving projects - The forms are different for ordinary appraisal (
good performance) and exceptional appraisal (
Excellent or unsatisfactory) and they have
attached a performance appraisal guide both to
the appraised and the appraiser
30SIADARFirst year
- System design in consultation with Managers,
Staff, Trade Union and also ( for approval) with
Board of the A.R. and M.P.(s) - Training (appraisers /appraised)
- Reduced paper work (simple forms, no marks,
simple appraisal criteria simple attributes) - Impact in career( no forced distribution)
- General principle of good performance was adopted
by the P.A.C.C. No exceptional appraisals were
conducted - Second year is now being run. It will be the
first appraisal year, taking into account
objectives set up by mutual agreement
31Performance ManagementThe ICL Way
- Performance management is the way forward- for
every individual and for the company as a whole.
It is therefore vitally important that every
individual as a clear understanding of his/her
work objectives and responsibilities, because
performance will be measured against them