Rebuttal Process for Human Resources Practitioners: Key Guidelines and Procedures at the United Nations

THE REBUTTAL PROCESS for Human Resources Practitioners Heather Madey Specialized Advisory Unit, CRSAS, HRSD May 2019 UNITED NATIONS UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT DEPARTMENT OF OPERATIONAL SUPPORT 1

Agenda Scope of Application Rebuttal Panels (ST/AI/2010/5 Section 14) Rebuttal Process (ST/AI/2010/5 Section 15) Role of HR Expert/ Adviser Questions UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 2

Rebuttal Process as Outlined in ST/AI/2010/5 Section 1: Scope of Application Staff holding Permanent, Continuing or Fixed-Term appointments of at least one year. Evaluating temporary staff (ST/AI/2010/4/Rev.1): 6.1 shall issue a performance evaluation on a standard performance evaluation form for staff members holding temporary appointments. (P.333) The form should state what was expected of the staff member and whether the staff member and the supervisor discussed those expectations. Signed hard copies of the standard performance evaluation form shall be included in the official status file of the staff member concerned. At the end of the temporary appointment, regardless of duration, the programme manager 6.2 temporary appointment may, within seven calendar days of signing the completed performance appraisal form, submit a written explanatory statement to the respective Executive Office at Headquarters, or to the Chief of Administration elsewhere. The performance evaluation form and the explanatory statement shall become part of the official status file of the staff member. A staff member who disagrees with the performance rating given at the end of his/her USG s and ASGs can and will have to act as reporting officers (although they are not evaluated under ST/AI/2010/5). UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 3

Rebuttal Panels Section 14: Rebuttal Panels 14.1: Head of department/office/mission draws up the rebuttal panel list in three categories: Members designated by heads of department/office/mission. Members designated by the staff representatives of the department/office/mission (in accordance with local practice). Chairpersons selected by head of department/office/mission after consultation with staff representatives. Every effort shall be made to obtain an appropriate geographical and gender balance, where possible. Panel members must have adequate knowledge and experience required to review the appraisal and its rating. 14.2: Rebuttal panel members shall serve for two years. UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 4

Rebuttal Panels Section 14: Rebuttal Panel List 14.3: Where it is not possible to constitute a list from staff members of that office, the approved list may include staff members from other offices at the same duty station. Start with other Secretariat entities at the duty station. If reaching out to other Secretariat entities at your duty station does not yield a sufficient number of panel members then you will have to establish an ad hoc panel from the lists of other Secretariat entities regardless of location. UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 5

Rebuttal Panels Role of the Chairperson Leads the panel to ensure the prompt and effective review and resolution of the rebuttal cases. Liaises with the HR adviser on policy and procedure questions. The Chairperson s vote and/or opinion has no greater weight than other panel members. UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 6

Rebuttal Process Section 15 Staff members may ONLY rebut an overall negative rating (as opposed to comments or ratings for competencies): Partially meets performance expectations, or Does not meet performance expectations. This Tribunal recognises the fundamental right of an employee to be heard in the context of a performance evaluation process. Irrespective of whether the appraisal is conducted inside or outside of ST/AI/2002/3, an employee has a fundamental right to put his/her case, in response to an employer s assessment of his/her performance. Gehr 2012-UNAT-253. This can include special performance reports and offline reports. UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 7

Rebuttal Process Section 15.1 Staff members may rebut within 14 days of signing completed performance document by submitting a written rebuttal statement to: Chief of Administration/Chief of Missions Support or CHRO. Rebuttal statement should briefly set forth specific reasons why a higher overall rating should have been given. The statement may be accompanied by supporting documentation. UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 8

Rebuttal Process Section 15.2 The rebuttal statement should contain the names of three individuals, selected by the staff member from each of the three groups identified in Section 14.1. Each of whom must be equal in grade or higher than the reporting officer whose evaluation is being rebutted. UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 9

Rebuttal Process Section 15.3 After receiving a copy of the rebuttal statement, the administration has 14 days to prepare and submit a statement in reply to the staff member s rebuttal statement. The FRO is generally the one to prepare the reply on behalf of the administration as they have the most information and knowledge of the performance cycle. A copy of the rebuttal statement must be given to the staff member. It should be given to the staff member in a time frame to allow them to sufficiently prepare for their interview with the rebuttal panel (there is no specific time frame). UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 10

Rebuttal Process Section 15.3 The panel shall hear the staff member, FRO, SRO and, at its discretion, other individuals who may have information relevant to the review of the appraisal rating. Telephone statements may be taken where geographical separation also dictates. All panel members should sign a confidentiality agreement before receiving any information concerning the rebuttal. Panel reviews the staff member s rebuttal statement, the reply of the FRO, the performance document in question and any supporting documentation submitted by the parties. UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 11

Rebuttal Process What is the Panel Deciding Whether staff member s performance warranted the rating assigned. Whether the staff member was advised that their performance was lacking. Were remedial actions taken to address shortcomings. UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 12

Rebuttal Process Section 15.4 Rebuttal panel shall prepare a brief but reasoned report setting forth the basis for maintaining or not maintaining the original rating. In the event that an overall rating should not be maintained, the rebuttal panel should designate the new rating on performance. The report should be finalized within 14 days of completion of the review. The report should be placed in the staff member s official status file (OSF) as an attachment to the performance document. A new rating awarded by the rebuttal panel can now be changed in Inspira; please follow the instructions found on the HR portal https://hr.un.org/page/eperformance-changes- 2019-2020. UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 13

Rebuttal Process Section 15.6 If unsatisfactory performance is the basis for non-renewal of appointment and the appointment expires before the end of the rebuttal process, then the appointment should be renewed for the duration necessary to complete the rebuttal process. During the rebuttal process managers must continue to properly manage the staff member s performance in accordance with ST/AI/2010/5. UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 14

Rebuttal Process Section 15.7 The rating resulting from an evaluation that has not been rebutted is final and cannot be appealed. However, administrative decisions that stem from any final performance appraisal and that affect the conditions of service of a staff member may be resolved by way of informal or formal justice mechanisms. UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 15

Role of HR Expert/Adviser While the ST/AI does not provide for the role of an expert/adviser, it does not prohibit one. An HR officer or a PM focal point should be performing the role of the expert/adviser. That role should be limited to providing administrative support and clarifying questions on policy and procedure. The expert/adviser should: Instruct all parties on the rebuttal process. Provide staff member with a list of potential rebuttal panel members. Share staff member s statement with the FRO/SRO. Share FRO/SRO s replies with the staff member. Convene the rebuttal panel. Brief the rebuttal panel on the process and procedure (presentation provided). Keep record of all documents provided throughout the process. Provide guidance on policy and procedure. Explain rebuttal panel report template (template provided). Perform administrative tasks. Keep confidentiality at all times. UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 16

QUESTIONS? UNITED NATIONS | DEPARTMENT OF OPERATIONAL SUPPORT 17