Decision (EU) 2019/976 of the ECB Annex I

Annex I

›

ANNEX I

Principles for defining objectives and sharing feedback in joint supervisory teams of the Single Supervisory Mechanism

Principle 1

Setting objectives

Without prejudice to the sole responsibility of NCAs as the employer of NCA sub-coordinators, at the beginning of each reference period or when a NCA sub-coordinator has joined a JST, the JST coordinator, after consultation with the NCA sub-coordinator, sets out the main tasks and objectives for each NCA sub-coordinator.

The JST coordinator and the NCA sub-coordinator jointly define the team objectives and communicate these objectives to the JST annually during a JST meeting which shall take place at the beginning of each reference period or when a new JST has been set up.

The agreed tasks and objectives for the NCA sub-coordinator may be recorded in the system tool used to manage the feedback process.

Principle 2

Sharing feedback

The JST coordinator provides at least once a year, in any case, following the end of a reference period, face-to-face feedback to the NCA sub-coordinator on how they and their teams met their respective objectives. This feedback takes into account the competencies set out in Annex II.

The NCA sub-coordinator provides at least once a year, in any case, following the end of a reference period, face-to-face feedback to the JST coordinator on their coordination of the JST. This feedback takes into account the competencies set out in the ECB capability framework.

Feedback shared between the JST coordinator and the NCA sub-coordinator as described in Principle 2.1 and 2.2 is recorded, upon request from the feedback receiver via the system tool, in the system tool, which is used to manage the feedback process.

The JST coordinator and the NCA sub-coordinator jointly provide feedback to their JST on how the team met its objectives. This feedback is provided to the JST at least once a year, in any case, following the end of a reference period, during a JST meeting.

In order to ensure continuous dialogue, the JST coordinator provides each NCA sub-coordinator with guidance and continuous feedback throughout the year.

The JST coordinator and the NCA sub-coordinator provide guidance and continuous feedback to their team throughout the year.

Principle 3

Access to the feedback recorded in the system tool

Access to the feedback recorded in the system tool used to manage the feedback process is given to the JST coordinator and to NCA sub-coordinator.

Access by ECB staff, other than the JST coordinator and the process administrator to the feedback recorded in the system tool used to manage the feedback process may be provided on a need-to-know basis in accordance with Regulation (EU) 2018/1725.

Upon the request of the relevant NCA, feedback on the NCA sub-coordinator recorded in the system tool used to manage the feedback process, if available, is made accessible to, and may be used by, the relevant NCA:

for the purpose of facilitating its staff management, if permitted by applicable national law;

as an input to identify professional development needs, including training needs, of the JST sub-coordinators, in line with the NCA's internal rules;

for the creation/preparation of appraisals, if permitted under the relevant national law.

Access to the feedback, including its transfer, is granted to NCAs in accordance with Article 9(1)(a) of Regulation (EU) 2018/1725. If requests for feedback are received and a transfer takes place, the NCA sub-coordinator concerned is informed accordingly.

Principle 4

Protection of personal data processed in the context of sharing feedback

All personal data related to setting objectives and sharing feedback on how these objectives are met is processed by the ECB in accordance with Regulation (EU) 2018/1725.

Personal data related to setting the objectives and sharing feedback on how those objectives are met is used only for the purposes described in Principle 3, and may be stored for a maximum period of five years.