Nc State University



Policies, Regulations and RulesAuthorityChancellorTitleAnnual Evaluation of EHRA Non-FacultyClassificationREG05.50.08PRR SubjectPerformance Management and ReviewContact InfoDirector, Employee Relations (919-515-4300)History: First Issued: October 30, 2012. Last Revised: March 29, 2016 September 1, 2017. Related Policies: HYPERLINK "" UNC Policy Manual 300.2.1 – Employees Exempt from the State Personnel ActUNC Policy Manual 300.2.18[R] - Regulations on Annual Performance Appraisals for Staff Exempt from the North Carolina Human Resources Act (EHRA Non-Faculty)NCSU POL05.15.01 – Employees Exempt from the State Personnel ACT (EHRA)Additional References:EHRA Non-Faculty Annual Performance Evaluation GuidelinesEHRA Non-Faculty Performance Evaluation TemplateEHRA Alternative Non-Faculty Performance Evaluation TemplateEmployee Self Evaluation Form?Contact:Director, Employee Relations (919-515-4300)1. Purpose NC State University’s commitment and practice is to provide timely performance feedback at least annually to each EHRA non-faculty employee. Regular performance evaluations provide an opportunity for employees to understand how their responsibilities and performance expectations align with the goals and priorities of their work unit and the University’s strategic plan initiatives. They also provide a defined cycle of review for managers and employees to assess employee success toward meeting operational needs and professional development goals. (formerly designated EHRA) employee to help ensure effective work efforts and to focus on the continued successful achievement of the University’s goals and objectives.Regular performance appraisals provide an opportunity for employees to understandhow their responsibilities and performance expectations align with the goals and priorities of their workunit, with their institution’s strategic initiatives, and with the University’s strategic plan. It also provides adefined cycle of review for managers and employees to assess employee success toward meeting theseoperational needs and also professional development goals. 2. Covered PositionsThis campus regulation applies to all EHRA non-faculty positions except as noted below so long as these positions are subject to alternative performance evaluation procedures established by a separate regulation (i.e. Review of College Deans, Associate Deans, Vice Chancellors, Department Heads/Chairs):EHRA non-faculty employees at the level of chancellor, provost, vice chancellor, dean, or substantially similar titles, and any other individuals subject to Section 300.1.1.I.A., of the UNC Policy Manual (SAAO Tier I);EHRA employees who concurrently hold tenured faculty appointments;Athletic directors, head coaches, and associate and assistant coaches; andPost-doctoral scholars. – including SAAO positions as well as EHRA Instructional and Research positions -- that are not otherwise covered by one of the following specific regulations: HYPERLINK "" REG 05.50.02: Reviews of College Deans, or HYPERLINK "" REG 05.50.05: Review of Dean of Undergraduate Academic Programs, Dean of Graduate School, and Vice Provosts, or HYPERLINK "" REG 05.50.06:Review of Vice Chancellors, or HYPERLINK "" REG 05.50.07:Review of Associate Deans3.Annual EvaluationPerformance Cycle and Timing of Review3.1The performance cycle for eligible EHRA non-faculty employees will operate on a fiscal year basis, July 1 – June 30.3.2Faculty members with a nine-month academic year appointment who supervise EHRA employees subject to this regulation must complete the annual evaluation no later than May 16 of each performance cycle.3.3Employees must work a minimum of six months prior to receiving a performance evaluation as described herein. However, supervisors should provide employees regular feedback throughout the cycle on the employee’s performance. Supervisors must formally evaluate EHRA non-faculty employees on at least an annual basis, before the end of the fiscal year. Merit-based salary adjustments may be permissible as of the start of a fiscal year, so evaluation of performance should be completed in time for making informed merit-based salary determinations. 4.Procedures FormatThe Division of Human Resources shall publish a standard performance evaluationappraisal instrument. Use of this instrument shall be required unless an alternative performance evaluation appraisal instrument has been developed by the unit and approved by the Associate Vice Chancellor for Human Resources or designee. In the event an alternative instrument is developed, the following elements must be included: An annual performance rating (“overall rating”) that represents the supervisor’s assessment of the covered employee’s total performance during the cycle and conforms to the rating methodology described below. A statement that identifies the major strategic priorities of the University of North Carolina system in accordance with the most current University strategic plans;A description of goals and objectives for the employee for the cycle consistent with and supportive of the University’s strategic plan and goals;A description of any job-related personal or professional development activities for the employee during the cycle;A summary of the employee’s observed performance during the cycle, including outcomes related to assigned goals and objectives.An annual performance rating (“overall rating”) that represents the supervisor’s assessment of the covered employee’s total performance during the cycle and conforms to the rating methodology described in section 5.5. Rating Methodology5.1 The following performance rating scale shall be used in the annual evaluation of all employees subject to this regulation:Employees rated as “Not Meeting Expectations” often perform below an acceptable level of performance of their assigned duties or have demonstrated substantial performance deficiencies in certain assigned duties.Employees rated as “Meeting Expectations” generally perform at, and on occasions may exceed, a successful level of performance of their assigned duties.Employees rated as “Exceeding Expectations” routinely perform above expected performance of their assigned duties and are generally considered among the highest performing employees within the work unit.5.2 The University shall provide to UNC General Administration the overall rating for each covered employee no later than August 31 of each year.4.1 The evaluation process should review and discuss the employee’s achievement of the overall goals and objectives that had been established for the period being reviewed, and it should establish goals and objectives for the coming review period, consistent with and supportive of the University’s strategic plan and goals. 4.2 The specific format of the annual performance evaluation is at the discretion of the supervisor. There is no standard, prescribed format in recognition of how different the University’s EHRA non-faculty positions are and the varying criteria that would be employed to evaluate these employees. Templates are available online as suggested models. However, whatever performance evaluation criteria is used, it must be written and provide a general description of the position duties and expectations and a written assessment of performance against these standards during the performance period. One component of the evaluation should include the employee’s compliance related efforts. 54.3 One component of the evaluation should include the employee’s compliance related efforts. If the employee being evaluated is also a Point of Contact (POC) owner of a compliance subject matter area, the evaluation process must assess the employee’s efforts in meeting the current year’s compliance-related expectations and also include written compliance-related objectives for the upcoming fiscal year. These expectations and objectives should be determined by the POC and the POC’s supervisor at least annually. munication with Supervisors and Employees54.4 6.1The employee should have the opportunity to provide a self-report of major accomplishments during the review cycle, of proposed plans for the next performance cycle, of potential barriers to success, and of ideas to enhance his or her professional development and successful performance during the coming performance cycle. 54.56.2 The employee should be provided an opportunity to comment on the annual evaluation in writing and any such comments should be attached to the original copy of thewill be included with the evaluation placed in the departmental personnel file at the employee’s request. 54.66.3 The supervisor must document the evaluation discussion for the record and provide the employee with an electronic or written copy of their completed performance evaluationappraisal. As a confidential personnel record, a completed copy of any suchthe evaluation documentation must be maintained securely by the employing unitin the employee’s personnel file in accordance with the University’s records retention schedule. 765. Evidence of Compliance??7.1 Each year, the Executive Vice Chancellor and Provost or designee issues a memorandum to all vice chancellors, deans, and vice provosts, requesting their written confirmation that all eligible EHRA employees in their units will have been reviewed in accordance with this policy for the performance evaluation year ending June 30. Each year, the Provost and Executive Vice Chancellor issues a memorandum to all vice chancellors, deans, and vice provosts, requesting their written assurance that all EHRA employees in their units have been reviewed during the year ending June 30. ................
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