REG 05.50.08 Annual Evaluation of EHRA Non-Faculty

Authority: Chancellor

History:  First Issued: October 30, 2012. Last Revised: November 7, 2017.

Related Policies: 
UNC Policy Manual 300.2.1 – Employees Exempt from the State Human Resources Act
NCSU POL05.15.01 – Employees Exempt from the State Personnel ACT (EHRA)

Additional References:
EHRA Non-Faculty Annual Performance Resources

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.

2. Covered Positions

This 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):

2.1 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);

2.2 EHRA employees who concurrently hold tenured faculty appointments;

2.3 Athletic directors, head coaches, and associate and assistant coaches; and

2.4 Post-doctoral scholars.

3. Performance Cycle and Timing of Review

3.1  The performance cycle for eligible EHRA non-faculty employees will operate on a fiscal year basis, July 1 – June 30.

3.2  Faculty 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.

3.3  Employees 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.

4. Format

The Division of Human Resources shall publish a standard performance evaluation instrument.  Use of this instrument shall be required unless an alternative performance evaluation 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:

4.1 A statement that identifies the major strategic priorities of the University of North Carolina system in accordance with the most current University strategic plans;

4.2 A description of goals and objectives for the employee for the cycle consistent with and supportive of the University’s strategic plan and goals;

4.3 A description of any job-related personal or professional development activities for the employee during the cycle;

4.4 A summary of the employee’s observed performance during the cycle, including outcomes related to assigned goals and objectives.

4.5 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 Methodology

5.1 The following performance rating scale shall be used in the annual evaluation of all employees subject to this regulation:

5.1.1 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.

5.1.2 Employees rated as “Meeting Expectations” generally perform at, and on occasions may exceed, a successful level of performance of their assigned duties.

5.1.3 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.

5.3   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.

6. Communication with Supervisors and Employees

6.1 The 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.

6.2 The employee should be provided an opportunity to comment on the annual evaluation in writing and any such comments will be included with the evaluation.

6.3 The supervisor must document the evaluation discussion for the record and provide the employee with an electronic or written copy of their completed performance evaluation.  As a confidential personnel record, a completed copy of the evaluation must be maintained securely in the employee’s personnel file in accordance with the University’s records retention schedule.

7. 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.