Performance Management Policy (SPA) - EFFECTIVE JUNE 1 2009

The purpose of the performance management system is to ensure that:

1. Employees perform work that accomplishes the business needs of the University;
2. Employees clearly understand the quality and quantity of work expected;
3. Employees receive ongoing information about how effectively they are performing relative to expectations;
4. Awards and salary increases are consistent with employee performance;
5. Opportunities for employee development are identified and provided when possible;
6. Employee performance that does not meet expectations is addressed; and
7. Management applies performance ratings in a fair and consistent manner.

Performance appraisal information is one consideration in making other personnel decisions such as promotions, disciplinary actions, layoff determinations, and salary increases.

The Performance Management System applies to all permanent SPA employees, including probationary, time-limited, and trainee, who are regularly scheduled to work 20 hours or more each work week (0.5 FTE).

The University's official Performance Management Cycle for SPA employees begins June 1 and ends May 31. Shorter (or longer) cycles may be allowed depending on the employee's entry-on-duty date or other relevant organizational changes. The Performance Management Cycle includes the following elements:

• Work Plan
• Work Planning Conference
• Mid-cycle Performance Reviews (optional)
• Annual Performance Appraisal
• Development Activities

The "Performance Management and Competency Assessment Form" is the University's official document to record these elements. Supporting documents may be attached to the Form as needed.

Principal functions, performance expectations, and appraisals are guided by the five-point North Carolina Rating Scale for performance:

• Outstanding
• Very Good
• Good
• Below Good
• Unsatisfactory

Annual Performance Appraisal ratings must be expressed using this scale. Principal functions in work plans must be written consistent with the "Good" level of performance.

The Work Plan records the quality and quantity of the work to be performed by the employee.  The Work Plan consists of principal functions that include:

• Assigned duties with performance expectations written at the "Good" level,
• How the performance will be measured, and
• Percentage weight of Function relative to other Functions (optional)

Collectively, the principal functions should address all the assigned work in the position to be achieved in the current performance cycle.  The principal functions may be similar in structure to the job duties included on the "Position Description Form" or may be organized differently, provided that the duties themselves are consistent with the work expected to be performed and with the Position Description on file with the Office of Human Resources.

Management should review the Work Plan and Position Description on an annual basis to ensure that the position is appropriately classified for the duties assigned.

Managers must provide each employee with a new work plan and hold a Work Planning Conference with each employee within 30 calendar days of:

• The employee's entry into a position;
• Any significant changes to the principal functions or work expectations of the current work plan; or
• The beginning of the performance management cycle (June 1).

Supervisors may schedule additional Work Planning Conferences with employees as needed throughout the performance cycle.

Supervisory Principal Function: All supervisors who are SPA employees must have a principal function that addresses their supervisory responsibilities.

Throughout the performance cycle, supervisors are expected to provide employees with feedback on their work performance, initiate corrective action, and/or revise expectations as needed. 

If, on an Annual Performance Appraisal, an employee has received ratings of Below Good or Unsatisfactory on the overall rating and/or on one or more principal functions, then the supervisor is required to conduct one or more mid-cycle performance review using the Performance Management and Competency Assessment Form.

If an employee has not received ratings of Below Good or Unsatisfactory, mid-cycle reviews are an optional tool that supervisors may use at any time during the performance cycle.

The annual performance appraisal is recorded on the SPA Performance Management and Competency Assessment Form. 

Deadlines: Supervisors must conduct an annual performance appraisal session with each covered employee no later than May 31 of each year, provided that the employee has been working for at least three months under one or more work plans.  If not, the annual appraisal may be delayed until the employee has worked at least three months.

Ratings: For each principal function, the supervisor must record a rating using the North Carolina 5-point rating scale. A rating of "Good" indicates that the employee has met the expectations defined in the Work Plan. The supervisor must also provide an overall performance rating based on the 5-point scale.

Management Review: Prior to discussing the performance appraisal with an employee, the supervisor must review the appraisal with the next-level manager to ensure that ratings are appropriate and consistent across the work unit(s).  The next-level manager must sign all approved appraisals.

Appraisal Meeting with Employee: Supervisors shall meet with each employee individually to discuss his/her annual appraisal.

Signatures: Both supervisor and employee shall sign and date the completed performance appraisal indicating that the discussion has taken place. The employee may indicate on the document if s/he agrees or disagrees with the evaluation.

Amended Appraisals: No information may be added to the Performance Appraisal without the employee's knowledge. Changes must be initialed and dated by the employee, supervisor, and next-level manager or the Appraisal may be reissued with the corrected information and signed by all parties.

Employee Copy: A copy of the signed and completed "SPA Performance Management and Competency Assessment" form is maintained by the department. After the annual performance appraisal meeting, the employee must receive a copy of the signed and completed Form in a timely manner (within 10 calendar days).

Appeals: Employees may dispute their annual performance appraisal as allowed under the "Performance Management Appeals" policy (see Related Subjects below).

If an employee sustains a performance level below the "Good" expectation on one or more principal functions for two consecutive performance evaluations, then the supervisor must begin formal corrective disciplinary action if such action has not already been initiated.  The two consecutive performance evaluations must be at least six months apart.

If an employee receives a performance-based disciplinary action during the performance cycle, the employee shall be considered not to have met the "Good" expectation for the current cycle for the principal function(s) associated with the disciplinary action.

Development activities can be recorded on the SPA Performance Management and Competency Assessment Form in three locations:

The "Overall Performance Comments" section, for discretionary activities designed to enhance employee performance.

The "Performance Action Plan" section, for activities determined necessary to correct performance that does not meet expectations.

The "Supervisor's Comments on Competency Assessment" section, for activities designed to increase employee knowledge, skills, and abilities relative to the competency level of the position.

Development activities are mandatory if:

The rating on one or more principal functions or on the overall rating is "Below Good" or "Unsatisfactory" on a mid-cycle review or the annual appraisal; or

The employee must acquire a new body of knowledge or skill in order to maintain performance at or above the "Good" level.

The University strongly encourages management to support at least one development activity each performance cycle for each employee.

"SPA Performance Management and Competency Assessment" forms must be maintained by the department for three years and then destroyed. The content of all performance appraisals and development activities is confidential; however, the contents of the work plan are not considered confidential and may be shared as deemed appropriate by management.

Annual Performance Rating Data Entry: After each performance cycle, overall ratings for each employee must be entered into the Human Resources Information System (HRIS). Each department's HR Facilitator is responsible for this data entry.

Employee Transfer: Before an employee transfers to another State agency or another position outside his/her department, the supervisor must complete a Mid-Cycle Review on the "SPA Performance Management and Competency Assessment'" form and forward to the employee's new supervisor.

Supervisor Transfer: Before a supervisor transfers to another State agency or another position outside his/her department, the supervisor and the next higher level supervisor must document the progress of unit employees toward achieving their performance expectations to be made available to the new supervisor.

Performance Records for Hiring Supervisors

As part of the reference check process in the employment process, when current or former State employees are being considered for a hiring opportunity, their past appraisals may be obtained for review by those involved in making the hiring or promotion decision.

If you have questions about this policy, contact the Employee & Management Relations Specialist in the Office of Human Resources assigned to work with your department.