An integral program to support the professional development of employees, Performance Management helps ensure that employees understand expectations, receive timely feedback, have access to training and receive rewards in an equitable manner. Performance Management resources for both supervisors and employees include:
- SHRA Performance Management
- EHRA Performance Management
- Faculty Performance Management
- Cooperative Extension County Employees
- Guiding Policies and Other Resources
Supervisors must formally evaluate EHRA non-faculty employees on at least an annual basis, before the end of the fiscal year to help ensure effective work efforts and to focus on the continued successful achievement of the University’s goals and objectives. For more information, contact your department's Personnel Representative.
This campus regulation applies to all EHRA non-faculty positions – including SAAO positions as well as EHRA Instructional and Research positions -- that are not otherwise covered by one of the following specific regulations:
- REG 05.50.02: Reviews of College Deans, or
- REG 05.50.05: Review of Dean of Undergraduate Academic Programs, Dean of Graduate School, and Vice Provosts, or
- REG 05.50.06: Review of Vice Chancellors, or
- REG 05.50.07: Review of Associate Deans
Supervisors who require assistance with Performance Management may contact Employee Relations at 515-6575 for support.
Faculty Performance Management
Faculty are evaluated in various ways. Links to several policies are listed below. Additional information regarding faculty performance management is found in the Policy, Regulations, and Rules website.
- Annual Reviews of Faculty Members
- Annual Faculty Activity Reports
- Comprehensive Review of Tenure Faculty
Faculty who wish to dispute a performance review must do so through the Grievance Procedure for Faculty, Senior Academic Administrative Officers Tier II (SAAO Tier-II) and EHRA Professionals.
SHRA Performance Management
NC State maintains a system in which every university SHRA employee participates in a work planning and performance appraisal program. Supervisors and managers direct this program while promoting active employee involvement.
The performance management process begins on June 1 of each year, and concludes the following May 31. This cycle is repeated yearly. There are three stages of the cycle.
Employees are responsible for performing the job expectations that are described in the work plan. They are also expected to seek clarification from supervisors on any portion of the work plan or performance appraisal process that is unclear or in question.
Performance appraisals will be conducted for probationary employees after six months of employment (twelve months for law enforcement officers) or at the time the employee is being considered for permanent status.
Planning occurs at the beginning of the performance cycle when the employee and supervisor meet to discuss the employee's:
- Work plan
- Performance expectations
- Development plans
- Performance tracking methods
It is the supervisor's responsibility to develop the work plan and effectively communicate it to the employee. The work plan must be presented to the employee no later than 30 days after their hire date or 30 days after they have had a change in responsibility.
This process applies to all SHRA employees, both career-banded and non-career-banded. The relevant forms can be found below.
For help developing an employee's work plan, contact Employee Relations, 919-515-6575.
There are two major components to managing employee performance.
- The day-to-day tracking of SHRA employees' progress toward achieving performance expectations outlined in the work plan
- An Interim Review conducted midway through the performance cycle (typically in November or December)
Managing also includes providing on-going feedback to employees through coaching and frequent discussions throughout the performance cycle. These discussions should be held on a regular basis, as well as in response to changes in performance. At some point during the performance cycle, (typically during the Interim Review) supervisors may need to address performance deficiencies with their employees.
Each work plan has a section for Performance Improvement Plans where supervisors can document what improvement is required. This section, if used, should specify the steps an employee can take to gain the knowledge or skill needed to perform certain tasks and must clearly indicate what steps the supervisor will take to ensure that the employee acquires that information. The expected results must be specified so that both the employee and supervisor understand and agree on what is to be gained.
Finally, time frames for completion and demonstrated improvement should also be set.
Appraising is the evaluation of SHRA employees' work during the entire performance cycle as it compares to the expectations documented in the work plan. Appraising occurs at the end of the performance cycle, in May. Any permanent SHRA employee who has worked at least six months during the performance cycle under an approved work plan is considered to have completed the performance cycle for performance pay purposes; except for probationary law enforcement officers, for more information see below. This stage of the process results in a completed performance appraisal document and an annual rating.
The rating scale has been established to provide consistency in the performance management process throughout NC State. The rating scale is summarized as follows.
- Your performance during this work cycle was exceptional and is worth special recognition as a particularly noteworthy year of significant accomplishments, far beyond the regular expectations of this position in a typical performance cycle. This rating is not considered an "every year" (or even frequent) status, but is reserved to acknowledge particularly extraordinary accomplishments during the last performance cycle. Your continued performance at a consistently high level is appreciated and encouraged, and is expected to meet or exceed the expectations for the next performance cycle.
- Your performance has demonstrated a consistently high level of accomplishment, meeting and often exceeding expectations for this position's key responsibilities. Continued performance at this level is appreciated and encouraged, and is expected to meet or exceed the expectations for the next performance cycle.
- Your performance has typically met or exceeded the expectations for this position's key responsibilities. Continued performance at this level should meet the expectations for the next performance cycle. Any suggested changes/improvements noted in this evaluation are intended to help you further enhance your performance during the coming performance cycle rather than to document substantive performance concerns.
- While your performance has met expectations in some of this position's key responsibilities, other aspects will require changes in order to meet the expectations for the next performance cycle. A performance improvement plan has been provided or is being incorporated and attached to the evaluation as a separate document.
- Your performance is not meeting expectations. A performance improvement plan has been provided. Failure to demonstrate significant and sustained improvement will lead to separation from employment.
*For OSHR reporting purposes, these ratings will be reported as 1, 2, 3, 4, 5 respectively and correspond directly to the rating definitions above.
Probationary employees who have worked for the university less than six (6) months must receive a rating of seven (7), representing insufficient time to evaluate. This rating also applies to all law enforcement officers who have yet not completed their 12-month probationary period.
Employees out on Extended Leave, including Military Leave, Family Medical Leave, Family Illness Leave, LWOP, etc., should be assigned a rating of eight (8) - Extended Leave Status, which will remain active until their return.
For a full description of all the ratings, refer to a copy of the Work Plan and Performance Appraisal Form.
In general, supervisors are responsible for:
- Implementing each stage of the performance appraisal process
- Communicating information to employees so they understand their job expectations and respective roles in the department
Employees are responsible for:
- Performing the job expectations that are described in the work plan
- Participating in career development opportunities
They are also expected to seek clarification from supervisors on any portion of the work plan or performance appraisal process that is unclear or in question.
Employees and supervisors who have questions regarding the performance appraisal process should contact Employee Relations, 919-515-6575.
An SHRA employee transferring to another university department or state agency must receive a transfer appraisal from his/her current supervisor to be forwarded to the gaining unit. Likewise, a supervisor must document employees' progress on current work plans in conjunction with the next level manager prior to leaving a supervisory position. The appraisal should be documented on an NC State SHRA Transfer Appraisal form, with a copy provided to the employee.
Employees and supervisors who have questions regarding transfer appraisals should contact Employee Relations, 919-515-6575.
Is Training Available for Supervisors?
Employee Relations provides training for supervisors on how to implement and manage the SHRA Performance Management Program. Courses are designed to provide an overview of the process and associated regulations as well as teach supervisors the basics of developing work plans, conducting interim reviews, and appraising employee performance. Skill practices include
- Completing the SHRA Work Plan and Performance Appraisal form
- Identifying common errors made in determining performance ratings
- Assigning appropriate ratings to selected examples of performance
Please contact Employee Relations, 919-515-6575, if you are interested in scheduling training for performance management.
Employee Relations, as well as Training and Organizational Development, offer custom training as needed.
What If I Disagree with my Performance Appraisal Rating?
SHRA employees have the right to formally dispute annual performance ratings, performance pay decisions and some Career Banding decisions. Disputes must be filed with the Division of Human Resources within 15 workdays of receipt of the written appraisal and will be handled in accordance with the university SHRA Performance Pay Dispute Resolution procedure.
Guiding Policies and Other Resources
State of North Carolina
- Office of State Human Resources, Performance Management