The UNC
Policy Manual
300.2.18[R]
Adopted 05/08/17
I.
Purpose. Regular performance appraisals provide an
opportunity for employees to understand how their responsibilities
and performance expectations align with the goals and priorities of their work
unit, with their institution’s strategic initiatives, and with the University’s
strategic plan. It also provides a defined cycle of review for managers and
employees to assess employee success toward meeting these operational needs and
also professional development goals. As such, this regulation describes the
expectation that UNC General Administration and all constituent institutions
shall provide an annual performance appraisal to employees covered by this
regulation.
II.
Requirement
for an Annual Performance Appraisal
A.
It
is a requirement of the University of North Carolina that UNC General Administration
(“UNC-GA”) and all of its constituent institutions shall provide an annual performance
appraisal to permanent EHRA non-faculty employees (except those excluded in section
III.B., below) on no less than an annual basis.
B.
Interim
or mid-year performance appraisals may be accomplished when deemed appropriate
but are not required.
III.
Applicability
and Exclusions
A.
Unless
otherwise exempted in subsections B., and C., below, this requirement shall apply
to all EHRA non-faculty employees (“covered employees”) as defined by Sections 300.1.1
and 300.2.1 of the UNC Policy Manual.
B.
Constituent
institutions may establish alternative performance appraisal procedures for the
following position types. If no alternative procedure is established, then
employees in these positions shall be subject to the requirements of this
regulation.
1.
EHRA
non-faculty employees of UNC General Administration at the level of president, senior
vice president, vice president, and chief of staff subject to Section
300.1.1.I.A., of the UNC Policy Manual;
2.
EHRA
non-faculty employees of the constituent institutions 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;
3.
EHRA
employees who concurrently hold tenured faculty appointments;
4.
Athletic
directors, head coaches, and associate and assistant coaches; and
5.
Post-doctoral
scholars.
C.
This
requirement shall not apply to temporary and other non-benefit eligible EHRA employees.
IV.
Format
A.
The
Office of Human Resources at UNC-GA shall publish a standard performance
appraisal instrument (instrument) for use annually by the constituent
institutions and UNC-GA. Use of this
instrument shall be mandatory unless a constituent institution implements an
alternate procedure and/or instrument in accordance with subsection B., below.
B.
At
its option, a constituent institution may develop and implement one or more alternate
performance appraisal procedure(s) and instrument(s) for covered employees or
subsections of covered employees. In the event alternative procedures and/or
instruments are established, the following elements must be included:
1.
A
statement that identifies the major strategic priorities of the University of
North Carolina in accordance with the most current institutional and system-wide
strategic plans;
2.
A
description of goals and objectives for the employee for the cycle;
3.
A
description of any job-related personal or professional development activities for
the employee for the cycle;
4.
A
summary of the employee’s observed performance during the cycle, including outcomes
related to assigned goals and objectives; and
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 V., below.
C.
Performance
Cycle
1.
Each
constituent institution may determine its annual cycle for conducting
performance appraisals for covered employees provided that the cycle shall
begin no earlier than April 1 and no later than July 1 of each year.
2.
Each
constituent institution shall provide to the UNC-GA Human Resources the overall
rating for each covered employee in a prescribed digital format no later than
August 31 of each year.
D.
A
constituent institution choosing to implement alternate procedures and/or instruments
must ensure the current instrument is available on the institution’s website or
otherwise available upon request by UNC-GA Human Resources.
V.
Rating
Methodology
A.
Constituent
institutions have the flexibility to use the rating scale on the standard
performance appraisal provided by UNC-GA Human Resources or to establish their
own rating scale(s) as part of an alternate appraisal procedure.
B.
Regardless
of the rating system employed within an institution, the overall rating
reported to UNC-GA Human Resources (section IV.C.2., above) must convert to the
following three-point scale for UNC-GA Human Resources reporting purposes:
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.
2.
Employees
rated as “Meeting Expectations” generally perform at, and on occasions may
exceed, a successful level of performance of their assigned duties.
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.
C.
Prior
to any performance ratings being shared with covered employees, each defined
organizational unit shall facilitate a process that ensures consistent
application of ratings across similar positions.
VI.
Communication
with Supervisors and Employees
A.
Each
constituent institution and UNC-GA shall deliver either face-to-face and/or
on-line training materials for both supervisors and employees that describe the
performance appraisal process and the roles and responsibilities for each party
in this process. UNC-GA Human Resources will publish a standard template for
this training, although the constituent institutions may develop alternate
customized training content, if desired.
B.
Each
covered employee shall receive no less than one face-to-face meeting (or
telephone or video conference meeting in the instance of a remote or
teleworking employees) in which the supervisor reviews the employee’s annual
performance, the overall rating, and the specific expectations for goals,
objectives, and professional development activities for the upcoming cycle.
C.
Supervisors
should provide employees regular feedback throughout the cycle on their
performance.
D.
Employees
shall be provided an electronic or written copy of their completed performance
appraisal, and shall be required to acknowledge receipt of their appraisal
either through signature or electronic confirmation.
VII. Effective
Date. The requirements of this
regulation shall be effective on the date adopted by the president.