PROPOSED REVISION TO: REG 05.50.08 – Annual Evaluation of EHRA Non-Faculty

Rationale: Revised regulation to conform to proposed organizational compliance and ethics program; and to make mandatory the evaluations of EHRA non-faculty.

Consultation Process:

11/2/15 General Counsel authorizes transmittal of PRR for review

11/10/15 EOM preliminary review

3/24/16 Dean’s Council Review 02/03/16 Staff Senate Review (informational)

02/24/16 Office of Human Resources Review

3/16/16 General Counsel final review, if changes have been made

3/29/16 EOM final review

01/12/16 University Council Notification

N/A Board of Trustees (approval/notification), if applicable

Policies, Regulations and Rules

Authority

ChancellorTitle

Annual Evaluation of EPAEHRA Non-FacultyClassification

REG05.50.08PRR Subject

Performance Management and ReviewContact Info

Director, Employee Relations (919-515-4300)

Authority: Chancellor

{N0014044.8}

History: First Issued: October 30, 2012; Revised: April __, 2016 (effective date July 1, 2016)

Related Policies:UNC Policy Manual 300.2.1 – Employees Exempt from the State Personnel ActNCSU POL05.15.01 – Employees Exempt from the State Human Resources Personnel ActCT (EPHRA)

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 EPAEHRA non-faculty (formerly designated EPA) employee to help ensure effective work efforts and to focus on the continued successful achievement of the University’s goals and objectives.

2. Covered Positions

This campus regulation applies to all EPAEHRA non-faculty positions – including SAAO positions as well as EPAEHRA Instructional and Research positions -- that are not otherwise covered by one of the following specific regulations:

REG 05.50.02: Reviews of College Deans, orREG 05.50.05: Review of Dean of Undergraduate Academic Programs, Dean of Graduate

School, and Vice Provosts, orREG 05.50.06: Review of Vice Chancellors, or REG 05.50.07: Review of Associate Deans

3. Annual Evaluation

Supervisors must should formally evaluate EPAEHRA 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

4.1 The evaluation process should review and discuss the employeeindividual’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. One component of the evaluation mustshould include the employee’s compliance related efforts.

{N0014044.8}

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.

4.32 If the employee being evaluated is also a Point of Contact (POC) owner forof an institutional a Ccompliance subject matter area, the evaluation process must alsoassess 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. include the supervisor’s prior establishment and communication of compliance related objectives, and subsequent evaluation of the employee’s efforts regarding the attainment of those objectives at the time of the formal evaluation. must be one component of the evaluation.

4.432 The individualemployee being reviewed should have the opportunity to provide a self-report of major accomplishments during the review cycle, of proposed plans for the next cycle, of potential barriers to success, and of ideas to enhance theirhis or her professional development and successful performance during the coming cycle.

4.5 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 the evaluation placed in the departmental personnel file at the employee’s request.

4.643 The supervisor must should document the evaluation discussion for the record. As a confidential personnel record, a completed copy of any such evaluation documentation shouldmust be maintained securely by the employing unit in accordance with the University’s records retention schedule.

5. Evidence of Compliance

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 EPAEHRA employees in their units will have been reviewed during the year ending June 30.

{N0014044.8}