Table of Contents
April 1, 2001

1. IINTRODUCTION
2. PERFORMANCE MANAGEMENT PROCESS
• Determining Performance Expectations
• Establishing a Development/Improvement Plan
• Holding the Interim Review
• Conducting the Performance Appraisal
3. RATING SCALE
4. SUMMARY OF JOB PERFORMANCE
• Overall Performance Rating
• Summary Statement
• Comments
• Next Level Supervisor Review
5. RESPONSIBILITIES
• Executive Management
• Office of Human Resources
• Administrators
• Immediate Supervisors
• Employees
• Special Safety Considerations
6. RELATIONSHIP OF PERFORMANCE MANAGEMENT PROGRAM TO OTHER PERSONNEL DECISIONS
7. PERFORMANCE PAY DISPUTE RESOLUTION PROCESS
8. EDUCATION AND TRAINING
9. SPECIAL PROVISIONS

I. INTRODUCTION

Western Carolina University is committed to administering a Performance Management Program that is consistent with GS 143A-17, GS 143 B-10 (h) and State Personnel Commission policy. This program begins with strategic planning that establishes long-term goals and short-range objectives that may then be used at the work unit level to develop individual work plans for employees in each unit. Individual work plans clarify how an employee's job duties relate to the goals of the work unit, department and university.

Western Carolina University's Performance Management Program is applicable to all SPA employees who hold a probationary, time-limited, trainee or permanent appointment and involves supervisors and employees in a four-step process: determining performance expectations, establishing a development/improvement plan if appropriate, reviewing expectations and performance at the mid-point of the cycle, and conducting an annual performance appraisal. The program promotes communication between employees and supervisors and involves employees in setting performance expectations.

Components of the program include a work plan for each employee, a rating scale containing five performance levels, an annual performance review, an employee development/improvement plan, training for supervisors and employees and a procedure for resolution of disputes arising from appraisal or salary increase decisions.

The Performance Management Program also serves to provide information pertinent to various personnel decisions such as promotion, demotion, merit increases, reduction-in-force, and disciplinary actions.

Program compliance is monitored by the State Personnel Commission through the Office of State Personnel and by the University's Office of Human Resources. Responsibility for effective program administration rests with the University. Supervisors are responsible for evaluating employees under their supervision and, in turn, are evaluated by their supervisors on how well they perform this duty.

The goals of Western Carolina University's Performance Management Program are to:

• Insure that employees know what is expected of them regarding their work performance;
• Provide employees with regular feedback regarding their job performance;
• Encourage communication between supervisors and employees;
• Provide an equitable basis for appraising employee job performance;
• Provide a sound basis for making personnel decisions;
• Provide developmental opportunities.

II. PERFORMANCE MANAGEMENT PROCESS

The Performance Management Program involves four primary steps:

1. Determining Performance Expectations
At the beginning of each work cycle (April 1 through March 31), the employee and supervisor will meet to determine the employee's work plan.

Key responsibilities/results (KRR's) are performance measurement items that describe job responsibilities in terms of tangible outputs. KRRs may include Key Responsibilities, Behaviors, Goals/Strategies, and Development Items. Assigned Tasks and Objectives must be written for each KRR using the appropriate performance indicator(s) as well as methods to be used for evaluating performance/tracking sources. Indicators may include but are not limited to quality, quantity, timeliness, cost effectiveness, manner of performance, and compliance with policy and procedures. Methods for evaluating performance include but are not limited to direct observation, written documentation, third party reports, individual self-report, and accident statistics. Supervisors should consider the following questions before placing the KRR's in order of importance:

1. How critical is the performance within the KRR in relationship to the entire job?
2. How much time does the employee spend performing this KRR?
3. Is the performance within this KRR short-term or does it continue for the full cycle?
4. How much does the KRR contribute to reaching the work group and/or university's objectives?

Behaviors may be included as KRRs . Methods for evaluating performance include but are not limited to direct observation, written documentation, third party reports, individual self-report, and accident statistics.

Once the work plan is developed, the employee, supervisor, and next level supervisor must sign the form and subsequent changes cannot be made without the employee's knowledge. If changes are made, the revised plan must be initialed and dated by the employee, supervisor, and next level supervisor. A copy of the revised plan must be given to the employee and the supervisor retains the original. Thereafter, the supervisor is responsible for modeling, coaching, and reinforcing good performance throughout the entire cycle.

2. Establishing an Improvement/Action Plan- As appropriate, the supervisor should determine if there is a need to establish an Improvement/Action plan to address areas of performance that fall below good at any time during the work plan year. The supervisor must record the specific steps that the employee should take to address performance deficiencies, the specific steps that the supervisor will take to ensure improved performance, and the time frames for demonstrated improvement.

3. Holding the Interim Review - The supervisor must meet with the employee in the middle of the work cycle to conduct an interim performance review. The purpose of this review is to discuss progress toward meeting expectations and the supervisor should decide if the employee's performance for each primary job factor is at the "good" level. If the performance is at the "good" level, the employee should be told and a notation made on the work plan form. The supervisor and employee should proceed to discuss the ways and means to achieve very good performance (exceeds expectations) for each factor. The supervisor should develop an Improvement/Action Plan for any primary job factor in which performance is currently less than the "good" performance level (see item 2 above). The supervisor may not award an overall performance rating at the completion of the interim review, but he/she must record any comments on the work plan form.

4. Conducting the Performance Appraisal - At the end of the work cycle, the supervisor will meet with the employee to review the employee's job performance in each area. An overall job performance rating is determined for the employee and justified by the supervisor. The supervisor documents this information on the appraisal form along with any comments. The form is signed by the employee and supervisor and reviewed and signed by the next level supervisor before submission to the Office of Human Resources.

   Changes may not be made to the completed performance appraisal form without the employee's knowledge. If additional information is added, the form must be initialed and dated by the employee, supervisor, and next level supervisor. Should the employee refuse to sign the document, a designated third party should sign the document in the presence of the employee, as a witness that the employee refused to sign the document. A copy of the completed appraisal form must be given to the employee and the employee should be informed that all appraisals are treated in a confidential manner and filed permanently in the Office of Human Resources.

III. RATING SCALE

Outstanding Performance

Performance is far above the defined job expectations. The employee consistently performs outstanding work, regularly above and beyond what is expected of employees in this job. Performance that exceeds expectations is due to the effort and skills of the employee. Any performance not consistently exceeding expectations is minor or due to events not under the control of the employee.

Very Good Performance

Performance meets the defined job expectations and in many instances, exceeds job expectations. The employee generally is doing a very good job. Performance that exceeds expectations is due to the effort and skills of the employee.

Good Performance (Meets Expectations)

Performance meets the defined job expectations. The employee is performing the job at the level expected for employees in this position. The good performance is due to the employeeís own effort and skills.

Below Good Performance

Performance may meet some of the job expectations but does not fully meet the remainder. The employee generally is performing the job at a minimal level, and improvement is needed to fully meet expectations. Performance is less than good. Lapses in performance are due to the employeeís lack of effort or skills.

Unsatisfactory Performance

Performance generally fails to meet the defined performance expectations or requires frequent, close supervision and/or the redoing of work. The employee is not performing the job at the level expected for employees in this position. Unsuccessful job performance is due to the employeeís own lack of effort or skills.

IV. SUMMARY OF JOB PERFORMANCE

An essential part of the Performance Management Program is the Job Performance Summary, which is completed by the supervisor for each employee at the end of the work planning/appraisal cycle. This summary includes the following

• overall rating;
• summary statement;
• comments by supervisor and employee; and
• next level supervisor review.

1) Overall Performance Rating

The overall rating for each employee is determined as follows:

1. At the end of the work cycle, the supervisor reviews performance information (examples: notes, records and reports) collected during the work cycle (April 1 through March 31) against the expectations for each Key Responsibility/Result and rates these expectations in order to record the actual performance on the work plan form.
2. The supervisor combines actual performance of the individual Key Responsibilities/Results into a single overall rating and records it on the overall summary page of the work plan form.
3. If 50 percent or more of the individual performance ratings are at the same level of performance, the overall rating is most likely to be at that level of performance. In determining the overall rating consideration must be given to (1) the priority order of the Key Responsibilities/Results area, (2) the impact of not performing the primary job factors, and (3) the relationship of the Key Responsibilities/Results to accomplishment of the entire job.
4. The statement supporting the overall rating must be entered in the supervisor's comments section of the work plan form.
5. The supervisor signs the job performance summary page of the form and obtains the signatures of the employee and the next level supervisor.

2) Summary Statement

The summary statement explaining the supervisorís Overall Performance Rating should indicate how the actual performance compared to the performance expectations.

3) Comments

In the comments section, employees and supervisors may make statements regarding the appraisal and the appraisal process.

4) Next Level Supervisor Review

The next level supervisor is required to review and sign the performance rating completed by subordinate supervisors for employees in their areas of responsibility before the performance rating is discussed with the employee. Comments are optional.

V. RESPONSIBILITIES

1) Executive Management (Chancellor)

• Insure that the Performance Management Program is implemented and administered on WCUís campus.

2) Office of Human Resources

• Distribute the Performance Management Policy.
• Provide training for supervisors and employees.
• Provide technical assistance.
• Monitor participation in and adherence to the system.

3) Administrators (Vice Chancellors, Deans, Directors, Department Heads)

• Model and coach supervisors in this process.
• Review and sign appraisal forms for employees in their respective unit.
• Insure that supervisors receive training about the program.
• Require that appraisals be current and consistent with other personnel actions.
• Perform the duties of the first-line supervisor for thier direct report employees.

4) Immediate Supervisors

• Develop work plans with employees on an annual basis.
• Review work plans with employees.
• Coach employees during the work cycle.
• Conduct the interim review and recommend corrective action if necessary.
• Conduct the formal appraisal session and award an annual appraisal rating.

5) Employees

• Participate actively in the Performance Management Program.
• Be involved in setting expectations.
• Work at least to the "good performance" level.
• Inform the supervisor if conditions exist/arise which prevent expectations from being met.

SPECIAL SAFETY CONSIDERATIONS

One key responsibility common to all University employees is safety; however, unless this is an inherent part of an employee's daily job, it is not required to be listed as a Key Responsibility. It is the supervisor's judgment to weigh the importance of this area as a Key Responsibility. The following results expectations for Safety as a Key Responsibility/Result are presented as guidelines:

Managers: Maintain familiarity with the University Safety Manual and consult with the Safety Officer to remain up to date with applicable OSHA procedures and regulations. Include OSHA compliance requirements and safety needs in the operational planning and budget process as appropriate.

Supervisors: Identify safety risks in performing jobs, remain well informed on applicable safety procedures and rules, provide instruction and reinforcement to employees, ensure availability of safety equipment, report and investigate on-the-job accidents, and monitor employee adherence to safety rules.

Employees: Follow safety rules at all times, report unsafe conditions and accidents.

VI. RELATIONSHIP OF PERFORMANCE MANAGEMENT PROGRAM TO OTHER PERSONNEL DECISIONS

The performance appraisal summary rating for each employee is used to support other personnel decisions such as promotions, demotions, disciplinary actions, reductions-in-force, etc. Each employee must have a current appraisal on file and the appraisal must be consistent with the action to be taken. The Office of Human Resources will monitor recommended actions and require justification by supervisors and managers for any actions requested which are inconsistent with the rating. This may be accomplished through meetings and/or written information.

VII. PERFORMANCE PAY DISPUTE RESOLUTION PROCESS

An internal performance pay dispute resolution process is provided to address employee complaints regarding performance pay decisions. Such complaints include:

• no salary increase;
• insufficient increase; and/or
• alleged inaccurate/misleading information in the performance appraisal.

The Performance Pay Dispute Resolution Process for SPA Employees involves three sequential steps.

Step I - Immediate Supervisor

Step II - Performance Review Board

Step III-Chancellor

VIII. EDUCATION AND TRAINING

A comprehensive, on-going education and training program will be conducted for supervisors and administrators to acquire the skills needed to administer the Performance Management Program. Employees receive information at orientation sessions that will assist them to understand their role in the process. The Office of Human Resources has responsiblity for education and training on WCU's campus.

IX. SPECIAL PROVISIONS

a. Probationary employees

A work plan must be established within thirty (30) calendar days from the date of employment and an appraisal completed at the end of the regular work cycle for all probationary employees. Before an employee can be moved into permanent status, a review of progress in the work plan must be completed and a recommendation sent to the Office of Human Resources.

b. Trainees

A work plan must be established within thirty (30) calendar days of employment. This plan helps guide the employee in obtaining the requirements of the position classification and in qualifying for incremental salary increases. A review shall be completed before each salary increase is recommended, and the recommendation is sent to the Office of Human Resources.

c. Transfer (lateral, promotion, demotion) Within University

Employees whose responsibilities and duties are changed within their current position or by transfer to another position within the University shall have a new work plan established within thirty (30) calendar days of the new assignment.

d. Transfer to Another Agency

A special Performance Appraisal Summary Transfer Form shall be completed on an employee who transfers to another agency. The work plan and Summary Transfer Form will be sent to the Office of Human Resources.

e. Separations

Prior to separation from the University, employees must meet with their supervisors to review the work plan and receive an overall performance rating for the time they have worked during that particular work cycle. The supervisor should give the employee a copy of this appraisal, maintain a copy and forward the original to the Office of Human Resources within five days of the employee's separation date.