Reviewd and Updated 02/10/04
Performance Management Program
To establish a Policy for implementing and managing the Performance Management Program within East Carolina University. Such a Policy shall have a variety of purposes such as:
To ensure a means by which employees and their supervisors can:
a) establish individual work plans, expectations of performance and development plans; b) monitor progress and receive feedback on the accomplishment of such work plans; c) receive a fair and equitable appraisal of work performed and recognition for performance which exceeds expectations; and d) provide skill training to achieve these goals and enhance supervisory/management effectiveness.
East Carolina University accepts and endorses the commitment of North Carolina State Government to the Performance Management Program. The following Policy and procedures were developed in compliance with the policies adopted by the State Personnel Commission. The Performance Management System may be used for, but not limited to, the following:
The PES is an on-line software program https://sylvester.ecu.edu/hr/pes/index.htm designed to save time and money. It saves supervisors time with the process of developing, editing and tracking work plans and evaluation ratings of employees. The PES also provides a mechanism for employees to access their work plans and evaluation information throughout the appraisal cycle.
The Performance Management process is not a single event, but a three-part
process: a) planning, b) managing, and c) appraising, which occurs on a
twelve month cycle.
At the beginning of the work cycle or at the start of employment, the supervisor and employee shall meet to develop a work plan. The purpose of the planning meeting is to discuss and record the employee's key responsibilities/results and dimensions (behavior and skills), the expectations that describe successful completion of each one, and the methods and sources for measuring and tracking these results. There must be mutual understanding between the supervisor and the employee of the performance expectations that would equate to "Unsatisfactory," "Good," and "Outstanding" levels of performance.
Managing is the day-to-day monitoring or tracking of an employee's progress toward achieving the performance expectations established during the planning meeting. The employee and the supervisor track performance using the sources and the frequency of these sources as agreed upon by both the employee and supervisor. The interim review and other feedback which is given to the employee through coaching and reinforcement is a part of the managing process.
Two essential elements of effective managing are the coaching and reinforcement of employees. Coaching and reinforcing should be continuous throughout the entire cycle. This provides both positive and constructive feedback to the employees in an appropriate manner.
At the end of the work cycle, every supervisor shall meet with each
employee to discuss the employee's performance and record the actual
results for each expectation within each Key Responsibility/Result (KRR)
and Dimension. After a rating has been given for each KRR and Dimension,
an overall summary rating is determined and recorded on the summary
sheet. The overall rating is to be discussed with the employee. The
supervisor must write summary statements supporting the overall rating.
The following rating scale shall be used by all supervisors and managers employed with or representing East Carolina University to determine an employee's progress toward achieving their performance expectation:
Performance is far and above the defined job expectations. The employee consistently does outstanding work, regularly going far 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.
Performance meets the defined job expectations and in many instances exceeds job expectations. The employee is generally doing a very good job. Performance that exceeds expectations is due to the effort and skills of the employee.
Performance meets the defined job expectations. The employee generally performs according to the expectations doing a good job. The employee is doing the job at the level expected for employees in this position. The good performance is due to the employee's own effort and skills.
Performance meets some of the job expectations but only partially meets the remainder. The employee generally is doing the job at a minimal level, and improvement is needed to fully meet the expectations. Performance borders on or approaches a good job. Lapses in performance are due to the employee's lack of effort or skills.
Performance generally fails to meet the defined expectations or requires
frequent, close supervision and/or the redoing of work. The employee
is not doing the job at the level expected for employees in this position.
Unsuccessful job performance is due to the employee's own lack of effort
(1) Probationary Period
Probationary employees shall have a position description and work plan established within thirty calendar days from the date of employment. A performance appraisal shall be conducted at the end of the probationary period and the appraisal form submitted with the Probationary Appointment Progress Report (P-24) to place the employee in permanent status.
The Probationary Period shall not be counted as part of the work cycle. Full or part time employees (half-time or more) will be eligible for performance evaluations the first work cycle in which they work six months or more of the work cycle. For example, an employee who achieves permanent status in October will be eligible for a performance evaluation when the cycle ends in March; however, if permanent status is achieved in November, only five months of permanent status work was completed, so the first time the employee will be eligible for a performance evaluation will be the following March.
(2) Change in Duties
Employees whose responsibilities and duties are changed either within their current position or by transfer (lateral, promotion) shall have a new position description and work plan established within thirty days of the new assignment.
(3) Employee Transfer
A Performance Appraisal form shall be completed for employees who transfer within state government, prior to their last day of work. The work plan and summary transfer form must be placed in the employee's personnel file and sent to the receiving unit. The employee, supervisor, and supervisor's manager shall date and sign the form.
A transferred employee is eligible for a performance evaluation at the end of the new work unit's performance management cycle. When the transferred employee arrives in the new unit, the supervisor may consider the level of performance documented in the appraisal from the previous unit along with the current performance level in the new unit in determining the appropriate combined rating for the performance evaluation.
(4) Change In Supervisor
To provide continuity and consistency of treatment when a supervisor changes, the next level manager and supervisor shall agree on each employee's progress toward their work plans and document with signatures of the employee, supervisor, and manager or; the supervisor may complete the appraisal form on each employee prior to leaving the work unit. The new supervisor or manager will review, initial and update, if necessary, the work plan as needed during the rest of the work cycle.
(5) Leave With Pay
Employees who were or who are on leave with pay during a work cycle may receive a performance evaluation if they have worked at least six months of the current work cycle.
(6) Leave Without Pay
An employee who has been on active work duty for six months (180 days) of the work cycle and is on leave without pay on the date performance evaluations are performed, may receive the performance evaluation on the date of reinstatement if the work cycle has been completed. If an employee has been on active duty for over six months (180 days) and is anticipating going on leave without pay, it is advisable to evaluate the employee prior to separation. This would provide management the opportunity to anticipate the recommended increase for the employee at the time the awards are being determined. A new work plan shall be written if the employee returns to work after the start of a new work cycle.
(7) Workers' Compensation
Employees on Workers' Compensation are eligible for a performance
evaluation if they were on active duty and performing their regular
duties for at least six months (180 days) of the work cycle. If an employee
returns to work and performs lighter duties than outlined in their original
work plan and these lighter duties are expected to last less than 90
days, then the physician's written description of lighter duties will
serve as an amendment to the employee's work plan. If lighter duties
are expected to be in effect longer than 90 days, then within thirty
days, the work plan shall be renegotiated and updated to reflect these
Any permanent employee of East Carolina University having a grievance arising out of or due to a performance pay dispute shall follow the procedures set forth in the EAST CAROLINA UNIVERSITY GRIEVANCE AND APPEAL POLICY FOR EMPLOYEES SUBJECT TO THE STATE PERSONNEL ACT.
Please note: For grievances involving overall evaluation ratings, the Chancellor's decision is final and cannot be appealed further.