Anda di halaman 1dari 20

Table of Contents Policy Statement Purpose The Performance Management Procedures 1. Planning 2. Managing 3.

Appraising Other Components of the Performance Management System 1. The North Carolina Rating Scale 2. Internal Training Program 3. Performance Management and Pay Advisory Committee Administering the Process - Special Situations 1. Probationary Employees 2. Trainees 3. Change in Duties 4. Transfers within Department of Administration 5. Transfers to another State Agency or University 6. Transfers to the Department of Administration 7. Change in Management (supervisor/manager leaves) 8. Change in Management (new supervisor) 9. Employees who are on loan to other work units 10. Separation Relationship of Performance Management to Performance Pay Increases Resolving Performance Pay Disputes Performance Management System Responsibilities 1. State Personnel Commission 2. The Office of State Personnel 3. Secretary of Administration/Executive Management 4. Division Directors 5. Supervisors 6. Employees Sanctions Appendix A - Individual Performance Measures and Tracking Sources Appendix B - Dispute Resolution Policy Appendix C - Internal Dispute Forms 3 3 3 3 5 6 7 7 7 8 8 8 8 8 8 9 9 9 9 9 9 9 10 10 10 10 10 11 11 12 12 13 14 18

Page 2 of 20 Perf Mgt Policy & Proc May 2012

NC Department of Administration Performance Management System Policy & Procedures


Policy Statement
The Department of Administration (DOA) develops, implements, and maintains an operative Performance Management (PM) System in accordance with the requirements of the State Personnel Act and the March 1, 2011 Office of State Personnels Performance Management System Policy. This system is based on the belief that effective management and a positive work environment result from continuous communication and feedback between supervisors and employees. It also ensures that employees at all levels of DOA have a clear understanding of their job responsibilities and expectations, how those responsibilities contribute to the strategic goals of DOA, receive ongoing feedback regarding their performance, and are encouraged to pursue opportunities for training and education in accordance with DOA goals. This system will also be used as the basis for awarding any available performance increases in a systematic, consistent and fair manner to eligible employees.

Purpose
The Performance Management System ensures that: The work performed by employees accomplishes the work of DOA. Employees have an understanding of the quality and quantity of work expected from them (See Planning, pg. 4). Employees have an understanding how their work contributes to the strategic goals of DOA (See Planning: Key Responsibilities, pg. 4). Employees receive ongoing information about how effectively they are performing relative to expectations (See Managing, pg. 6). Awards and salary increases (as allowed by state policy) are based on employee performance are distributed accordingly (See Appraising, pg. 7 and Pay Increases, pg. 10). Opportunities for employee development are identified (See Planning: Individual Development Plan, pg. 5). Employee performance that does not meet expectations is addressed (See Appraising, pg. 7). A below good or unsatisfactory performance rating is transitional (See Appraising, pg. 7).

Performance Management Procedures


The Performance Management Process is a sequence of actions that each supervisor must take when interacting with employees about their performance. The three (3) phases (sequence of steps) which comprise this process are: Planning; Managing; and Appraising. These phases occur during a twelve (12) month performance cycle which while not exact, is aligned with the North Carolinas fiscal year.

Phase I Planning
It is the supervisor's responsibility to explain the Performance Management process so that each employee understands the importance and expectations of their role in the organization and their contribution to Division and DOA goals and measures. To achieve these outcomes, the supervisor and employee shall review the job description; meet to determine the Key Responsibilities and Measurable performance measures for the employee's position; and also establish an Individual Work Plan - at the beginning of the performance management cycle, or within thirty (30) calendar days of the employees start date or transfer.
Page 3 of 20 Perf Mgt Policy & Proc May 2012

For the position, the work plan defines: Key Responsibilities, Individual Performance Expectations (Measures), and Tracking Sources Indicates how those responsibilities contribute to the Division Goals Core Values and Behavioral Expectations Employee individual development plan Planning Procedure: Supervisors begin the planning process by sharing that every position must accomplish certain results defined in the Individual Work Plan and Performance Review form (Work Plan). This is completed by having an annual planning meeting with all direct reports. Annual Planning Meeting: While the supervisor is ultimately responsible for development of the Work Plan, the employee should have as much involvement as possible in the process. At least one (1) meeting should be held at the beginning of the Performance Management Cycle in which the employee has an opportunity to give input into the Work Plan before it becomes a formal document. Depending upon the complexity of the position and the length of time the employee has been in the position, several meetings may be necessary to complete the Work Plan. The Work Plan shall be re-established and updated at the beginning of each Performance Management Cycle. The primary purposes of these planning discussions are to ensure that the supervisor and employee share a mutual understanding of the performance expected of the employee. The work plan includes the following: Key Responsibilities and Individual Performance Measures Work performance results are identified as Key Responsibilities and are accompanied with individual performance measures. Most positions will have from four (4) to seven (7) key responsibilities defined that will represent 80%, but not all the responsibilities of the position. Each Key Responsibility should be described using 3 to 4 short phrases. It is a best practice to list in priority order. Key responsibilities should also be aligned with Division Measures to inform the employee on how they are contributing to the overall Division Mission. Once key responsibilities have been defined, one or more individual performance measures are indentified for each key responsibility as a means of defining the expectation of the position. Performance is most easily measured when looking at the quality, quantity, timeliness, or cost effectiveness of task completion (See Appendix A). Individual Performance Measures are written at the "good" level with the noun or results first (e.g. telephone answered within third ring or, report completed by first Tuesday in the month). Good is defined as the level that if the position performed at the good level, the unit's goals would be met. Example: Key Responsibility: Receive visitors to office through face-to-face contact and by telephone Telephone answered by third ring Less than 1% complaints on phone service

Individual Performance Measures:

It is essential that all Individual Performance Measures be job-related, fair, and accurate for the position. The supervisor's manager is responsible for ensuring that Individual Performance Measures for similar jobs across units reporting to them are systematic, consistent and fair.

Page 4 of 20 Perf Mgt Policy & Proc May 2012

Core Values: DOA and Division Core Values are another component of the Work Plan. DOA defines a set of core values which should inform decision making and behavior for all divisions and employees. In addition to the DOA Core Values, each division may establish an additional division-level core value. Core Values define categories of behaviors or skills relating to how results are achieved. Not only does the employee need to know "what" they are expected to do (Key Responsibility - e.g. answering the telephone), the employee needs to know "how" to go about doing it. In other words, what behaviors will help him or her accomplish that result in a desired manner consistent with the Core Values of the organization? The supervisor needs to verbally define the behavioral expectations at the good level for the employee. Tracking Sources: It is also required that Tracking Sources be identified. Tracking sources provide data about an employees performance throughout the cycle. The supervisor is responsible for monitoring performance using Tracking Sources such as: direct observations; written materials; third-party reports; or self and team reports. (See Appendix A) Individual Development Plan: An Individual Development Plan which outlines education and training should be recorded on the Work Plan for all employees. The purpose of the Development Plan is to provide job-related growth, identify keys skills, abilities and knowledge to be developed, and further growth for all employees regardless of their level of performance. The plan may include ideas presented by either the supervisor or the employee. It should also be used to document any growth opportunities in which the employee is participating. The plan may be modified at any time. The Development Plan should not be confused with the Improvement Plan. The Improvement Plan is used when performance expectations are not met.

Phase II Managing
Managing (Phase II) is the process of coaching and reinforcing the employee. As soon as the Work Plan is agreed upon, the supervisor should begin using coaching and reinforcing techniques to assist employees in meeting and where possible, exceeding performance expectations during the cycle. Coaching is the process of instructing, directing or guiding individuals as they work towards goals. Reinforcing is recognizing and informing employees when they are using desired behaviors. All direct reports should receive regular coaching and reinforcing regardless of their level of performance. Interim Reviews Although Coaching and Reinforcing are on-going processes, each supervisor must meet with each employee at least one time during the performance management cycle for an Interim Review of performance. This review should occur at the approximate midpoint of the cycle. The purpose of this meeting is to: Discuss the employee's progress towards each of the established key responsibilities and the individual performance measures; Document any exceptional performance or devise an improvement plan to overcome any deficiencies that may exist; If expectations for the position have changed, communicate these changes as necessary and make modifications to the work plan; Discuss the employees contribution to Division goals, strategic initiatives and functional areas of importance; Record the date the review is conducted;
Page 5 of 20 Perf Mgt Policy & Proc May 2012

Review and revise the employee's Development Plan as necessary.

During the Interim Review, the supervisor should communicate to the employee the progress toward meeting expectations, but no individual performance ratings should be given. If an employee's performance is below the "good" level on any Key Responsibility at the time of the Interim Review, an Interim Improvement Plan for corrective action is required and the supervisor must meet with that employee at least once more before the end of cycle Annual Performance Appraisal. The supervisor should document the reason(s) why and how specific individual performance measures are not being met and the plan to overcome such deficiencies. The Interim Improvement Plan is a formal part of the Interim Review form and should specify: the performance problem; steps that will be taken to improve performance; timeframe for improvement expectation; consequences of failure to improve; follow-up date or dates. A performance rating below the good level (i.e. below good or unsatisfactory) is considered transitional. Employees should not maintain an overall rating below the good level for more than one performance management cycle. It is expected that: Employees will be held accountable for performance that falls below a rating of good; Supervisors will assist employees in transitioning back to the expected level of performance; If improvement is not demonstrated, progressive discipline will be contemplated.

Phase III Appraising


At the end of each performance management cycle, an annual performance appraisal is required for all permanent employees. The purpose of the appraisal is to evaluate the employees actual performance against the expectations that were established at the beginning of the performance management cycle using the Work Plan. The appraisal is to be written in such a way that is clear and understandable. In conducting annual performance appraisals, supervisors should meet individually with each employee to review the employee's actual performance as it compares to the established individual performance measures. The supervisor should review each employee's performance based on the documentation kept throughout the year and accordingly, indentify an individual rating using the North Carolina Rating Scale for each Key Responsibility and Core Value established at the beginning of the cycle. Ratings are not given for each Individual Performance Measure. The supervisor shall discuss with the employee how well their performance met expectations for each Key Responsibility and Core Value. The supervisor will then calculate the overall rating for the performance management cycle by reviewing ratings for each Key Responsibility and Core Value. When calculating the combined rating, the supervisor must consider the relative importance of each Key Responsibility and Core. In addition to the ratings given on Key Responsibilities and Core Values, any formal disciplinary action taken (whether for Unsatisfactory Job Performance or Unacceptable Personal Conduct) shall be considered in determining the overall rating. If the disciplinary action cannot be tied to a key responsibility or core value, it may be explained on the appraisal form in the Review Summary. It is essential that the next level manager approve of and agree with ratings. It is the responsibility of management to ensure that supervisors rate their direct reports in a fair and consistent manner and that performance has been accurately measured in accordance with the North Carolina Rating Scale. Before discussing the overall rating with the employee, it is appropriate for supervisors to consult with the next
Page 6 of 20 Perf Mgt Policy & Proc May 2012

level manager to review and reach consensus regarding the rating. This serves to strengthen consistency and fairness in administering equitable ratings. In addition to the overall rating, supervisors also complete a Review Summary which discusses the employee's overall performance during the performance management cycle. This summary, located on the front page of the work plan, supports the overall rating and circumstances (i.e. disciplinary action, overwhelming importance of certain Key Responsibilities, etc.) which influenced the overall summary rating. The Overall Performance Rating page of the Performance Management form shall then be signed and dated by the employee, supervisor, and supervisor's manager and treated in a confidential manner. The employee's signature does not imply agreement with the overall review, but indicates that performance and ratings have been discussed with the employee. The employee has the right to comment on their appraisal found below the review summary on the form. If an employee chooses not to sign the form, the supervisor shall include a statement stating that the annual performance appraisal has been reviewed and discussed with the employee and that the employee has refused to sign the form. Any Performance falling "below good" at the time of the appraisal must be clearly noted as such. The supervisor and employee together must develop an action plan for improvement for "below good" performance. This plan should describe specific actions to be taken by the employee that will improve performance within a specified time period. The details of the plan shall be summarized by the supervisor on the work plan under Review Summary. Relevant items should be transferred to the next cycle's Development Plan. A performance rating below the good level (i.e. below good or unsatisfactory) is considered transitional. Employees should not maintain an overall rating below the good level for more than one performance management cycle. It is expected that: Employees will be held accountable for performance that falls below a rating of good; Supervisors will assist employees in transitioning back to the expected level of performance; If improvement is not demonstrated, progressive discipline will be contemplated. Reporting and Filing after Annual Performance Appraisal Once the review is completed and the work plan is signed, the following reporting and filing actions should be done: A copy of the signed cover page (page 1) of the work plan form is sent to Human Resources Management Office; A copy of the entire completed form is given to the employee; The original work plan form is kept in the division director's office in a secure location. Performance Management forms for all employees should be maintained for three (3) years by the Division, then disposed of by the division head according to the DOAs forms retention and disposal schedule.

Other Components of the Performance Management System


The North Carolina Rating Scale In accordance with state law, the DOA utilizes the North Carolina Rating Scale. Internal Training Program An ongoing information and skill-building training program will be provided for managers and supervisors regarding the Performance Management System.
Page 7 of 20 Perf Mgt Policy & Proc May 2012

Performance Management and Pay Advisory Committee DOA has a Performance Management and Pay Advisory Committee whose members will be selected from the Human Resources Advisory Committee by the Director of Human Resource Management. The purpose of this committee is to assist in ensuring that the Performance Management System is administered in a systematic, consistent and fair manner. This committee also makes recommendations on how the system can be improved. The committee serves in an advisory role on the Performance Management System. The committee has at least seven (7) members representing management, supervisory and nonsupervisory employees. The committee is required by state policy to meet at least two (2) times a year and to submit a report to the Director of Human Resources Management.

Administering the Performance Management Process Under Special Situations


Probationary Employees All employees shall have a Work Plan in place within thirty (30) calendar days of their hiring date. If a new employee is hired within two (2) months of the last day of the performance management cycle, an annual performance appraisal does not need to be done on that employee until the end of the next performance management cycle. However, the Work Plan must still be established within thirty (30) calendar days of the hiring date and it is strongly recommended that an Interim Review be conducted during the same time period when other employees are receiving their appraisals. If a new employee is hired more than two (2) months before the end of the performance management cycle, an appraisal must be completed and submitted for that employee. In accordance with the Probationary Period policy, an interim review or annual performance appraisal shall be completed before an employee can be moved into Permanent status. Trainees Every employee in a trainee progression must have a Work Plan within thirty (30) calendar days of employment. This plan helps guide the employee in reaching requirements for the full classification. An Interim Review shall be completed before each salary increase is granted within the progression. Change in Duties Employees whose duties and responsibilities have changed should have a revised Work Plan established. Transfers within Department of Administration If an employee transfers out of a section or division into another section or division within DOA before the completion of a performance management cycle, an appraisal must be completed and an overall rating provided. At the completion of the appraisal, a signed copy of the Work Plan cover page should be submitted to Human Resources Management and the new DOA Division.. At the end of the performance management cycle, the overall summary rating determined by the new supervisor should be combined

with the rating given by the previous supervisor, such that only one rating is provided to the employee for thecycle. It is the responsibility of the Division Director to ensure that the new supervisor determines the overall rating based upon the two (2) separate ratings for that performance management cycle in a systematic, consistent and fair manner.
Page 8 of 20 Perf Mgt Policy & Proc May 2012

Transfers to another State Agency or University If an employee transfers from a division within DOA to another State agency or university, the supervisor completes an appraisal. The last three appraisals shall be submitted to the Human Resources Management Division. HRM will then forward to the new agencys human resources office. Transfers to the Department of Administration An employee who transfers into DOA from another state agency or university shall have a Work Plan established within thirty (30) calendar days. The supervisor of the employee shall notify the Human Resources Management Office that the employee is a transfer and make a request to obtain their last appraisal from the previous agency or university. When the new supervisor completes an appraisal at the end of the performance management cycle, consideration should be given to the previous appraisal in determining the overall rating. However, the supervisor and the respective Division Director may choose to disregard the previous appraisals as long as justification is provided. Change in Management (If a supervisor or manager transfers or leaves DOA) When a supervisor either transfers to another work unit or leaves DOA, the departing supervisor is to complete an appraisal on each direct report prior to the supervisors separation. Policies and procedures should be adhered in obtaining signature, reviews, dates, etc. The Division Director is responsible for seeing that the appraisals are completed according to DOA policy and procedures. The Division Director is also responsible for conveying the past performance expectations to the new supervisor. The departing supervisor's rating of the employee's performance will be combined with the rating that the new supervisor gives at the end of the performance management cycle and a combined overall rating will be given to the employee. It is the responsibility of the supervisor's manager to see that the ratings are combined in a systematic, consistent and fair manner. Change in Management (New supervisor arrives at work unit) New supervisors should review and revise as needed the Work Plans of subordinate employees as soon as practical. The Division Director shall ensure that the performance documentation completed by the previous supervisor is available to the new supervisor. Employees who are on loan to any other work unit(s) Employees loaned to DOA for more than ninety (90) calendar days will have a Work Plan developed for them following their arrival to the work unit. At the conclusion of the assignment, the supervisor requesting the use of the loaned employee will be held responsible for the completion of the appraisal. DOA policies and procedures will be adhered to for the combined ratings, signatures, dates and forwarding of copies to the appropriate parties. Separation When an employee leaves employment, the supervisor completes an appraisal prior to employee's last day of work. The signed Work Plan should be treated the same as one completed at the end of a normal performance cycle with a full copy to the employee, copy of the signed cover page to the Human Resource Management Office, and the original signed work plan to the Division files. If the employee has worked less than three (3) months of the cycle, an appraisal does not need to be completed.

Page 9 of 20 Perf Mgt Policy & Proc May 2012

Relationship of Performance Management to Performance Pay Increases


An employee's annual performance appraisal shall be used as a basis for determining eligibility for performance pay increases if such funds are available. The guidelines for funding and awarding increases are typically determined by the General Assembly.

Resolving Performance Pay Disputes (ref: DOA Grievance and Medication Policy 1/1/2012)
Any employee participating in the Performance Management System who has Permanent status may dispute any of the following: The overall summary rating received during the Annual Performance Appraisal; A decision not to award a performance increase to an employee if performance pay is funded; The amount of increase awarded to an employee; Career-banding competency level (individual assignment within the banded classification title, not the position competency level)

Employees may dispute any of these actions according to the guidelines in the Performance Management System Dispute Resolution Policy (Appendix B). The employee initiates the process by completing a Notice of Internal Appeal form (Appendix C). The policy on resolving performance pay disputes shall be communicated to all employees through the DOA Web Page and through copies provided by the Human Resource Employee Relations Manager. New employees will be informed of the policy and procedures during orientation training sessions. Supervisors are also responsible for notifying employees of their rights of appeal according to the following guidelines: 1. All employees will be informed that they have a right to dispute their performance ratings within fifteen (15) calendar days of the date of their performance review or upon notification of any increase in funds based on performance. 2. The supervisor must provide the employee with a written copy of the Performance Appraisal Dispute Resolution Policy if requested.

PERFORMANCE MANAGEMENT SYSTEM RESPONSIBILITIES


To ensure that the Performance Management System is implemented in a systematic, consistent and fair manner for all employees, various governing bodies, levels of management, as well as employees in state government, have been delegated certain responsibilities. Each of the following has a specific role to play in the effective implementation of the Performance Management System. State Personnel Commission The State Personnel Commission, under the authority of G.S. 126-4(8) and G.S. 126-7, shall adopt policy and rules for performance appraisal. The Office of State Personnel The Office of State Personnel, under the authority of G.S. 126-3, shall have the authority to administer and enforce all policies, regulations, and procedures for the Performance Management System throughout North Carolina State Government.
Page 10 of 20 Perf Mgt Policy & Proc May 2012

Secretary of Administration/Executive Management The Secretary of Administration shall establish, monitor, and evaluate the Performance Management System. Division Directors Division directors and supervisors play a vital role in the Performance Management System. These leaders control the uniformity and adequacy of the performance management process. All division directors and supervisors are expected to: Set division goals consistent with the Division Strategic Plan; Assure consistency and fairness among individual performance measures set; Verify that reviews are done according to DOA policy, procedures and timetables; Verify that the distributions of ratings are systematic, consistent and fair. Ensure that supervisors receive sufficient performance management training; Assure all Work Plans denote individual contributions to achieving division goals; Hold discussions with supervisors when an employee's individual Work Plan, Interim Review or Annual Performance Appraisal are not in compliance with DOA policies, procedures, and timetables; Calculate a combined rating when an employee has been under the supervision of more than one supervisor within DOA during the appraisal cycle; Ensure that signature(s) provided on the Performance Appraisal are correct and dates given reflect correct dates when review and discussion were held by the supervisor responsible for direct supervision of the employee; When deemed necessary, review the Work Plans developed by supervisors and reach concurrence on individual performance measures prior to the supervisor meeting with the employee. Supervisors Supervisors are responsible for the administration of Performance Management System regarding their direct reports which includes: Develop an Individual Work Plan for each direct report and discuss this Work Plan with the employee at the beginning of the performance management cycle; Ensure that individual performance measures are systematic, consistent and fair; Ensure that individual development plans including goals and strategies are defined at the beginning of the performance management cycle; Review and align individual work plans with division and unit goals with special emphasis on their particular work unit; Assess needs of the work unit, including the strengths and weaknesses of each direct report; Coach and reinforce employees during the work cycle regarding work performance; Conduct an Interim Review of employees during mid-cycle of the appraisal period, and more frequently as needed; Meet with the employee at least once more before the Appraisal if the employee has not met performance expectations at the time of the Interim Review; Complete an Appraisal with each employee. Consult with the next level manager on ratings prior to discussing with the employee. Forward the Appraisal to the next level manager for review, signature, and date; Ensure that personnel actions recommended and appraisals are consistent. If there are any apparent inconsistencies, a statement should be written providing an explanation of inconsistencies. Read and become familiar with the Performance Management System Policy &Procedures and attend training when offered.
Page 11 of 20 Perf Mgt Policy & Proc May 2012

Employees The employee's role in the development of the Individual Work Plan includes: Read and become familiar with the Performance Management System Policy & Procedures and attend training when offered; Assist the supervisor in outlining key job responsibilities and individual performance measures; Keep the supervisor informed as changes affecting job responsibilities occur so that key responsibilities and performance expectations maintain relevance; Communicate training needs that will contribute to improved work performance and contribute toward division goals; Be prepared for the three (3) required meetings with the supervisor; gather information related to performance including data on activities and accomplishments; Be self-analytical and accept constructive criticism; Sign the Appraisal form acknowledging that contents were discussed.

Sanctions (ref: OSP Perf Mgt Policy 10/27/2009) 1. No employee shall be penalized or excluded from consideration for a performance salary increase because a supervisor has not followed the performance management process. 2. Failure of a supervisor to carry out the performance management process in accordance with this policy shall be addressed as a performance deficiency. It can result in one or more of the following:

Coaching from the next-level manager to determine the cause of the deficiency and implementation of a corrective action plan; Participating in skills enhancement training as part of the improvement plan; Monitoring of progress by the next-level manager towards improving implementation of performance management; Issuing of appropriate disciplinary warnings, if necessary, up to and including dismissal, in accordance with the Disciplinary Action, Suspension and Dismissal policy

Page 12 of 20 Perf Mgt Policy & Proc May 2012

Appendix A

Individual Performance Measures and Tracking Sources


Expectations = Performance Measures + Tracking Source Individual Performance measures: Quality of Work - (How well done?) number of errors; error rate; organization or completeness (defined by checklist); number of complaints. Quantity of Work - (How much done?) number of tasks completed; Volume produced in specified time period. Timeliness - (How fast it was done?) more completed in less time than normal; percent of deadlines met; turnaround time; how long before task begun? Cost Effectiveness - (How economically done?) dollar per task; employee time per task; accuracy of estimates.

Tracking Sources: Direct Observation - your personal observation of your employee in action; in staff meetings; in task or committee meetings; or in the day-to-day conduct of job. Written Material - letters, reports, memos written by the employee to you or to others and copied to you indicating projects completion. Third-Party Reports - compliments, complaints and general discussions with peers, coworkers, management, partners, clients, customers, or the public. Self and Team Reports - logs, timesheets, checklists and project reports which the employee or the Division uses to monitor performance daily, monthly, quarterly, semiannually or annually.

Page 13 of 20 Perf Mgt Policy & Proc May 2012

Appendix B

Department of Administration Performance Appraisal Dispute Resolution Policy & Procedure


Policy Statement
It shall be the policy of the N. C. Department of Administration (DOA) to ensure a systematic, consistent and fair procedure for the resolution of disputes resulting from the annual performance appraisal on the Individual Work Plan and Performance Review (Work Plan). Any employee who has successfully completed the probationary period shall have the right to dispute any of the following: The overall summary rating given on the during the annual performance appraisal. The amount of the performance increase given if performance pay is funded. The decision to deny performance increase even though the employee is eligible to receive one. Career-banding competency level (individual assignment within the banded classification title, not the positions competency level)

Employees who elect to challenge management's decisions regarding job performance or performance increases shall have the right to dispute those recommendations without interference, coercion, restraint, discrimination, or reprisal.

Non-Disputable Issues
The following issues may NOT be disputed under the Dispute Resolution Policy: Content of the Work Plan Performance logs, scorecards, notations and other tracking sources Coaching/ counseling sessions Interim review comments & ratings Summary comments Ratings assigned to individual key responsibilities and values Discrimination

Although log, scorecards, notations, tracking sources, and ratings on key responsibilities and values cannot be disputed individually during the Dispute Resolution Process, employee evidence may include documentation of job performance related to these measures. The committee shall consider this evidence during the Dispute Resolution Process.

Procedures
The internal Performance Appraisal Dispute Resolution Procedure shall consist of the following steps:

Step 1:

Discussion between the Employee and the Immediate Supervisor


Level of Performance Rating: If an employee disagrees with the level of performance rating or the amount of salary increase recommended by their immediate supervisor, then he/she must first discuss the concern(s) with their supervisor in an attempt to resolve the dispute. The employee shall have fifteen (15) calendar days from the date of the completed performance appraisal meeting to request this meeting in writing where they may challenge the overall summary rating.
Page 14 of 20 Perf Mgt Policy & Proc May 2012

Amount of Performance Increase: If an employee challenges the amount of the performance increase awarded by management or a decision to deny an increase, a meeting with the immediate supervisor must be requested in writing within fifteen (15) calendar days of the day the employee receives written notification of the amount of his/her increase or decision to deny the increase. Employee Notification of Internal Any of the above requests must be initiated by the employee by submitting a completed "Notification of Internal Dispute Step 1" form to his/her supervisor and the Human Resource Management office. (See form attached) Purpose

The purpose of the supervisor-employee discussion is to seek resolution and ensure that the employee receives: Accurate information regarding the performance management system Information concerning individual performance measures Clarity on performance expectations and how they are measured Documentation used to support the initial recommendation

The employee shall have the right to rebut the supervisor's recommendation and to offer documentation which supports the employee's contention that the recommendation is incorrect. The immediate supervisor may, based on this discussion with the employee, consult with the Division Director to change either the summary rating or the recommended amount of increase.

Step 2:

Meeting between the Employee and Division Director

If the Step 1 decision is unsatisfactory to the employee or if the employee fails to receive an answer within fifteen (15) calendar days from the date of the Notification of Internal Dispute Step 1 was received, the employee may request that the appropriate next level manager or the Division Director consider the matter. Employee Notification of Internal Dispute This request must be initiated by the employee by submitting a completed "Notification of Internal Dispute Step 2" form to his/her supervisor, the Division Director, and the Human Resource Management office within seven (7) calendar days after receipt of the decision at Step 1. The Division Director and other line supervisors involved shall review all relevant information from Step 1 as well as any additional documentation submitted by the immediate supervisor and the employee. Based upon this information, the Division Director shall arrange a meeting with the immediate supervisor and the employee, together or separately, to discuss the matter. The Division Director must review the issue raised and assess whether or not the employee's appraisal was completed in a systematic, consistent and fair manner. The Division Director in consultation with HRM has the authority to resolve the dispute or may refer the dispute for mediation. The Division Director shall provide a written response to the employee within thirty (30) calendar days from the request for a Step 2 Division Director Review that either resolves the issue or provide notification that the issue is being referred for mediation. Copies shall be provided to the Director of
Page 15 of 20 Perf Mgt Policy & Proc May 2012

Human Resources and the Deputy Secretary. If a response requires more than thirty (30) calendar days, the employee should be advised as to when an answer may be anticipated.

Mediation To facilitate continued productive working relationships between employees and their supervisors, HRM encourages referral to mediation be considered. The Department utilizes the OSP model for Mediation. Mediation is a highly effective tool for resolving a variety of employment disputes and offers an efficient, cost effective and non-adversarial method to address employment grievances. Mediation utilizes the assistance of a neutral third party to facilitate the mediation. The mediator's role is to guide the mediation process, facilitate communication, and help the parties generate and evaluate possible outcomes for a successful resolution. Primary responsibility for resolving the dispute rests with the parties themselves. OSP maintains a pool of trained and experienced mediators who serve to facilitate mediations for the Department. The Employee Relations Manager will coordinate the Mediation process by contacting OSP for an assigned mediator and facilitate the Mediations date, location and time.

Step 3:

Request Hearing before the DOA Dispute Resolution Review Board

If mediation is unsuccessful or the decision reached by the at Step 2 is unsatisfactory to the employee, then the employee may, within seven (7) calendar days, request a hearing before the DOA Dispute Resolution Review Board. The employee shall provide a written summary of the specific facts associated with the dispute. The request must be initiated by the employee by submitting a completed "Notification of Internal Dispute Step 3" form to his/her supervisor and the Human Resource Management office.

Review Process
The hearing at Step 3 is intended to allow the employee and the management representative an opportunity to present pertinent facts and information to an independent panel. Neither party is required to present information in person, but both are assured of an opportunity to speak before the panel. At any step of the performance appraisal dispute resolution process, neither the employee nor management may have attorneys or representatives present. Recordings are not permitted at any stage of the process. Although a complaint may involve one or more issues in this area, an employee shall have only one (1) opportunity to file a complaint on those issues. The final agency decision shall resolve all issues involving an employees complaint so that no further appeal by the employee is necessary to resolve additional issues. Once the review has concluded, the board will make a written recommendation, consistent with the information received, to the Secretary of Administration. The Secretary of Administration shall have the authority to accept, modify the board's recommendation or to adopt a different decision and shall state the reasons for the decision

Composition of the Dispute Resolution Review Board


The review will be conducted by a board consisting of at least three (3) persons who will take information from the employee and from managements representative and will make a written recommendation, consistent with the information received and DOA policy, to the agency head.

Page 16 of 20 Perf Mgt Policy & Proc May 2012

The board shall include at least two (2) non-supervisory members. The employee may disqualify up to two (2) of the board members initially selected by the Director of Human Resources Management. The Director of Human Resources Management will select two (2) replacements in the advent of a disqualification. Neither the replacements nor the remaining initial appointments will be subject to further disqualification. Hearing The employee and the appropriate management representative shall be notified no less than seven (7) calendar days in advance of the scheduled date of the hearing. The employee shall have the opportunity to appear in person before the Board, and the management representative shall have the right to offer a rebuttal. Conversely, the management representative shall have the right to present pertinent information concerning the dispute, and the employee shall have an opportunity for rebuttal. The Board shall then meet privately to discuss the information presented and will issue a written recommendation to the Secretary of Administration within fifteen (15) calendar days from the conclusion of the hearing. The written recommendation shall result from a majority vote of the board. Final Agency Decision The Secretary shall have access to all pertinent information associated with the dispute. Upon review and evaluation of this information and the Board's recommendation, the Secretary shall issue a written Final Agency Decision to the employee, the appropriate management representative, and the Director of Human Resources Management within fifteen (15) calendar days from the date the Board's recommendation is received. The Secretary's decision shall be considered final and without benefit of further appeal in accordance with OSP policy. =

Page 17 of 20 Perf Mgt Policy & Proc May 2012

Appendix C

NC Department of Administration Performance Management System Step 1 - Internal Dispute


To the Employee: The original of this form should be sent to the Human Resources Management Division along with a copy of the Work Plan and ratings in question. A copy should also be given to your supervisor at the time you request a discussion with your supervisor. (See Step #1 of the process). Please note: You have fifteen (15) calendar days from the date of the completed performance appraisal meeting to request this meeting in writing where they may challenge the overall summary rating. You have fifteen (15) calendar days from the date you receive written notification of the amount of performance increase or decision to deny the increase of the completed performance appraisal meeting to request this meeting in writing where they may challenge the amount of performance increase. Questions concerning this form or the internal dispute process should be directed to Human Resources Management Division. Name: Job Title: Division: Supervisor: According to State policy, an employee may file a dispute based on one of three issues; the overall summary rating, whether or not an increase was received if the employee was eligible for one, and the amount of the increase. Although a complaint may involve one or more of the three disputable issues, an employee shall have only one opportunity to file a complaint. Please indicate below which of these reason(s) are the basis for your dispute (Note all that apply): ______ my overall summary rating ______ that I was eligible for an increase but did not receive one ______ the amount of my increase Briefly describe the dispute:

Signature: Date submitted to Supervisor and HRM: Please submit to:


Mailing Address Employee Relations Manager NC Dept of Administration Human Resources Management Division 1322 Mail Service Center Raleigh, NC 27699-1322

Date

Physical Address Employee Relations Manager NC Dept of Administration Human Resources Management Division Administration Building, Suite #2074 116 W Jones St. Raleigh, NC 27603-1322 Page 18 of 20 Perf Mgt Policy & Proc May 2012

NC Department of Administration Performance Management System Step 2 - Internal Dispute


To the Employee: The original of this form should be sent to the Human Resources Management (HRM) Division along with a copy of the Work Plan and ratings in question. Copies should also be given to your supervisor and the Division Director. Please note that you must submit this form to initiate a Step 2 Internal dispute within Seven (7) calendar days from the date that you are notified of the decision from a Step 1 dispute conference. Questions concerning this form or the internal dispute process should be directed to the Human Resources Management Division. Name: Job Title: Division: Supervisor:

Briefly describe the dispute:

Signature: Date submitted to Supervisor and HRM:

Date

Please submit to:


Mailing Address Employee Relations Manager NC Dept of Administration Human Resources Management Division 1322 Mail Service Center Raleigh, NC 27699-1322 . Physical Address Employee Relations Manager NC Dept of Administration Human Resources Management Division Administration Building, Suite #2074 116 W Jones St. Raleigh, NC 27603-1322

Page 19 of 20 Perf Mgt Policy & Proc May 2012

NC Department of Administration Performance Management System Step 3 - Internal Dispute


To the Employee: The original of this form should be sent to the Human Resources Management (HRM) Division along with a copy of the Work Plan and ratings in question. Copies should also be given to your supervisor and the Division Director. Please note that you must submit this form to initiate a Step 3 Internal dispute within Seven (7) calendar days from the date that you are notified of the decision from a Step 2 dispute conference or mediation. Questions concerning this form or the internal dispute process should be directed to the Human Resources Management Division. Name: Job Title: Division: Supervisor:

Briefly describe the dispute:

Signature: Date submitted to Supervisor and HRM:

Date

Please submit to:


Mailing Address Employee Relations Manager NC Dept of Administration Human Resources Management Division 1322 Mail Service Center Raleigh, NC 27699-1322 Physical Address Employee Relations Manager NC Dept of Administration Human Resources Management Division Administration Building, Suite #2074 116 W Jones St. Raleigh, NC 27603-1322

Page 20 of 20 Perf Mgt Policy & Proc May 2012