Administrative Policies and Procedures Manual - Policy 3230: Performance Review and Recognition

Date Originally Issued: 01-01-2000
Revised: 10-01-2002, 01-09-2009, 01-01-2012
Subject to Change Without Notice

Authorized by: UNM Regents' Policy 6.1 "Performance Management"
Process Owner:  Vice President for Human Resources

1. General

The University is committed to providing all staff with meaningful performance reviews. Performance reviews are designed to determine how well employees achieve their established goals and/or perform job duties. Supervisors are responsible for establishing departmental goals that contribute to the University's education, research, and public service mission. Supervisors are also responsible for working with each employee in the department to establish individual employee goals and/or duties that contribute to both the department's goals and the University's mission. The University is committed to providing the resources necessary to review and recognize employees based on achievement and performance on a regular and ongoing basis.

2. Purpose

Performance review and recognition is a clearly defined and ongoing process that contributes to positive communication, mutual respect, improved performance, individual growth, and career development. This ongoing process involves frequent communication between employees and supervisors about goals/duties, performance standards, and expectations. The Performance Review process reinforces a culture of accountability, effectiveness, quality performance and continuous improvement with a focus on excellent internal and external customer service. A Performance review may include feedback from direct reports, peers, and/or customers to help employees develop and improve their performance. The Performance Review program is designed so employees:

• are aware of what is expected;
• receive timely feedback about performance;
• receive opportunities for education, training, and career development; and
• receive recognition in a fair manner.

An employee's performance will be reviewed in a fair and reasonable manner. The performance review may be used as the basis for personnel decisions, including such things as career development, salary increases, and disciplinary action, if appropriate. Any performance-based disciplinary actions will be taken in accordance with "Performance Management" Policy 3215, UBP, unless such actions are specifically covered by a collective bargaining agreement.

3. Mutual Responsibility

Employees and supervisors will work together to develop individual employee goals and duties that will be the basis of the employee's performance review. Employees and supervisors should also agree upon training and development opportunities necessary for high quality performance, achieving results, and excellent customer service. Supervisors, having dual roles of supervisor and employee, must fulfill both sets of responsibilities.

 3.1. Supervisor Responsibilities

All staff and faculty who supervise one (1) or more employees will be reviewed on their performance of the supervisory responsibilities listed below and the timeliness and quality of the performance reviews conducted for each of their employees. Supervisors are responsible for:

• completing training on performance review and recognition;
• establishing organizational goals;
• seeking input from employees and working with employees to develop individual employee goals and duties;
• providing employees with clear expectations, consistent measures, and achievable standards of performance;
• supporting and providing resources for employees to meet performance standards;
• engaging in ongoing performance management that includes regular feedback on established goals/duties as well as an annual written performance review;
• identifying performance deficiencies and providing assistance and support for correction;
• assisting employees in identifying and participating in career development and training programs; and
• recognizing outstanding performance on a regular and ongoing basis in accordance with Section 5. herein.

 3.2. Employee Responsibilities

All employees, including those covered by a collective bargaining agreement, are responsible for:

• providing input to their supervisor in the development of individual goals that contribute to departmental goals and the University's mission;
• meeting expectations and achieving performance standards;
• providing their supervisor with a self-assessment of accomplishments with respect to goals/duties and University values;
• discussing concerns and/or questions about any part of their job description or performance review with their supervisor; and
• identifying and participating in career development and training opportunities.

3.3. Training

Training is critical to a quality performance review and recognition program. Individuals responsible for reviewing employee performance will complete training on how to implement the performance review and recognition program. Additional programs are available to train, support, and guide supervisors and employees in performing the responsibilities listed in Sections 3.1. and 3.2. herein, such as setting goals, giving effective feedback, and writing performance standards.

4. Performance Review Process

The Performance Review form is both a planning tool and a performance review instrument. At the beginning of the review period the supervisor defines the goals/duties on which the employee will be reviewed during the upcoming review period and records them on the Performance Review form. The supervisor then meets with the employee to discuss the expectations. These expectations are the basis for the employee's performance review. The supervisor will give a copy of the Performance Review form with expectations to the employee to assist the employee in striving for excellence during the review period.

There are two (2) main sections of the performance review: Goals/Duties and University Values. In the Goals and Duties section, the supervisor and employee identify and record the work-related projects, or activities that will be accomplished during the review period. A written description is included of how each goal/duty will be achieved, what skills need to be developed and any training or support needed. In the University Values section, the supervisor and employee discuss the expected work-related behaviors.

The supervisor will provide the employee with regular feedback about performance throughout the year. During the review period, the supervisor should coach and mentor the employee to assist the employee in reaching his or her goals and achieving optimal performance. The supervisor is required to complete a written performance review at least annually. The supervisor and employee will meet to discuss the performance review. The employee will be given reasonable advance notice of the date of the written performance review. The supervisor will ask the employee to complete and submit a self-assessment prior to the performance review.

4.1. Frequency and Timing

Each supervisor will complete a written performance review at the end of an employee's probation or trial period and thereafter at the end of each review period. The written performance review will be completed by the deadline provided by the Division of Human Resources.  Each dean or director will verify all performance reviews are completed by the deadline.

4.2. Ratings

There are three (3) rating categories (from highest to lowest); performance exceeds expectations (E), performance meets expectations (M), and performance needs improvement (I). These rating categories are used in the Performance Review form to evaluate individual categories and overall performance. The overall performance may be used to determine pay-for-performance.

 4.3. Change in Supervisor

A supervisor leaving a position is expected to document employee performance prior to leaving. If an employee's supervisor changes, the employee will normally be reviewed on the goals/duties, performance standards, and expectations stated in the last written performance review. The new supervisor will meet with the employee to discuss and document any changes to the previously stated goals/duties, performance standards, and expectations.

4.4. Finalizing the Performance Review Form

After completing the Performance Review, the employee and supervisor sign the Performance Review form. The supervisor's signature indicates that he/she has followed the process and completed the form. The employee's signature indicates that he/she read and understood the Performance Review. The employee's signature does not necessarily indicate agreement. If the employee disagrees, see Section 4.5. herein. Departments will collect all departmental reviews and submit them to the Division of Human Resources each spring as part of the annual salary increase process.

 4.5. Employee Disagreement with Written Review

If a post-probationary employee disagrees with his/her written performance review, the employee may within sixty (60) calendar days from the date the employee’s supervisor signed and presented the performance review form:

• attach a response to the performance review;
• request reconsideration by the next level supervisor; or
• contact the Dispute Resolution Department for assistance. The Dispute Resolution Department will act as a neutral party in identifying and clarifying relevant issues in an attempt to resolve concerns about the performance review. The parties are expected to act in good faith. Dispute resolution procedures are discussed in "Dispute Resolution" Policy 3220, UBP.

The final decision is made by management taking into consideration any attached responses, reconsiderations, and/or guidance from Dispute Resolution.

 5. Recognition

Performance recognition can take many forms, including monetary and non-monetary. To reward employees who have demonstrated excellence as reflected in their written performance reviews, the University Board of Regents may designate funds for performance increases. In addition to pay-for-performance, there are various ways to recognize employees for their achievements. These can include career development opportunities, certificates of appreciation, subscriptions to professional journals, and memberships in professional organizations. Supervisors who want to use other method of recognition should consult with the Division of Human Resources to ensure the method is in compliance with University policies. In addition to departmental recognition, the University will also recognize outstanding performance. For more information refer to "Staff Recognition and Awards" Policy 3235, UBP.

6. Career Development

The University encourages career development for all staff members.  Supervisors have the responsibility to assist and guide employees in their career development efforts. The supervisor and employee discuss the employee's career development goals during the performance review process, both while planning performance expectations for the year and at the time of the performance review. These may include performance improvement or enhancement areas identified in Sections 2 and 3 of the Performance Review form.

7. Program Monitoring

The Division of Human Resources will monitor, track, and evaluate the performance review process for quality, improvement, and program success.

8. Records Retention

Original performance reviews will be maintained in the employee's official personnel file at the Division of Human Resources. Disclosure of this information is discussed in Section 2.3. of "Personnel Information Disclosure Policy" 3710, UBP.