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, 12-12-2016

Authorized by RPM 6.1 ("Performance Management")

Process Owner: Vice President for Human Resources

1. General

The University is committed to providing the resources to regularly evaluate and recognize staff employees based on their achievement and performance.

2. Purpose

The performance evaluation process determines how well employees have achieved previously established goals and/or performed their job duties. Frequent communication between employees and their supervisors about goals, duties, performance standards, and expectations reinforces a culture of accountability and contributes to positive communication, improved performance, and individual growth. The performance evaluation process should provide clear expectations, timely performance feedback, development opportunities, and fair and equitable recognition for performance.

The performance evaluation process may be used in personnel decisions, including career development, salary increases, and assessment of performance management opportunities.

3. Mutual Responsibility

Employees and supervisors share responsibility for development of the employee’s goals and/or job duties, which serve as a basis for the performance evaluation.

3.1. Supervisor Responsibilities

Supervisors are responsible for:

• Collaborating with employees to develop individual goals and duties that support departmental and organizational goals;
• Providing necessary resources, clear expectations, and achievable performance standards to each employee;
• Engaging in performance management throughout the year, including provision of performance feedback in addition to the required annual written evaluation;
• Identifying and supporting the correction of performance deficiencies;
• Assisting with identification of appropriate career development and training programs for employees; and
• Regularly recognizing outstanding performance.

3.2. Employee Responsibilities

Employees are responsible for:

• Collaborating with their supervisors to develop goals that contribute to departmental goals and to the University mission;
• Meeting previously established expectations and performance standards;
• Providing input describing their accomplishments related to job duties and goal performance;
• Identifying and actively participating in career development and training opportunities; and
• Raising concerns about their job description or performance evaluation with their supervisor.

3. 3. Change in Supervisor

It is suggested that the supervisor document employee performance when a direct report vacates a position.  When an employee's supervisor changes during the course of the evaluation period, the employee usually will be evaluated on the job duties and goals recorded in the most recent written performance evaluation. Changes to previously stated job duties and/or goals should be discussed with the employee prior to documentation.

3.4. Available Training

Programs are available through Employee & Organizational Development to train, support, and guide both supervisors and employees in performing the responsibilities listed in Sections 3.1 and 3.2, in areas such as goal setting, giving effective feedback, and coaching for performance.

4. Performance Review Process

At the beginning of each evaluation period, the supervisor and employee discuss the job duties and/or goals to be evaluated during the upcoming year and record them on the performance evaluation form. Both the supervisor and the employee receive a copy of the performance evaluation form including the expectations for the upcoming evaluation period. The supervisor is responsible for ongoing coaching and mentoring to support employees in successfully achieving their goals.

4.1. Frequency and Timing

Written performance reviews are required at the end of each employee’s probationary period and once annually thereafter, and should be completed by the deadline established by the Division of Human Resources. 

4.2. Finalizing the Performance Review Form

At the close of the review period, the supervisor and employee discuss the performance evaluation. Reasonable advance notice of the date and time of the performance evaluation discussion will be provided to ensure the employee has sufficient preparation time.

Once the discussion is complete, the employee and supervisor both sign the performance evaluation form. Supervisors’ signatures indicate they have followed the process and completed the form; employees’ signatures indicate they read and understood the performance evaluation form. An employee's signature does not necessarily indicate agreement with the evaluation. See Section 4.3  in cases of employee disagreement with the evaluation.

4.3. Employee Disagreement with Written Review

If a post-probationary employee disagrees with the contents of a written performance evaluation, the employee may, within sixty (60) calendar days from the date the employee’s supervisor signed and presented the performance evaluation form to the employee:

• Attach a response to the performance evaluation form; see UAP 3300 (“Paid Time”), Section 7.11;
• Request reconsideration by the next level supervisor; or
• Contact the UNM Ombuds Services for assistance; see UAP 3220 (“Ombuds Services”).

5. Recognition

While the University Board of Regents may designate funds for performance increases to reward employees, there are also non-monetary recognition methods, which may include career development opportunities, certificates of appreciation, subscriptions to professional journals, and memberships in professional organizations. Supervisors should consult with the Division of Human Resources to ensure any other methods of recognition they want to use comply with University policies. Refer to UAP 3235 ("Staff Recognition Programs") for further detail.

6. Career Development

The University encourages career development for all employees. Supervisors have the responsibility for guiding employees in their career development efforts. These efforts (for both previous and upcoming years) should be discussed and documented during an employee’s annual performance evaluation discussion.   

7. Program Monitoring

The Division of Human Resources monitors, tracks, and evaluates the performance evaluation process for quality, efficiency, and program success.

8. Records Retention

Original performance evaluation forms (and any written employee responses) 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 UAP 3710 ("Personnel Information Disclosure Policy").

9.  Reference

Performance Evaluation and Planning Form