University Business Policies and Procedures Manual

3230
PERFORMANCE REVIEW AND RECOGNITION
Effective Date: January 1, 2000
Revised October 1, 2002
Subject to Change Without Notice

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 and managers are responsible for establishing departmental goals that contribute to the University's education, research, and public service mission. They 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. It seeks to provide greater accountability and effectiveness, and to foster a culture of quality performance and continuous improvement with a focus on internal and external customer service. Performance review also includes feedback from direct reports, peers, and/or customers that is intended to help employees improve and develop their performance. The Performance Review program is designed so that employees:

• are aware of what is expected of them;
• receive timely feedback about their 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 identify the duties that will be the basis of the employee's performance review. They should also agree upon training and development opportunities necessary for high quality performance 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 review 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;
  
• initiating and coordinating a multi-rater feedback process for affected employees (discussed in Section 6.2. herein);
  
• 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;
  
• participating in the multi-rater feedback process when requested (discussed in Section 6.2. herein); 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 places 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 form 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, activities, or tasks 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 that is 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 review period is January 1 - December 31. The written performance review will be completed by March 31 of the following year. Each dean or director will verify that all performance reviews are completed by March 31 of each year.

4.2. Ratings

There are five (5) rating categories (from highest to lowest); outstanding performance (O), performance exceeds expectations (E), performance meets expectations (M), performance needs improvement (I), and performance is unsatisfactory (U). These rating categories are used in the Performance Review form to evaluate individual categories and overall performance. The overall performance is used to determine pay-for-performance.

 4.3. Change in Supervisor

A supervisor leaving a position is encouraged 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 Department 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:

• 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 wishing to use some other method of recognition should consult with the Department of Human Resources so that 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. Attachments to the Performance Review

6.1. Career Development

The University encourages career development for all staff members and supervisors have the responsibility to assist and guide employees in their career development efforts. The supervisor and employee should 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. The Career Plan Form should be used to specify the employee's career development goals and the actions that will be taken to achieve them. These may include performance improvement or enhancement areas identified in Sections 1 and 2 of the Performance Review form and obtained through the multi-rater feedback process, if used. The Career Plan Form and instructions can be found at http://www.unm.edu/~hr/forms/files/carplan.doc For more information refer to "Career Development" Policy 3260, UBP.

6.2. Multi-Rater Feedback

Multi-rater feedback is a process that allows employees to receive performance feedback from their peers, customers, and direct reports (the employees who work directly for the supervisor). This process is intended to increase awareness and accountability by providing employees with multiple perspectives on their performance and work behaviors. Feedback is to be used for development and is not intended to be used to determine performance ratings or pay-for-performance.

The University's multi-rater feedback process focuses on managerial effectiveness and is based on accepted managerial competencies. The feedback assists supervisory employees in creating development plans that help them work towards continuous improvement. While the University's multi-rater process focuses on managerial performance, departments may continue to design and use multi-rater systems that assess program/employee effectiveness or level of customer service.

6.2.1. Multi-Rater Feedback Process

In the University's multi-rater feedback process, the employee receiving feedback works together with his or her manager to identify the appropriate individuals who will provide feedback. Feedback is collected anonymously from all direct reports, designated peers and customers who have regular contact with the employee, and from the employee's supervisor.

The employee receiving feedback initiates the process and requests that identified individuals submit feedback directly into the multi-rater feedback electronic system. A summary report of the responses is sent to the employee. Before individuals can participate in the multi-rater process, they must complete training to assist them in giving useful and effective feedback.

The greatest value of multi-rater feedback occurs when an employee uses the feedback to improve performance. The employee's manager will assist the employee in interpreting the feedback and creating a development plan. A copy of the development plan should be attached to the performance review.

7. Program Monitoring

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

8. Records Retention

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

Comments may be sent to UBPPM@UNM.edu
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