Frequently Asked Questions
Purpose and Guidelines in Developing Effective
At the beginning of the year, after the planning portion has been completed, the supervisor and employee each
keep a copy of the form. After the written review has been completed, the original is sent to the Department of
Human Resources to be placed in the employee's official personnel file. Copies are kept by the employee and the
The planning section of the Performance Review Form should be reviewed and updated during coaching sessions
throughout the year. Changes in duties and standards for successful performance should be documented on the form so
that both supervisor and employee are aware of the revisions.
The Performance Review is conducted by the supervisor who is there at the time the evaluation is due. If an
employee's supervisor changes, the employee is normally reviewed based on the goals, performance standards, and
expectations stated in the last written Performance Review. The new supervisor meets with the employee to discuss
and document any changes. The former supervisor is encouraged to document employee performance prior to leaving
the position. The employee is encouraged to provide the new supervisor with a self-assessment since this will
assist the supervisor in providing a meaningful review for the employee. Depending upon the timing of the change
in supervisors, it may be appropriate for a higher-level supervisor to conduct the review.
Whenever there is a change in job titles or a complete change in job duties (i.e., promotion, transfer, etc.)
the planning sections of a new Performance Review Form are completed to document the goals and standards for the
new position. It is recommended that a formal (written) progress review be completed for work done up to the
point an employee is promoted or leaves
When an employee changes jobs, the new supervisor begins planning goals/duties for the remaining review period
(i.e. until the end of the calendar year). Supervisors are encouraged to provide Performance Reviews for employees
who move to a different job or different department so that information can be used by the new supervisor in
preparing the review for the entire year. If this is not done, the employee would be rated for the period of
time worked for the new supervisor
Yes. Standards are developed for individuals by the supervisor and the employee. Employees with the same job
titles may have different goals and priorities, so the goals or duties chosen for their evaluations may be
Performance Review is the ongoing communication between supervisors and employees about how well jobs are
being done, according to UBPPM #3230.
Performance Management (UBPPM #3215)
describes how problems with performance are managed. Generally, these are two separate processes. A formal
warning is not required if you are still training or coaching a marginal performer. However, serious
performance deficiencies identified during the performance review process may result in disciplinary action
under the performance management process if required improvement is not demonstrated.
It is the job of the supervisor to make the Performance Review an effective means of communicating within
the work unit. Ideally, Performance Reviews will increase everyone's effectiveness by clarifying goals and
expectations each year. Performance discussions are an opportunity to provide your department with the direction
needed on what is to be accomplished and who has been assigned specific responsibilities. It helps establish
direction, foster progress, and clarify accountability. The department/unit is more likely to be successful
when individual employee goals are linked with department/unit goals. This will also help employees stay focused
Performance Reviews can also improve communication by encouraging information sharing. It also represents a way
that supervisors can demonstrate their interest in an employee's development, concerns, and potential.
The Performance Review is a visible part of the larger supervisor/management process. If good communication
is not already in place, simply completing a review is unlikely to change behavior or results. Begin with
planning. Use coaching and support techniques to improve feedback and communication. At the end of the review
period, ask the employee to complete the self-assessment. These steps are all designed to improve ongoing
communications between the employee and the supervisor throughout the year. By the time the review is
conducted, noticeable improvement should be evident. You may also wish to take advantage of the many
training and other resources available to assist supervisors at UNM.
If the supervisor has been coaching the employee throughout the year, the written Performance Review
should contain no surprises. It is important for both the supervisor and the employee to take a
problem-solving approach to the discussion of performance. Poor communication is a barrier to having an
effective performance discussion. Both should state their opinions and feelings in a constructive manner
so points of disagreement can be better understood and resolved. Both the supervisor and the employee must
demonstrate the highest standards of behavior for the Performance Review to be productive.
If standards are not being achieved, the supervisor and the employee should offer constructive
suggestions on why they were not achieved and what course of action would be helpful. The focus for both
should be on resolving issues. Good communication is a critical management skill. If managers need to
develop their ability to communicate effectively with employees, training programs are available.
Assistance in resolving workplace disagreements is also available from OMBUDS/Dispute Resolutions Services.
Expectations Around Goal Setting and University Values
The form is a tool used to communicate with the employee how well he/she is doing, how well goals have been
achieved and what needs improvement. Development goals are derived from the written evaluation. The pay review &
planning is used as a communication tool. and is used for personnel decisions, salary increases, and career
The University Values are derived from the UMM Strategic Plan and are the common ground for all University
employees. On the Performance Review Form are examples of behaviors that illustrate the University Values. These
behaviors are common to all jobs. Standards are developed by the supervisor and employee for the behaviors that
relate to each job and are aligned with the mission and goals of the work unit or department. Some departments have
developed examples of common behaviors for their employees. The samples developed by the Department of Human
Resources are available on our website. Also available on the website are definitions of the seven University
Values. If you are not sure how to rate your employees on any of the values, review the definitions and develop
expectations appropriate for your department.
Every employee is responsible for performing all assigned duties. The job description is the official
description for a given job title. Supervisors are responsible for assigning duties consistent with the job
description. However, because job descriptions are general in nature and often cover many positions, not all
duties listed on the job description may be relevant for all positions. It is also appropriate for departments
to develop specific position descriptions for jobs. These are based on the general job description.
The Performance Review Form can be used in two ways. Goals can be developed for employees and inserted into
Section I of the Form. Or, Section I can be duty-based, in which case the duties are chosen from the job
description. A combination of goals and duties may also be used. All employees are rated on the University
Values in Section II.
Performance Review is an important supervisory function. Clarifying goals and expectations will help improve
communication and performance. Most supervisors are doing that informally. The Performance Review and Recognition
Policy makes the process more formal. The new policy requires that all employees receive an annual written review.
If your supervisor does not provide reviews, you should first discuss your concerns with your supervisor. If that
does not resolve the issue, you may also talk to the next level supervisor or seek assistance from the
OMBUDS/Dispute Resolutions Services.
No. It is the responsibility of all supervisors to provide Performance Reviews for their staff by March 1 of each
year. Because the program is designed to be collaborative, staff can initiate their own performance planning by
drafting goals and standards for their supervisor's review. They can also initiate the evaluation process by
providing their self-assessment to their supervisor.
Faculty members are not evaluated with the staff Performance Review form, but they are responsible for using it
to evaluate their staff. They can take two online courses available to support staff and managers. They are:
- Performance Review for Staff
- Conducting a Performance Review (for Managers)
and also access the HR website for forms, definitions, and examples. Employees can initiate the planning
process by providing supervisors with suggested goals/duties and standards. They can initiate the evaluation
by providing their supervisor with their self-assessment. They can also seek assistance from their Department
Administrator in developing goals and standards for their position.
The employee's immediate supervisor conducts the evaluation. A person designated as a "lead" may give input to
the supervisor, but does not typically complete the review.
Disagreements with Performance Review
Yes. The Performance Review is still conducted. It is recommended that the process be collaborative. However,
the supervisor has the ultimate responsibility to set goals and standards and to evaluate employees against the
goals. The employee can contact OMBUDS/Dispute Resolutions Services for assistance. The final Performance Review
Form becomes part of the employee's personnel file. Supervisors are encouraged to contact OMBUDS/Dispute
Resolutions Services for further assistance in working with an employee who is reluctant to participate to help
make the process a productive one for both parties and so that the same issues don't recur every year. Persistent
failure to comply with the requirements of the Performance Review policy would be handled in the same manner as a
violation of any University policy in that it may be considered cause for disciplinary action.
If a post-probationary employee disagrees with the written Performance Review, the employee should discuss any
concerns with the supervisor. Three options are offered if the disagreement cannot be resolved. (1) The employee
may append written comments/response to the form that will be filed with the form in the employee's personnel file.
(2) The employee may ask for a review from the next level supervisor. (3) The employee may also contact the
OMBUDS/Dispute Resolutions Services for assistance. These three options may be pursued in any order or in
combination with each other.
Explain to the employee that the signature does not indicate agreement but only that they have had an
opportunity to read and understand the form. Let the employee know that they can express their concerns or
disagreements in the employee comment section of the form. You may also wish to contact the OMBUDS/Dispute
Resolutions Services to assist in resolving the disagreement. If the employee still refuses to sign, the
supervisor should indicate that the employee received a copy of the evaluation and refused to sign.
Union's Role in Performance Review Process
All aspects of the Performance Review policy apply to all regular staff employees, except for the section on
"reward." Salary increases for employees in a bargaining unit are determined based on union negotiations.
Merit increases are based on the Performance Review, but Performance Review is a separate process. It is
designed to improve communication and accountability, and assist employees in reaching goals. Also, pay is not the
only reward available to UNM supervisors. Non-monetary awards can include education and training opportunities,
personal acknowledgement and flexible work schedules. Failure to comply with the requirements of the Performance
Review policy would be handled in the same manner as a violation of any University policy in that it may be
considered cause for disciplinary action.
No. Union representation at these discussions is not appropriate.
A grievance, under a union contract, is defined as a disagreement about a provision in the collective bargaining
agreement. Performance Review is not usually a provision in the collective bargaining agreement. Rather, it is a
management right/responsibility. Therefore, Performance Reviews are not typically grievable.
Yes, section 3.2 in the policy indicates that the employee is responsible for providing their supervisor
with a self-assessment of accomplishments with respect to goals/duties and University values. The
self-assessment gives the employee an opportunity to share pertinent information about their performance
during the year. While the supervisor is not required to incorporate this information in the Performance
Review, the information is useful because it helps the supervisor understand their employee's perspectives
on the items being reviewed and also allows them to include any pertinent information on the final review.
Not at all. Formal evaluation for outstanding performers can be highly motivating. Failure to acknowledge this
performance may actually result in reduced performance and lower morale. Since pay for performance is linked
directly to Performance Review, it is even more important to document differences in performance to support
differences in merit pay. Employees who are not reviewed are not eligible for pay for performance. Performance
Review is also an important tool to set goals for the employee for the next year. Having a clear understanding of
what is expected of them assists employees in maintaining high levels of achievement.
Performance Review with Relation to Salaries
Yes, Each year guidelines will be distributed that will identify if funds are available for pay for performance
and if so, will specify the upper and lower limits for pay for performance increases. Suggested ranges for the
different performance ratings will be provided. Guidelines will change from year to year. Raises for staff in the
bargaining unit are determined through union negotiations.
Merit pay is based upon the Overall Rating on the Performance Review Form. If a Performance Review was not
conducted, there is no basis on which to award differential salary increases. However, it is recognized that there
may be unusual circumstances where it is appropriate to award merit pay when an evaluation is not on file.
Examples include when a manager is on extended leave or when the manager's position is vacant. In such cases, in
order not to penalize meritorious staff, exemptions may be granted by written approval of the cognizant vice
president/provost. Any merit pay increase awarded without a written Performance Review on file must be approved
by the vice president/provost.
For a regular, post-probationary employee, the supervisor is required to provide a written review once per year.
More frequent reviews can be done at the discretion of the supervisor.
The Performance Review cycle is on a calendar year, January 1 through December 31. Employees begin the self
assessment in November and complete it before the annual review. The annual reviews are conducted between January
and March for work performed in the previous calendar year.
As soon as a new employee is hired, the supervisor sets goals for the probationary period and develops standards
for performance. After the probationary period is over, the supervisor provides a written review of the employee's
performance and sets goals for the next review period. The next review period goes through the remainder of the
calendar year to bring the new employee into the same review period as continuing employees.
As a supervisor it is your responsibility to conduct and turn in evaluations. All performance reviews should be
submitted to the Department of Human Resources no later than March 1. In early April of each year, the Department
of Human Resources generates a list of employees who did not receive performance reviews that is sent to the vice
presidents and provost.
The calendar year cycle was necessary to support pay for performance and the fiscal year budgeting of salary
increases. Departments or units operating under an academic year calendar should use the planning part of the
Performance Review process to translate individual employee goals or duties to a calendar year basis. Throughout
the year, goals may be updated or revised as necessary. It is recognized that the planning cycle for individual
employees and departments may differ. A mid-year or semi-annual review may assist in reconciling these different
University Required Training
Section 3: Required and Job Specific training has been added to the Performance Review form for 3 reasons:
- Allows leaders to track compliance with required and job specific training
- Allows the leader to suggest development opportunities for the upcoming year for employees
- Allows the employees to get clear expectations of what professional development is needed for the upcoming year
Required training is set by the University based on regulatory compliance. Job specific training is based on the
employee's function and development opportunities. For example: If the employee will use be using Banner in any
way, they will need to take the required training associated with the role they request in the BAR.
All training associated with the Banner can be found in the BAR. Any other training that the manager recommends
can be found online in Learning Central
The supervisor and employee should know what training is needed. If you have questions about a specific
training class, contact Employee and Organizational Development at 277-1555.
Absolutely, leaders should make suggestions for any development opportunities that the employee needs to improve performance.