NM State Performance Appraisal Guide

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STATE OF NEW MEXICO
STATE PERSONNEL BOARD
Performance Appraisal
and
Development
USER’S MANUAL
A CONSTRUCTIVE APPROACH
TO
DEFINING, MEASURING
AND ASSESSING
THE PRODUCTS AND
SERVICES
YOUR PERSONNEL
PROVIDE
REV: 7/01
TABLE OF CONTENTS
Introduction………………………………………………………………1
History…………………………………………………………………….2
Summary of State Personnel Board Rules, 1.7.9 NMAC…….……..4
Role of the Reviewer……………………………………………………7
Filling Out State Personnel Board Form 231…………………………8
Developing Job Assignment Statements……………………………13
Performance Competencies………………………………………….17
Multi-Source Assessment……………………………………………..22
Employee Development Plan…………………………………………24
Interim Reviews………………………………………………………..26
Weighting and Variable Weightings…………………………………27
Performance Rating and Final Appraisal……………………………28
Legal Considerations for Performance Appraisal………………….31

APPENDIX
State Personnel Board Rules………………………………………….33
Glossary………………………………………………………………….36
Performance Rating Definitions………………………………………..40
State Personnel Board Form 231……………………………………...42
Interim Review Form…………………………………………………….47

Introduction
The Personnel Act and the State Personnel Board were created in 1961 to “establish a system of
personnel administration based solely on qualification and ability, which would provide greater
economy and efficiency in the management of State affairs.” The State’s personnel management
system has several interrelated and interdependent parts. This manual addresses one of those
parts, the employee Performance Appraisal and Development (PAD) process.
The intent of the PAD process is to provide the citizens of New Mexico the best products and
services possible through an ongoing, open dialogue between supervisors and employees about the
agency’s performance expectations and performance standards.
Underlying the PAD process are several key principles of our evolving management philosophy:
1). Supervisors are the legal agents or representatives of any organization. Their actions,
and the manner in which they are carried out, are equal to organizational decisions and
actions. Legal liability is inherent in supervisor behaviors.
2). An organization most effectively achieves its mission by attracting, hiring, managing,
and developing its people.
3). An organization’s people have a right to expect clear direction, feedback, and appraisal
of performance from the organization’s management.
The Performance Appraisal and Development process and its accompanying forms were designed to
define the products and services that an individual employee must produce to allow an agency to
fulfill its organizational mission. The process will help the supervisor to formally communicate to the
employee the future expectations of job assignments, competencies, and employee development
necessary to achieve the desired products and services. The process will also allow the supervisor
to formally communicate and document the employee’s past performance as measured against
previously established standards. An employee’s development needs will be communicated and
documented throughout the process. The annual performance appraisal rating will allow the
supervisor to differentiate employees’ contributions to the organizational mission and determine
eligibility for performance pay increases, subject to annual legislative appropriations.
NOTE: This manual is intended as a training tool and guide for managers/supervisors using
the PAD process. The manual contains recommendations and suggestions that are
consistent with good management practice but do not have the legal implications of State
Personnel Board Rules. This manual is subject to revision at the discretion of the State
Personnel Director.
1
History
In 1994, human resource managers in state government identified the development of an improved
performance appraisal system as one of the most compelling issues facing state government. The
Personnel Officers Council established a committee to review the current performance evaluation
system and make recommendations on improvements to the system. The committee reviewed
approximately 2200 questionnaires on the current performance evaluation system. Also, the
committee reviewed performance evaluation systems from other public and private sector entities.
A significant number of state employees who responded to the personnel managers’ questionnaire
identified the following:
• The current performance evaluation did not work. The employees lacked confidence in
the system.
• Employees received little or no feedback from their supervisors on their performance.
• The performance evaluation did not help them improve service to the public.
In general, other findings included:
• Managers were not held accountable for the evaluation of their employees.
• The evaluations lacked customer input.
• There was insufficient space or attention given to identifying training needs and career
goals.
The committee concluded that a new performance evaluation system should be developed in
response to employee and management concerns. The system the committee designed is intended
to include the following:
• The system will hold supervisors accountable. A portion of all supervisors’ appraisals
will be based on the quality of their supervision, and particularly the appraisal of their
subordinates. Supervisors will be provided with training on the use of the performance
appraisal system.
• The system will utilize a multi-source assessment, or “360- degree” assessment, to

include appraisals by peers, customers, supervisors, and self-appraisal. The approach
is comprehensive and gives a well-rounded view of the employee.
• One section of the appraisal process will focus on the professional development of
employees.
• The system is designed to be a living process. It is to be administered as a continuous

process, not as a one-time event.
2
The appraisal system will provide greater clarity about roles, responsibilities, and expectations and
bring about a closer alignment of agency, unit, and individual goals.
• It is intended that a greater emphasis will be placed on the employee’s development,

accomplishments and contributions.
3
SUMMARY
STATE PERSONNEL BOARD RULE 1.7.9 NMAC
The Performance Appraisal and Development process is governed by various Rules, policies, and
procedures. The applicable State Personnel Board Rules are summarized here and appear in their
entirety in the Appendix.
An agency may create additional agency-specific policies which supervisors must be familiar with
before conducting a performance appraisal. Contact your agency Human Resource Bureau for these
policies. In addition, supervisors should be familiar with any Collective Bargaining Agreement or
conditions that apply in their agency.
Why do performance appraisals?
1.7.9.8 NMAC To provide for regular appraisal and documentation of employee

performance.
When must an appraisal be put in place or performed?
1.7.9.8 NMAC The plan should be in place within 45 days of employee appointment; it
should be appraised during the agency’s Focal Point Evaluation period
(INMAC7.9.10), per your Agency Performance Appraisal Plan/Policy.
1.7.9.9C NMAC A probationary employee or newly appointed supervisor shall be reviewed

quarterly and appraised annually.
1.7.9.9B NMAC A career employee shall be appraised by the immediate supervisor on an

annual basis and reviewed semi-annually.
Who will conduct an appraisal?
1.7.9.9A NMAC A supervisor must complete a Director-approved course of study on

employee performance appraisal within 45 days of appointment . . .
How will performance appraisals be done?
1.7.9.9A NMAC Performance development shall be documented on an appraisal form

approved by the Director.
1.7.9.9D NMAC Appraisal to include supervisor and employee rating. Other sources
(peer, customer, subordinates) as deemed appropriate.
4
3
2 Reviewer
Approval
Create
1 PAD
Align PAD 4
with
Strategic Meeting
Plan with
THE Employee
PERFORMANCE
APPRAISAL
CYCLE
10 5
Appraisal
Meeting Plan
with Interim
Employee Review
7
Revise/Update
PAD if
Necessary
9 6
Interim
Reviewer Review
Approval
8
Prepare for
Annual
Appraisal
5
ALIGNMENT OF PAD WITH AGENCY MISSION
Your agency’s Strategic Plan identifies the major programs and program outcomes which are
integral to achieving the agency mission. When you identify the PAD Job Assignments for which a
position in your organization or unit will be held accountable, you are, in essence, naming several of
many outputs by individuals which—when combined with many others—contribute to those
program outcomes and, indirectly, agency mission attainment. So, while the PAD is the basis of the
direction and accountability you communicate to an employee, it also represents an important piece
of the larger picture that is the sum of all your agency’s efforts to accomplish those outcomes it is
legally mandated to produce.
Therefore, the performance standards specified in a Job Assignment—supported by the selection of

key competencies—should at a minimum reflect the range of performance results necessary for
the employee’s unit to be successful. This does not mean establishing only minimum standards.
It requires that Meeting Expectations be defined as the range of performance necessary for the unit
or organization to be successful. It may help to picture the concept of Alignment as it might look in a
medium to large agency:
Agency Mission
Strategic Outcomes
Division Outcomes
Bureau Goals and Outputs
Individual FTE Outputs (JA & C)
U N M E G
Min Max
Within the continuum of all possible levels of performance, M or “Meets Expectations” should
represent—from minimally acceptable to very good performance—the scope of duties and
performance you expect from anyone in the position. Review the definitions of all the performance
ratings in the Glossary.
6
ROLE OF THE REVIEWER
PURPOSE:
The reviewer’s role is to assure supervisor compliance with applicable Rules and agency
policies and monitor the accuracy, quality, equity, and integrity of the process. The reviewer is
required to be involved twice during the process: When the document is created, defining the
organization’s expectations and standards; and when you, the supervisor, have determined
the final ratings. The reviewer may be involved at other times in the process, but such
involvement is discretionary. It is generally a good idea for the supervisor to at least keep the
reviewer informed about PAD activities during the year. The reviewer is normally the
supervisor’s supervisor.
DISCUSSION:
You should confer openly and frequently with the reviewer when determining what the Job
Assignments and Performance competencies should be. The reviewer must sign SPB Form
231 to acknowledge agreement with what you have put in place.
Months later--at the end of the appraisal period, but before you meet with the employee to
communicate the final Rating--meet with your reviewer and discuss your final Rating. Get the
reviewer’s support and signature before you meet with the employee. Although it is not the
reviewer’s role to change the Ratings, it must be confirmed that the PAD process is being
implemented in compliance with all applicable Rules and agency policies. The reviewer’s
signature acknowledges that you have fulfilled your responsibility.
The role of the reviewer is critical to establish and maintain confidence in the Performance
Appraisal and Development process.
7
FILLING OUT STATE PERSONNEL BOARD FORM 231
This section explains how to fill out SPB 231, Performance Appraisal and Development. This is a
Director-approved form as specified in State Personnel Board Rule1.7.9. NMAC. At the beginning of
the appraisal period, pages 1, 2, and 3 must be filled out (and page 4 signed) to begin the process.
During the appraisal period pages i and ii provide a sample interim review. At the end of the
appraisal period page 5 is used to appraise Job Assignments, and page 6 is used to appraise
Performance Competencies. Job Assignment and Performance Competency summaries,
signatures, and the Final Performance Rating are on page 4. The explanations are in order of their
probable use, and not in numerical sequence.
SPB 231 comprises the last 8 pages of this Manual and may be detached for copying or keeping visual pace
with the instructions.
SPB 231, Page 1
• Fill in appropriate identifying data at top of page.

• Identify the period of time to be covered by this document under “appraisal period.”
Part I A
• Use the space provided to describe the job assignments for the appraisal period,
normally one year.
• A job assignment will
1). State the expected outcome (a product or service)
2). Identify the distinct, recurring tasks--and standards for each task -- that should
produce the expected outcome.
• To clarify the relative importance of job assignments, enter the priority number (1-4) in
the box at the upper left-hand corner of each job assignment.
• Normally, no less than two and no more than four job assignments will define the
expectations of a position. Total assignments must account for more than 80% of
the employee’s time and effort.
• If the employee is a supervisor, one of the job assignments must be the expected
outcome of the supervision tasks or actions.
• Review any agency policies related to performance appraisal and job assignments.
• Each job assignment title should be transferred to Part 1, Job Assignments on the
Performance Appraisal and Development Summary Sheet, page 4.
8
SPB 231, Page 2
Page 2 is to identify and define competencies. Both supervisor and employee self-assessments of
competency performance will be required at the end of the appraisal period.
Part II A
• Select and list no less than three and no more than nine competencies to be appraised.
Refer to the approved list of competencies in the Appendix of this manual.
• Competencies add value to the job and are predictors of success in the position. In the
space provided, define or provide identifiable, measurable examples of the behaviors
(or motives, traits, self concepts, attitudes, values, knowledge) to be appraised.
• Supervisor and employee appraisals of competencies are required, but other sources
of appraisal (peers, customers, subordinates) may be included. Any other sources
should be identified at the beginning of the appraisal period in order that you
experiment with the multi-source appraisal process for the first year.
• Multi-source appraisal is distinguished from merely gathering feedback from

other sources because multi-source appraisal asks those sources to actually rate
a specific employee’s performance. This process must be handled carefully in
order to be both useful to the organization and fair to the employee.
• In your discussion of competency expectations, be forthright and clear with the
employee about the means or process to be used to gather peer, customer or “other”
input. You should identify what information, when, and how the information will be
gathered, and by whom. You should also clarify any questions or concerns about the
confidentiality of the information.
• The weighting percentage between rating sources indicated in your Agency

Performance Appraisal Plan should be discussed and recorded in the space provided
at the top of page 2.
• Review any of your agency’s policies related to performance appraisal, competency

selection and weighting of Job Assignments/Competencies.
• Each job competency title should be transferred to Part II, Performance Competency
Rating on the Performance Appraisal and Development Summary Sheet, page 4.
• On the Performance Appraisal and Development Summary Sheet, page 4, enters

the weighting percentages in the appropriate box. Enter the weight for Job
Assignments in Part I: Job Assignments, Overall Job Assignment Weighting. The
weighting for the combined competencies should be entered in Part II, under Overall
Performance Competency Weighting.
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SPB 231, Page 3
This page is to identify and document the employee’s development needs and the organization’s
expectations for part or all of the appraisal period.
• Identify employee’s performance goal(s), establishing the expected results of this plan.
(There may be more than one performance goal, requiring additional copies of this
page.)
• Identify the organizational need or outcome the employee’s development will support.
• What time period is this plan expected to require?
• Identify and record what actions will be taken by you and the employee to actualize the
development plan.
• What is the expected outcome to be evident in acquired knowledge, skills, and

competencies? How will it be verified or measured?
• A detailed development plan must accompany any performance rating of Needs

Improvement or Unacceptable. Specific dates, actions, alternatives, and
consequences should be identified.
INTERIM REVIEW
A career employee’s performance must be reviewed semi-annually. However, any changes in

expectations should be documented and explained to the employee whenever appropriate
throughout the year.
Page 7 Performance Appraisal and Development Interim Review Form.
• Rate each job assignment individually and mark the appropriate box.
• Write the specific behaviors, events, measures, or standards that support the rating.
• Rating of Needs Improvement or Unacceptable on any job assignment or competency
should initiate a quarterly review schedule.
• Describe the steps the employee needs to take to improve the rating.
10
Page 8 Interim Review of Performance Competencies.
• Transfer the assigned weights of appraisal input from page 2 to page ii.
• The interim review requires only the supervisor and employee appraisal of
competencies. Other sources (peer, customer, etc.) may be used if they will be part of
the year-end appraisal process. If additional sources of appraisal are to be included in
the interim review, the entire process identified in the opening discussion should be
used.
• Each competency should be rated by the supervisor after considering the employee’s
self-rating. Actions, behaviors, and measures should be described under comments
supporting supervisor rating.
• If appropriate, describe the steps an employee needs to take to improve the rating.
• Transfer ratings from other sources to the appropriate column on page ii.
SPB 231, Page 5
I B Annual Appraisal of Job Assignments.
• Notify and schedule meeting with employee. Provide a brief overview of your
respective roles and responsibilities.
• Next, gather and record employee comments on Job Assignment accomplishments in

the space provided on page 5.
• Review and appraise each Job Assignment independently, based on measures and
standards identified on page 1.
• Based on the ratings and relative priority of the Job Assignments, determine the overall
Job Assignments rating. Enter that rating in the space provided on page 5.
• Comments and explanation summarizing the overall rating recommendation

should be entered in the space provided at the bottom of page 5. These
comments should include references to Job Assignment, Competency and
Development Plan accomplishments. It is here that you justify to your Reviewer
the overall rating you are recommending.
• Transfer the individual and overall ratings to the Part I: JOB ASSIGNMENTS box at the
top of page 4.
• Transfer the overall Job Assignment Rating and the overall Job Assignment Weighting
to the appropriate line, the bolded FINAL PERFORMANCE APPRAISAL box at the
bottom of page 4.
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SPB 231, Page 6
Part II B: Performance Competencies Annual Appraisal.
• Employee self-ratings and comments should be gathered first and then recorded on the
appraisal.
• Gather any multi-source assessments as identified at the initial goal-setting meeting.
• Enter competencies 1 through 9; record supervisory comments and record supervisory

ratings. (You will make summary comments on Competency performance on page 5
in Overall Rating Recommendation.)
• Transfer multi-source assessment to the appropriate column.
• Record overall job competency rating at the bottom of page 6.
• Transfer individual competency ratings and overall Competency Rating to Part II:
Performance Competency Rating, on page 4.
• Transfer the overall Performance Competency Rating and the overall Performance
Competency Weighting to the appropriate line in the bolded FINAL PERFORMANCE
APPRAISAL box at the bottom of page 4.
SPB 231, Page 4
Employee Performance Appraisal and Development Summary Sheet.
• Part I. Record the Job Assignments and their Weighting at the beginning of the
appraisal period. Record the Ratings at the end of the appraisal period.
• Part II. Record Competencies and Weightings at the beginning of the appraisal period.
Record the Ratings at the end of the appraisal period.
• Initial Performance and Development Plan box provides signature space for the
reviewer, supervisor, and employee to acknowledge the Job Assignments,
Performance Competencies, and Weightings. Sign at the beginning of the appraisal
period.
• Interim Reviews Box provides space for initials to acknowledge Interim Reviews
throughout the appraisal period. At least one semi-annual review is required.
• Final Performance Appraisal - Bolded box to record overall Job Assignment Rating
and its weight (Part I), Overall Performance Competency Rating and its weight (Part II),
and the Final Appraisal Rating.
• Signature space in bolded box for the reviewer, supervisor and employee to
acknowledge the Final Rating.
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DEVELOPING JOB ASSIGNMENT STATEMENTS
Purpose:
The Job Assignments portion represents the first major change in management philosophy
incorporated into the appraisal document. Rather than list a series of individual or collective
tasks, the supervisor must combine the mission of the agency, division or unit and the reason
the job exists to develop a job assignment. Essentially, a job assignment is a statement of
the product or service that is required from the position. The subtle change consists in
the fact that the employee, from front-line worker through division director, is not being paid to
show up to work and do something; rather, the employee is being paid to produce results or
render some service.
The full job assignment consists of three parts: First, a simple statement about the product or
service, for example, "Maintain a clean facility." Second, the supervisor must identify the
major, distinct and recurring tasks that will result in this product or service. Finally, what
measures will be used to appraise the product or service? These measures (time, cost,
quantity, or quality) are combined with the actual tasks to produce the standards or criteria,
e.g., "Empty trash bins twice daily and remove the contents to the dumpster."
Instructions: Writing Job Assignments:
Begin by listing all of the tasks performed by the position. Then, group all of the tasks that are
used in creating the actual product or service. For example, a hospital employee might mop
floors, sweep, empty trash, wipe down fixtures, sanitize linens, and dust. The next step is to
consider the mission of the organization and ask, "When my employee does all of these tasks,
what has been produced or what service has been rendered?" In this case, the product of the
grouped tasks would be a clean, healthy environment.
For assistance with the task listing, refer to the position's job description and the position
classification questionnaire. You may find that there are two or three actual services or
products that result as a consequence of the employee's efforts.
It is essential that you realize that the job assignments and the expectations of
performance are developed for the position, not the employee. Whether the employee
has been on the job for 20 years or 20 days is irrelevant to the establishment of criteria. Your
20-year employee may leave next month and the replacement will, within a specified time
period, have to accomplish the workload of that position. Therefore, expectations for the
position should be developed based upon the current workload of the organization.
13
For example, if there are 400 clients to serve each week and there are 10 employees to serve
these clients, then the expectation might be that each employee should serve 40 clients per
week. It is recommended that you select 4-8 tasks that are essential to success and list the
measurement criteria for each task. The selection of products, tasks, and standards focuses
the appraisal on the individual employee’s performance and the expected results for the
organization. Examples of some effective criteria appear at the end of this section. Get input
from your peers and managers to assist in developing criteria.
Finally, you must prioritize the job assignment statements. The priority number, 1-4, is
entered in the small block in the upper left corner of the job assignment block. The priority
allows you to communicate to the employee the area of the job you feel is most important.
Example:
Mission of the organization: To provide custody, security, and rehabilitative services for all
residents.
Position: Juvenile Correctional Officer (JCO)
On a worksheet, list the tasks accomplished by the position.
1- Escort residents to all appointments.

2- Supervise residents during daily tasks.
3- Counsel residents on their behaviors and rehabilitative progress.
4- Discipline residents when procedures are violated.
5- Protect residents from reprisals by other residents.
6- Conduct head counts and bed checks.
7- Maintain positive control of residents when outside the facility.
8- Testify, as necessary, in judicial proceedings regarding residents.
9- Talk daily with residents and report on progress of education and behavioral changes.
10 - Complete in-processing report on all new residents.
11 - Attend and provide information for each resident’s rehabilitation program.
12 - Encourage open communication within your assigned cottage and among your
assigned residents.
13 - Comply with organizational policies and regulations.
14 - Serve as mentor (role model, counselor, advisor, supervisor, teacher, etc.) for assigned
residents.
15 - Redirect the negative behavior of the residents toward positive activities.
14
After reviewing the list, the JCO supervisor must then determine what service or product is to be
delivered by the position. Remember to keep the mission of the organization as a focal point of why
the job exists. In this example, the JCO accomplishes two major Job Assignments:
1. Maintain custody and ensure the safety and security of the residents.
This is supported by tasks 1,2,4,5,6,7,10,13,15.
2. Create an environment that supports and facilitates the rehabilitative process.

This is supported by tasks 1,3,4,8,9,10,11,12,13,14,15.
Some more examples of job assignment statements:
Instructor - Produce course curriculum for delivery to state employees.
Investigator - Provide proof of compliance/non-compliance with state

law/regulations.
Supervisor - Provide effective supervision for assigned personnel.
Highway Maintainer - Maintain all assigned equipment.
Museum Specialist - Develop and maintain exhibits.
Nurse Tech - Provide personal and medical care to residents.
Auditor - Educate clients on proper procedures while initiating corrective action.
Some examples of task and criteria for the above positions include:
JCO
• Conduct hourly bed checks and report status to the control desk 15 minutes after
each hour.
• Complete processing packet within first 15 days of client being remanded to your
custody.
• Submit packet for review and approval by your supervisor and the designated
counselor.
Instructor –
• Develop Curriculum within 30 calendar days of assignment.
• Complete curriculum will consist of lesson plan, example charts, student
handouts, and a complete set of overhead slides (paper copy).
Investigator - Begin all investigations assigned within 48 working hours.

- Coordinate investigation with your supervisor and the assigned prosecuting
attorney.
15
Supervisor - Initiate and complete performance appraisals for your assigned personnel in
accordance with State Personnel Board Rules and Agency Policy. Note: The rules
and policy will have criteria that apply to several measurements:
Time -initiated within 45 days of the beginning of the appraisal period.
Quality - The supervisor must be trained in the PAD process prior to appraising the
employee.
Highway Maintainer - Perform preoperative maintenance on all equipment in accordance

with the appropriate user’s manual. Note: In this case the user’s manual must be
accessible to the employee when the equipment is assigned.
Museum Specialist - Review all assigned exhibits daily to ensure no damage or

unauthorized alterations have occurred.
- All printed information must be standardized at pitch 12 and displayed for easy access
by all viewers.
Nurse Tech - Administer proper medication, at the appropriate times, to all assigned patients.
Note: This will include quantity (dosage) and time intervals.
- Provide personal assistance, as necessary, to assigned patients. Note: This may
include writing/reading letters; assistance with dress, accompanying the patient during
walks outside, etc.
Auditor - Provide a comprehensive report to the client, enumerating each deficiency and
steps to correct the deficiency.
-Complete audit report for the agency in accordance with policy. Note: Policy must
be available to the auditor.
The standards for each of the above positions may differ from job to job and facility to facility.
For example, it is possible that parole officers in Albuquerque may have fewer clients than
their peers in Farmington or Roswell due to both client population and numbers of employees.
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PERFORMANCE COMPETENCIES
Purpose:
SPB 231 requires the identification and appraisal of performance-related competencies. A

competency is an underlying personal characteristic that can be observed, measured
or counted in a person’s behavior. Competencies can significantly distinguish between
Needing Improvement, Meeting Expectations, or Exceeding Expectations in job performance.
Competencies can be skills, motives, traits, self-concepts, attitudes values, or content
knowledge. True competencies add value to the job and predict success. While the job
assignments identify WHAT is to be produced by the position, competencies allow the
supervisor to appraise HOW the employee does the job. Competencies provide the
supervisor with an additional means to differentiate job performance and distinguish between
the employees who meet, exceed, or fall short of stated expectations.
A list of the nine approved New Mexico State Government competencies, plus their measurably
different levels of demonstration, follows the Instructions.
Instructions:
The appraisal process is intended to be an open process that involves you and the employee.
At the beginning of a rating period, you and your reviewer should have agreed on the specific
competencies that support success in the position(s) you supervise. This agreement may
require an in-depth analysis of what the position is expected to produce and the nature of the
major tasks that will result in the desired outcome. What aspects of personal behavior should
support the performance of these duties? When you meet with the employee,
• Discuss the definition of each competency. Identify and explain the level (Acquiring,
Utilizing, Developing, Mastering) of competency demonstration expected for the
position. You will in effect, be describing what “Meets Expectations” is in each
competency area.
• Acquires: To attain or learn.

• Utilizes: Applies when appropriate on the job.
• Develops: Improves or enlarges upon a competency already
utilized.
• Masters: Demonstrating high proficiency, serving as a role model
or mentor for the competency.
Agree on specific examples of how the competency will be demonstrated and observed.
These discussions should establish mutual understanding of the expectations for this
competency. You and the employee might also discuss the types of behavior, motives, traits,
attitudes, etc., that would exemplify other ratings besides “M”.
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NM. HR. 2001 –
Anatomy of a Competency
COMMUNICATION
4 Levels ACQUIRE UTILIZE DEVELOP MASTER
of
Mastery
BEHAVIORAL INDICATORS
Communicates Seeks to Uses Provides

in a way that is understand different coaching and
accurate, others from ways of feedback to
timely and their own conveying a help others’
easy to frame of message to skills
understand reference add clarity
and meaning
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SUGGESTED COMPETENCY DEFINITIONS
1. Organizational Awareness - Understands organization and aligns behavior with agency

mission.
2. Analytic Thinking - Identifies patterns or connections between situations that are not
obviously related.
3. Strategic Thinking (for Manager Category employees) – Takes broad, long-term view;
assesses implications of actions; takes initiative.
4. Communication - Clearly conveys and receives messages to meet the needs of individuals
and groups.
5. Personal Skills - Develops and maintains mutually beneficial relationships.
6. Teamwork Works cooperatively and productively with others to achieve results
7. Leadership Positively influences people and events.
8. Results Orientation - Knows which results are important, focuses resources to achieve
goals.
9. Uses Technology - Effectively applies technology to maximize production.
10. Cultural Understanding - Recognizes and articulates the mutual benefits of diversity.
No fewer than 3 and no more than 9 competencies should be selected. Similar jobs
will normally require the same or similar competencies. However, there will be instances
where two individuals who are doing the same job might have different competencies to either
develop or demonstrate. You should candidly discuss with the employee the reason a
competency is selected -- regardless of whether it is selected by the agency, you, or the
employee.
Once selected, the competencies should be recorded on SPB Form 231 in the appropriate
locations; (Part II A page 2; Part II B, page 6, and Part II page 4). The competencies should
also be recorded on the Interim Review Form.
Throughout the appraisal period the supervisor should document and discuss with the
employee any observations, incidents, or experiences related to the identified competencies.
Ongoing feedback will help the employee understand the behavioral meaning of the
competency; it will also help clarify the expectations of the supervisor.
Competencies will be reviewed at least semi-annually and appraised annually for all
employees. Under certain circumstances, the reviews will be more frequent.
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SPO
• LEADERSHIP
• COMMUNICATION
• CULTURAL UNDERSTANDING
• PERSONAL SKILLS
• TEAMWORK
• ORGANIZATIONAL AWARENESS
• USES TECHNOLOGY
• RESULTS ORIENTATION
• ANALYTIC THINKING
20
When rating competencies (Final Appraisal or Interim Review) you should schedule a formal
meeting with the employee. Enough preparation time should be allowed so both of you can
review the achievements and prepare comments and ratings. Prior to the meeting, the
employee submits self-rating and explanatory comments for each competency. After
considering the employee’s input and determining each competency rating, you should explain
your ratings and how they were determined. Written comments should be objective and
based on your direct observation. The form is the record of the specific details and
explanations. They should include measurable and observable behaviors, which support your
conclusions. You should communicate and document the employee’s strengths and
weaknesses and provide guidance on how performance may be improved and deficiencies
corrected for each competency.
Any rating of Needs Improvement or Unacceptable should have a detailed development plan
on how the employee can reach a Meets Expectations rating. Note: If an N or U rating is
given at a semi-annual or third quarter review, the written development plan should
also explain the consequences of continued poor performance. Depending on the
circumstances, the employee could be denied a performance pay increase or be subject to
formal discipline.
Examples:
1. What competencies would be relevant to appraise an employee who meets the general public
and answers a general telephone number in a high traffic/phone volume office? A supervisor
might choose Communication, at the Acquires (A) level of proficiency, as a competency.
Would this competency help differentiate how one employee would perform on the job when
compared to another employee? Is it a competency that can add value or help predict a
person’s success in the position? If Communication is selected, the supervisor should explain
what attitudes, values, and behaviors define good Communication in that job. Examples that
explain the competency might include
• Discriminating among the general types of inquiries the office receives.

• Ensuring follow-up to any referrals made.
• Providing concise and efficient responses to inquiries.
Throughout the appraisal period you would discuss incidents and experiences that help to
further clarify expectations related to the selected competencies.
2. What competencies would be selected for a first line supervisor? Easily, competencies like
Leadership and Results Orientation come to mind. Leadership, at the Utilizes (U) level of
demonstration, would take the form of effective coaching of subordinates. The competency
might be defined in terms like these:
• Identifying performance strengths and areas for improvement.

• Providing timely and appropriate coaching interventions.
• Monitoring and documenting employee’ development and contributions.
• Providing positive reinforcement and morale enhancements.
21
MULTI-SOURCE ASSESSMENT
Purpose:
The multi-source assessment of competency performance provides the organization,

management, and the employee an opportunity to see, through feedback, how their actions,
behaviors and attitudes affect the work unit and those they serve. It is not uncommon to find a
supervisor who communicates well with management but not as well with subordinates or
peers. Whatever the reason, this type of assessment will identify the problem and allow the
manager to develop the supervisor's communication skills. State Personnel Board Rule
1.7.9.4 NMAC requires that, at a minimum, the supervisor and the employee participate in this
portion of the assessment. In some cases the Agency management may decide which
additional sources will be used. For each source selected, the method for capturing feedback
(from customers, peers, the employee, or subordinates) must be developed and agreed upon
in advance.
Agencies and departments are free to develop their own customer feedback forms and peer
appraisal techniques.
Instructions:
At the beginning of the appraisal period the supervisor and the employee will discuss which
sources will be used in the assessment, which specific competencies will be the focus of multi-
source input, how the data will be collected; and specify the weighting of each source used.
Should peers and/or customers be selected, these groups must be identified at the beginning
of the appraisal period. Since supervisors' jobs differ from agency to agency and even within
the same division, those agencies and managers desiring to receive feedback from
subordinates should develop their own feedback forms.
You must realize that often customers may not be able to provide feedback on all of the
competencies that have been selected. Customer input should be restricted to those behaviors they
can personally observe. For example, how can a customer evaluate the teamwork behaviors of an
employee?
This first use of customer, peer, or subordinate input should be experimental and
not be incorporated into the overall assessment. After the first year's assessment
is completed, management can review the process and the benefits, as seen by
supervisors and employees, to determine if the process will be continued and
become a recorded part of the next appraisal.
Several key issues accompany multi-source appraisals and are discussed below.
Confidentiality is a must if management is to expect realistic, and honest feedback from

peers and subordinates.
Data must be gathered and consolidated into a single assessment.
22
Another issue is the weighting of the sources. If it is not specified otherwise in your Agency
Performance Appraisal Policy, SPO suggests a 70% weight for the supervisor and 30% for the
employee and other sources. In the second year the 30% weight may be split appropriately
among “other” sources. If the position is one that constantly meets with and serves the public,
the Agency or supervisor may elect in year two to weight the customer assessment at 20%,
the supervisor at 70% and the employee's self-assessment at 10%.
One of the benefits of this type of weighting is the message to the employee that the
customers, as a group, will have a relatively significant input. The same emphasis can be
used, in year two, with peer ratings if it is essential that the employees work together as a
team in order to accomplish the mission. In this case the supervisor's rating might be
weighted at 70%, the employee's self-assessment weighted at 15%, and the peers at 15%.
Whether the Agency or supervisor decides to collect non-employee input daily, monthly, one
week per quarter, annually, or any combination of these methods, it must be decided at the
beginning of the appraisal period. Agencies and/or supervisors must develop an effective
questionnaire that will allow the information to be transferred to the appraisal form and is
relevant to the competency selected. It is also essential that all employees involved know the
definitions and examples of behaviors that relate to each competency. This information is
essential before an employee can accurately appraise a peer or supervisor, and this may
require some in-house staff training on those issues.
The only time the multi-source assessment input is required is at the end of the appraisal
period. However, to be fair to the employee it is recommended that feedback from all sources
be provided at the interim review as well. With this information the employee can institute
changes in the way customers and peers are dealt with in order to correct any deficiencies,
shortcomings, misunderstandings (either in competency definitions or in treatment of
peers/customers) and improve the how part of the job appraisal.
Examples:
Highway Crew Supervisor- Year one, Supervisor -70%, employee - 30%, peer - 0%. Year
two, Supervisor 70%, employee 20%, peer 10%. The ability to collect customer input is
limited.
Corrections Officer- Year one, Supervisor -70%, employee - 30%, peers -0%. Year two,
Supervisor-70%, employee-15%, peer-15%. You probably don't want the clients' input.
Organizational Team - Year two, Supervisor - 70%, employee - 5%, peers - 25%. This
places emphasis on cooperating and working with the members of the team.
Note: These are just examples. In year two, you or your agency can assign whatever
weights are deemed appropriate for the position.
23
EMPLOYEE DEVELOPMENT PLAN
Purpose:
It is important to note that this portion of the PAD is NOT optional. In all cases, the
Development Plan will be completed. Even top performers can benefit from a development
plan, and the organization should stand to benefit as well.
In the case of new employees or newly promoted employees, learning all aspects of their new
position is crucial to earning an appraisal Rating of Meets Expectations. And meeting
expectations is equal to making the needed contribution to the agency’s strategic outcomes.
To the experienced employee, improving performance to demonstrate the acquisition of
knowledge, skill or competencies needed to support the agency’s strategic plan is a potential
performance goal. In both cases, a commitment to employee development is in the best
interests of the organization.
The Development Plan is page 3 of the PAD. First, it asks the supervisor to identify the
intended performance goal the development is seen to support; also, this goal should be
linked to some specified need of the organization or unit.
Next, the topic or area addressed by the plan should be identified, and then the expected
outcome with the means to be used to measure the effectiveness of the plan.
Action Steps will identify the specific activities and responsibilities that will make the plan
successful. What will the supervisor do? What will the employee be responsible for?
Performance goals and the development to support them may change or be added throughout
the year. At the time of appraisal, however, Development Plan accomplishments should be
acknowledged in Part 1C of page 5, Overall Rating Recommendation.
A revised and in-depth development plan must be written for those employees
receiving a Needs Improvement or Unacceptable rating on either an interim review or final
appraisal. This will advise the employee of the steps to take to achieve a Meets
Expectations rating. If the employee does not comply with the development plan when given
every opportunity to do so, and continues to be appraised below the Meets Expectations
level on performance, the PAD and the record of non-compliance provide an important and
defensible basis for disciplinary action.
24
Instructions:
This portion of the PAD needs to be filled out with the employee. Together, the supervisor
and the employee determine the performance areas in the present job requiring
developmental support. Both short and long-term performance goals should be considered. In
some cases, technical or professional standards may be the primary source for identifying the
necessary developmental support, e.g., training required for re-certification or to maintain
licensure.
It may require more direction from, or a discussion with, your reviewer to ensure that any
development strategies you design with the employee will enjoy reviewer support. Once the
development plan is complete and the reviewer has approved and signed off on the Job
Assignments, Competencies and Development Plan, you and the employee will sign and date
the appropriate block on page 4 of the PAD, entitled Initial Performance and Development
Plan.
The PAD is now in effect.
25
INTERIM REVIEWS
Purpose:
Interim reviews of both Job Assignments and Performance Competencies are required for all
employees at least semi-annually. The purpose is to assure that employees and supervisors
discuss the organization’s mission, the job’s purpose, the performance expectations, and the
employee’s performance related to those standards more often than once a year.
The interim review will allow feedback, updated job assignments, revised standards, review of
progress, and any other necessary adjustments before an annual appraisal is required.
Probationary and newly promoted employees and new supervisors require quarterly interim
reviews for a period of one year (1.7.9.9c NMAC).
In addition to required reviews, a supervisor may conduct a review or appraisal whenever

deemed appropriate. Although reviewer involvement is not required during interim reviews,
keeping your reviewer informed about your year-round supervisory activities is
advised.
Discussion:
The entire Performance Appraisal and Development process is intended to be a living process
that occurs in a dynamic and constantly changing work environment. The interim reviews not
only encourage--but requires--an ongoing discussion between you and the employee about
the expectations and needs of the organization and how the employee is performing.
Too often, annual evaluations have been one-time events completed simply to fulfill a
burdensome requirement. An ongoing dialogue develops a relationship that is more current
and focused on fulfilling the organization’s mission. With interim reviews, employees will know
what is expected of them, what standards they must meet, and what they must do to develop
themselves.
Changes in an employee’s performance, either positive or negative, can be identified sooner

and appropriately recognized or dealt with. When the interim reviews are used appropriately,
the annual appraisal rating should not come as a surprise to the employee, and you will have
ample information and documentation to determine the final rating. Although this step will
initially make additional demands on your time, it is a critical tool that will ultimately make the
job of supervision more enjoyable, productive, and efficient.
• Quarterly reviews are required for a probationary employee, a newly appointed

supervisor or manager, and an employee promoted to a new position, for the first year.
• Quarterly reviews are highly recommended under the following conditions:
Employee who has significant change in job assignments, for first year;
Employee who receives a rating of Needs Improvement or Unacceptable on any job
assignment or competency, until rating is Meets Expectations.
Agencies may develop their own Interim Review Form or use the example form, pages i and ii.
26
WEIGHTING AND VARIABLE WEIGHTINGS
Purpose:
Variable weights are intended to show the relative value/importance of the parts of the
assessment to the employee’s final performance rating. Variable weighting occurs in two
places in the process and on SPB 231. The first is between Job Assignments (Part I) and
Competencies (Part II). The second variable weighting is within the Competencies section
itself. The various sources of input for the multi-source assessment--if used--should each
have an individual weight as well.
Weighting is a relatively new concept for agencies/supervisors to use in performance

appraisals. Although the appraisal process is not intended to be a mathematical one,
percentages are a simple and easy-to-understand way of conveying the relative importance of
different parts or sources of input into the appraisal decision. Unless your agency has a
specific variance indicated in your Agency Performance Appraisal Plan or Policy, the SPO-
recommended weights are the following:
Job Assignments – 70%

Competencies - 30% (Supervisor 70%, Employee 30%)
Total Rating -100%
Unless your agency policy dictates otherwise, you should enter 70% on the Part I box and the
Initial Performance and Development Plan box on Page 4 of the Form SPB 231. The 30% for
Performance Competencies would be entered under the Part II box and the Initial
Performance and Development box on page 4 of the SPB 231.
27
PERFORMANCE RATING AND FINAL APPRAISAL
Purpose:
The ultimate product of the Performance Appraisal and Development process is the Final
Performance Appraisal Rating. The rating will be used to determine an employee’s eligibility
for any legislatively-approved performance raises, and should be considered in promotional
opportunities. The rating combines the overall Job Assignment Rating and the overall
Performance Competency Rating, with their pre-determined weights, to produce a single
rating that indicates the employee’s year-long efforts as measured against pre-established
expectations. The employee performance rating will be
• Greatly Exceeds Expectations (G)

• Exceeds Expectations (E)
• Meets Expectations (M)
• Needs Improvement (N)
• Unacceptable (U)
Expanded definitions of the ratings are in the Appendix. Your agency may, by its own policy,
use different terms, but the meanings of the various ratings of performance must conform to
the definitions of the above terms in the Glossary, which come from 1.7.9.10 NMAC. Form
SPB 231 contains no numerical equivalents for the final rating or for any of the individual Job
Assignment or Performance Competency ratings. The individual ratings and the Final Rating
are the subjective judgment of the employee’s supervisor. When the total process has been
used-- including meetings with the employee, interim reviews, and documentation of
performance-- the supervisor’s judgment will be supported based on a year of observation,
experience, and results.
Discussion:
“The performance and development of a career employee shall be appraised by the

immediate supervisor on an annual basis . . .,” 1.7.9.9B NMAC. This has historically been
done in conjunction with the employee’s anniversary date. However, beginning July 1, 2002,
appraisals will be conducted within a Focal Point Evaluation period identified by each
agency as the 30 to 60-day period during which all employee appraisals will be
conducted.
The supervisor should plan the appraisal schedule allowing enough time for all people
involved to be prepared. Enough time must be allowed to implement the multi-source
assessment process agreed to at the beginning of the appraisal period. Board Rule requires
that employee self-evaluation be included in the process. The reviewer should be informed of
the schedule, and performance data related to job assignments should be collected.
28
Job Assignment Rating:
Once all necessary information has been collected and evaluated, you should rate each Job
Assignment individually. Each Job Assignment should receive a rating based on how actual
performance compared with the expectations stated and documented at the beginning of the
appraisal period.
Rating each Job Assignment individually will provide you with up to four separate ratings for
Job Assignments. Based on these four ratings you must derive a single overall Job
Assignments Rating. If all four ratings are the same, the final Job Assignment Rating will be
obvious. If two of the ratings are the same, and two others are a different rating, you must
make a judgment, considering the relative priority of the Job Assignments, as to the overall
Job Assignment Rating. Although this may appear subjective, you should be able to explain
your choice based on the reports and documentation you gathered throughout the year.
Performance Competency Rating:
After all information for the Performance Competency multi-source assessment has been
gathered, it should be transferred to the proper place on State Personnel Board Form 231.
Whatever process was described at the beginning of the rating period should be followed
explicitly, paying particular attention to confidentiality concerns. Based on the sources of input
there may be up to four ratings per competency. After reviewing the pre-determined variable
weight and the ratings for each competency, you will then determine a single rating for each
competency.
You will then make a single Final Performance Competency Rating which combines all
competencies being evaluated. Once again, if the majority of the three to nine individual
competency ratings are the same, the Final Competency Rating will be obvious. If the
Competency Ratings vary, you must make a judgment as to the overall competency rating.
The reports and documentation made throughout the appraisal period should guide
your decision and allow you to explain the overall rating to the employee. It is important to
remember that the overall rating should represent the products, behaviors, and events of the
entire rating period, not just the last three to six months.
29
Examples:
1. Where peer and customer ratings are included, the weights might be: Supervisor-
70%, Employee-10%, Peer-10%, Customer-10%.
2. Where the supervisor wants to emphasize the customer input, the weightings might be:
Supervisor-70%, Employee-10%, Customer-20%.
3. Where the employee competencies are
• Organizational Awareness
• Results Orientation
• Teamwork
• Communication
• Uses Technology
• Personal Skills
and the input source is the customer, the customers might only rate Communication and Personal
Skills. If peers were providing input, they might rate Results Orientation, Personal Skills, Teamwork
and Communication, since those are the ones they would have experienced firsthand. Again, this
would have been determined at the outset, when the PAD was being put into effect.
Final Performance Appraisal:
At this point the overall Job Assignment Rating with its relative weight and the overall
Performance Competency Rating and its relative weight should be entered in the bolded box,
Final Performance Appraisal. If both the Job Assignment Rating and the Performance
Competency Rating are the same, the Final Appraisal Rating will be obvious. If the two
ratings are different, the weighting should assist in determining the Final Rating:
This Final Performance Appraisal Rating will be used to determine the employee’s eligibility
for any legislatively approved performance pay increase. You should be aware of and follow
your agency’s procedures for the internal processing of State Personnel Board Form 231.
30
LEGAL CONSIDERATIONS FOR PERFORMANCE
APPRAISALS
The Performance Appraisal and Development process provides a tool to document and
appraise an employee’s performance and development. The appraisal rating is directly linked
to the employee’s eligibility for any legislatively-approved performance raises. As an
employer, the state of New Mexico and its agencies are subject to any Rules approved by the
New Mexico State Personnel Board.
In addition, agencies may have internal policies or procedures related to the appraisal of
employee performance. Supervisors have a responsibility to comply with all laws, rules, and
policies. Your Agency’s personnel professionals and legal counsel are available to assist you
with very specific legal questions. However, there are a number of general suggestions that
will assist you in preparing a legally defensible performance appraisal.
Each employee should have a clearly defined job description. The Job Assignments and
Competencies should clearly communicate what the job entails. Expectations and standards
should also be clear. You should have received training before conducting an appraisal. You
should explain the process and the form to the employee at the beginning of the appraisal
cycle. This is extremely important with the use of the multi-source assessment. You should
always follow the established procedures.
Any appraisal of employee performance must be based on the observation and results of job
related behavior and never include unsupported impressions, opinions, or assumptions. You
should write the documentation in objective language that is supported by hard facts, concrete
explanation, specific examples, and/or personal observation. To do an appraisal, you must be
in a position to have firsthand knowledge of the employee’s actual performance.
The interim review and the final appraisal must include a discussion between you and the
employee about the documented performance. The written and verbal comments should be
candid and concise. You should always have the employee acknowledge the review and
appraisal by signing and dating the form.
Each agency should establish a process that gives the employee the right to appeal a rating to
someone other than the rater, and you should ensure that the employee is aware of the
process. After you have rated your employee, you should make sure the reviewer sees and
signs SPB 231. The reviewer’s role is to monitor the appraisal for compliance, effectiveness,
and equity. Performance appraisals are confidential documents, and care should be taken to
assure their confidentiality.
As a supervisor, you are not expected to be a lawyer. However, you are expected to
observe and document performance and communicate with the employee. When
confronted with a legal question or a situation you are uncertain about, do not hesitate to
utilize your Agency’s resources such as the personnel officer, legal counsel, and upper
management.
31
APPENDIX
32
TITLE 1 GENERAL GOVERNMENT ADMINISTRATION
CHAPTER 7 STATE PERSONNEL ADMINISTRATION
PART 9 PERFORMANCE APPRAISALS
1.7.9.1 ISSUING AGENCY: State Personnel Board.

[1.7.9.1 NMAC – Rp, 1 NMAC 7.9.1, 07/07/01]
1.7.9.2 SCOPE: All state agencies in the classified service.

[1.7.9.2 NMAC – Rp, 1 NMAC 7.9.2, 07/07/01]
1.7.9.3 STATUTORY AUTHORITY: NMSA 1978, Section 10-9-10(A) (Repl. Pamp. 1995) and NMSA
1978, Section 10-9-15 (Repl. Pamp. 1995).
[1.7.9.3 NMAC – Rp, 1 NMAC 7.9.3, 07/07/01]
1.7.9.4 DURATION: Permanent.

[1.7.9.4 NMAC – Rp, 1 NMAC 7.9.4, 07/07/01]
1.7.9.5 EFFECTIVE DATE: 07/07/01 unless a later date is cited at the end of a section.
[1.7.9.5 NMAC – Rp, 1 NMAC 7.9.5, 07/07/01]
1.7.9.6 OBJECTIVE: The objective of Part 9 of Chapter 7 is: to provide for the regular appraisal and
documentation of employee performance and review of agency compliance in conducting
performance appraisals.
[1.7.9.6 NMAC – Rp, 1 NMAC 7.9.6, 07/07/01]
1.7.9.7 DEFINITIONS: [RESERVED]

[1.7.9.7 NMAC – Rp, 1 NMAC 7.9.7, 07/07/01]
1.7.9.8 FORM:
A. The performance and development of employees shall be documented on an appraisal form

approved by the Director and shall become a part of the employees’ employment history and filed
with the Office.
B. A performance and development plan shall be initiated within 45 calendar days of appointment,
reassignment, promotion, demotion, reduction, transfer and/or the employee’s appraisal date.
C. Appraisals may be performed whenever a supervisor wishes to make an employee’s performance a
matter of record, upon change of supervisor, or whenever deemed appropriate.
[1.7.9.8 NMAC – Rp, 1 NMAC 7.9.8, 07/07/01]
33
1.7.9.9 PERFORMANCE APPRAISAL:
A. Managers and Supervisors must successfully complete a Director-approved course of study on

employee performance appraisal within 45 days of appointment as a supervisor.
B. The performance and development of a career employee shall be reviewed semi-annually and
appraised by the immediate supervisor each year on the employee’s appraisal date.
C. The performance and development of a probationary employee shall be reviewed quarterly and
appraised by the immediate supervisor before the end of the one-year probationary period.
Performance and development of newly-appointed Managers and Supervisors and newly-promoted
employees shall be reviewed quarterly for the first year of appointment.
D. The appraisal of employee performance shall include the supervisor and self and additional
evaluation(s) (peer, customer, subordinate, etc.) when deemed appropriate.
E. Managers and Supervisors who fail to comply with the provisions of 1.7.9 NMAC shall be subject
to disciplinary action including dismissal.
[1.7.9.9 NMAC – Rp, 1 NMAC 7.9.9, 07/07/01]
1.7.9.10 FOCAL POINT APPRAISAL (This section effective as of July 1, 2002)
A. Each agency shall develop an agency plan, which outlines how it will conduct employee
performance appraisals in accordance with these rules and the audit guidelines established pursuant
to Paragraph (1) of Subsection A of 1.7.1.8 NMAC. The plan and its guidelines shall be approved
by the Director prior to the agency awarding a pay increase, pursuant to Subsection B of 1.7.4.11
NMAC, and will be reviewed by the Board annually. Agency-specific provisions defining the
process and guidelines shall ensure that distribution of ratings will not significantly favor one
group of employees over another, and that its plan supports equity and fairness in its administration
of performance appraisals.
B. Agencies shall select a specific focal point period of time, not to exceed sixty (60) consecutive
days between July and November, inclusive, to conduct appraisals and rate all employees on their
performance using a form approved by the Director.
C. Agencies shall have a five-tier appraisal rating system. Unless otherwise specified by agency
policy, the ratings will be named: Greatly Exceeds Expectations; Exceeds Expectations; Meets
Expectations; Needs Improvement; Unacceptable. If agency policy substitutes alternative names,
the agency name for the top tier rating shall use the Office definition for Greatly Exceeds
Expectations; the agency name for the second tier rating shall use the Office definition for Exceeds
Expectations; the agency name for the third tier rating shall use the Office definition for Meets
Expectations; the agency name for the fourth tier rating shall use the Office definition for Needs
Improvement; the agency name for the fifth tier rating shall use the Office definition for
Unacceptable.
[1.7.9.10 NMAC – N, 07/01/02]
1.7.9.11 REBUTTAL: Employees may submit a rebuttal to performance appraisals, which shall become a
part of the performance appraisal.
[1.7.9.11 NMAC – Rp, 1 NMAC 7.9.10, 07/07/01]
34
1.7.9.12 REPORT TO THE BOARD: During the fourth quarter of each calendar year the Director shall
report to the Board on the record of each agency in conducting performance appraisals of its
employees in the classified service. Agencies shall cooperate with the Director, in accordance with
the provisions of NMSA 1978, Section 10-9-15 (Repl. Pamp. 1995), and provide the Director with
such information concerning its performance appraisals as the Director may require.
[1.7.9.12 NMAC – Rp, 1 NMAC 7.9.11, 07/07/01]
HISTORY OF 1.7.9 NMAC:

Pre-NMAC History:
Material in this part was derived from that previously filed with the commission of public records - state
records center and archives as:
° SPB Rule 17, Performance Evaluation and Training, filed 05-22-80;
° SPB Rule 17, Performance Appraisal and Training, filed 06-03-81;
° SPB Rule 17, Performance Appraisal and Training, filed 10-21-82;
° SPB Rule 13, Leaves of Absence, filed 07-22-82;
° SPB-9, Performance Appraisals filed 04-04-90;
° SPB 12, Performance Appraisals, filed 12-15-92;
° SPB 9, Performance Appraisals, filed 03-18-94;
History of Repealed Material:

1 NMAC 7.9, Performance Appraisals, filed 06-13-97.
Other History:
1 NMAC 7.11, Performance Appraisals, filed 01-12-96 replaced SPB 12, filed 12-15-92;
1 NMAC 7.11, Performance Appraisals, filed 05-02-96;
1 NMAC 7.11, Performance Appraisals, filed 05-02-96 replaced by 1 NMAC 7.9, Performance Appraisals,
filed 06-13-97;
1 NMAC 7.9, Performance Appraisals, filed 06-13-97 replaced by 1.7.8 NMAC, Absence and Leave, effective
07/07/01.
35
GLOSSARY
Acquires -the level of competency development and demonstration characterized by
learning.
Activity -the actions used to produce a product or end result. For example, gathering
data, interviewing clients, processing permits, delivering classes.
Anniversary Date-the employee’s date of appointment to the current Technical Occupation

Group or Manager Category.
Appraisal -the act of rating the value, quality, and importance of an employee’s
performance.
Behavior -the observable actions, conduct, or responses of a person in workplace

interactions.
Compa-ratio -pay expressed as a percentage of the midpoint of a salary grade.
Competency-an underlying characteristic of an employee’s behavior which can be

measured or counted and significantly distinguishes between needing
improvement, meeting expectations, or exceeding expectations in job
performance. The level of job performance is directly related to that
competency. Competencies can be skills, motives, traits, self concepts,
attitudes, values, or content knowledge. True competencies add value to the
job and predict success.
Criteria -realistic and effective measurements of a job assignment or competency.

Criteria are utilized for the determination of an appraisal rating.
Develops -the level of competency development and demonstration characterized by an

enhancement or expansion of the desired behaviors with consequent impact on
one’s own performance.
Exceeds Expectations- a performance appraisal rating for the employee who is a very high
achiever for the level and grade, consistently out-performing others with similar
job functions and responsibility; consistently exceeding the stated objective and
standards in job assignments and/or competencies.
External customers-individuals outside the employee’s agency who receive service directly
from the employee or as a result of the employee’s work efforts. External
customers are members of the general public, other state agencies, private
sector companies or members of any other organization.
36
Focal Point-The 30 to 60-day period during which an agency conducts annual performance
appraisals of all its employees.
Goals -the general ends toward which organizations direct their efforts.
Greatly Exceeds Expectations-a performance appraisal rating for the exemplary employee
who redefines standards for the entire team, raises the bar; provides leadership
and mentoring which impact significantly on team morale and problem-solving;
contributes measurably to team success.
Internal Customers-other employees within the agency, office, or work unit who are served
by the employee.
Interim Reviews-reviews that happen throughout the appraisal period that allow the
employee and the supervisor to discuss the employee’s performance thus far,
how it supports the goals of the unit or agency, and how performance
compares with the criteria established at the beginning of the appraisal period.
Job Assignment-essentially it is the reason the position exists. It is phrased as an

“outcome of an activity or several activities.” Job Assignments include the most
important assignments and expectations of the position. Job Assignments
should state what action the employee is to take, what action is being
performed, and what will result from the action. (Performance Outcomes,
Primary Responsibilities, Performance Objectives)
Job Worth -represented by the midpoint of a salary grade and is the value of a job based
on an analysis of like jobs in a specific comparator market. When a person is
rated as “meets expectations,” it means fulfilling predetermined expectations
and represents full performance.
Masters -the level of competency development and demonstration characterized by

high proficiency and impact on unit/organizational outcomes.
Meets Expectations-performance appraisal rating for the employee who is a fully developed
achiever, operating with minimal supervision and meeting well-stated
objectives and standards. It also includes the employee who makes a solid
contribution in response to well-defined instructions and guidance in both job
assignments and/or competencies.
Mid Point -in a salary grade, it is the point half way between the minimum and maximum
of a grade. A compa-ratio of 100.0 percent of the salary grade value, and
represents full performance.
37
Mission -the reason for an organization’s existence. A succinct statement of what an
organization does, why, and for whom it is done.
Multi-Source Assessment (360) Assessment -an assessment system which includes

appraisal from other sources in addition to the supervisor. The sources may
include one or more of the following: the employee, peers, or customers. In the
appraisal of a supervisor, it could include subordinates.
Needs Improvement-performance appraisal rating for the employee who is not consistently
meeting all job assignments and/or competencies and needs more supervision
than should be required for someone with similar job functions and
responsibilities.
Objectives -clear targets for specific action. They are linked directly to an organization’s
goals. They are measurable, time-based statements of intent.
Outcome -the measurable impact of agency programs and their constituent outputs.
Outputs -actual services or products delivered by the employee or unit.
Output measures-tools or indicators used to count services and products produced by the
employee.
Peers -for purposes of evaluating competencies, peers may be employees in the

same agency who have the same level of duties within the same job
classification. Peers may be all the co- workers in the same unit. Peers may
be employees in a position comparable to the employee being evaluated and
with the same responsibilities.
Reviewer -the person who is designated to review and approve a performance appraisal
created by a supervisor; usually the supervisor’s supervisor.
Service- -useful work, provided to or for the benefit of others, that does not produce a
tangible commodity.
Supervisor -an employee who devotes a substantial amount of work time to supervisory
duties, who customarily and regularly directs the work of other employees, and
who has the authority in the interest of the employer to hire, promote, and
evaluate the performance of, or discipline other subordinate employees (or to
recommend such actions).
Tasks -the individual and collective activities that an employee conducts in the
performance of the job.
38
Unacceptable-performance appraisal rating for the employee who is a very low achiever
consistently performing at a lower level than others with similar functions and
responsibilities. Requires an excessive amount of supervision.
Utilizes -the level of competency development and demonstration characterized by

appropriate applications of the competency in the context of the job.
Weighting -the relative value of one part of the appraisal compared to another, expressed
as percentages. Two separate weightings are used in the Performance
Appraisal and Development Process. One is the relative value between the
Job Assignments and Competencies sections (Example: Job Assignments,
70%, Competencies, 30%). The second weighting occurs within the
competencies section itself. The relationship between selected sources of
input for competencies must be weighted (Example: Supervisor 70%, Self 15%,
Peer 15%). Consult your agency policy on competency selection and
weighting.
39
PERFORMANCE RATING DEFINITIONS
Greatly Exceeds Expectations: The employee who exemplifies leadership in quantity and quality
of work, motivating the team to higher achievement; a standards re-setter.
• Has singular, significant and measurable impact on the unit’s ability to meet or exceed its
goals.
• Trains/mentors others towards more effective problem-solving and higher performance.
• The employee’s own performance has “raised the bar” or redefined performance
excellence.
• The employee exerts a strong positive influence on team morale and relationships.
Exceeds Expectations: The outstanding employee is a very high achiever for the level and grade,
consistently outperforming others with similar job functions and responsibilities.
• Consistently exceeds the normal scope of the job requirement.

• Applies advanced or innovative problem-solving techniques effectively.
• Works independently in a highly competent and reliable manner, requiring little or no
supervision.
• Is sought out by peers, subordinates, and supervisors for advice and opinions.
• Takes on additional responsibilities and willingly participates in and contributes to
successful team efforts, typically becoming the formal or informal team leader.
• Effectively develops subordinates/peers and increases the output of the group.
Meets Expectations: This employee ranges from one who is a fully developed achiever, operating
with minimal supervision and meeting well-stated objectives, to one who makes a solid contribution in
response to well-defined instructions and guidance.
• Performs major aspects of the job well. Consistently meets the normal scope of the
job’s requirements; can occasionally exceed or fall short.
• Applier effective or innovative problem-solving techniques to a job identified as
important.
• Generally works as an integral part of a team and contributes effectively as a team
member.
• Develops subordinates and peers.
40
Needs Improvement: This employee is not consistently meeting all job requirements and needs
more supervision than should be required for someone with similar job functions and responsibilities.
• Consistently performs one or more aspects of the job below expectations and
established standards.
• Does not consistently apply problem-solving techniques to situations.
• Requires an unusual amount of supervisory follow-up or monitoring.
• May have difficulty working as part of a team.
• Does not effectively develop subordinates and peers.
Unacceptable: This employee is a very low achiever for the level and grade and consistently
performs at a lower level than others with similar functions and responsibilities. Requires an
excessive amount of supervision.
• Consistently performs several aspects of the job below expectations and established
standards.
• Rarely applies problem-solving techniques to problems.
• Consistently has difficulty working as part of a team.
• Does not respond to supervisory counseling or direction for development.
• Continued demonstration of behavior and work performance will lead to disciplinary
action.
41
SPB231
STATE OF NEW MEXICO

EMPLOYEE PERFORMANCE APPRAISAL AND
DEVELOPMENT
Name: SSN: Reason: Annual Other:
Supervisor: Technical Occupations Group

Or Manager Category:
Agency: Tool #: Appraisal period: From To
GENERAL INSTRUCTIONS
Part I is completed by Immediate Supervisor and Employee at the beginning of the evaluation period. It can be modified any time
during this period. See Employee Performance Appraisal and Development Manual for full instructions on each part.
PART I A: JOB ASSIGNMENTS
(Number and list each Job Assignment in order of priority)
Job Assignment, Tasks and Standards
Page 1
42
PART II A: PERFORMANCE COMPETENCIES
Weighting percentage. . . . . SUPV: % EMP: % PEER: % CUST: %
Competency #1: Level of Demonstration Expected A ,U ,D ,M
Examples

Examples

Examples

Examples

Examples

Examples

Examples

Examples

Examples
Page 2
43
PART III: EMPLOYEE DEVELOPMENT PLAN
PERFORMANCE GOAL: GOAL SUPPORTS WHICH UNIT OR

ORGANIZATIONAL OUTCOME
# 1 Development Goal: For Period of:
Action Steps: Outcome: (Knowledge, skills and abilities to be

developed from actions and how
outcome will be measured.)
What will be done:
How will it be done:
To be completed by when:
Assistance or support needed:
Employee’s commitment to plan:
# 2 Development Goal: For Period of:
Action Steps: Outcome: (Knowledge, skills and abilities to be

developed from actions and how
outcome will be measured.)
What will be done:
How will it be done:
To be completed by when:
Assistance or support needed:
Employee’s commitment to plan:
Page 3
44
EMPLOYEE PERFORMANCE APPRAISAL AND DEVELOPMENT
SUMMARY SHEET
PART I: JOB ASSIGNMENTS RATING
INSTRUCTIONS: ENTER THE JOB ASSIGNMENT ONLY; NONE OF THE CRITERIA/MEASUREMENTS ARE NECESSARY
G E MNU
1. JOB ASSIGNMENT 1 RATING:

OVERALL JOB ASSIGNMENT RATING: . . . . . . . . . . . . G E M N U

OVERALL JOB ASSIGNMENT WEIGHTING. . . . . . . . . %
PART II: PERFORMANCE COMPETENCY RATING

(BRING FORWARD EACH INDIVIDUAL COMPETENCY.) GE M NU
1. COMPETENCY
RATING:
2. COMPETENCY
RATING:
3. COMPETENCY
RATING:
4. COMPETENCY
RATING:
5. COMPETENCY
RATING:
6. COMPETENCY
RATING:
7. COMPETENCY
RATING:
8. COMPETENCY
RATING:
9. COMPETENCY
RATING:
OVERALL PERFORMANCE COMPETENCY RATING . . . . . G E M N U

OVERALL PERFORMANCE COMPETENCY WEIGHTING . . . . . . . . . %
PERFORMANCE AND DEVELOPMENT PLAN
Reviewer Signature: Date: WEIGHT OF PART I % WEIGHT OF PART II %

I HAVE REVIEWED THIS PERFORMANCE PLAN
Supervisor Signature: Date: Employee Signature:

Date:
INTERIM REVIEWS
Date Emp. Init. Supv. Init. Date Emp. Init. Supv. Init. Date Emp. Init. Supv. Init.
FINAL PERFORMANCE APPRAISAL
Overall Job Assignments Rating (Part 1): = %

Overall Performance Competency Rating (Part II) = % =
Weighted Final Appraisal Rating:
Percent G ,E ,M ,N ,U
Reviewer Signature: Title: Date:
Supervisor Signature: Title Date:

(I understand that my signature doesn’t necessarily indicate agreement)
Employee Signature: Date:
Page 4
45
PART I B: JOB ASSIGNMENTS ANNUAL APPRAISAL
Results Rating Key: G= Greatly Exceeds Expectations, E=Exceeds Expectations, M=Meets Expectations, N=Needs Improvement and U=Unacceptable.
Any Rating of "N" (Needs Improvement) or "U" (Unacceptable) must be accompanied by a specific improvement plan; see Employee Development
section manual.
1 G E M N U
Results (Justification, major accomplishments, contributions, areas of improvement): Rating:
Employee comments on accomplishments:
G E M N U
2 Results (Justification, major accomplishments, contributions, areas of improvement): Rating:
G E M N U
G E M N U
PART 1 C: OVERALL RATING RECOMMENDATION

G E M N U
OVERALL JOB ASSIGNMENT RATING
SUMMERIZE EMPLOYEE’S JOB ASSIGNMENT, COMPETENCY AND DEVELOPMENT PLAN RESULTS HERE:
This is the justification for the recommended Rating.
Page 5
46
PART II B: PERFORMANCE COMPETENCIES ANNUAL APPRAISAL
Results Rating Key: G=Greatly Exceeds Expectations, E=Exceeds Expectations, M=Meets Expectations, N=Needs
Improvement, and U=Unacceptable. Any Performance Competency Rating of "N" (Needs Improvement) or "U"
(Unacceptable) must be accompanied by a specific improvement plan; see Employee Development section in Manual.
Competency # SUPV. EMP. PEER CUST.
G G G G
Supervisor Comments:
E E E E
M M M M
Employee Comments:
N N N N
U U U U

G G G G
E E E E
M M M M
Employee Comments: N N N N
U U U U

G G G G
E E E E
M M M M
Employee Comments:
N N N N
U U U U
G G G G
E E E E
M M M M
Employee Comments:
N N N N
U U U U
Competency #
SUPV. EMP. PEER CUST.
G G G G
E E E E
M M M M
Employee Comments:
N N N N
U U U U
Competency # SUPV SUPV PEER CUST.
G G G G
E E E E
M M M M
Employee Comments:
N N N N
U U U U
Page 6 (Use two pages if needed.)
46
PERFORMANCE APPRAISAL AND DEVELOPMENT INTERIM REVIEW FORM
for period to
INTERIM REVIEW OF JOB ASSIGNMENTS
JOB ASSIGNMENT #1: Greatly Exceeds Exceeds Meets Needs

Expectations Expectations Expectations Improvement Unacceptable
Specific behaviors/events supporting the rating:
Action steps to improve rating:



AFTER COMPLETION, GIVE THE EMPLOYEE A COPY OF BOTH SIDES OF THIS FORM
Page 7
47
INTERIM REVIEW OF PERFORMANCE COMPETENCIES
ASSIGNED WEIGHTS . . . . . . . . . . . . . . SUPERVISOR: EMPLOYEE: PEER: CUSTOMER:

COMPETENCY # SUPV. EMP. PEER CUST.
G G G G
E E E E
M M M M
N N N N
U U U U
G G G G
E E E E
Action steps to improve rating: M M M M
N N N N
U U U U
G G G G
E E E E
M M M M
N N N N
U U U U
G G G G
E E E E
N N N N
U U U U
G G G G
E E E E
M M M M
N N N N
U U U U
G G G G
E E E E
N N N N
U U U U
(Use two pages if needed.)
Page 8
48

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STATE OF NEW MEXICO

STATE PERSONNEL BOARD

Summary of State Personnel Board Rules, 1.7.9 NMAC…….……..4

Role of the Reviewer……………………………………………………7

Filling Out State Personnel Board Form 231…………………………8

Developing Job Assignment Statements……………………………13

Employee Development Plan…………………………………………24

Weighting and Variable Weightings…………………………………27

Performance Rating and Final Appraisal……………………………28

Legal Considerations for Performance Appraisal………………….31

State Personnel Board Rules………………………………………….33

Performance Rating Definitions………………………………………..40

State Personnel Board Form 231……………………………………...42

Interim Review Form…………………………………………………….47

In general, other findings included:

• The system will utilize a multi-source assessment, or “360- degree” assessment, to

• The system is designed to be a living process. It is to be administered as a continuous

• It is intended that a greater emphasis will be placed on the employee’s development,

Why do performance appraisals?

1.7.9.8 NMAC To provide for regular appraisal and documentation of employee

When must an appraisal be put in place or performed?

1.7.9.9C NMAC A probationary employee or newly appointed supervisor shall be reviewed

1.7.9.9B NMAC A career employee shall be appraised by the immediate supervisor on an

Who will conduct an appraisal?

1.7.9.9A NMAC A supervisor must complete a Director-approved course of study on

How will performance appraisals be done?

1.7.9.9A NMAC Performance development shall be documented on an appraisal form

Therefore, the performance standards specified in a Job Assignment—supported by the selection of

Bureau Goals and Outputs

Individual FTE Outputs (JA & C)

SPB 231, Page 1

• Fill in appropriate identifying data at top of page.

1). State the expected outcome (a product or service)

• Multi-source appraisal is distinguished from merely gathering feedback from

• The weighting percentage between rating sources indicated in your Agency

• Review any of your agency’s policies related to performance appraisal, competency

• On the Performance Appraisal and Development Summary Sheet, page 4, enters

• What time period is this plan expected to require?

• What is the expected outcome to be evident in acquired knowledge, skills, and

• A detailed development plan must accompany any performance rating of Needs

A career employee’s performance must be reviewed semi-annually. However, any changes in

Page 7 Performance Appraisal and Development Interim Review Form.

SPB 231, Page 5

I B Annual Appraisal of Job Assignments.

• Next, gather and record employee comments on Job Assignment accomplishments in

• Comments and explanation summarizing the overall rating recommendation

Part II B: Performance Competencies Annual Appraisal.

• Gather any multi-source assessments as identified at the initial goal-setting meeting.

• Enter competencies 1 through 9; record supervisory comments and record supervisory

• Transfer multi-source assessment to the appropriate column.

• Record overall job competency rating at the bottom of page 6.

SPB 231, Page 4

Employee Performance Appraisal and Development Summary Sheet.

Instructions: Writing Job Assignments:

Position: Juvenile Correctional Officer (JCO)

On a worksheet, list the tasks accomplished by the position.

1- Escort residents to all appointments.

2. Create an environment that supports and facilitates the rehabilitative process.

Some more examples of job assignment statements:

Instructor - Produce course curriculum for delivery to state employees.

Investigator - Provide proof of compliance/non-compliance with state