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4/22/2014

PEP for Supervisors 2014
PEP for
Supervisors
2014
Today’s Agenda  The Basics  The PEP Process  PEP Forms  What the
Today’s Agenda
 The Basics
 The PEP Process
 PEP Forms
 What the Ratings Mean
 The PEP Meeting
 More PEP Tips

4/22/2014

Performance Enhancement Program Year-Round Process Purpose Communicate about performance Align goals to
Performance Enhancement Program
Year-Round Process
Purpose
Communicate about performance
Align goals to strategic plan
Provide documentation
Why is this process important?  Align goals  Show you value the employees’ work
Why is this process important?
 Align goals
 Show you value the employees’ work
 Improve performance as needed
 Motivate and engage employees

4/22/2014

PEP Timeline  Apr 1: Link to PEP Status Report* from HR  Jul 1:
PEP Timeline
 Apr 1: Link to PEP Status Report* from HR
 Jul 1: New hire PEP notification from HR* (Apr-Jun new hires)
 Aug 15: PEPs due in HR
 Aug 16>:
 PEPs require EAN for pay adjustment
 Increase may not be effective Oct. 1
 Dec 15: New Hire PEPs and EANs due in HR
* Notify HR with any updates immediately.
PEP Status report on EdWeb Your own PEP PEPs that are due from you PEPs
PEP Status report on EdWeb
Your own PEP
PEPs that are due from you
PEPs that are due from supervisors you
manage
 C = Complete
 E = Expected
 V – Void
Employees are encouraged to check status
of their PEPs

4/22/2014

PEP Status report on EdWeb (cont.) Go to http://think.stedwards.edu/registrar/edweb Select PEP Status in left
PEP Status report on EdWeb (cont.)
Go to
http://think.stedwards.edu/registrar/edweb
Select PEP Status in left menu
Follow instructions
Tip: Start planning now! It takes time to do PEPs – especially if you supervise
Tip:
Start planning now!
It takes time to do PEPs – especially if you
supervise more than one employee
Use PEP Timeline Worksheet*
* [See handout]

4/22/2014

PEPs are due on all staff employees hired before July 1 Even if employee transfers
PEPs are due on all staff
employees hired before July 1
Even if employee transfers
 Supervisor of record on Mar. 31 submits PEP
 Previous or new supervisor provides input
 Past PEPs can provide information about goals &
performance
Tip: If your supervision of an employee ends during the middle of an evaluation period:
Tip:
If your supervision of an employee ends
during the middle of an evaluation
period:
Prepare a PEP up to that point
Submit it to HR
Give it to the new supervisor, if possible

4/22/2014

Annual pay increase (if any) is linked to PEPs No PEP, no pay increase!
Annual pay increase (if any)
is linked to PEPs
No PEP, no pay increase!
To ensure eligibility for Oct. 1 increase, PEPs must be: Complete  Employee’s Annual Report
To ensure eligibility for
Oct. 1 increase, PEPs must be:
Complete
 Employee’s Annual Report of Activities
 Parts I, II & III of Goals & Evaluation Form
 Documentation for any other-than-Successful ratings
 All three signatures (employee, supervisor, supervisor's
supervisor)
 Performance Improvement Plan (PIP), if required
 In HR by Aug. 15

4/22/2014

PEPs submitted after Aug. 15: PEPs submitted after processing deadline will require EAN (signed by
PEPs submitted after Aug. 15:
PEPs submitted after processing deadline will
require EAN (signed by VP) for pay increase
EANs for late PEPs will be processed for
(retroactive) pay increase the next month
No pay increase if PEP submitted after Dec. 15
Performance Improvement Plan (PIP) required  PIP* must accompany PEP with 3 or more “Needs
Performance Improvement Plan
(PIP) required
 PIP* must accompany PEP with 3 or more “Needs
Improvement” ratings
 Most of the work is already done
 PEP already provides examples
 Just add goals & timetable
*[See handout]
 Meet regularly with employee to review progress & re-
evaluate in 3-6 months
 If insufficient progress, continue disciplinary process

4/22/2014

Employees with 3+ Needs Improvements are not eligible for Oct. 1 pay increase  Pay
Employees with 3+ Needs
Improvements are not eligible
for Oct. 1 pay increase
 Pay increase could send a “mixed message”
 Keep your manager/VP informed about performance
problems
 VP can make exceptions (with input from
supervisor/manager)
 Adjusted increase?
 Delayed increase?
 Make any recommendations for exceptions promptly!
A delayed pay increase: Sends a clear message that there is a performance problem Gives
A delayed pay increase:
Sends a clear message that there is a
performance problem
Gives employee with PIP time to
demonstrate improved performance
Provides an incentive & documentation
But remember:
 PEP is still due Aug. 15
 EAN and PIP update for delayed increase are due by Dec. 15

4/22/2014

New Hires (hired Apr 1-Jun 30): Will appear on your PEP Status Report July 1
New Hires (hired Apr 1-Jun 30):
Will appear on your PEP Status Report July 1
Are eligible for Oct. 1 pay increase, if you have
enough info to evaluate and 90-day orientation
period is completed
Postpone the PEP if you don’t have enough
information (“Insufficient Info” ratings)
 Pay increase will be postponed
 New Hire PEPs and EANs are due by Dec. 15.
The PEP Process
The PEP Process

4/22/2014

Employee completes:  Annual Report of Activities*  Includes suggested self-goals  Allow at least
Employee completes:
 Annual Report of Activities*
 Includes suggested self-goals
 Allow at least one week
Supervisor completes:
 Goals & Evaluation Form*
 Evaluation of Last Year’s Goals
 Goals for Next Year
 Consider employee’s suggestions, departmental goals, and university
strategic plan
 Operating Principles in Action
 PIP (if 3 or more Needs Improvements)
 Supervisor’s Comments
*[See handouts]
Review draft PEP with your supervisor and make any adjustments Conduct PEP meeting with employee
Review draft PEP with your supervisor and
make any adjustments
Conduct PEP meeting with employee
Employee completes Employee Comments
 Optional
 Allow up to one week
Employee & supervisor sign PEP
Send completed, signed PEP to your
supervisor for final review and signature
 Submit completed PEP to HR by Aug 15.

4/22/2014

Completing the PEP Forms
Completing the PEP
Forms
Before you begin, review:  Employee’s Annual Report of Activities (ARA)  Last year’s PEP
Before you begin, review:
 Employee’s Annual Report of Activities (ARA)
 Last year’s PEP
 Other performance notes
 Your calendar
 Employee’s job description*
* [Is it up-to-date?]

4/22/2014

Employee Information Section  Fill out completely (Evaluation Period, ID #, Job Title, etc.) 
Employee Information Section
 Fill out completely (Evaluation Period, ID #, Job Title,
etc.)
 Make your signature legible (or print your name
below it)
Evaluation of Last Year’s Goals
 Write something, even if there were no goals last year
 It’s okay to cite employee’s ARA -- if you agree with it
Goals for Next Year Not too many (4-6) Not too general or too specific S.M.A.R.T.
Goals for Next Year
Not too many (4-6)
Not too general or too specific
S.M.A.R.T.
 Specific
 Measurable
 Action-Oriented
 Realistic
 Timely
* [Tip: Training is not a goal!]

4/22/2014

Operating Principles in Action Reflect SEU operating principles Behaviors listed are only a few examples
Operating Principles in Action
Reflect SEU operating principles
Behaviors listed are only a few examples
You must choose one rating:
 Insufficient Information
 Needs Improvement
 Successful
 Approaches Ideal
Note total # Needs Improvements
Remember: 3 or more Needs Improvements = Performance Improvement Plan (PIP) Insufficient Information = Postpone
Remember:
3 or more Needs Improvements =
Performance Improvement Plan (PIP)
Insufficient Information =
Postpone New Hire PEP (due by Dec. 15)

4/22/2014

What the Ratings Mean
What the Ratings Mean
Insufficient Information The employee is so new to your supervision or is so new to
Insufficient Information
The employee is so new to your supervision or
is so new to the task/responsibility that you are
not able to form any opinion of his/her
performance in this area
 Postpone PEP (due by Dec. 15)

4/22/2014

Needs Improvement  Employee must demonstrate improved performance in this area in order to be
Needs Improvement
 Employee must demonstrate improved
performance in this area in order to be successful
 A “Needs Improvement” rating in the same area for
more than one PEP cycle is cause for concern and
possibly disciplinary action
 3 or more = PIP required
 Appropriate for new employees, or employees with
new responsibilities
Successful Employee is doing just fine in this area Successful is good! Successful does not
Successful
Employee is doing just fine in this area
Successful is good!
Successful does not mean “just average” or a
“C” grade
Most employees are “Successful” in most areas,
most of the time

4/22/2014

Approaches Ideal Employee had the opportunity to demonstrate extraordinarily outstanding performance in this area,
Approaches Ideal
Employee had the opportunity to demonstrate
extraordinarily outstanding performance in this
area, this year
Not an evaluation of the employee, but of the
employee’s performance this year
It is not usually possible for an employee to
“approach ideal” in all areas every year
Tip: It can be risky to give a new employee Approaches Ideal ratings on his/her
Tip:
It can be risky to give a new employee
Approaches Ideal ratings on
his/her first PEP

4/22/2014

Documentation required  Any rating other than “Successful” requires a written explanation  At least
Documentation required
 Any rating other than “Successful” requires a
written explanation
 At least one specific, behavioral example to
support “Approaches Ideal” or “Needs
Improvement”
 Give reason for “Insufficient Information” (e.g., hire
date)
 If ratings don’t include a specific, behavioral
explanation, they may be returned for more
documentation.
Why document? So the employee will know specifically what to do – or stop doing
Why document?
So the employee will know specifically what
to do – or stop doing – to remain or become
successful
As a self-check that you are evaluating
employees consistently
 To provide documentation for any future
disciplinary action
 To support salary decisions

4/22/2014

The PEP Meeting
The PEP Meeting
 Choose good time and place  Allow plenty of time  Give the employee
 Choose good time and place
 Allow plenty of time
 Give the employee time to review the PEP
 Make it a dialogue, not a one-way conversation
 Don’t be afraid of emotional reactions
 Make it developmental, not punitive
 Leave the employee with one clear message about
his/her performance
 If pay increase will be affected, say so!
 Express confidence in the employee

4/22/2014

More PEP Tips
More PEP Tips
 Explain your rating system ahead of time  Pay attention to the employee’s Annual
 Explain your rating system ahead of time
 Pay attention to the employee’s Annual Report
of Activities
 Be honest
 Be specific
 Be consistent
 Rate over the entire year
 No surprises!
 Remember the EAP

4/22/2014

Employee Assistance Program Alliance Work Partners 800-343-3822 http://www.alliancewp.com
Employee Assistance Program
Alliance Work Partners
800-343-3822
http://www.alliancewp.com
PEP Information & Online Forms http://think.stedwards.edu/hr/content/performance-management
PEP Information & Online Forms
http://think.stedwards.edu/hr/content/performance-management
http://think.stedwards.edu/hr/human_resources_forms

4/22/2014

Goal-Setting Resources  Goal Setting Guide: www.goal-setting-guide.com/smart-goals.html  Goal Setting Wikipedia
Goal-Setting Resources
 Goal Setting Guide:
www.goal-setting-guide.com/smart-goals.html
 Goal Setting Wikipedia Style:
http://en.wikipedia.org/wiki/Goal_setting
 Creating S.M.A.R.T. Goals:
http://www.topachievement.com/smart.html
 Steps for Goal Setting & Achievement:
http://www.topachievement.com/paulchristenbury.html
 SMART Goal Setting Worksheet With Guidance Notes:
http://www.executive-and-life-coaching.com/support-
files/smartgoalsettingworksheet.pdf
Available in HR:  Coaching, Counseling, & Disciplining manual  Books  Videos & DVDs
Available in HR:
 Coaching, Counseling, & Disciplining
manual
 Books
 Videos & DVDs
 Individual assistance

4/22/2014

Available at the Munday Library:  Recommended DVDs  Painless Performance Improvement  The Leadership
Available at the Munday
Library:
 Recommended DVDs
 Painless Performance Improvement
 The Leadership Pickles
 Keeping the Good Ones
Questions? Comments? Concerns?
Questions?
Comments?
Concerns?