4/22/2014

PEP for
Supervisors
2014

Todays Agenda
The

Basics

The

PEP Process

PEP

Forms

What
The

the Ratings Mean

PEP Meeting

More

PEP Tips

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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

Improve performance as needed

Motivate and engage employees

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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

that are due from supervisors you

manage

C = Complete

E = Expected

V Void

Employees

are encouraged to check status

of their PEPs

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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 more than one employee

Use

PEP Timeline Worksheet*

* [See handout]

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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:
Prepare

a PEP up to that point

Submit it to HR
Give it to the new supervisor, if possible

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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
Employees

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

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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

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 & reevaluate in 3-6 months

If

insufficient progress, continue disciplinary process

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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

employee with PIP time to

demonstrate improved performance

Provides
But

an incentive & documentation

remember:

PEP is still due Aug. 15

EAN and PIP update for delayed increase are due by Dec. 15

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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 dont have enough

information (Insufficient Info ratings)
Pay

increase will be postponed

New Hire PEPs and EANs are due by Dec. 15.

The PEP Process

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Employee
Annual

completes:

Report of Activities*

Includes suggested self-goals

Allow at least one week

Supervisor
Goals

completes:

& Evaluation Form*

Evaluation of Last Years Goals

Goals for Next Year

Consider employees suggestions, departmental goals, and university

strategic plan

Operating Principles in Action

PIP (if 3 or more Needs Improvements)
Supervisors Comments

*[See handouts]

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.

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Completing the PEP

Forms

Before you begin, review:

Employees
Last

Annual Report of Activities (ARA)

years PEP

Other
Your

performance notes

calendar

Employees

job description*

* [Is it up-to-date?]

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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 Years Goals

Write

something, even if there were no goals last year

Its okay to cite employees 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.
Specific
Measurable
Action-Oriented
Realistic
Timely

* [Tip: Training is not a goal!]

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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 New Hire PEP (due by Dec. 15)

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What the Ratings Mean

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)

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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

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 mean just average or a

C grade
Most

employees are Successful in most areas,

most of the time

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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

employees 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 first PEP

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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

date)

reason for Insufficient Information (e.g., hire

If

ratings dont 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 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

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The PEP Meeting

Choose
Allow
Give

good time and place

plenty of time

the employee time to review the PEP

Make

it a dialogue, not a one-way conversation

Dont

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

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More PEP Tips

Explain

your rating system ahead of time

Pay

attention to the employees Annual Report

of Activities

Be

honest

Be

specific

Be

consistent

Rate
No

over the entire year

surprises!

Remember

the EAP

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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

http://think.stedwards.edu/hr/human_resources_forms

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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/supportfiles/smartgoalsettingworksheet.pdf

Available in HR:

Coaching, Counseling, & Disciplining

manual
Books
Videos & DVDs
Individual assistance

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Available at the Munday

Library:
Recommended

DVDs

Painless Performance Improvement

The Leadership Pickles
Keeping the Good Ones

Questions?
Comments?
Concerns?

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