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The Revised PEP ProcessThe Revised PEP Process

Presented by…Presented by…

Rick LosemannRick Losemann

Director, Employee Relations DivisionDirector, Employee Relations Division

Office of Personnel Services and BenefitsOffice of Personnel Services and Benefits

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Purpose of PEP ProcessPurpose of PEP Process

Facilitate communication Facilitate communication between employee and between employee and supervisor re: expectations and supervisor re: expectations and job performancejob performance

Acknowledge successesAcknowledge successes Openly discuss areas for Openly discuss areas for

enhancement and improvementenhancement and improvement

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PEP & Progressive DisciplinePEP & Progressive Discipline

Progressive discipline and the PEP process Progressive discipline and the PEP process work hand-in-handwork hand-in-hand

PEP process is meant to help employees PEP process is meant to help employees with performance problems to improvewith performance problems to improve

Progressive discipline is used to hold Progressive discipline is used to hold employees with performance problems employees with performance problems accountable if they do not improveaccountable if they do not improve

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Steps in PEP ProcessSteps in PEP Process

Beginning-of-CycleBeginning-of-Cycle Mid-CycleMid-Cycle End-of-CycleEnd-of-Cycle

4

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Unified PEP Rating PeriodsUnified PEP Rating Periods

All employees will be rated during same All employees will be rated during same timeframe each year based on EODtimeframe each year based on EOD

Each employee will receive a Mid-Cycle or Each employee will receive a Mid-Cycle or End-of-Cycle rating during June and End-of-Cycle rating during June and December of each yearDecember of each year

No formal Mid- or End-of-Cycle PEP No formal Mid- or End-of-Cycle PEP evaluations should be completed, and no evaluations should be completed, and no ratings will be accepted, outside of the two ratings will be accepted, outside of the two unified evaluation periodsunified evaluation periods

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Beginning-of-CycleBeginning-of-Cycle

Employee and Supervisor meet to:Employee and Supervisor meet to:– Discuss employee’s statusDiscuss employee’s status– Review Position DescriptionReview Position Description– Discuss performance expectations for Discuss performance expectations for

coming yearcoming year

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Maintain Maintain Up-to-Date Up-to-Date

Position Descriptions Position Descriptions for all subordinate for all subordinate

staffstaff

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Performance StandardsPerformance Standards

Duties/Functions on which employee Duties/Functions on which employee will be rated during PEPwill be rated during PEP

Described in Position Description and Described in Position Description and listed on PEP formlisted on PEP form

Consistent with duties and Consistent with duties and responsibilities for assigned classresponsibilities for assigned class

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Performance StandardsPerformance Standards

Must be:Must be:

Specific, attainable, relevant, Specific, attainable, relevant, measurable, and fully consistent measurable, and fully consistent with duties, responsibilities, and with duties, responsibilities, and grade described in the Position grade described in the Position DescriptionDescription

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Performance StandardsPerformance Standards

Provided to employee at beginning of Provided to employee at beginning of rating periodrating period

Changed during the period only after Changed during the period only after review with the employeereview with the employee

Describe outcomes for “Outstanding”, Describe outcomes for “Outstanding”, as well as “Satisfactory”as well as “Satisfactory”

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Mid-Cycle PEPMid-Cycle PEP First rating period after hire, same rating First rating period after hire, same rating

period each year thereafterperiod each year thereafter Lets employee know how supervisor feels Lets employee know how supervisor feels

the employee is doingthe employee is doing Only need full evaluation if overall rating is Only need full evaluation if overall rating is

“Unsatisfactory”“Unsatisfactory” Not grievable – employee may provide Not grievable – employee may provide

written commentswritten comments

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Performance RatingsPerformance Ratings

Possible ratings:Possible ratings:

– OutstandingOutstanding

– SatisfactorySatisfactory

– UnsatisfactoryUnsatisfactory ““Satisfactory” = “doing good job”Satisfactory” = “doing good job” Supervisor should provide comments for Supervisor should provide comments for

any rating other than “Satisfactory”any rating other than “Satisfactory”

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Full Evaluation Process:Full Evaluation Process:Management PreparationManagement Preparation

Supervisor prepares preliminary performance Supervisor prepares preliminary performance appraisalappraisal

Appointing Authority may review appraisal Appointing Authority may review appraisal before presented to employeebefore presented to employee

Appointing authority shall approve a Appointing authority shall approve a performance appraisal before it is finalperformance appraisal before it is final

Appointing authority may only change End-of-Appointing authority may only change End-of-Cycle evaluation with written justification Cycle evaluation with written justification – Must cite performance standard/behavioral element Must cite performance standard/behavioral element

and actual performanceand actual performance

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Full Evaluation Process: Full Evaluation Process: Employee PreparationEmployee Preparation

While no longer mandatory, each employee should be While no longer mandatory, each employee should be given an opportunity to participate the in performance given an opportunity to participate the in performance appraisal process by preparing a self-assessment that:appraisal process by preparing a self-assessment that:– evaluates performance during rating period;evaluates performance during rating period;– suggests ways the employee and supervisor can suggests ways the employee and supervisor can

enhance employee’s contribution to unit’s mission, enhance employee’s contribution to unit’s mission, goals, and objectives; and,goals, and objectives; and,

– suggests training or other methods to promote suggests training or other methods to promote development of employee’s career objectives in the development of employee’s career objectives in the unit unit

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Evaluation Process: MeetingEvaluation Process: Meeting

Employee shall be notified prior to the date of Employee shall be notified prior to the date of the review and discussion (PEP process the review and discussion (PEP process requires employee be given 5 days notice prior requires employee be given 5 days notice prior to the meeting, in order to complete the self-to the meeting, in order to complete the self-assessment)assessment)

Employee and supervisor shall review and Employee and supervisor shall review and discuss the supervisor’s assessment, including discuss the supervisor’s assessment, including employee’s self-assessment, if one is employee’s self-assessment, if one is completedcompleted

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Purpose ofPurpose ofReview & DiscussionReview & Discussion

Promote agreement and understanding about Promote agreement and understanding about assessment and aid supervisor in determining final assessment and aid supervisor in determining final ratingsratings

Develop appropriate modifications to Position Develop appropriate modifications to Position Description, if neededDescription, if needed

Establish specific tasks & indicators that employee Establish specific tasks & indicators that employee needs to accomplish during next rating period to needs to accomplish during next rating period to meet overall objectives of the positionmeet overall objectives of the position

Identify any area of training needed, based on Identify any area of training needed, based on employee’s strengths and weaknesses employee’s strengths and weaknesses

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Practical ConsiderationsPractical Considerations Do not rate standards/elements that employee Do not rate standards/elements that employee

did not have an opportunity to performdid not have an opportunity to perform Consider equipment & resource problems, lack Consider equipment & resource problems, lack

of training, frequent interruptions, and other of training, frequent interruptions, and other matters outside of employee’s controlmatters outside of employee’s control

Pre-approved time away from the job (sick, Pre-approved time away from the job (sick, personal, annual leave; authorized union duty personal, annual leave; authorized union duty time; other authorized purposes) should not be time; other authorized purposes) should not be considered negatively in rating considered negatively in rating

No quotas, or prescribed distribution of ratings No quotas, or prescribed distribution of ratings may be imposedmay be imposed

Employees dealing with Private Service Employees dealing with Private Service ProvidersProviders

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End-of-Cycle EvaluationEnd-of-Cycle Evaluation Final performance appraisal shall include:Final performance appraisal shall include:

– employee’s final performance ratings;employee’s final performance ratings;– specific tasks employee is to achieve during the next specific tasks employee is to achieve during the next

rating period;rating period;– any modifications to the employee’s Position any modifications to the employee’s Position

Description;Description;– recommendations for training to enhance employee’s recommendations for training to enhance employee’s

skillsskills

Copies to: Supervisor, Employee, Official Copies to: Supervisor, Employee, Official Personnel FilePersonnel File

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End-of-Cycle End-of-Cycle ConsiderationsConsiderations

If employee is reassigned or transfers during If employee is reassigned or transfers during the performance cycle:the performance cycle:– gets exit appraisal from current supervisor;gets exit appraisal from current supervisor;– new supervisor evaluates employee for # of months new supervisor evaluates employee for # of months

working together;working together;– evaluations averaged in accordance with the number evaluations averaged in accordance with the number

of months evaluated by each appraisalof months evaluated by each appraisal If employee has been working for new If employee has been working for new

supervisor at least 6 months, they can agree not supervisor at least 6 months, they can agree not to use the former supervisor’s appraisalto use the former supervisor’s appraisal

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More Practical More Practical ConsiderationsConsiderations

If the evaluating supervisor is not the direct supervisor, If the evaluating supervisor is not the direct supervisor, must have actual knowledge of the employee’s must have actual knowledge of the employee’s performanceperformance

A statement of employee’s objection to an appraisal or A statement of employee’s objection to an appraisal or comment may be attached and put in their personnel filecomment may be attached and put in their personnel file

Appointing authority must approve End-of-Cycle rating Appointing authority must approve End-of-Cycle rating before it is finalbefore it is final

But, appointing authority can change End-of-Cycle But, appointing authority can change End-of-Cycle evaluation only with written justification, citing evaluation only with written justification, citing employee’s performance standards/behavioral elements employee’s performance standards/behavioral elements and actual performanceand actual performance

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END-OF-CYCLE END-OF-CYCLE “Unsatisfactory”“Unsatisfactory”

Employee has 180 days to Employee has 180 days to attain an overall “Satisfactory” attain an overall “Satisfactory” rating or rating or employment shall employment shall be terminatedbe terminated

Performance Improvement Plan:Performance Improvement Plan:– Identify unacceptable performance;Identify unacceptable performance;– Describe what employer and employee will do Describe what employer and employee will do

to aid employee in improving;to aid employee in improving;– Meet and evaluate at 90 and 180 daysMeet and evaluate at 90 and 180 days

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DISCIPLINARY DISCIPLINARY ACTIONSACTIONS

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Performance-Related Discipline StepsPerformance-Related Discipline Steps

Investigate employee’s performance, including most Investigate employee’s performance, including most recent performance appraisals;recent performance appraisals;

Notify employee in writing of the deficiency, and provide Notify employee in writing of the deficiency, and provide explanation of employer’s position, with:explanation of employer’s position, with:– Specific instances of unacceptable performance on which Specific instances of unacceptable performance on which

proposed action is based;proposed action is based;– Performance Standards/behavioral elements involved in each Performance Standards/behavioral elements involved in each

specification of unacceptable performance;specification of unacceptable performance;– A description of the efforts made by the employer to assist the A description of the efforts made by the employer to assist the

employee in improving performance. employee in improving performance. Meet with employee to hear explanation, unless Meet with employee to hear explanation, unless

unavailable or unwilling to meet; and,unavailable or unwilling to meet; and, After determining appropriate discipline, give written After determining appropriate discipline, give written

notice of disciplinary action to be taken and appeal notice of disciplinary action to be taken and appeal rights, and inform employee of effective date of rights, and inform employee of effective date of disciplinary actiondisciplinary action

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ADDRESS ADDRESS PROBLEMS PROBLEMS

BEFORE THEY BEFORE THEY ESCALATE!!!ESCALATE!!!

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Keep Up with the PEP ProcessKeep Up with the PEP Process

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Rating ErrorsRating Errors Halo effectHalo effect Horn effectHorn effect Restriction of RangeRestriction of Range Contrast errorContrast error Frame of reference errorFrame of reference error First impression errorFirst impression error Recency errorRecency error AVOIDANCE!AVOIDANCE!

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Keep your Manager informed Keep your Manager informed of your concerns regarding of your concerns regarding

subordinatessubordinates