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Performance Planning and Evaluation Process
To complete the Performance Planning and Evaluation
Process you will need to conduct mid-cycle evaluations,
end-of-cycle evaluations, and beginning-of cycle meetings
as described in the following program.
INSTRUCTIONS
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Performance Planning and Evaluation Process
3January, 2014
Performance Planning and Evaluation Process
Beginning-
of-cycle
Mid-cycle
End-of-
cycle
Employees with a
January increment
month will be at
mid-cycle in June
and those with a
July increment
month will be at
mid-cycle in
December. They
should receive a
memo if
performance is
satisfactory or a
mid-cycle
Performance
Evaluation if
performance is
Unsatisfactory.
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Employees with a
January increment
month will be at
end-cycle in
December and
those with a July
increment month
will be at end-cycle
in June. They
should receive a
Performance
Evaluation AND a
beginning-of-cycle
Planning meeting.
A beginning-of-cycle
Planning meeting
should occur right
after the end-of-cycle
PEP.
Employees with a January increment month will be at
beginning-of-cycle in January and those with a July
increment month will be at beginning-of-cycle in July.
January, 2014
Performance Planning and Evaluation Process
Employee’s
Increment
Month
**
Entry
-on-
duty
Date
(EOD)
**
Beginning
-
of
-cycle
Month
Mid
-cycle
Month
End
-of-
cycle
Month
January
January
-
June
January
June
December
July
July
-
December
July
December
June
WHEN to do PEPs????
** NOTE: Most PEPs are based on EODs that conform to the January or July increment months; however, there
are some exceptions. An employee may have an EOD date that does not conform to the EOD date in this chart.
If you have this kind of situation with one of your employees, you need to use the EOD date to determine when
to do the PEP.
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Performance Planning and Evaluation Process
WHEN: June (increment month is January; EOD is Jan-June)
December (increment month is July; EOD is July-Dec)
WHAT you need: Copy of performance status memo
PEP Statistical Data Form
WHAT: IF Performance is SATISFACTORY
• Communicate performance status via a memo
• Complete PEP Statistical Data Form
Mid-cycle
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PEP Statistical Data Form
MID-CYCLE if overall rating is SATISFACTORY or OUTSTANDING
Check ”2” or “3” to indicate mid-cycle
rating of Satisfactory or Outstanding.
Send this form along with a copy of the
satisfactory or outstanding performance
memo to the designated Human
Resources person in your unit.
Since this is for HR Administration
purposes only, do not make a copy for
yourself or give a copy to the employee.
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PEP Statistical Data Form
Performance Planning and Evaluation Process
WHEN: June (increment month is January; EOD is Jan-June)
December (increment month is July; EOD is July-Dec)
WHAT you need: PEP Form
PEP Statistical Data Form
Performance Improvement Plan
WHAT: IF Performance is UNSatisfactory
• Complete Mid-cycle performance evaluation
• Communicate evaluation in a meeting with attention
to those areas that are unsatisfactory.
• Obtain signatures
• Complete PEP Statistical Data Form
• Create a Performance Improvement Plan to address
areas of deficiency.
NOTE: No disciplinary action is attached to the mid-cycle rating, and the
mid-cycle rating is therefore not grieveable. However, employee may
submit a written response within five (5) days of evaluation.
Mid-cycle
You should check the protocol in
your unit before conducting the
evaluation meeting and obtaining
signatures since most of the time
your Division Manager would
need to approve an unsatisfactory
rating.
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Performance Planning & Evaluation Form – Page 1
MID-CYCLE (To be completed ONLY if overall rating is UNSATISFACTORY)
Click January or July depending on the
increment month.
This is the fiscal year in which the
performance cycle ends.
Enter nothing; the system will calculate this.
You must rate each job duty listed in lines 2-
7 if performance is Unsatisfactory.
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If the employee is not being rated
on a particular Performance
Standard or Behavioral Element
for that rating period, an
explanation of why it is not being
rated needs to written in the
supervisor’s comments section.
Performance Planning & Evaluation Form – Page 2
MID-CYCLE (To be completed ONLY if overall rating is UNSATISFACTORY)
Enter a rating for each behavioral
element in the Mid-Cycle Rating
column.
Enter nothing; the system will calculate this.
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If the employee is not being rated
on a particular Performance
Standard or Behavioral Element
for that rating period, an
explanation of why it is not being
rated needs to written in the
supervisor’s comments section.
Performance Planning & Evaluation Form – Page 3
MID-CYCLE (To be completed ONLY if overall rating is UNSATISFACTORY)
Give the employee the opportunity to comment. If you
think it's appropriate you could encourage the
employee to comment on their commitment to doing
what he/she thinks is needed to be successful.
Enter any comments that you think are appropriate to
indicate your commitment to helping this employee be
successful. You could comment on the importance of
this employee's satisfactory performance in the
success of your unit.
Enter nothing; the system will calculate this. The
number calculated by the system must be 1.74 or less
to have an Unsatisfactory mid-cycle rating.
Since you will only be doing the mid-cycle evaluation if
the employee's performance has been unsatisfactory,
these need to be very clear. The details and action
plan should be on the Performance Improvement Plan.
Have the employee sign and date the document. If the
employee refuses to sign, note the refusal on the
employee's signature line.
Sign and date the document and have your Division
Manager sign and date the document.
Remember, you should check the protocol in your unit before conducting the evaluation meeting and obtaining signatures
since most of the time your Division Manager would need to approve an unsatisfactory rating.
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Performance Improvement Plan
MID-CYCLE (To be completed ONLY if overall rating is UNSATISFACTORY)
The Performance Improvement Plan
documents the details of an employee’s
unsatisfactory performance and/or behavior
and the specific action planned for the
employee to improve performance and/or
behavior.
You should work with your immediate
manager and your Personnel Officer to make
the best use of this document. If
performance does not improve you will need
this documentation to begin progressive
discipline.
DO NOT WAIT for a mid or end-of-cycle PEP to
use a Performance Improvement Plan. This
document should be used as soon and as
often as you notice that an employee’s
performance and/or behavior are
unsatisfactory.
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PEP Statistical Data Form
MID-CYCLE if overall rating is UNSATISFACTORY
Check ”1” indicate mid-cycle rating of
Unsatisfactory.
Send this form the original signed Mid-
Cycle PEP Evaluation Form to the
designated Human Resources person in
your unit.
Since this is for HR Administration
purposes only, do not make a copy for
yourself or give a copy to the employee.
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PEP Statistical Data Form
Performance Planning and Evaluation Process
End-of-cycle
WHEN: June (increment month is July; EOD is July-December)
December (increment month is Jan; EOD is Jan-June)
WHAT you need: PEP Form
PEP Statistical Data Form
WHAT: IF Performance is Satisfactory
• Complete End-of-cycle performance evaluation
• Communicate evaluation in a meeting
• Obtain signatures
• Complete PEP Statistical Data Form
NOTE: The Beginning-of-cycle meeting and End-of-cycle meeting
may coincide after the first year of employment.
End-of-cycle
You should check the protocol in
your unit before conducting the
evaluation meeting and obtaining
signatures since most of the time
the Appointing Authority needs to
approve salary increments for a
satisfactory or outstanding rating.
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Performance Planning & Evaluation Form – Page 1
END-OF-CYCLE
Enter nothing; the system will calculate
this.
If performance is Unsatisfactory you must
rate each each job duty listed in lines 2-7.
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This is the fiscal year in which the
performance cycle ends.
Click January or July depending on the
increment month.
Enter a “2” or “3” to indicate an Overall
Work Quality rating of Satisfactory or
Outstanding. Do not rate each element if the
work quality is Satisfactory or Outstanding;
if any element is unsatisfactory mention this
in the Supervisor’s Comments section on
page 4.
Performance Planning & Evaluation Form – Page 2
END-OF-CYCLE
Enter a rating for each behavioral element in
the End-of-Cycle Rating column.
Enter nothing; the system will calculate this.
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Performance Planning & Evaluation Form – Page 4
END-OF-CYCLE- SATISFACTORY
Discuss and record training necessary to improve performance or to
enhance professional development.
Enter comments concerning outstanding performance or behaviors or
other duties that are not identified elsewhere on the form.
Give the employee the opportunity to write any comments.
Have the employee sign and date the document. If the
employee refuses to sign, note the refusal on the
employee's signature line.
Sign and date the document. Your signature
acknowledges that you understand and adhere to the
Governor's Code of Fair Employment Practices.
Have the Appointing Authority in your unit sign and date
the document.
Discuss and record any specific tasks to be performed before the next
mid-cycle rating that may apply to a specific job duty that was not
satisfactory even though the overall rating is satisfactory.
Remember, check
the protocol for
signatures in your
unit before having
the employee sign
the PEP. The
Appointing
Authority must
approve the PEP
and any granting
of an increment
before presenting
it to the employee.
Enter nothing; the system will calculate this and put the number in the
appropriate box. NOTE: If rating is UNSATISFACTORY refer to the next
section for completion instructions for this page.
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Performance Planning and Evaluation Process
End-of-cycle
WHEN: June (increment month is July; EOD is July-December)
December (increment month is Jan; EOD is Jan-June)
WHAT you need: PEP Form
PEP Statistical Data Form
Performance Improvement Plan
WHAT: IF Performance is UNSatisfactory
• Complete End-of-cycle performance evaluation
• Communicate evaluation in a meeting
• Inform employee that employee has 180 days to
improve to the level of “Satisfactory.”
• Complete Performance Improvement Plan.
• Obtain signatures
• Complete PEP Statistical Data Form
NOTE: Since disciplinary action is attached to an end-
of-cycle rating of Unsatisfactory, the rating is
grievable.
End-of-cycle
You should check the protocol
in your unit before conducting
the evaluation meeting since
the Appointing Authority needs
to approve a rating of
unsatisfactory and the
subsequent denial of an
increment.
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Performance Planning & Evaluation Form – Page 4
END-OF-CYCLE - UNSATISFACTORY
Enter nothing; the system will calculate this and put the
number in the Unsatisfactory box.
Enter any comments that you think are appropriate to
indicate your commitment to helping this employee be
successful. You could comment on the consequences
of an unsatisfactory end-of-cycle performance rating.
Give the employee the opportunity to comment.
Since the performance is unsatisfactory these need to
be very clear. The details and action plan should be on
the Performance Improvement Plan.
Have the employee sign and date the document. If the
employee refuses to sign, note the refusal on the
employee's signature line.
Sign and date the document. Your signature
acknowledges that you understand and adhere to the
Governor's Code of Fair Employment Practices.
Have the Appointing Authority in your unit sign and
date the document.
Remember,
check the
protocol for
signatures in
your unit before
having the
employee sign
the PEP. The
Appointing
Authority must
approve the
PEP and any
denial of
increment
before
presenting it to
the employee.
Performance Improvement Plan
END-OF-CYCLE UNSATISFACTORY PERFORMANCE
As with unsatisfactory performance at mid-
cycle, this documents the details of an
employee’s unsatisfactory performance
and/or behavior and the specific action
planned for the employee to improve
performance and/or behavior in 90 days.
If performance has not improved at your 90
day evaluation meeting with the employee,
you would need to create a new Performance
Improvement Plan to document very
specifically what needs to be completed
before the 180 evaluation meeting and
possible termination if performance is not
satisfactory at that time.
IMPORTANT: Since unsatisfactory
performance at end-of-cycle is grievable and
could result in progressive discipline and
termination, you should be working with your
immediate manager and your Personnel
Officer to make the best use of this document
and to begin, if necessary, the progressive
discipline process for unsatisfactory
performance.
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PEP Statistical Data Form
END-OF-CYCLE
Check the appropriate space to indicate
the end-of-cycle rating.
Send this form and the original signed
End-of-Cycle PEP Evaluation Form to
the designated Personnel Officer in
your unit.
Since this form is for HR Administration
purposes only, do not make a copy of the
form for yourself or give a copy to the
employee. However, you should make a
copy of the End-of-Cycle PEP Evaluation
Form for yourself and the employee.
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PEP Statistical Data Form
Performance Planning and Evaluation Process
WHEN: January (increment month is January)
July (increment month is July)
Most of the time this meeting will coincide with the
End-of Cycle meeting.
WHAT you need: Position Description (MS22)
PEP Form for new cycle
WHAT: Before the Meeting
• Review the goals for your unit for the next cycle
• Review Position Description for accuracy
• Update Position Description if appropriate
Planning Meeting
• Discuss the goals for you unit during the next cycle
• Discuss essential job functions
• Discuss performance expectations
• Review how you will monitor performance
Beginning-of-cycle
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Before the Performance Planning meeting you should
review the essential job functions in PART II and the
accompanying performance standards in PART IV of
the Position Description to make sure they reflect the
current and anticipated duties and responsibilities for
the coming period.
Performance Planning and Evaluation Process
BEGINNING-OF-CYCLE
Here is an example of an
essential job function for a
supervisor that follows the
verb/object/purpose/how
structure.
NOTE: If essential job functions are not clearly written it
is very difficult to determine what an employee must do to
be successful.
The essential job functions are functions that you, as a
supervisor, identify as necessary for this employee to
perform to enable the success of your unit and those
that you commit to monitoring to enable the success of
your employee.
Job functions explain WHAT should be done and
should consist of one clear sentence that has the
following structure:
• Verb: action to perform
• Object: to whom or to what action is directed
• Purpose: why action is performed
• How: methods/procedures/guidelines for performing
the action
Since the performance standards should be
abbreviated and listed on Page 1 of the Performance
Planning and Evaluation Form, you need to have this
page of the Position Description available when you
conduct the mid and end-of-cycle evaluations.
Here is an example of a
performance standard for a
supervisor that follows the
SMART structure.
Each essential job function must have a performance
standard as listed on PART IV of the Position
Description.
Copy the essential job functions that you listed in Part
II and then write a performance standard by which you
will evaluate the employees success directly under
each of the essential job functions that you list.
Performance standards explain HOW WELL an
essential job function should be done for the
employee to be successful. They should consist of
one clear sentence that is SMART – having the
following characteristics.
Specific: behaviors, outputs, results
Measurable: quantity, quality, cost
Attainable: can be achieved
Relevant: to the essential job function
Time bound: related to time
Performance Planning and Evaluation Process
BEGINNING-OF-CYCLE
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Performance Planning & Evaluation Form – Page 1
BEGINNING-OF-CYCLE
July, 2011
2012
Enter up to six performance standards for the
essential job functions identified in Part IV of the
Position Description. You will need to abbreviate
what was written on the Position Description
since there is only room for 56 characters here.
This will NOT apply to most employees.
However, if an employee has a status of MS, ES,
AS, or DA as indicated on the time sheet, place
an “X” in the appropriate space.
The Position Description (MS22) needs to be
reviewed at least once a year at the beginning of
the performance cycle to ensure that it is still
accurate. If it has been updated, enter the date
of the modification.
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Click January or July depending on the
increment month.
This is the fiscal year in which the performance
cycle ends.
Performance Planning and Evaluation Process
Once you conduct the Beginning-of-cycle meeting for those who have just had an
End-of-Cycle evaluation, you have completed the Performance Planning and
Evaluation Process for the current cycle.
COMPLETION!!!
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Beginning-
of-cycle
Mid-cycle
End-of-
cycle
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