1. What happens if the supervisor changes mid-cycle? This could occur for a variety of reasons such as reassignment, resignation, retirement or promotion. A new supervisor may feelhe/she has insufficient information to give a fair evaluation.

Answer: Much of the transition depends upon the timing and conditions of the change. Some "exiting" supervisors may elect to conduct an early end-of-cycle evaluation of employee performance. In the case of a new supervisor, most employees with new reporting relationships will feel comfortable if there is sufficient time, six months for example, to discuss standards and evaluate performance. In situations that are unclear, the rater's supervisor or appointing authority should make a decision about how to conduct an adequate evaluation. In any case, this is the reason the appointing authority or "second-line" supervisor is involved with every step of the process, meeting with the supervisor to ensure there are consistent, fair and equitable standards and evaluations.

2. What happens if the employee is promoted mid-cycle either within the unit or outside the unit? Since the standards would presumably change, how should the employee be evaluated?

Answer: The employee would be evaluated in accordance with the standards that were set for the job and the time spent in the job. The goal of this process is to effectively manage and appraise performance. When leaving a position the employee should be debriefed with a performance evaluation, so as to have a record of the employee's contributions to the unit. A new position would require the establishment of new standards and would be under the conditions of all applicable probationary processes.

3. What happens if an employee transfers to another department in either in his/her current class or on a promotional basis? What is the impact on the employee's evaluation? Should any documents be sent to the employee's new agency?

Answer: Documents should not be transferred to other departments. A performance evaluation is a confidential document that remains in the employee's file within the department. It cannot be released without the employee's consent. As in question #2, when transferring to another department or position - whether it is a lateral transfer, status change, or promotion (in position or transfer) - the standards and requirements for the position are unique to that position and/or to that department. The employee should be evaluated for his/her performance in the position according to the unit's requirements. (***The goal of a pay-for-performance or merit-based program is to reward employees for contributions and performance within the organization. A well-administered performance management system allows the organization to not only achieve its stated goals and objectives, but it allows management to make good decisions about employees performance and eligibility for merit awards. The flexibility and comprehensive nature of the PEP program allows supervisors to do both, while maintaining fairness and improving communication with employees.)

4. The Agency's implementation Guide suggests that the employee's self-assessment only be added to the employee's file upon request as an attachment to the original performance review. Is there anything which precludes an agency from establishing a process which provides that the self-assessment is routinely attached to the evaluation and placed in the employee's file unless the employee objects?

Answer: No. In fact, it would be encouraged as an opportunity to have the employee file maintained with all documentation related to employee performance.

5. What if the employee disagrees with the manager as to what his/her essential job functions are?

Answer: The employee and manager should continue to have discussions and reach an understanding about those essential job functions. If they are unable to reach an understanding, they should be encouraged to seek a third party to resolve the areas of disagreement. Third party intervention should come from within the unit first, such as the second-line supervisor, appointing authority, personnel representative or unit head. After those avenues have been exhausted, outside intervention may be sought. However, ultimately the decision lies within the rights of management to determine the essential job functions and standards for each position.

6. Will the MS-22 be used for other reasons than re-classifying?

Answer: Not for formal administrative reasons. Informally, the MS-22 could be used to examine the distribution and organization of job responsibilities in the work unit, and for decision-making about job duties and project allocation.

7. Will this system improve an already low morale, no pay raises in 7 years?

Answer: Research studies and anecdotal information strongly support the positive benefits of a performance management system like PEP. Morale is a subjective attitude based on and influenced by many different issues. A pay raise is one of many issues that is determined by forces outside of the State Personnel Management System. Within the work environment, better, more open communication is fostered and developmental opportunities are discussed and pursued. Studies and surveys have shown that, over an extended period of time, employees are more motivated by the conditions of their work environment and how they are treated, than by money alone. In fact, if pay raises and salaries are the only issues of concern, there is no better way to pursue them than through promotional and other advancement opportunities offered by the employer.

8. How does this affect the present increments?

Answer: There is no effect. Step increments and other merit allocations are subject to approval of the legislature. They are then allocated according to the guidelines and policies outlined in the State Personnel Management System.

9. Does the Supervisor Feedback Instrument go into the supervisor's file?

Answer: Only by agreement between the supervisor and the rater (the supervisor's supervisor). The Supervisory Feedback Instrument is to be used for providing feedback and input to the rater for consideration during the appraisal period. It may be helpful to include the instrument results in the file with the evaluation so as to maintain all related performance documentation together.

10. How do we blend the basic job functions of a position with the specific agency functions?

Answer: All job functions and responsibilities should be directly related to and derived from the specific agency functions. This requires an organized effort by upper management to effectively communicate the mission, and goals and objectives of the organization. This is done through action plans like business plans, strategic planning, goal setting and project management. These "guiding principles" become performance plans which should be dictated down through the organization, and reflected in the basic performance standards and requirements for all employees at all levels. Supervisors at each level should then be able to hold their employees accountable for the accomplishment and impact of these basic functions.

11. Where can additional evaluation forms be obtained?

Answer: Additional evaluation forms can be obtained through your local personnel administrator, or thought the State Department of Budget and Management, Office of Human Resources. It is highly recommended that you obtain a "computerized" version of the form to make the paperwork component of the process easier and help streamline the process from year to year.

12. Must all employees complete the Supervisory Feedback form?

Answer: No. Employees are not required to complete the supervisory feedback form. However, the employee must note that he/she did not elect to complete the form and forward it with other forms for consideration.

13. Should all employees use the Affirmation of Fair Practices form?

Answer: The Affirmation of Fair Practices Form is for ALL supervisors and managers, and for anyone who is in a position to make employment decisions or other personnel actions (e.g. recruitment, selection, training, recognition, promotion, and assignment of work).

14. Can training be condensed?

Answer: It can only be condensed through the editing or abbreviation of the skill building exercises included in the training. HB 774 requires that all employees complete training, as administered through the Office of Human Resources. Each part of PEP training is designed to implement specific components of HB 774 and pertain to how the performance appraisal process is conducted. Writing and developing the MS-22, understanding the mechanics of the process, participating through self-assessment and/or supervisory feedback, and adhering to established performance appraisal procedures are just a few of the required components. By adding the exercises, the training adds an element of skill building that is essential for any developmental activity. Likewise, the exercises ensure understanding and participation in the process.

15. Although they have attended the three phases of PEP training, many employees are still concerned about their inability to document/identify essential job standards and the PEP process. What now?

Answer: Satisfaction with the PEP process is commonly dependent upon the employee's degree of understanding of the mechanics and logistics of the process, as well as the employee's comfort with his/her own level of participation. All employees must persist in maintaining open channels of communication with their supervisors, particularly when it involves job standards and the evaluation process. If at any time the employee feels unclear about these requirements, it is incumbent upon him/her to approach the supervisor or fellow employees in a positive, and sometimes persistent, manner. In addition, the employee can seek out other forms of documentation or material which can help him or her to feel comfortable participating.

16. Are the Template and Behavioral Elements on disk?

Answer: Yes. Departments and units are encouraged to use the computerized versions of the Template and Behavioral Elements to modify and adapt the process to best suit their organization.

17. Can an employee transfer while on probation?

Answer: Yes. However, the employee must serve a completely new probationary period, pending the conditions of the new position (original, promotional, etc.).

18. Is a written evaluation needed at the end of the probationary period?

Answer: It depends upon the type and period of probation. For an initial appointment probation of six months, a written evaluation would be done as the six-month mid-cycle performance evaluation. Written evaluations need only be done according to the employee's anniversary entry-on-duty date and its alignment with the probationary period. In most cases, the Probationary Evaluation Form will function to certify all employees who have successfully completed ANY probationary status.

19. Do Special Appointments serve probation following probation?

Answer: Yes.

20. What if the employee has a significant change in performance standards; same duties, position, supervisor?

Answer: The employee and supervisor must communicate about the reason for and degree of "significant change." Job Standards should evolve over time. They should be modified to reflect the changing work environment, new goals and objectives of the organization, and/or responsibilities of the position. Continuous Quality Improvement, or CQI, is a process used to consistently improve and enhance the delivery of work products and services. The application of CQI, and other total quality management techniques, would result in standards being adjusted upward, or "raising the bar," to achieve new goals and objectives. Also, the degree of change in Job Standards may be the result of a "re-alignment" to more realistic or practical standards of achievement. Only when standards are set at such a high level that they are unattainable, or at such a low level that they do not advance the mission of the organization, then the standards do not properly serve the employee or the unit.

21. What if the employee has a significant change in duties; same position and supervisor?

Answer: If there is a "significant" change in duties, the employee and supervisor should review an updated MS-22 and ensure the position description is consistent with the assigned job classification. Broadening of job scope, degree of responsibility, added supervisory duties and other significant changes may require a re-evaluation of assigned job class.

22. What if the employee is in an acting capacity status?

Answer: If an employee is in an acting capacity status, he/she is responsible for accomplishing the duties, responsibilities, and standards that are assigned to that position. The performance evaluation should reflect that same level of accountability.

23. What if the employee moves to a new position with a new supervisor, but the same appointing authority?

Answer: The employee must meet the duties and standards that are assigned to the new position, regardless of the appointing authority.

24. What if the employee moves to a new position in the same principal unit with a different appointing authority?

Answer: The employee must meet the duties and standards that are assigned to the new position, regardless of the appointing authority. This would only become an issue if the "new" appointing authority had a significantly different level of standards for the same position as another appointing authority.

25. What if the employee is on long term or significantly intermittent absence?

Answer: Supervisors must take great precaution to fairly evaluating the performance of an employee who is absent due to certified and/or documented reasons. FMLA, ADA, and Workers Compensation policies govern the handling and administration of most cases. However, significant absence from the job will typically impact the performance evaluation in a negative manner. If the employee is not present to perform the necessary duties and tasks, performance will suffer. The performance evaluation must accurately reflect the accomplishments and performance of the individual, while noting the legal reasons for any shortcomings.

26. What if the employee moves to a new principle unit?

Answer: The employee must meet the duties and standards that are assigned to the new position, regardless of principle unit.

27. What if the employee refuses to cooperate with the process?

• refuses to complete a self-evaluation?
• refuses to sign the job description?
• refuses to attend the evaluation meeting?
• refuses to sign the evaluation form?

Answer:
Employees are not required to complete a self-assessment. If an employee chooses not to complete a self-assessment, it should be noted on the performance evaluation.

Employees are not required to sign the job description. If an employee chooses not to sign the job description, it should be noted on the form.

Employees are not required to attend evaluation meetings. If an employee refuses to attend a meeting, it should be noted on the form. Supervisors should also be sure the employee receives a finalized copy of the evaluation form.

Employees are not required to sign the evaluation form. Supervisors may ask the employee to read the certification located on the front of the form: "Employee Certification: I hereby certify that I have personally reviewed this report, and understand that my signature does not imply agreement or disagreement." If an employee still refuses to sign the certification, it should be noted on the form. Supervisors should also be sure the employee receives a finalized copy of the evaluation form.

28. What if the supervisor is in an acting capacity status?

Answer: A supervisor in an acting capacity status must complete the duties and responsibilities assigned to the supervisory position. This includes adherence to all established performance appraisal procedures and requirements for employees reporting to the supervisor. New supervisors should consult with the unit head, previous supervisor, employee, and/or appointing authority before making any significant changes to the job duties and standards.

29. What if the supervisor is on a long-term absence?

Answer: If the supervisor is on a long-term absence, the supervisor's supervisor or other appointing authority must ensure that the employee(s) receives a performance evaluation, according to established procedures and requirements. This appraisal may be done by the second-line supervisor, appointing authority, or other person appointed in an acting capacity.

30. What if the supervisor moves to a new position with the same appointing authority?

Answer: Each supervisor is required to adhere to all established performance appraisal practices and procedures for employees reporting to that supervisor. The supervisor should consult with the appointing authority before making any "significant changes" to job duties and standards.

31. What if the supervisor moves to a new position in the same principal unit with different appointing authority?

Answer: Each supervisor is required to adhere to all established performance appraisal practices and procedures for employees reporting to that supervisor. The supervisor should consult with the appointing authority before making any "significant changes" to job duties and standards.

32. What if the supervisor moves to a new principal unit?

Answer: A supervisor in a new principal unit must complete the duties and responsibilities assigned to the supervisory position. This includes adherence to all established performance appraisal procedures and requirements for employees reporting to the supervisor. These supervisors should consult with the unit head, previous supervisor, employee, and/or appointing authority before making any significant changes to the job duties and standards.

33. What if the supervisor leaves State service?

Answer: If the supervisor leaves State service, the unit head, peer supervisors, employee, and/or appointing authority are needed to ensure the new supervisor will successfully transition into the task of conducting the PEP process.

34. What if the supervisor fails or refuses to perform duties related to PEP?

Answer: The supervisor shall be held accountable within his/her own evaluation for conducting the performance appraisal according to established policies and procedures. The final evaluation will be impacted by non-performance of duties. In addition, the employee will be subject to policies and procedures covered within the State Personnel Management System, including the allocation of performance and merit based rewards.