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Employee PEP Form

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EMPLOYEE PERFORMANCE ENHANCEMENT PLAN (PEP) FORM

Personal Information

Position Information

Date of hire:

PEP Start Date:    Expected Completion Date:

Employment History (Most Recent)

Dates Employed:

Dates Employed:

Education

Graduation Date:

Professional References

PEP — Performance Concerns and Objective

Summary of performance concerns (specific incidents, dates, measurable deficiencies):

Primary objective(s) of this PEP (clear, measurable outcomes required):

Measurable Goals and Success Criteria

Target Completion Date:   Success Metric:

Target Completion Date:   Success Metric:

Action Plan, Training and Support

Specific action steps, training to be provided, resources, and responsible parties:

Monitoring, Review Schedule, and Documentation

Planned review meetings (dates) and criteria for interim assessments:

Review 1 Date:   Review 2 Date:

Consequences and Outcomes

If the performance objectives set forth in this PEP are not met within the specified timeframes, disciplinary action may follow up to and including termination of employment. Any such action will be consistent with company policy and applicable law.

Performance improvement documented (no further action)    Additional training required    Formal disciplinary action up to termination

Legal Disclosures and Authorizations

At-Will Employment: Employee acknowledges that employment is at-will, which means either the employee or the employer may terminate the employment relationship at any time, with or without cause or notice, unless otherwise specified in a separate written agreement signed by an authorized representative.

Equal Employment Opportunity: The employer prohibits discrimination and will comply with federal, state, and local laws regarding equal employment opportunity. All actions under this PEP will be applied without regard to protected characteristics.

Authorization: By signing this form, the employee authorizes the employer to contact previous employers and references as necessary for employment verification, performance history, or other legitimate business purposes related to employment. The employee also acknowledges that a background check may be required and consents to such checks where permitted by law.

Employee Certification

I certify that the information I have provided in this PEP form is true and complete to the best of my knowledge. I understand the expectations, objectives, and consequences described herein. I understand that participation in training and compliance with the action plan are required and that failure to meet the stated objectives may result in progressive discipline up to and including termination.

Employee Comments (optional):

Employee Printed Name:

By:

Date:

Manager / Company Representative Printed Name:

By:

Date:

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What the Employee PEP Form Is and when it’s used

The Employee PEP Form is a compliance disclosure used by employers and covered entities to identify whether an employee or connected person qualifies as a Politically Exposed Person (PEP) or has close ties to one. The form documents identity details, role or relationship to public office, source of funds or income where relevant, and any required approvals. Organizations use the form to meet AML/CFT screening, enhanced due diligence, internal conflicts screening, and vendor/HR onboarding policies that are sensitive to public-office exposure.

Why completing an Employee PEP Form matters

Accurate PEP disclosures reduce institutional risk by enabling enhanced due diligence, documented decision-making, and consistent recordkeeping for regulatory review. They help firms meet AML obligations, protect reputations, and apply internal controls where political exposure affects transaction risk.

Why completing an Employee PEP Form matters

Who typically completes and reviews this form

HR, compliance, and hiring managers use the Employee PEP Form during onboarding and periodic reviews to flag elevated risk.

  • Hiring managers and HR administrators who collect disclosures during onboarding and promotions.
  • Compliance officers who screen, escalate, and retain documentation for AML/CFT programs.
  • Legal or risk teams who approve mitigation steps or document exceptions.

Legal, AML officers, and designated approvers review flagged forms and determine next-step controls or reporting obligations.

Primary signer roles and responsibilities

Employee

The employee completes the form, discloses current and recent public roles, lists close relatives or associates who are public officials, and certifies the accuracy of the information under signature or electronic attestation.

Compliance Reviewer

A compliance officer verifies disclosures, performs screening against watchlists or adverse media, documents enhanced due diligence if required, and records the final classification and any controls imposed.

Required data elements on the Employee PEP Form

Full legal name: As on government ID
Date of birth: MM/DD/YYYY
Job title: Current organization role
PEP status: Yes / No selection
Related persons: Immediate family/associates
Declaration date: Signature date required

Consequences of incorrect or missing disclosures

Regulatory fines: Civil penalties, fines
AML program risk: Enhanced scrutiny required
Employment action: Disciplinary measures possible
Reputational harm: Public trust impact
Contract risk: Third-party restrictions
Recordkeeping failures: Audit findings

Common mistakes to avoid when preparing the form

  • Leaving the PEP status field blank or selecting defaults without review, which prevents timely screening and escalation.
  • Entering partial names or nicknames that do not match identity screening sources, leading to false negatives or mismatches during watchlist checks.
  • Omitting relationships to close associates or family members; many AML frameworks require disclosure of proximate connections to public officials.
  • Failing to date or sign the form (including electronic attestations), which undermines the record of consent and the effective date for any controls.

Real-world examples of how organizations use the form

Two anonymized examples show practical use: one large distributor and one healthcare provider improved screening and documentation continuity using a standard PEP disclosure.

Tech Data compliance check

A global distributor required PEP disclosures during vendor onboarding to reduce third-party risk.

  • The screening step flagged one supplier with close political ties.
  • The documented disclosure allowed compliance to implement enhanced due diligence and preserve an auditable decision trail while keeping commercial relationships transparent and controlled.

Fertility Centers HR process

A healthcare network added PEP questions to staff onboarding to align with payroll and vendor policies.

  • Early detection surfaced a senior hire with a public office relative.
  • The record let HR and legal impose appropriate segregation of duties, document mitigations, and store the disclosure under HIPAA and internal access controls.

Step-by-step: completing an Employee PEP Form

Follow these core steps to collect, validate, and act on PEP disclosures in a consistent, auditable way.

  • 01
    Complete form: Enter identity, role, and relationship details.
  • 02
    Self-attest: Employee signs and dates the declaration.
  • 03
    Screen: Compliance runs watchlist and adverse media searches.
  • 04
    Record decision: Document classification and controls applied.

Where the completed form goes and who acts next

A completed form follows a predictable routing path: collection, screening, review, and retention.

  • Collection: Form placed in employee HR file or secure e-folder.
  • Screening: Compliance uses screening tools and manual checks.
  • Review: Risk team determines enhanced due diligence steps.
  • Retention: Signed form stored per retention policy.

How to configure an online Employee PEP workflow

Typical configuration settings ensure secure collection, signer authentication, and an audit-ready trail for each completed form.

Field Configuration
Authentication Email link or SMS code; optional KBA for high risk
Conditional Fields Show family questions when PEP = Yes
Templates Use reusable template with version control
Audit Trail Capture IP, timestamp, and signer actions

Digital signing and distribution essentials

Ensure the chosen platform can produce a tamper-evident PDF and retain the audit trail required for internal and regulatory review.

  • Integrations: CRM, HRIS, and document storage connectors
  • File formats: PDF and DOCX accepted for templates
  • Authentication: Email, SMS, KBA, or SSO options

Core sections every Employee PEP Form should include

A concise structure reduces confusion and speeds review: identity, exposure, relationships, and reviewer conclusion are the minimum recommended sections.

Identity

Full legal name, DOB, government ID reference, and contact details so screening tools can match exact records without false negatives.

Public office details

Current or recent public positions, dates in office, and jurisdiction to determine exposure level and required due diligence.

Close associates

Immediate family and known business associates who are public officials; include relationship and office details to capture indirect exposure.

Compliance conclusion

Reviewer classification, required controls, and sign-off with date to complete the decision record for audits.

Accuracy and efficiency tips for handling PEP disclosures

Apply controls that preserve privacy, reduce errors, and keep the process auditable for regulators and internal reviewers.

Use standard identity formats consistently
Enter names and dates to match government IDs; avoid initials or nicknames. Consistent formats reduce screening mismatches and speed automated name matching.
Enable conditional logic
Show supplementary questions only when PEP = Yes to simplify the form experience and focus reviewer effort on higher-risk cases.
Document reviewer reasoning
Record why a case required enhanced due diligence and what controls were imposed. Clear notes reduce repeat inquiries during audits or regulatory exams.
Protect sensitive data access
Limit who can view full PEP responses. Maintain role-based access to minimize privacy risk and ensure HIPAA or other privacy obligations are met where applicable.

Key milestones and who acts at each stage

Track four sequential milestones from collection to final retention to ensure coverage and timely escalation.

01

Onboarding collection

Employee completes form at hire or assignment beginning.

02

Initial screening

Compliance conducts watchlist and media checks immediately.

03

Reviewer decision

Compliance records classification and controls within set SLA.

04

Record retention

Signed form stored per retention policy and legal requirements.

Typical timelines and processing expectations

Set clear service-level expectations so employees and reviewers know turnaround times and required updates.

At hire or role change:

Form completed on or before first day in role.

Initial screening window:

Screen within 48–72 hours of receipt.

Reviewer decision SLA:

Compliance opinion recorded within 5 business days.

Annual refresh:

Revalidate PEP status at least once per year for higher-risk roles.

Ad hoc updates:

Employee must update within 10 business days of any relevant change.

Detailed components to include for regulatory readiness

Include fields and controls that create an auditable, defensible record for AML/CFT programs and internal governance.

Identification

Government ID references, full legal name, and DOB for precise screening and to support identity proofing where required.

Office history

List current and recent public offices, dates, jurisdiction, and scope of authority to determine exposure and DPD requirements.

Relationship mapping

Identify family members and business associates who are PEPs; capture relationship type and public role for indirect exposure analysis.

Source of funds summary

Brief description of principal income or asset sources when financial transactions or account opening are involved.

Consent and attestation

Employee attestation language confirming accuracy and granting consent for screening and record retention.

Reviewer notes

Compliance findings, risk rating, mitigation measures, and sign-off to close the review loop.

Quick checklist: preparing the form for use

A short grid-speed checklist ensures the form is complete, correctly routed, and audit-ready.

01

Template ready:

Version-controlled template in PDF or DOCX.
02

Fields mapped:

All required fields set as mandatory.
03

Auth enabled:

Choose SMS, email, or KBA as needed.
04

Reviewer assigned:

Compliance owner designated for routing.
05

Retention set:

Document retention policy attached.
06

Audit logging:

Ensure audit trail is enabled.

How the Employee PEP Form differs from other disclosures

Compare common disclosure documents to clarify purpose, required detail, and screening needs.

Criteria Employee PEP Form Conflict of Interest Form
Primary purpose identify political exposure identify financial conflicts
Screening required yes, watchlists usually internal review only
Typical signer employee employee or manager
Data retention longer for aml programs varies by hr policy

Vendor pricing snapshot for eSignature when handling PEP forms

Compare starting prices and core capabilities relevant to secure PEP form workflows; signNow is listed first per vendor comparison conventions.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial Yes, 7-day free trial Varies Varies Varies Varies
Bulk Send Yes Yes Yes Yes No
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes Yes Yes No No

Frequently asked questions and troubleshooting

Answers to common operational and legal questions about completing, signing, and retaining Employee PEP Forms.


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