Introduction to SEPAP: An Explanation of the Program  Importance of employee participation in the appraisal process  Learn the three phases of SEPAP  Importance of proper preparation  Development of improvement plans  Avoiding pitfalls to SEPAP

What is SEPAP? SEPAP is the acronym for Staff Employee Performance Appraisal Program It is a summary of the last 3, 5, and/or 12 months of observations and evaluations of the employee’s job performance. Documentation is crucial at the end of the observation process in order to formalize the supervisor’s evaluation of the employee.

Three parts to the SEPAP Form The SEPAP consists of three separate worksheets: 1. Performance Factors 2. Essential Job Functions and Established Standards 3. Summary Appraisal Sheet All three worksheets need to be filled out by the supervisor for the evaluation to be complete.

Who is involved in the SEPAP? Three (3) people are required to be involved for every appraisal conducted: Employee – the individual being evaluated Supervisor – the individual who conducts the evaluation Reviewer – the individual responsible for asserting the appraisal (ratings given) were assigned in an impartial manner All three signatures are required on the Summary Appraisal Sheet!

Who must have a SEPAP conducted? All regular staff employees of the University. A “regular staff employee” is any non- faculty employee who is hired to work at least 20 hours per work week or 50% full- time equivalent (FTE) and for at least 4½ months.

Frequency of Appraisals Newly hired employees need to have two (2) appraisals conducted during their probationary period: –First appraisal: 3 months after hire date –Second appraisal: 5 months after hire date After one year of employment: –Annual appraisal on employee’s anniversary hire date (default setting); or –Departmental cycle

The 3 Phases of SEPAP There are three (3) phases to the SEPAP process. –Phase One: Preparation –Phase Two: Monitoring –Phase Three: Formal Appraisal Each phase builds upon the previous phase and must be given full consideration for the SEPAP to be an effective management tool.

Phase One: Preparation Phase One is the foundation for the performance appraisal process Phase One consists of three important elements: –Position Description –Performance Standards –Performance Goals The Essential Job Functions and Established Standards Worksheet included in the SEPAP Form is for documenting the requirements of Phase One.

Phase One: Preparation Phase One is the foundation for the performance appraisal process Phase One consists of three important elements: Position Description: a statement of duties performed in the department Performance Standards: describe the results you want the employee to obtain with respect to each job function Performance Goals: a predetermined objective for each function that needs to be achieved Refer to SEPAP Guidelines, pgs. 3 – 9, for additional information.

Clarifying Performance Standards Setting performance standards requires the involvement of the employee. To be effective, performance standards must be: –Specific and measurable –Realistic and Attainable –Written in complete and concise terms –Flexible and responsive to change –Jointly developed through discussion between supervisor and employee –Consistent with the organization’s overall objectives and policies –Reviewed for progress at specific times before the work is completed

Phase Two: Monitoring Phase Two consists of two elements: –Record Keeping and –Performance Counseling Both elements are an integral part of the performance appraisal process. An effective manager communicates with his/her employees, especially during the monitoring phase, in order to develop the employee’s potential to the fullest.

Record Keeping Research shows most people are unable to recall past experiences, observations, and thoughts accurately. Supervisors should maintain a performance file for each employee. The file should contain documentation on observed job performance, both good and bad. File should be available to employee at all times with all incidents being discussed with the employee at the time they occurred. File should be referred to at the end of the year when completing SEPAP for accuracy and fairness.

Performance Counseling Process is ongoing and most effective when delivered immediately after the behavior is observed; it should not occur only at the time of the formal appraisal. Supervisor must inform the employee of the necessary corrective action when he/she is performing below expectations. Supervisor should reinforce good performance when the employee is doing a good job. Both supervisor and employee should meet as necessary to discuss ways to improve or make changes in direction or responsibility.

Phase Three: Appraisal Interview The supervisor should set a date at some point in the future, i.e., two weeks, a month, in advance to meet with the employee to discuss the ratings. It is critically important to establish the proper environment for the appraisal interview to ensure confidentiality and purpose of the evaluation: to develop the employee’s growth potential.

Self-Appraisals Supervisors should encourage self-evaluation in addition to the supervisory evaluation This technique encourages advanced thought and preparation, often making the discussion more fruitful for both the employee and the supervisor There are approaches you can take to self-appraisals: –Employee can complete a SEPAP form and then discuss his or her self-appraisal with the supervisor –Employee and supervisor can both complete the form on their own and then bring it with them to the interview to resolve their differences –Both supervisor and employee can review the appraisal form independently and then use the interview to complete the official form for submittal

Developing an Improvement Plan The improvement plan should be developed together by the supervisor and the employee. The supervisor should set a follow-up date to meet with the employee to check on his or her progress towards meeting the goal for improved performance or the improvement plan. Each interview should include a plan to improve the employee’s job performance.

The Role of the Supervisor Conduct the performance appraisal for his/her employee(s) on a timely basis. Maintain proper documentation of employee performance throughout the year. Provide justification for ratings on the performance factors. Discuss the ratings with the employee providing a clear understanding of the reasons for each rating. Provide employee(s) with clear goal and/or performance expectations.

The Role of the Reviewer Ensure the Supervisor is providing sound justification for each performance factor. Determine that the Supervisor conducted each performance appraisal in an impartial manner. Reviewer is not required to personally know the employee or his/her work since it is the ratings the supervisor assigned, the reviewer is checking.

Common Pitfalls to Avoid 1. Guaranteeing a high evaluation will automatically result in a merit raise. - UTPA cannot guarantee available monies for merit on a yearly basis for every employee who performed in an above average manner. 2. The tendency to rate too high or too low an employee based on their personal attributes. - An employee’s friendly attitude rating cannot determine the rating for their quality of work.

Common Pitfalls to Avoid (contd.) 3. Tendency to be too lenient or too harsh when evaluating an employee’s job performance. - To prevent this, both the supervisor and employee must establish performance standards and have a clear understanding of the expectations. 4. Permitting the supervisor’s personal feelings towards the employee to determine the job performance. - Concentration on the employee’s overall job performance rather than who they are as a person prevents compromising the supervisor’s objectivity during the evaluation process.

Legal Considerations Provide the employee(s) with an up-to-date job description Give employee(s) the opportunity to note their comments on their evaluations. Advise the employee that signing the form does not imply agreement with ratings, only certification that the appraisal was conducted. If the employee(s) refuses to sign the form, the supervisor should recruit a witness to certify the appraisal was conducted and note the refusal on the form.

Questions… Alicia G. Morley Gilbert Perez Jr. Or call (956)